Code of Federal Regulations (Last Updated: November 8, 2024) |
Title 17 - Commodity and Securities Exchanges |
Chapter I - Commodity Futures Trading Commission |
Part 10 - Rules of Practice |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
Appendix A to Part 10 - Commission Policy Relating to the Acceptance of Settlements in Administrative and Civil Proceedings |