[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: 17CFR11.1]

[Page 262]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 11_RULES RELATING TO INVESTIGATIONS--Table of Contents
 
Sec.  11.1  Scope and applicability of rules.




Sec.
11.1 Scope and applicability of rules.
11.2 Authority to conduct investigations.
11.3 Confidentiality of investigations.
11.4 Subpoenas.
11.5 Transcripts.
11.6 Oath; false statements.
11.7 Rights of witnesses.
11.8 Sequestration.

Appendix A to Part 11--Informal Procedure Relating to the Recommendation 
          of Enforcement Proceedings

    Authority: 7 U.S.C. 4a(j), 9 and 15, 12, 12a(5), 12(f).

    Source: 41 FR 29799, July 19, 1976, unless otherwise noted.


    The rules of this part apply to investigatory proceedings conducted 
by the Commission or its staff pursuant to sections 6(c) and 8 and 12(f) 
of the Commodity Exchange Act, as amended, 7 U.S.C. 9 and 15 and 12 and 
16(f) (Supp. IV, 1974), to determine whether there have been violations 
of that Act, or the rules, regulations or orders adopted thereunder, or, 
in accordance with the provisions of section 12(f) of the Act, whether 
there have been violations of the laws, rules or regulations relating to 
futures or options matters administered or enforced by a foreign futures 
authority, or whether an application for designation or registration 
under the Act should be denied. Except as otherwise specified herein, 
the rules will apply to the conduct of investigation whether or not the 
Commission has authorized the use of subpoenas in the particular matter 
to compel the production of evidence.

[63 FR 5233, Feb. 2, 1998]