[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: 17CFR10.104]

[Page 257-258]
 
              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.  10.104  Scope of review; Commission decision.

    (a) Scope of review. The Commission will ordinarily consider the 
whole record on review, and base its determination thereon. However, it 
may limit the issues to those presented in the statement of issues in 
the brief.
    (b) Decision on review. On review, the Commission may affirm, 
reverse, modify, set aside or remand for further proceedings, in whole 
or in part, the initial decision by the Administrative Law Judge and 
make any findings or conclusions which in its judgment are proper based 
on the record in the proceeding. The Commission's decision shall be 
contained in its opinion and order. In the event the Commission is 
equally divided as to its decision the

[[Page 258]]

initial decision will be affirmed, without opinion.
    (c) Contents of record. The record of the proceeding before the 
Commission for final decision shall include:
    (1) The complaint, notice of hearing, answers and any amendments 
thereto;
    (2) Any application, motion or objection made during the course of 
the proceeding, briefs in support thereof, rulings thereon and 
exceptions thereto;
    (3) Any admission or stipulations between the parties, and documents 
or papers filed in connection with prehearing conferences; and the 
record of prehearing conferences, if recorded;
    (4) The transcript of testimony taken at the hearing, together with 
exhibits received at the hearing;
    (5) Any statements filed under the shortened procedure;
    (6) Portions of the official public records of the Commission 
specified in any of the above;
    (7) Any proposed findings of fact, conclusions of law and briefs in 
support thereof, which were filed in connection with the hearing;
    (8) Any written communication accepted by the Administrative Law 
Judge pursuant to Sec. Sec.  10.34 and 10.35 relating to limited 
participation;
    (9) The initial decision and the petition for review;
    (10) Any other documents which appear on the docket of the 
proceeding.