17 CFR 12.201 – Functions and responsibilities of the Administrative Judge
The Administrative Judge shall be responsible for the fair and orderly conduct of the proceeding and shall have the authority—
Terms Used In 17 CFR 12.201
- Discovery: Lawyers' examination, before trial, of facts and documents in possession of the opponents to help the lawyers prepare for trial.
- 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.
- Testimony: Evidence presented orally by witnesses during trials or before grand juries.
(a) In the Administrative Judge’s discretion, to conduct pre-decision conferences in accordance with § 12.206;
(b) To rule upon all discovery-related motions, and to take such action pursuant to § 12.35 as is appropriate if a party fails to comply with a discovery order;
(c) To issue orders for the production of documents and tangible things and orders for written testimony, as provided in § 12.34 of these rules;
(d) To take such action as is appropriate under § 12.35, if a party fails to comply with an order issued by the Administrative Judge pursuant to § 12.34;
(e) To rule on all motions permitted pursuant to § 12.205;
(f) To issue default orders for good cause against parties who fail to participate in the proceeding or to comply with these rules;
(g) If an oral hearing is ordered, to preside at the hearing, which shall include the authority to receive relevant evidence, to administer oaths and affirmations, to examine witnesses, and to rule on offers of proof;
(h) To issue subpoenas in accordance with the provisions of §§ 12.34, 12.36 and 12.209 of these rules;
(i) To make the initial decision in accordance with § 12.210 of these rules; and
(j) To issue such orders as are necessary and appropriate to effectuate the orderly conduct of the proceeding.