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Electronic Code of Federal Regulations

blue pill

e-CFR Data is current as of July 21, 2014

TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION

PART 12—RULES RELATING TO REPARATIONS

rule

Subpart A—GENERAL INFORMATION AND PRELIMINARY CONSIDERATION OF PLEADINGS

§12.1
Scope and applicability of rules of practice relating to reparations.
§12.2
Definitions.
§12.3
Business address; hours.
§12.4
Suspension, amendment, revocation and waiver of rules.
§12.5
Computation of time.
§12.6
Extensions of time; adjournments; postponements.
§12.7
Ex parte communications in reparation proceedings.
§12.8
Separation of functions.
§12.9
Practice before the Commission.
§12.10
Service.
§12.11
Formalities of filing of documents with the Proceedings Clerk.
§12.12
Signature.
§12.13
Complaint; election of procedure.
§12.14
Withdrawal of complaint.
§12.15
Notification of complaint.
§12.16
Response to complaint.
§12.17
Satisfaction of complaint.
§12.18
Answer; election of procedure.
§12.19
Counterclaim.
§12.20
Response to counterclaim; reply; election of procedure.
§12.21
Voluntary dismissal.
§12.22
Default proceedings.
§12.23
Setting aside of default.
§12.24
Parallel proceedings.
§12.25
Filing fees.
§12.26
Commencement of a reparation proceeding.
§12.27
Termination of consideration of pleadings.
rule

Subpart B—DISCOVERY

§12.30
Methods of discovery.
§12.31
Production of documents and tangible items.
§12.32
Depositions on written interrogatories.
§12.33
Admissions.
§12.34
Discovery by a decisionmaking official.
§12.35
Consequences of a party's failure to comply with a discovery order.
§12.36
Subpoenas to compel discovery.
rule

Subpart C—RULES APPLICABLE TO VOLUNTARY DECISIONAL PROCEEDINGS

§12.100
Scope and applicability of rules.
§12.101
Functions and responsibilities of the Judgment Officer.
§12.102
Disqualification of Judgment Officer.
§12.103
Filing of documents; subscription; service.
§12.104
Amendments to pleadings; motions.
§12.105
Submission of proof only in documentary or tangible form.
§12.106
Final decision and order.
rule

Subpart D—RULES APPLICABLE TO SUMMARY DECISIONAL PROCEEDINGS

§12.200
Scope and applicability of rules.
§12.201
Functions and responsibilities of the Judgment Officer.
§12.202
Disqualification of Judgment Officer.
§12.203
Filing of documents; subscription; service.
§12.204
Amended and supplemental pleadings.
§12.205
Motions.
§12.206
Pre-decision conferences.
§12.207
Summary disposition.
§12.208
Submissions of proof.
§12.209
Oral testimony.
§12.210
Initial decision.
rule

Subpart E—RULES APPLICABLE TO FORMAL DECISIONAL PROCEEDINGS

§12.300
Scope and applicability of rules.
§§12.301-12.302
[Reserved]
§12.303
Pre-decision conferences.
§12.304
Functions and responsibilities of the Administrative Law Judge.
§12.305
Disqualification of Administrative Law Judge.
§12.306
Filing of documents; subscription; service.
§12.307
Amended and supplemental pleadings.
§12.308
Motions.
§12.309
Interlocutory review by the Commission.
§12.310
Summary disposition.
§12.311
Disposition of proceeding or issues without oral hearing.
§12.312
Oral hearing.
§12.313
Subpoenas for attendance at an oral hearing.
§12.314
Initial decision.
§12.315
Consequences of overstating damages claims not in excess of $30,000.
rule

Subpart F—COMMISSION REVIEW OF DECISIONS

§12.400
Scope and applicability of rules.
§12.401
Appeal to the Commission.
§12.402
Appeal of disposition of less than all claims or parties in a proceeding.
§12.403
Commission review on its own motion.
§12.404
The record of proceedings.
§12.405
Leave to adduce additional evidence.
§12.406
Final decision of the Commission.
§12.407
Satisfaction of reparation award; enforcement; sanctions.
§12.408
Delegation of authority to the General Counsel.


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