legal holiday, such period shall be extended to include the next following business day.

RULES OF PRACTICE APPLICABLE TO RULEMAKING PROCEEDINGS

§ 0.23 Requests for promulgation, amendment, or rescission of regulations.

Any interested person may file with the Act Administrator, a request that an order of the Secretary, promulgating a regulation under section 5a (4) or (5) of the act, should be promulgated, amended, or rescinded. Such request shall be in writing, signed by or on behalf of the person making the request, and shall contain the alleged reasons for the promulgation, amendment, or rescission of the order. No right to a hearing shall accrue by virtue of the filing of such a request: Provided, That notice shall be given of the denial in whole or in part of any such request and, except in affirming a prior denial or where the denial is self-explanatory, such notice shall be accompanied by a simple statement of procedural or other grounds for denial.

At least 10 days prior to any public hearing held in a rule-making proceeding, unless the Secretary shall determine that an emergency exists which requires a shorter period of notice, notice of such hearing shall be published in the FEDERAL REGISTER and shall be sent to all persons known to be interested in the proposed regulation. The notice shall state the time and place of hearing and shall contain one or more of the following:

(a) The exact text or a summary thereof of proposed findings, conclusions, and order;

(b) A summary of the results of any investigation made, or conference held in anticipation of the hearing;

(a) Presiding officer. Each such hearing shall be presided over by the Act Administrator, or by an employee of the Commodity Exchange Authority whom he shall designate, or by such other official or employee of the Department as the Secretary may designate for the purpose. The hearing shall be conducted in such a way as to afford to interested persons a reasonable opportunity to be heard on matters relevant to the issues involved and so as to obtain a clear and orderly record. The presiding officer shall have authority to administer oaths or affirmations and to take all other actions necesary to the orderly conduct of the hearing.

(b) Continuance of hearing. Each such hearing shall be held at the time and place set forth in the notice of hearing, but may at such time and place be continued by the presiding officer from day to day or adjourned to a later date or to a different place without notice other than the announcement thereof at the hearing.

(c) Order of proceeding. At the commencement of the hearing, the presiding officer shall read the notice of hearing and shall then outline briefly the procedure to be followed. Evidence shall then be received with respect to the matters specified in the notice of hearing in such order as the presiding officer shall prescribe.

(d) Submission of evidence. All interester persons shall be given reasonable opportunity to offer evidence with respect to the matters specified in the notice of hearing. Every witness shall, before proceeding to testify, be sworn, after which he shall state his name, address, and whom he represents at the hearing and shall give such other information respecting his appearance as the presiding officer may request. The presiding officer shall confine the evidence to the questions before the hearing but shall not apply the technical rules of evidence. Affidavits as to relevant facts may be admitted in evidence at the hearing. Every witness shall be subject to questioning by the presiding officer or by any other representative of the Department, but cross-examination by private

persons shall not be permitted except when the presiding officer expressly permits it.

(e) Transcript of the evidence. Testimony given at the hearing shall be reported verbatim. All supporting written statements, charts, tabulations, or similar data offered in evidence at the hearing, and which are deemed by the presiding officer to be authentic and relevant, shall be numbered as exhibits and received in evidence and made a part of the record. Unless the presiding officer finds that the furnishing of copies is impracticable, two copies of the exhibits shall be submitted and in typewritten, printed, or mimeographed form. If sufficient copies are not available, the presiding officer may have any exihibit read in evidence or may require additional copies to be furnished within a specified time.

(f) Written arguments. The presiding officer shall announce at the hearing a reasonable period within which interested persons may file with him written arguments based on the evidence received at the hearing. Written arguments will not be accepted unless an original and two copies are filed. period for filing written arguments may be extended by the presiding officer for good cause.

The

(g) Copies of the record. Any person desiring a copy of the transcript of testimony or of any written exhibit or written argument shall be entitled thereto upon written application filed with the reporter, and upon payment of fees at the rate provided in the contract between the reporter and the Secretary. § 0.27 Preparation and issuance of order.

(a) Preparation of proposed final order. Within a reasonable period of time after the hearing, the presiding officer, assisted by such employees of the Commodity Exchange Authority and of the Office of the Solicitor as the Act Administrator and the Solicitor, respectively may direct, shall prepare such proposed final order as is appropriate and practicable. Such order shall include findings of fact and conclusions based thereon, but the findings of fact need not be based solely upon the testimony or exhibits received in evidence at the hearing.

(b) Submission of proposed final order to the Secretary. Immediately upon

completion of its preparation, the posed final order shall be submitte the presiding officer to the Secretary approval and signature. The prop final order shall be accompanied copy of the transcript and of any ex its that may have been introduced, by a memorandum containing a s mary of the evidence contained in record and of such other factual d upon which the findings of fact in proposed final order were based.

(c) Tentative issuance of propo final order. The Secretary may, if deems it advisable to do so, issue the p posed final order as a tentative order. such event, the tentative order shall published in the FEDERAL REGISTER, a interested persons who appeared at t hearing shall be given a reasonable o portunity to file exceptions to the tent tive order and to file briefs in support such exceptions.

(d) Publication of the final order. T full text of the final order in any rul making proceeding shall be publish in the FEDERAL REGISTER, and a copy the order shall be sent to each contra market.

RULES APPLICABLE TO ALL PROCEEDING § 0.28 Hearings before the Secretary.

The Secretary may act in the place a stead of a referee or presiding officer any proceeding under this subpa When he so acts, the hearing clerk sha transmit the record to the Secretary the expiration of the period provid for the filing of proposed findings of fa conclusions and orders, and the Secr tary shall thereupon, after due consi eration of the record, issue his final ord in the proceeding: Provided, That he m issue a tentative order, in which eve the parties shall be afforded an o portunity to file exceptions before t issuance of the final order.

Subpart B-Rules Applicable to Pr ceedings Before the Commodity E change Commission

AUTHORITY: §§ 0.50 to 0.96 issued und 42 Stat. 998, as amended; 7 U.S.C. 1-17a.

§ 0.50 Scope and applicability of rul of practice.

Sections 0.51-0.72, inclusive, shall a ply to the conduct of all disciplinary pr ceedings as defined in § 0.52. Sectio 0.51, 0.52, and 0.73-0.77, inclusive, sh

As used in this subpart, the terms as defined in section 2 of the act shall apply with equal force and effect. In addition, and except as may be provided otherwise in this subpart:

(a) The term "act" means the Commodity Exchange Act, approved September 21, 1922 (42 Stat. 998), as amended June 15, 1936 (49 Stat. 1491; 7 U.S.C. 1-17a), and other legislation supplementary thereto and amendatory thereof;

(b) The term "Department" means the United States Department of Agriculture;

(c) The term "Secretary" means the Secretary of Agriculture or any person to whom authority has heretofore lawfully been delegated or to whom authority may hereafter lawfully be delegated to act in his stead;

(d) The term "Commission" means the Commodity Exchange Commission or any person to whom the Commission has heretofore lawfully delegated, or to whom the Commission may hereafter lawfully delegate, the authority to act in its stead;

(e) The term "Commodity Exchange Authority" means the Commodity Exchange Authority, United States Department of Agriculture;

(f) The term "FEDERAL REGISTER" means the publication provided for by the act of July 26, 1935 (49 Stat. 500, as amended; 44 U.S.C., 301-314), and acts suplementary thereto and amendatory thereof;

(g) The term "hearing" means that part of the proceeding which involves the submission of evidence and means either an oral or a writen hearing;

(h) The term "party" includes the Commission in those instances in which it is named as a party of record in the proceeding;

(i) The term "complainant" means the party upon whose complaint the proceeding is instituted;

(j) The term "respondent" means the party proceeded against;

(k) The term "disciplinary proceeding" means any proceeding (other than a 6a proceeding) before the Commission arising under the act, in which proceeding it is required by law that the order or other determination of the Commission shall be made only after an opportunity for a hearing, and, if a hearing be held, only upon the basis of a record made in the course of such hearing;

(1) The term "rule-making proceeding" means any proceeding before the Commission arising under subsection (1) of section 4a of the act;

(m) The term "6a proceeding" means any proceeding arising under section 6a of the act;

(n) The term "Solicitor" means the Solicitor of the Department;

(0) The term "hearing clerk" means the hearing clerk, United States Department of Agriculture, Washington 25, D.C.;

(p) The term "referee" means an examiner conducting a proceeding under the act;

(q) The term "referee's report" (presiding officer's report) means the referees' report to the Commission, and includes the referee's proposed (1) findings of fact and conclusions with respect to all material issues of fact, law or discretion, as well as the reasons or basis therefor, (2) order, and (3) rulings on findings, conclusions and orders submitted by the parties;

(r) The term "Act Administrator" means the Administrator of the Commodity Exchange Authority, United States Department of Agriculture, in his capacity as Administrator of the Commodity Exchange Act, or any officer or employee of the Commodity Exchange Authority to whom he has heretofore lawfully delegated or may hereafter lawfully delegate the authority to act in his stead;

(s) The term "examiner" means any examiner in the Office of Hearing Examiners, United States Department of Agriculture.

RULES APPLICABLE TO DISCIPLINARY
PROCEEDINGS

Such

promulgated thereunder. by any board of trade or by any director, officer, agent, or employee thereof may file with the Act Administrator an application requesting the institution of such proceeding as is authorized under the act. application shall be in writing, signed by or on behalf of the applicant, and shall include a short and simple statement of the facts constituting the alleged violation and the name and address of the applicant and the name and address of the person against whom the applicant complains.

(b) Status of applicant. The person filing an application as described in paragraph (a) of this section shall have no legal status in the proceeding which may be instituted as a result of the application, except where the applicant may be permitted to intervene therein, in the manner provided in this subpart, or may be called as a witness, and the applicant's identity shall not be divulged by any employee of the Department, except with the applicant's prior consent or upon court order.

(c) Who may institute. If, after investigation of the matters complained of in the application described in paragraph (a) of this section, or after investigation made on its own motion, the Commission has reason to believe that any board of trade or any director, officer, agent, or employee thereof has violated or is violating any of the provisions of the act, or of any of the regulations promulgated thereunder, the Commission will institute an appropriate proceeding: Provided, That in any case, except one of wilfulness or one in which the public health, interest or safety otherwise requires, prior to the institution of a proceeding for the suspension or revocation of any designation of a contract market, facts or conditions which may warrant such action shall be called to the attention of the market in writing and such market shall be accorded opportunity to demonstrate or achieve compliance with all lawful requirements. Proceedings will be instituted only upon complaints issued by the Commission and will not be instituted upon pleadings filed by private persons.

§ 0.54 Stipulations and consent orders.

(a) Stipulation of compliance. At any time prior to the issuance of the complaint in any proceeding, the Commission, in its discretion, may enter into a stipulation with the prospective re

spondent. whereby the latter admits the material facts and agrees to discontinue the acts or practices which are intended to be set up as violative of the act. Such stipulations shall be admissible as evidence of such acts and practices in any subsequent proceeding against such person before the Commission.

(b) Consent order. At any time after the issuance of the compaint and prior to the hearing in any proceeding, the Commission, in its discretion, may allow the respondent to consent to an order. In so consenting, the respondent must submit, for filing in the record, a stipulation or statement in which he admits at least those facts necessary to the Commission's jurisdiction and agrees that an order may be entered against him. Upon a record composed of the complaint and the stipulation or agreement consenting to the order, the Commission may enter the order consented to by the respondent, which shall have the same force and effect as an order made after oral hearing.

(a) Filing and service. All complaints shall be filed with the hearing clerk. The provisions of § 0.72 shall govern the filing, number of copies, and service of such papers.

(b) Contents. A complaint shall state briefly and clearly the allegations of fact which constitute a basis for the proceeding and shall specify with particularity the matters or things in issue. Complaints shall not include charges, implied charges, or requirements phrased generally in the words of the act, but the words of the act may be identified and quoted or used in preliminary recitals.

(c) Amendments. At any time prior to the close of the hearing, the complaint may be amended; but, in case of an amendment adding new provisions, the hearing shall, at the request of the respondent, be adjourned for a period not exceeding 15 days. Amendments subsequent to the first amendment or subsequent to the filing of an answer by the respondent may be made only with leave of the referee or with the written consent of the adverse party.

$ 0.56 Docket number.

Each proceeding, immediately following its institution, shall be assigned a docket number by the hearing clerk, and thereafter the proceeding shall be refered to by such number.