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Title 17—Commodity and

Securities Exchanges

Part

CHAPTER E-Commodity Exchange Authority (including Commodity Ex

change Commission), Department of Agriculture .

0

CHAPTER 11—Securities and Exchange Commission

200

lure.

PART ORULES OF PRACTICE Subpart A—Rules Acceptable to Proceedings

Before the Secretary of Agriculture Sec. 0.0 Scope and applicability of rules of

practice. 0.1 Meaning of words. 0.2 Definitions. RULES APPLICABLE TO DISCIPLINARY

PROCEEDINGS 0.3 Institution of proceedings. 0.4 Stipulations and consent orders. 0.5 Complaints. 0.6 Docket number. 0.7 Referees. 0.8 Intervention. 0.9

The answer. 0.10 Motions and requests. 0.11 Oral hearing before referee. 0.12 Depositions. 0.13 Subpenas. 0.14 Fees of witnesses. 0.15 Prehearing conferences. 0.16 Referee's report. 0.17 Shortened procedure. 0.18 Transmittal of record. 0.19 Argument before Secretary. 0.20 Preparation and issuance of order. 0.21 Applications for reopening hearings;

for rehearings or rearguments of proceedings; or for reconsideration of

orders. 0.22 Filing; service; extensions of time;

additional time for filing; and computation of time.

Sec. 0.60 Motions and requests. 0.61 Oral hearing before referee. 0.62 Depositions. 0.63 Subpenas. 0.64 Fees of witnesses. 0.65 Prehearing conferences. 0.66 Referee's report. 0.67 Shortened pro 0.68 Transmittal of record. 0.69 Argument before Commission. 0.70 Preparation and issuance of order. 0.71 Applications for reopening hearings,

for rehearings or rearguments of proceedings, or for reconsideration of

orders. 0.72 Filing; service; extensions of time;

additional time for filing; and computation of time.

RULES OF PRACTICE APPLICABLE TO RULE

MAKING PROCEEDINGS

RULES OF PRACTICE APPLICABLE TO RULEMAKING

PROCEEDINGS

0.23 Requests for promulgation, amend

ment, or rescission of regulations. 0.24

Status of persons requesting promul

gation, amendment, or rescission of

regulations. 0.25 Notice of hearing. 0.26 Conduct of hearing. 0.27 Preparation and issuance of order.

RULES APPLICABLE TO ALL PROCEEDINGS 0.28 Hearings before the Secretary. Subpart B-Rules Applicable to Proceedings

Before the Commodity Exchange Commission 0.50 Scope and applicability of rules of

practice. 0.51 Meaning of words. 0.52 Definitions. RULES APPLICABLE TO DISCIPLINARY

PROCEEDINGS 0.53 Institution of proceedings. 0.54 Stipulations and consent orders. 0.55 Complaints. 0.56 Docket number. 0.57 Referees. 0.58 Intervention. 0.59 The answer.

0.73 Requests for promulgation, amend

ment, or rescission of regulations. 0.74 Status of persons requesting promul

gation, amendment, or rescission of

regulations. 0.75 Notice of hearing. 0.76 Conduct of hearing. 0.77 Preparation and issuance of order.

RULES APPLICABLE IN 6A PROCEEDINGS 0.78 Complaints. 0.79 Docket number. 0.80 Referees. 0.81 Intervention. 0.82 The answer. 0.83 Motions and requests. 0.84 Oral hearing before referee. 0.85 Depositions. 0.86 Subpenas. 0.87 Fees of witnesses. 0.88 Prehearing conferences. 0.89 Referee's report. 0.90 Shortened procedure. 0.91 Transmittal of record. 0.92 Argument before the Commission. 0.93 Preparation and issuance of order. 0.94 Applications for reopening hearings,

for rehearings or rearguments of proceedings, or for reconsideration of

orders. 0.95 Filing; service; extensions of time; ad

ditional time for filing; and compu

tation of time. RULES APPLICABLE TO ALL PROCEEDINGS 0.96 Hearings before the Commission.

SOURCE: $ $ 0.0 to 0.96 appear at 13 F.R. 7820, Dec. 18, 1948. Subpart A-Rules Applicable to Pro

ceedings Before the Secretary of Agriculture AUTHORITY: $$ 0.0 to 0.28 issued under sec. 8a, as added by sec. 10, 49 Stat. 1500; 7 U.S.C. 12a.

$ 0.2

$ 0.0 Scope and applicability of rules of Secretary arising under the act, in which practice.

proceeding it is required by law that

the order or other determination of the Sections 0.1-0.22, inclusive, shall apply to the conduct of all disciplinary pro

Secretary shall be made only after an ceedings as defined in $ 0.2(j).

opportunity for a hearing, and, if a hear

ing be held, only upon the basis of a Sections 0.1, 0.2 and 0.23-0.27, inclu

record made in the course of such hearsive, shall apply to the conduct of all

ing; rule-making proceedings as defined in

(k) The term "rule-making proceed$ 0.2(k).

ing” means any proceeding before the $ 0.1 Meaning of words.

Secretary arising under section 5a (4)

and (5) of the act; Words in this subpart in the singular

(1) The term “hearing clerk” means form shall be deemed to import the

the hearing clerk, United States Departplural, and vice versa, as the case may

ment of Agriculture, Washington 25, demand.

D.C.;
Definitions.

(m) The term "referee" means an exAs used in this subpart, the terms as

aminer conducting a proceeding under

the act; defined in section 2 of the act shall apply

(n) The term “referee's report” (prewith equal force and effect. In addition, and except as may be provided otherwise

siding officer's report) means the refin this subpart:

eree's report to the Secretary, and in(a) The term "act” means in Com

cludes the referee's proposed (1) findings modity Exchange Act, approved Septem

of fact and conclusions with respect to ber 21, 1922 (42 Stat. 998); as amended

all material issues of fact, law or dis

cretion, as well as the reasons or basis June 15, 1936 (49 Stat. 1491; 7 U.S.C. 1-17a), and other legislation supplemen

therefor, (2) order, and (3) rulings on tary thereto and amendatory thereof;

findings, conclusions and order submit(b) The term “Department” means the

ted by the parties; United States Department of Agricul

(0) The term “Act Administrator" ture;

means the Administrator of the Com(c) The term "Secretary” means the

modity Exchange Authority, United Secretary of Agriculture or any person to

States Department of Agriculture, in his whom authority has heretofore lawfully

capacity as Administrator of the Combeen delegated, or to whom authority

modity Exchange Act, or any officer or may hereafter lawfully be delegated, to employee of the Commodity Exchange act in his stead;

Authority to whom he has heretofore (d) The term “Commodity Exchange

lawfully delegated or may hereafter lawAuthority” means the Commodity Ex- fully delegate the authority to act in his

stead; change Authority, United States Department of Agriculture;

(p) The term "examiner” means any (e) The term “FEDERAL REGISTER"

examiner in the Office of Hearing Exammeans the publication provided for by

iners, United States Department of Ag

riculture. the act of July 26, 1935, as amended (49 Stat. 500, as amended; 44 U.S.C.; and RULES APPLICABLE TO DISCIPLINARY Sup., ch. 8B).

PROCEEDINGS (f) The term "hearing" means that

$ 0.3 Institution of proceedings. part of the proceeding which involves the submission of evidence and means (a) Application to institute proceedeither an oral or a written hearing;

ing. Any interested person having any (g) The term “party” includes the information of any violation of the act, Secretary in those instances where he or of any of the regulations promulis named as a party of record in the gated thereunder, by any person (other proceeding;

than a contract market) may file with (h) The term "complainant” means the Act Administrator an application rethe party upon whose complaint the pro- questing the institution of such proceedceeding is instituted;

ing as is authorized under the act. Such (i) The term "respondent” means the application shall be in writing, signed party proceeded against;

by or on behalf of the applicant, and (j) The term “disciplinary proceed- shall include a short and simple stateing” means any proceeding before the ment of the facts constituting the alleged

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