Appendix A to Part 11 - Informal Procedure Relating to the Recommendation of Enforcement Proceedings
17:1.0.1.1.10.0.7.9.11 : Appendix A
Appendix A to Part 11 - Informal Procedure Relating to the
Recommendation of Enforcement Proceedings
The Division of Enforcement (“Division”), in its discretion, may
inform persons who may be named in a proposed enforcement
proceeding of the nature of the allegations pertaining to them. The
Division, in its discretion, may advise such persons that they may
submit a written statement prior to the consideration by the
Commission of any staff recommendation for the commencement of such
proceeding. Unless otherwise provided for by either the Director, a
Deputy Director, the Program Coordinator, the Chief Counsel, an
Associate Director, or a Regional Counsel of the Division, or a
Regional Director of the Commission, such written statements shall
be submitted within 14 days after persons are informed by the
Division of Enforcement of the nature of the proposed allegations
pertaining to them and shall be no more than 20 pages, double
spaced on 8 1/2 by 11 inch paper, setting forth their views of
factual, legal or policy matters relevant to the commencement of an
enforcement proceeding. Any statement of fact included in the
submission must be sworn to by a person with personal knowledge of
such fact. Statements shall be forwarded to the Director, Division
of Enforcement, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581, with
copies to the staff conducting the investigation, shall clearly
identify the specific investigation, and, if desired, may request
that the statement be forwarded to the Commission. Similarly,
persons who become involved in an investigation, and submit a
written statement on their initiative, should follow the relevant
procedures described herein. In the event the Division recommends
the commencement of an enforcement proceeding to the Commission,
any written statement will be forwarded to the Commission if so
requested. The Commission may, in its discretion, consider all, any
portion or none of the submission when it considers the staff
recommendation to commence an enforcement proceeding.
[52 FR 19501, May 26, 1987, as amended at 60 FR 49334, Sept. 25,
1995; 61 FR 1709, Jan. 23, 1996]