[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: 17CFR12.30]

[Page 282-283]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 12_RULES RELATING TO REPARATIONS--Table of Contents
 
                           Subpart B_Discovery
 
Sec.  12.30  Methods of discovery.


    (a) In general. Parties may obtain discovery by the following 
methods in accordance with the procedures and limitations set forth in 
the section indicated:
    (1) Production of documents or other items (Sec.  12.31);
    (2) Deposition on written interrogatories (Sec.  12.32);
    (3) Admissions (Sec.  12.33).
    (b) Scope of discovery. The scope of discovery is as follows:
    (1) Relevancy. Except as provided below, discovery may be obtained 
regarding any matter not privileged, which is relevant to the subject 
matter in the pending proceeding, including the existence, description, 
nature, custody, condition and location of any books, documents, or 
other tangible items, and the identity and location of persons having 
knowledge of any discoverable matters. Tax returns and personal bank 
account records shall not be discoverable, except upon motion by the 
party seeking discovery showing the need for disclosure of information 
contained therein, and that the same information could not be obtained 
through other means.
    (2) Protective orders. Upon motion by a party or the person from 
whom discovery is sought, filed within twenty days after the 
objectionable discovery notice or request is served, and for good cause 
shown, the official presiding over discovery may issue any order to 
protect a party or person from annoyance, embarrassment, oppression, or 
undue burden or expense, or to prevent the raising of issues untimely or 
inappropriate to the proceeding, or the inappropriate disclosure of 
trade secrets or sensitive commercial or financial information. Relief 
through a protective order may include one or more of the following:
    (i) That discovery not be had;
    (ii) That discovery may be had only on specified terms and 
conditions;
    (iii) That certain matters not be inquired into, or that the scope 
of the

[[Page 283]]

discovery be limited to certain matters;
    (iv) That a trade secret or other confidential commercial 
information not be disclosed or be disclosed only in a designated way; 
and
    (v) That the parties simultaniously file specified documents or 
information in sealed envelopes to be opened only as directed by the 
decisionmaking official.
    (3) Motions for order compelling discovery. It shall be the duty of 
a party to obtain an order compelling discovery from another party if 
the latter party fails to comply with a discovery notice, by filing a 
motion therefor within twenty days after the time allowed by these rules 
for compliance with the notice has expired.
    (c) Sanctions for abuse of discovery. If an Administrative Law Judge 
or a Judgement Officer finds that any party, without substanial 
justification, has necessitated the filing of a motion for a protective 
order or for an order compelling discovery, or any other discovery-
related motions, that party shall, if the motion is granted, be ordered 
to pay, at the termination of the proceeding, the reasonable expenses of 
the moving party incurred in filing the motion, unless the 
decisionmaking official finds that circumstances exist which would make 
an award of such expenses unjust. If a decisionmaking official finds 
that any party, without substantial justification, has filed a motion 
for a protective order or for an order compelling discovery, or any 
discovery-related motions, that party shall, if the motion is denied, be 
ordered to pay, at the termination of the proceeding, the reasonable 
expenses of an adverse party incurred in opposing the motion, unless the 
decisionmaker finds that circumstances exist which would make an award 
of such expenses unjust.
    (d) Time limit. Absent an extension of time, all discovery notices 
or requests shall be served within (30) days (and all discovery shall be 
completed within (50) days) after the notification and the order 
required by Sec.  12.26 (a), (b), or (c) has been served on the parties. 
Upon motion by a party and for good cause shown, the time allowed for 
discovery may be enlarged for one additional period not to exceed thirty 
(30) days.

[49 FR 6621, Feb. 22, 1984; 49 FR 15070, Apr. 17, 1984; 49 FR 17750, 
Apr. 25, 1984; 59 FR 9637, Mar. 1, 1994]