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Title 17-Commodity and
Securities Exchanges

CHAPTER I-Commodity Exchange Authority (including Commodity Exchange Commission), Department of Agriculture.

CHAPTER II-Securities and Exchange Commission

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2

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Notice of hearing.

0.91

Transmittal of record.

0.26

Conduct of hearing.

0.92

0.27 Preparation and issuance of order.

0.93

0.94

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Argument before the Commission. Preparation and issuance of order. Applications for reopening hearings, for rehearings or rearguments of proceedings, or for reconsideration of orders.

0.95 Filing; service; extensions of time; additional time for filing; and computation 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 Proceedings 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.

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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 in 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 "Commodity Exchange Authority" means the Commodity Exchange Authority, United States Department of Agriculture;

(e) The term "FEDERAL REGISTER" means the publication provided for by the act of July 26, 1935, as amended (49 Stat. 500, as amended; 44 U.S.C.; and Sup., ch. 8B).

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

(g) The term "party" includes the Secretary in those instances where he is named as a party of record in the proceeding;

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

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

(j) The term "disciplinary proceeding" means any proceeding before the

Secretary arising under the act, in which proceeding it is required by law that the order or other determination of the Secretary 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;

(k) The term "rule-making proceeding" means any proceeding before the Secretary arising under section 5a (4) and (5) of the act;

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

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

(n) The term "referee's report" (presiding officer's report) means the referee's report to the Secretary, 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 order submitted by the parties;

(0) 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;

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

RULES APPLICABLE TO DISCIPLINARY
PROCEEDINGS

§ 0.3

Institution of proceedings.

(a) Application to institute proceeding. Any interested person having any information of any violation of the act, or of any of the regulations promulgated thereunder, by any person (other than a contract market) may file with the Act Administrator an application requesting the institution of such proceeding as is authorized under the act. Such 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

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