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e-CFR data is current as of September 29, 2020

Title 17Chapter IPart 9


TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION

PART 9—RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS

rule

Subpart A—GENERAL PROVISIONS

§9.1
Scope of rules.
§9.2
Definitions.
§9.3
Provisions referenced.
§9.4
Filing and service; official docket.
§9.5
Motions.
§9.6
Sanctions for noncompliance.
§9.7
Settlement.
§9.8
Practice before the Commission.
§9.9
Waiver of rules; delegation of authority.
rule

Subpart B—NOTICE AND EFFECTIVE DATE OF DISCIPLINARY ACTION OR ACCESS DENIAL ACTION

§9.10
[Reserved]
§9.11
Form, contents and delivery of notice of disciplinary or access denial action.
§9.12
Effective date of disciplinary or access denial action.
§9.13
Publication of notice.
§§9.14-9.19
[Reserved]
rule

Subpart C—INITIAL PROCEDURE WITH RESPECT TO APPEALS

§9.20
Notice of appeal.
§9.21
Record of exchange proceeding.
§9.22
Appeal brief.
§9.23
Answering brief.
§9.24
Petition for stay pending review.
§9.25
Limited participation of interested persons.
§9.26
Participation of Commission staff.
§§9.27-9.29
[Reserved]
rule

Subpart D—COMMISSION REVIEW OF DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTION

§9.30
Scope of review.
§9.31
Commission review of disciplinary or access denial action on its own motion.
§9.32
Oral argument.
§9.33
Final decision by the Commission.

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