[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: 17CFR12.9]

[Page 272]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 12_RULES RELATING TO REPARATIONS--Table of Contents
 
Subpart A_General Information and Preliminary Consideration of Pleadings
 
Sec.  12.9  Practice before the Commission.

    (a) Practice--(1) By non-attorneys. An individual may appear pro se 
(on his own behalf); a general partner may represent the partnership; a 
bona fide officer of a corporation, trust or association may represent 
the corporation, trust or association.
    (2) By attorneys. An attorney-at-law who is admitted to practice 
before the highest Court in any State or territory, or of the District 
of Columbia, who has not been suspended or disbarred from appearance and 
practice before the Commission in accordance with provisions of part 14 
of this chapter may represent parties as an attorney in proceedings 
before the Commission.
    (b) Debarment of counsel or representative during the course of a 
proceeding. (1) Whenever, while a proceeding is pending before him, a 
Judgment Officer or an Administrative Law Judge finds that a person 
acting as counsel or representative for any party to the proceeding is 
guilty of contemptuous conduct, such official may order that such person 
be precluded from further acting as counsel or representative in the 
proceeding. An immediate appeal to the Commission may be taken from any 
such order, pursuant to the provisions of Sec.  12.309, but the 
proceeding shall not be delayed or suspended pending disposition of the 
appeal; Provided, That the official may suspend the proceedings for a 
reasonable time for the purpose of enabling the party to obtain other 
counsel or representative.
    (2) Whenever the Judgment Officer or Administrative Law Judge has 
issued an order precluding a person from further acting as counsel or 
representative in a proceeding, such official, within a reasonable time 
thereafter, shall submit to the Commission a report of the facts and 
circumstances surrounding the issuance of the order and shall recommend 
what action the Commission should take respecting the appearance of such 
person as counsel or representative in other proceedings before the 
Commission.
    (c) Withdrawal of representation. Withdrawal from representation of 
a party shall be only by leave of the decisionmaking official (or the 
Commission) before whom the proceeding is then pending. Such leave to 
withdraw may be conditioned on the attorney's (or representative's) 
submission of an affidavit averring that the party represented has 
actual knowledge of the withdrawal, and such affidavit shall include the 
name and address of a successor counsel (or representative) or a 
statement that the represented party has determined to proceed pro se, 
in which case, the statement shall include the address where that party 
can thereafter be served.