17 C.F.R. § 10.2

Current through October 31, 2024

Section 10.2 - Definitions

For purposes of this part:

(a)Act means the Commodity Exchange Act, as amended, 7 U.S.C. 1 , et seq.;

(b)Adjudicatory proceeding means a judicial-type proceeding leading to the formulation of a final order;

(c)Administrative Law Judge means an administrative law judge appointed pursuant to the provisions of 5 U.S.C. 3105 (provisions of the rules in this part which refer to Administrative Law Judges may be applicable to other Presiding Officers as well, as set forth in § 10.8 );

(d)Administrative Procedure Act means those provisions of the Administrative Procedure Act, as codified, which are contained in 5 U.S.C. 551 through 559 ;

(e)Commission means the Commodity Futures Trading Commission;

(f)Complaint means any document initiating an adjudicatory proceeding, whether designated a complaint or an order for proceeding or otherwise;

(g)Division of Enforcement means that office in the Commission that prosecutes a complaint issued by the Commission;

(h)Hearing means that part of a proceeding which involves the submission of evidence, either by oral presentation or written submission;

(i)Proceedings Clerk means that member of the Commission's staff designated as such in the Commission's Office of Proceedings any member of the Commission's staff designated as such by the Director of the Office of Proceedings.

(j)Order means the whole or any part of a final procedural or substantive disposition of a matter by the Commission or by the Presiding Officer in a matter other than rulemaking;

(k)Party includes a person or agency named or admitted as a party to a proceeding;

(l)Person includes an individual, partnership, corporation, association, exchange or other entity or organization;

(m)Pleading means the complaint, the answer to the complaint, any supplement or amendment thereto, and any reply that may be permitted to any answer, supplement or amendment;

(n)Presiding Officer means a member of the Commission, and Administrative Law Judge, or a hearing officer designated by the Commission to conduct a hearing on a specific matter, or the Commission itself, if it is to preside at or accept the introduction of evidence in a particular proceeding (provisions of the rules in this part which refer to Administrative Law Judges may be applicable to other Presiding Officers as well, as set forth in § 10.8 );

(o)Respondent means a party to an adjudicatory proceeding against whom findings may be made or relief or remedial action may be taken.

17 C.F.R. §10.2

41 FR 2511, Jan. 16, 1976, as amended at 60 FR 54801, Oct. 26, 1995; 89 FR 71807 , Sept. 4, 2024

89 FR 71807 , 9/4/2024