---
kind: "section"
citation: "17 C.F.R. § 10.1"
title: "17"
number: "10.1"
heading: "Scope and applicability of rules of practice."
url: "https://uscodex.org/cfr/17/10.1"
---

# §10.1. Scope and applicability of rules of practice.


These rules of practice are generally applicable to adjudicatory proceedings before the Commodity Futures Trading Commission under the Commodity Exchange Act. These include proceedings for:

- (a) Denial, suspension, revocation, conditioning, restricting or modifying of registration as a futures commission merchant, retail foreign exchange dealer, introducing broker, or associated person, floor broker, floor trader, commodity pool operator, commodity trading advisor or leverage transaction merchant pursuant to sections 6(c), 8a(2), 8a(3), 8a(4) and 8a(11) of the Act, 7 U.S.C. [9](/usc/7/9.md) and [15](/usc/7/15.md), [12a(2)](/usc/7/12a.md?p=2), [12a(3)](/usc/7/12a.md?p=3), [12a(4)](/usc/7/12a.md?p=4) and [12(a)(11)](/usc/7/12.md?p=a-11), or denial, suspension, or revocation of designation as a contract market pursuant to sections 6(a) and 6(b) of the Act, [7 U.S.C. 8](/usc/7/8.md);
- (b) The issuance of cease and desist orders pursuant to sections 6b and 6(d) of the Act, 7 U.S.C. [13a](/usc/7/13a.md) and [13b](/usc/7/13b.md);
- (c) Denial of trading privileges pursuant to section 6(c) of the Act, 7 U.S.C. [9](/usc/7/9.md) and [15](/usc/7/15.md);
- (d) The assessment of civil penalties pursuant to sections 6(c) and 6b of the Act, 7 U.S.C. [9](/usc/7/9.md) and [15](/usc/7/15.md) and [13a](/usc/7/13a.md);
- (e) The issuance of restitution orders pursuant to section 6(c) of the Act, [7 U.S.C. 9](/usc/7/9.md); and
- (f) **Any other proceedings where the Commission declares them to be applicable.**
- (g) Investigations conducted pursuant to sections 8 and 16(a) of the Act, 7 U.S.C. [12](/usc/7/12.md) and [20(a)](/usc/7/20.md?p=a), except as specifically made applicable by the Rules Relating to Investigations set forth in [part 11](/cfr/17/part11.md) of this chapter;
- (h) Reparation proceedings under section 14 of the Act, [7 U.S.C. 18](/usc/7/18.md), except as specifically made applicable by the Rules Relating to Reparation Proceedings set forth in [part 12](/cfr/17/part12.md) of this chapter;
- (i) Public rulemaking, except as specifically made applicable by the Rules Relating to Public Rulemaking Procedures.

## Notes

### Amendments

[41 FR 2511, Jan. 16, 1976, as amended at 49 FR 8225, Mar. 5, 1984; 57 FR 19597, Apr. 15, 1993; 59 FR 5701, Feb. 8, 1994; 63 FR 55791, Oct. 19, 1998; 64 FR 30903, June 9, 1999; 75 FR 55449, Sept. 10, 2010; 90 FR 55645, Dec. 3, 2025]

### Authority

Authority: Pub. L. 93-463, sec. 101(a)(11), 88 Stat. 1391; 7 U.S.C. 2(a)(12).

### Source

Source: 41 FR 2511, Jan. 16, 1976, unless otherwise noted.

### Amendments

[41 FR 2511, Jan. 16, 1976, as amended at 49 FR 8225, Mar. 5, 1984; 57 FR 19597, Apr. 15, 1993; 59 FR 5701, Feb. 8, 1994; 63 FR 55791, Oct. 19, 1998; 64 FR 30903, June 9, 1999; 75 FR 55449, Sept. 10, 2010; 90 FR 55645, Dec. 3, 2025]