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FEDERAL · 17 CFR

Part 10 — Rules of Practice

59 sections · Title 17: Commodity and Securities Exchanges

§ 10.1Scope and applicability of rules of practice.
§ 10.2Definitions.
§ 10.3Suspension, amendment, revocation and waiver of rules.
§ 10.4Business address; hours.
§ 10.5Computation of time.
§ 10.6Changes in time permitted for filing.
§ 10.7Date of entry of orders.
§ 10.8Presiding officers.
§ 10.9Separation of functions.
§ 10.10Ex parte communications.
§ 10.11Appearance in adjudicatory proceedings.
§ 10.12Service and filing of documents; form and execution.
§ 10.21Commencement of the proceeding.
§ 10.22Complaint and notice of hearing.
§ 10.23Answer.
§ 10.24Amendments and supplemental pleadings.
§ 10.25Form of pleadings.
§ 10.26Motions and other papers.
§ 10.31Parties.
§ 10.32Substitution of parties.
§ 10.33Intervention as a party.
§ 10.34Limited participation.
§ 10.35Permission to state views.
§ 10.36Commission review of rulings.
§ 10.41Prehearing conferences; procedural matters.
§ 10.42Discovery.
§ 10.43Stipulations.
§ 10.44Depositions and interrogatories.
§ 10.61Time and place of hearing.
§ 10.62Appearances.
§ 10.63Consolidation; separate hearings.
§ 10.64Public hearings.
§ 10.65Record of hearing.
§ 10.66Conduct of the hearing.
§ 10.67Evidence.
§ 10.68Subpoenas.
§ 10.69Reopening hearings.
§ 10.81Filing the transcript of evidence.
§ 10.82Proposed findings and conclusions; briefs.
§ 10.83Oral arguments.
§ 10.84Initial decision.
§ 10.91Summary disposition.
§ 10.92Shortened procedure.
§ 10.93Obtaining default order.
§ 10.94Setting aside of default.
§ 10.101Interlocutory appeals.
§ 10.102Review of initial decisions.
§ 10.103Oral argument before the Commission.
§ 10.104Scope of review; Commission decision.
§ 10.105Review by Commission on its own initiative.
§ 10.106Reconsideration; stay pending judicial review.
§ 10.107Leave to adduce additional evidence.
§ 10.108Settlements.
§ 10.109Delegation of authority to Chief of the Opinions Section.
§ 10.110Basis for issuance of restitution orders.
§ 10.111Recommendation of procedure for implementing restitution.
§ 10.112Administration of restitution.
§ 10.113Right to challenge distribution of funds to customers.
§ 10.114Acceleration of establishment of restitution procedure.