[Code of Federal Regulations]
[Title 17, Volume 1]
[Revised as of April 1, 2006]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR10.101]

[Page 254-255]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 10_RULES OF PRACTICE--Table of Contents
 
            Subpart H_Appeals to the Commission; Settlements
 
Sec.  10.101  Interlocutory appeals.


    Interlocutory review by the Commission of a ruling on a motion by an 
Administrative Law Judge may be sought in accordance with the following 
procedures:

[[Page 255]]

    (a) Scope of review. The Commission will not review a ruling of the 
Administrative Law Judge prior to the Commission's consideration of the 
entire proceeding in the absence of extraordinary circumstances. An 
interlocutory appeal may be permitted, in the discretion of the 
Commission, under the following circumstances:
    (1) Appeal from an adverse ruling pursuant to Sec.  10.8(b) on a 
motion to disqualify an Administrative Law Judge;
    (2) Appeal from a ruling pursuant to Sec.  10.11(b) suspending an 
attorney from participation in a particular proceeding.
    (3) Appeal from a ruling pursuant to Sec. Sec.  10.33 and 10.34 
denying intervention or limited participation;
    (4) Appeal from a ruling pursuant to Sec.  10.68(b) requiring the 
appearance of an officer or employee of the Commission or another 
government agency or the production of Commission records;
    (5) Upon a determination by the Administrative Law Judge, certified 
to the Commission either in writing or on the record, that
    (i) A ruling sought to be appealed involves a controlling question 
of law or policy;
    (ii) An immediate appeal may materially advance the ultimate 
resolution of the issues in the proceeding; and
    (iii) Subsequent reversal of the ruling would cause unnecessary 
delay or expense to the parties.
    (b) Procedure to obtain interlocutory review--(1) In general. An 
application for interlocutory review may be filed within five days after 
notice of the Administrative Law Judge's ruling on a matter described in 
paragraphs (a)(1), (a)(2), (a)(3) or (a)(4) of this section, except if a 
request for certification under paragraph (a)(5) of this section has 
been filed with the Administrative Law Judge within five days after 
notice of the Administrative Law Judge's ruling on the matter. If a 
request for certification has been filed, an Application for 
interlocutory review under paragraphs (a)(1) through (a)(5) of this 
section may be filed within five days after notification of the 
Administrative Law Judge's ruling on such request.
    (2) An application for review shall:
    (i) Designate the ruling or part thereof from which appeal is being 
taken;
    (ii) Present the points of fact and law relied upon in support of 
the position taken; and
    (iii) Not exceed 15 pages.
    (3) Any party that opposes the application may file a response, not 
to exceed 15 pages, within five days after service of the application.
    (4) The Commission will determine whether to grant a review based 
upon the application for review and the response thereto, without oral 
argument or further written presentation, unless the Commission shall 
otherwise direct.
    (c) Proceedings not stayed. The filing of an application for review 
and the grant of review shall not stay proceedings before an 
Administrative Law Judge unless the Administrative Law Judge or the 
Commission shall so order. The Commission will not consider a motion for 
a stay unless the motion shall have first been made to the 
Administrative Law Judge and denied.

[41 FR 2511, Jan. 16, 1976, as amended at 63 FR 55794, Oct. 19, 1998; 64 
FR 30903, June 9, 1999]