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Federal Register / Vol. 86, No. 29 / Tuesday, February 16, 2021 / Rules and Regulations
service of all instruments of formal Commission action. The Secretary is custodian of the official seal of the Commission, and also has the responsibility for authenticating documents.

c In addition, the Secretary administers the Commissions Library.
6. Section 200.13b is revised to read as follows:
200.13b Affairs.

Director of the Office of Public
The Director of the Office of Public Affairs is the chief public information officer for the Commission, and oversees activities that communicate the Commissions actions to those interested in or affected by them. The Directors responsibilities include serving as liaison with the news media, dissemination of information to the news media and to the general public, supervision of internal and some external publications and of audiovisual presentations. Responsibilities of the Director, and of the Directors staff, include special projects that may be deemed appropriate to communicate information on Commission actions.
7. Section 200.14 is amended by revising paragraph b to read as follows:
200.14 Office of the Administrative Law Judges.

b The Chief Administrative Law Judge performs the duties of an Administrative Law Judge under the Administrative Procedure Act and the duties delegated to the Chief Administrative Law Judge by the Commission that are compatible with those duties. The Chief Administrative Law Judge is responsible for the orderly functioning of the Office of Administrative Law Judges apart from the conduct of administrative proceedings and acts as liaison between that Office and the Commission.
200.16

Removed and Reserved
8. Section 200.16 is removed and reserved.

200.17

Removed and Reserved
9. Section 200.17 is removed and reserved.
10. Section 200.19c is revised to read as follows:
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200.19c Director of the Division of Examinations.

The Director of the Division of Examinations Examinations is responsible for the compliance inspections and examinations relating to the regulation of exchanges, national
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securities associations, clearing agencies, securities information processors, the Municipal Securities Rulemaking Board, brokers and dealers, municipal securities dealers, municipal advisors, security-based swap data repositories, security-based swap dealers, major security-based swap participants, transfer agents, investment companies, and investment advisers, under sections 13n2, 15B, 15Cd1, 15F, and 17b of the Securities Exchange Act of 1934 15 U.S.C.
78mn2, 78o4, 78o5d1, 78o10, and 78qb, section 31b of the Investment Company Act of 1940 15
U.S.C. 80a30b, and section 204 of the Investment Advisers Act of 1940 15
U.S.C. 80b4.
11. Section 200.19d is revised to read as follows:

200.19d Director of the Office of Municipal Securities.

The Director of the Office of Municipal Securities is responsible to the Commission for the administration and execution of the Commissions programs under the Securities Exchange Act of 1934 relating to the registration and regulation of municipal advisors, the practices of municipal securities brokers and dealers, and oversight of the Municipal Securities Rulemaking Board.
The functions involved include recommending the adoption and amendment of Commission rules, reviewing proposed rule changes of the Municipal Securities Rulemaking Board, and responding to interpretive and noaction requests.
12. Section 200.19e is added to read as follows:

200.19e Ratings.

Director of the Office of Credit
The Director of the Office of Credit Ratings is responsible to the Commission for the administration and execution of the Commissions programs under the Securities Exchange Act of 1934 relating to the registration and regulation of nationally recognized statistical rating organizations. The functions involved in the regulation of such entities include compliance inspections and examinations, recommending the adoption and amendment of Commission rules, and responding to interpretive and no-action requests.
200.20a

Added and Reserved
13. Add reserved 200.20a.

14. Section 200.21 is revised to read as follows:

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200.21

The General Counsel.

a The General Counsel is the chief legal officer of the Commission. The General Counsel is responsible for the representation of the Commission in judicial proceedings in which it is involved as a party or as amicus curiae, for directing and supervising all civil litigation involving the Commission in the United States District Courts, except for law enforcement actions filed on behalf of the Commission, for directing and supervising the Commissions responsibilities under the Bankruptcy Code and all related litigation, and for representing the Commission in all cases in appellate courts. The General Counsel is responsible for the review of cases which the Division of Enforcement recommends be referred to the Department of Justice with a recommendation for criminal prosecution. In addition, the General Counsel is responsible for advising the Commission at its request or at the request of any division director or office head, or on the General Counsels own motion, with respect to interpretations involving questions of law; for the conduct of administrative proceedings relating to the disqualification of lawyers from practice before the Commission; for conducting preliminary investigations, as described in 17 CFR 202.5a, into potential violations of 17 CFR 201.102e by attorneys; for the preparation of the Commission comments to the Congress on pending legislation; and for the drafting, in conjunction with appropriate divisions and offices, of legislative proposals to be sponsored by the Commission. The General Counsel is responsible for providing advice to Commission attorneys on professional responsibility issues relating to their official duties. The General Counsel is further responsible for investigating allegations of professional misconduct by Commission staff and, where appropriate, making referrals to state professional boards or societies. The General Counsel is also responsible for the review and clearance of the form and content of articles, treatises, and prepared speeches and addresses by members of the staff relating to the Commission or to the statutes and rules administered by the Commission. The General Counsel also is responsible for coordinating and reviewing the interpretive positions of the various divisions and offices. In addition, the General Counsel is responsible for appropriate disposition of all Freedom of Information Act and Privacy Act appeals pursuant to the authority delegated in 200.3014, and is the
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