§10.2. Definitions.
17 C.F.R. § 10.2
For purposes of this part:
Act means the Commodity Exchange Act, as amended, 7 U.S.C. 1, et seq.;
Adjudicatory proceeding means a judicial-type proceeding leading to the formulation of a final order, including an order by the Commission instituting proceedings pursuant to the Act, making findings, and imposing remedial sanctions;
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);
Administrative Procedure Act means those provisions of the Administrative Procedure Act, as codified, which are contained in 5 U.S.C. 551 through 559;
Commission means the Commodity Futures Trading Commission;
Complaint means any document initiating an adjudicatory proceeding, whether designated a complaint or an order for proceeding or otherwise;
Division of Enforcement means that office in the Commission that prosecutes a complaint issued by the Commission;
Hearing means that part of a proceeding which involves the submission of evidence, either by oral presentation or written submission;
Proceedings Clerk means any member of the Commission's staff designated as such by the Director of the Office of Proceedings.
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;
Party— includes a person or agency named or admitted as a party to a proceeding;
Person— includes an individual, partnership, corporation, association, exchange or other entity or organization;
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;
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);
Respondent means a party to an adjudicatory proceeding against whom findings may be made or relief or remedial action may be taken.
Notes, amendments, and revision history
Amendments
[41 FR 2511, Jan. 16, 1976, as amended at 60 FR 54801, Oct. 26, 1995; 89 FR 71807, Sept. 4, 2024; 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 60 FR 54801, Oct. 26, 1995; 89 FR 71807, Sept. 4, 2024; 90 FR 55645, Dec. 3, 2025]