[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: 17CFR9.1]

[Page 219-220]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 9_RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL 
OR OTHER ADVERSE ACTIONS--Table of Contents
 
                      Subpart A_General Provisions
 
Sec.  9.1  Scope of rules.




                      Subpart A_General Provisions

Sec.
9.1 Scope of rules.
9.2 Definitions.
9.3 Provisions referenced.
9.4 Filing and service; official docket.
9.5 Motions.
9.6 Sanctions for noncompliance.
9.7 Settlement.
9.8 Practice before the Commission.
9.9 Waiver of rules; delegation of authority.

  Subpart B_Notice and Effective Date of Disciplinary Action or Access 
                              Denial Action

9.10 [Reserved]
9.11 Form, contents and delivery of notice of disciplinary or access 
          denial action.
9.12 Effective date of disciplinary or access denial action.
9.13 Publication of notice.
9.14-9.19 [Reserved]

           Subpart C_Initial Procedure With Respect to Appeals

9.20 Notice of appeal.
9.21 Record of exchange proceeding.
9.22 Appeal brief.
9.23 Answering brief.
9.24 Petition for stay pending review.
9.25 Limited participation of interested persons.
9.26 Participation of Commission staff.
9.27-9.29 [Reserved]

  Subpart D_Commission Review of Disciplinary, Access Denial or Other 
                             Adverse Action

9.30 Scope of review.
9.31 Commission review of disciplinary or access denial action on its 
          own motion.
9.32 Oral argument.
9.33 Final decision by the Commission.

    Authority: 7 U.S.C. 4a, 6c, 7a, 12a, 12c, 16a, unless otherwise 
noted.

    Source: 52 FR 25366, July 7, 1987, unless otherwise noted.



    (a) Matters included. This part governs the review by the 
Commission, pursuant to section 8c of the Act, as amended, of any 
suspension, expulsion,

[[Page 220]]

disciplinary or access denial action, or other adverse action by an 
exchange.
    (b) Matters excluded. This part does not apply to and the Commission 
will not accept notices of appeal, or petitions for stay pending review, 
of:
    (1) Any arbitration proceeding, regardless of whether the proceeding 
was conducted pursuant to the provisions of section 5a(a)(11) of the Act 
or involved a controversy between members of an exchange;
    (2) Except as provided in Sec. Sec.  9.11(a), 9.11(b)(1)-(5), 
9.11(c), 9.12(a) and 9.13 (concerning the notice, effective date and 
publication of a disciplinary or access denial action), any summary 
action authorized under the provisions of Sec.  8.27 of this chapter 
imposing a minor penalty for the violation of exchange rules relating to 
decorum or attire, or relating to the timely submission of accurate 
records required for clearing or verifying each day's transactions or 
other similar activities; and
    (3) Any exchange action arising from a claim, grievance, or dispute 
involving cash market transactions which are not a part of, or directly 
connected with, any transaction for the purchase, sale, delivery or 
exercise of a commodity for future delivery or a commodity option.

The Commission will, upon its own motion or upon motion filed pursuant 
to Sec.  9.21(b), promptly notify the appellant and the exchange that it 
will not accept the notice of appeal or petition for stay of matters 
specified in this paragraph. The determination to decline to accept a 
notice of appeal will be without prejudice to the appellant's right to 
seek alternate forms of relief that may be available in any other forum.
    (c) Applicability of these part 9 rules. Unless otherwise ordered, 
these rules will apply in their entirety to all appeals, and matters 
relating thereto filed on or after August 6, 1987. Any part 9 proceeding 
pending before the Commission on August 6, 1987, will continue to be 
governed by the Commission's former part 9 rules, 17 CFR part 9 (1987), 
except that the parties to any part 9 proceeding pending on August 6, 
1987, may, within 30 days after August 6, 1987, by written stipulation 
executed by all parties, and filed with the Proceedings Clerk before the 
Commission's final decision is rendered, elect to have the matter 
governed by the provisions of this part 9, as amended.

[52 FR 25366, July 7, 1987, as amended at 59 FR 5701, Feb. 8, 1994]