[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: 17CFR11.4]

[Page 263-264]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 11_RULES RELATING TO INVESTIGATIONS--Table of Contents
 
Sec.  11.4  Subpoenas.

    (a) Issuance of subpoenas. The Commission or any member of the 
Commission or of its staff who, by order of the Commission, has been 
authorized to issue subpoenas in the course of a particular 
investigation may issue a subpoena directing the person named therein to 
appear before a designated person at a specified time and place to 
testify or to produce documentary evidence, or both, relating to any 
matter under investigation.

[[Page 264]]

    (b) Authorization to issue subpoenas. An order of the Commission 
authorizing one or more members of the Commission or of its staff to 
issue subpoenas in the course of a particular investigation shall 
include:
    (1) A general description of the scope of the investigation;
    (2) The authority under which the investigation is being conducted; 
and
    (3) A designation of the members of the Commission or of its staff 
authorized by the Commission to issue subpoenas.
    (c) Service. Service of subpoenas issued for investigative purposes 
shall be effected in the following manner:
    (1) Service upon a natural person. Delivery of a copy of a subpoena 
to a natural person may be effected by
    (i) Handing it to the person;
    (ii) Leaving it at his office with the person in charge thereof or, 
if there is no one in charge, by leaving it in a conspicuous place 
therein;
    (iii) Leaving it at his dwelling place or usual place of abode with 
some person of suitable age and discretion then residing therein;
    (iv) Mailing it by registered or certified mail to him at his last 
known address; or
    (v) Any other method whereby actual notice is given to him.
    (2) Service upon other persons. When the person to be served is not 
a natural person, delivery of a copy of the subpoena may be effected by 
(i) handing it to a registered agent for service, or to any officer, 
director, or agent in charge of any office of such person; (ii) mailing 
it by registered or certified mail to any such representative at his 
last known address; or (iii) any other method whereby actual notice is 
given to any such representative.
    (d) Witness fees and mileage. Witnesses appearing pursuant to 
subpoena shall be paid the same fees and mileage that are paid to 
witnesses in the courts of the United States.
    (e) Pursuant to the authority granted under Sections 2(a)(11) and 
8a(5) of the Act, the Commission hereby delegates to the Director of the 
Division of Enforcement, with the concurrence of the General Counsel or 
General Counsel's delegee, and until such time as the Commission orders 
otherwise, the authority to invoke, in case of contumacy by, or refusal 
to obey a subpoena issued to, any person, the aid of any court of the 
United States within the jurisdiction in which the investigation or 
proceeding is conducted, or where such person resides or transacts 
business, in requiring the attendance and testimony of witnesses and the 
production of books, papers, correspondence, memoranda and other records 
pursuant to subpoenas issued in accordance with section 6(c) of the Act 
for the purpose of securing effective enforcement of the provisions of 
this Act, for the purpose of any investigation or proceeding under this 
Act, and for the purpose of any action taken under section 12(f) of the 
Act.
    (f) Notwithstanding the delegation of authority to the Director set 
forth in paragraph (e) of this section, in any case in which the 
Director believes it appropriate the matter may be submitted to the 
Commission for its consideration. Nothing in this section shall prohibit 
the Commission from exercising the authority delegated in paragraph (e) 
of this section.

[41 FR 29799, July 19, 1976, as amended at 67 FR 37322, May 29, 2002]