[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: 17CFR10.102]

[Page 255-257]
 
              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.  10.102  Review of initial decisions.

    (a) Notice of appeal--(1) In general. Any party to a proceeding may 
appeal to the Commission an initial decision or a dismissal or other 
final disposition of the proceeding by the Administrative Law Judge as 
to any party. The appeal shall be initiated by serving and filing with 
the Proceedings Clerk a notice of appeal within 15 days after service of 
the initial decision or other order terminating the proceeding; where 
service of the initial decision or other order terminating the 
proceeding is effected by mail or commercial carrier, the time within 
which the party served may file a notice of appeal shall be increased by 
3 days.
    (2) Cross appeals. If a timely notice of appeal is filed by one 
party, any other party may file a notice of appeal within 15 days after 
service of the first notice or within 15 days after service of the 
initial decision or other order terminating the proceeding, whichever is 
later.
    (3) Confirmation of filing. The Proceedings Clerk shall confirm the 
filing of a notice of appeal by mailing a copy thereof to each other 
party.

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    (b) Briefs: Time for filing. The appeal shall be perfected through 
the filing of an appeal brief.
    (1) Appeal brief. The appeal brief shall be filed within 30 days 
after filing of the notice of appeal.
    (2) Answering brief. Within 30 days after service of the appeal 
brief upon any other party that party may file an answering brief.
    (3) Reply brief. Within 14 days after service of an answering brief, 
the party that filed the first brief may file a reply brief.
    (4) No further briefs shall be permitted, unless so ordered by the 
Commission on its own motion.
    (5) Cross appeals. In the event that any party files a notice of 
cross appeal pursuant to paragraph (a)(2) of this section, the 
Commission shall, to the extent practicable, adjust the briefing 
schedule and any page limitations otherwise applicable under this 
section so as to accommodate consolidated briefing by the parties.

If the appeal brief is not filed within the time specified the opposing 
party may move for dismissal of the appeal.
    (c) Briefs: Number of copies. An original and 10 copies of all 
briefs submitted under this section shall be filed with the Proceedings 
Clerk.
    (d) Briefs: Content and form. (1) The appeal brief should include, 
in the order indicated:
    (i) A statement of the issues presented for review.
    (ii) A statement of the case. The statement shall first indicate 
briefly the nature of the case. There shall follow a statement of the 
facts relevant to the issues presented for review, with appropriate 
references to the record.
    (iii) An argument. The argument may be preceded by a summary. The 
argument shall contain the contentions of the party to the appeal with 
respect to the issues presented, and the reasons therefor, and citations 
to supporting authorities, statutes and parts of the record.
    (iv) A conclusion stating the precise relief sought.
    (2) The answering brief generally shall follow the same style as 
prescribed for the appeal brief but may omit a statement of the issues 
or of the case if the party does not dispute the issues and statement of 
the case contained in the appeal brief. Any reply brief shall be 
confined to matters raised in the answering brief and shall be limited 
to 15 pages in length.
    (3) Any matter not briefed shall be deemed waived, and may not be 
argued before the Commission.
    (e) Appendix to briefs--(1) Designation of contents of appendix. At 
the time an appellant serves and files its appeal brief, it shall also 
serve and file a designation of those specific parts of the record to 
which it wishes to direct the particular attention of the Commission and 
that it wishes to have included in the appendix, including, but not 
necessarily limited to, particular pages of the transcript and portions 
of exhibits filed in the proceeding. The designation shall be set forth 
in a document wholly separate and apart from the brief, shall enumerate 
those specific parts of the record that the appellant wishes to have 
included in the appendix and shall not incorporate by reference 
citations to the record contained in its brief or in any other document. 
If an appellee deems it necessary to direct the particular attention of 
the Commission to specific parts of the record not designated by any 
appellant, it shall serve and file with its answering brief a 
designation of additional portions of the record for inclusion in the 
appendix. Any reply brief filed by the appellant may, if necessary, 
supplement the appellant's previous designation. In designating parts of 
the record for inclusion in the appendix, the principal parts of the 
record relied upon should be designated, but the parties shall have 
regard to the fact that the entire record is always available to the 
Commission for reference and examinations and shall not engage in 
unnecessary designation. The fact that a part of the record is not 
included in an appendix shall not prevent any party or the Commission 
from relying thereon.
    (2) Preparation of the appendix. Within 15 days after the last 
answering brief or reply brief of a party was due to be filed, the 
Office of Proceedings shall prepare an appendix to the briefs which will 
contain a list of the relevant docket entries filed in the proceedings 
before the Administrative Law Judge, the

[[Page 257]]

initial decision and order of the Administrative Law Judge, the 
pleadings filed on behalf of the parties who are participating in the 
appeal and such other parts of the record designated by the parties to 
the appeal in accordance with the procedures set forth in paragraph 
(e)(1) of this section. The Proceedings Clerk shall cause one copy of 
the appendix to be served on each of the parties to the appeal and shall 
cause ten copies of the appendix to be placed in the docket of the 
proceeding for the use of the Commission.
    (3) Objections to appendix. Any party who believes that an error or 
omission has been made in the preparation of the appendix or that the 
appendix is misleading, prejudicial or otherwise inadequate may on that 
basis file a motion with the Commission to amend or supplement the 
appendix within 30 days of the date of the mailing of the appendix.

The Commission has determined that once an appeal goes to the 
Commission, it is in a better position than the Chief Administrative Law 
Judge to review motions objecting to the appendix or seeking to 
supplement the appendix. Consequently, upon the adoption of this 
amendment, the Commission and not the Chief Administrative Law Judge 
will consider any objection to the appendix pursuant to paragraph (e)(3) 
of this section. As provided by the amendment, a motion raising 
objections to the appendix must be filed within 30 days after the date 
of the mailing of the appendix.
    (f) Effect of failure to file an appeal. Timely appeal to the 
Commission for review of an initial decision is mandatory as a 
prerequisite to seeking judicial review of a final decision entered 
pursuant to these Rules of Practice.

(7 U.S.C. Secs. 4a, 12a; 5 U.S.C. Sec. 10)

[41 FR 2511, Jan. 16, 1976, as amended at 41 FR 18071, Apr. 30, 1976; 41 
FR 19932, May 14, 1976; 47 FR 5999, Feb. 10, 1982; 60 FR 54802, Oct. 26, 
1995; 61 FR 21954, May 13, 1996; 63 FR 55794, Oct. 19, 1998; 63 FR 
68829, Dec. 14, 1998; 64 FR 30903, June 9, 1999]