Title 17

SECTION 10.2

10.2 Definitions.

§ 10.2 Definitions.

For purposes of this part:

(a) Act means the Commodity Exchange Act, as amended, 7 U.S.C. 1, et seq.;

(b) Adjudicatory proceeding means a judicial-type proceeding leading to the formulation of a final order;

(c) Administrative Law Judge means an administrative law judge appointed pursuant to the provisions of 5 U.S.C. 3105 (provisions of the rules in this part which refer to Administrative Law Judges may be applicable to other Presiding Officers as well, as set forth in § 10.8);

(d) Administrative Procedure Act means those provisions of the Administrative Procedure Act, as codified, which are contained in 5 U.S.C. 551 through 559;

(e) Commission means the Commodity Futures Trading Commission;

(f) Complaint means any document initiating an adjudicatory proceeding, whether designated a complaint or an order for proceeding or otherwise;

(g) Division of Enforcement means that office in the Commission that prosecutes a complaint issued by the Commission;

(h) Hearing means that part of a proceeding which involves the submission of evidence, either by oral presentation or written submission;

(i) Proceedings Clerk means that member of the Commission's staff designated as such in the Commission's Office of Proceedings.

(j) Order means the whole or any part of a final procedural or substantive disposition of a matter by the Commission or by the Presiding Officer in a matter other than rulemaking;

(k) Party includes a person or agency named or admitted as a party to a proceeding;

(l) Person includes an individual, partnership, corporation, association, exchange or other entity or organization;

(m) Pleading means the complaint, the answer to the complaint, any supplement or amendment thereto, and any reply that may be permitted to any answer, supplement or amendment;

(n) Presiding Officer means a member of the Commission, and Administrative Law Judge, or a hearing officer designated by the Commission to conduct a hearing on a specific matter, or the Commission itself, if it is to preside at or accept the introduction of evidence in a particular proceeding (provisions of the rules in this part which refer to Administrative Law Judges may be applicable to other Presiding Officers as well, as set forth in § 10.8);

(o) Respondent means a party to an adjudicatory proceeding against whom findings may be made or relief or remedial action may be taken.

[41 FR 2511, Jan. 16, 1976, as amended at 60 FR 54801, Oct. 26, 1995]

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