17 CFR 10.2 – Definitions
For purposes of this part:
Terms Used In 17 CFR 10.2
- Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
- Answer: The formal written statement by a defendant responding to a civil complaint and setting forth the grounds for defense.
- Complaint: A written statement by the plaintiff stating the wrongs allegedly committed by the defendant.
- Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
- Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
- Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
- Presiding officer: A majority-party Senator who presides over the Senate and is charged with maintaining order and decorum, recognizing Members to speak, and interpreting the Senate's rules, practices and precedents.
(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.