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e-CFR data is current as of October 22, 2020

Title 17Chapter IPart 10


TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION

PART 10—RULES OF PRACTICE

rule

Subpart A—GENERAL PROVISIONS

§10.1
Scope and applicability of rules of practice.
§10.2
Definitions.
§10.3
Suspension, amendment, revocation and waiver of rules.
§10.4
Business address; hours.
§10.5
Computation of time.
§10.6
Changes in time permitted for filing.
§10.7
Date of entry of orders.
§10.8
Presiding officers.
§10.9
Separation of functions.
§10.10
Ex parte communications.
§10.11
Appearance in adjudicatory proceedings.
§10.12
Service and filing of documents; form and execution.
rule

Subpart B—INSTITUTION OF ADJUDICA- TORY PROCEEDINGS; PLEADINGS; MOTIONS

§10.21
Commencement of the proceeding.
§10.22
Complaint and notice of hearing.
§10.23
Answer.
§10.24
Amendments and supplemental pleadings.
§10.25
Form of pleadings.
§10.26
Motions and other papers.
rule

Subpart C—PARTIES AND LIMITED PARTICIPATION

§10.31
Parties.
§10.32
Substitution of parties.
§10.33
Intervention as a party.
§10.34
Limited participation.
§10.35
Permission to state views.
§10.36
Commission review of rulings.
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Subpart D—PREHEARING PROCEDURES; PREHEARING CONFERENCES; DISCOVERY; DEPOSITIONS

§10.41
Prehearing conferences; procedural matters.
§10.42
Discovery.
§10.43
Stipulations.
§10.44
Depositions and interrogatories.
rule

Subpart E—HEARINGS

§10.61
Time and place of hearing.
§10.62
Appearances.
§10.63
Consolidation; separate hearings.
§10.64
Public hearings.
§10.65
Record of hearing.
§10.66
Conduct of the hearing.
§10.67
Evidence.
§10.68
Subpoenas.
§10.69
Reopening hearings.
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Subpart F—POST HEARING PROCEDURES; INITIAL DECISIONS

§10.81
Filing the transcript of evidence.
§10.82
Proposed findings and conclusions; briefs.
§10.83
Oral arguments.
§10.84
Initial decision.
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Subpart G—DISPOSITION WITHOUT FULL HEARING

§10.91
Summary disposition.
§10.92
Shortened procedure.
§10.93
Obtaining default order.
§10.94
Setting aside of default.
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Subpart H—APPEALS TO THE COMMISSION; SETTLEMENTS

§10.101
Interlocutory appeals.
§10.102
Review of initial decisions.
§10.103
Oral argument before the Commission.
§10.104
Scope of review; Commission decision.
§10.105
Review by Commission on its own initiative.
§10.106
Reconsideration; stay pending judicial review.
§10.107
Leave to adduce additional evidence.
§10.108
Settlements.
§10.109
Delegation of authority to Chief of the Opinions Section.
rule

Subpart I—RESTITUTION ORDERS

§10.110
Basis for issuance of restitution orders.
§10.111
Recommendation of procedure for implementing restitution.
§10.112
Administration of restitution.
§10.113
Right to challenge distribution of funds to customers.
§10.114
Acceleration of establishment of restitution procedure.
rule

   

Appendix
Appendix A to Part 10—Commission Policy Relating to the Acceptance of Settlements in Administrative and Civil Proceedings

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