[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: 17CFR9.4]

[Page 221-222]
 
              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.  9.4  Filing and service; official docket.

    (a) Filing with the Proceedings Clerk; proof of filing; proof of 
service. Any document that is required by this part to be filed with the 
Proceedings Clerk must be filed by delivering it in person or by mail 
to: Proceedings Clerk, Office of Proceedings, Commodity Futures Trading 
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581. To be timely filed under this part, a document must be 
delivered or mailed to the Proceedings Clerk within the time prescribed 
for filing. A party must use a means of filing which is at least as 
expeditious as that used in serving that document upon the other 
parties. Proof of filing must be made by attaching to the document for 
filing an affidavit of filing executed by any person 18 years of age or 
older or a proof of filing executed by an attorney-at-law qualified to 
practice before the Commission. The proof of filing must certify that 
the attached document was deposited in the mail, with first-class 
postage prepaid, addressed to the Proceedings Clerk, Office of 
Proceedings, Three Lafayette Centre, 1155 21st Street, NW., Washington, 
DC 20581, on the date specified in the affidavit. Proof of service of a 
document must be made by filing with the Proceedings Clerk, 
simultaneously with the filing of the required document, an affidavit of 
service executed by any person 18 years of age or older or a 
certification of service executed by an attorney-at-law qualified to 
practice before the Commission. The proof of service must identify the 
persons served, state that service has been made, set forth the date of 
service, and recite the manner of service.
    (b) Formalities of filing--(1) Number of copies. Unless otherwise 
specifically provided, an original and two conformed copies of all 
documents filed with the Commission in accordance with the provisions of 
this part must be filed with the Proceedings Clerk.
    (2) Title page. All documents filed with the Proceedings Clerk must 
include at the head thereof, or on a title page, the name of the 
Commission, the title of the proceeding, the docket number (if one has 
been assigned by the Proceedings Clerk), the subject of the particular 
document and the name of the person on whose behalf the document is 
being filed.
    (3) Paper, spacing, type. All documents filed with the Proceedings 
Clerk

[[Page 222]]

must be typewritten, must be on one grade of good white paper no less 
than 8 or more than 8\1/2\ inches wide and no less than 10\1/2\ or more 
than 11\1/2\ inches long, and must be bound on the top only. They must 
be double-spaced, except for long quotations (3 or more lines) and 
footnotes which should be single-spaced.
    (4) Signature. The original copy of all papers must be signed in ink 
by the person filing the same or by his duly authorized agent or 
attorney.
    (c) Service--(1) General requirements. All documents filed with the 
Proceedings Clerk must, at or before the time of filing, be served upon 
all parties. A party must use a means of service which is at least as 
expeditious as that used in filing that document with the Proceedings 
Clerk. One copy of all motions, petitions or applications made in the 
course of the proceeding, all notices of appeal, all briefs, and letters 
to the Commission or an employee thereof must be served by a party upon 
all other parties.
    (2) Manner of service. Service may be either personal or by mail. 
Service by mail is complete upon deposit of the document in the mail. 
Where service is effected by mail, the time within which the person 
served may respond thereto will be increased by three days.
    (3) Designation of person to receive service. The first document 
filed in a proceeding by or on behalf of any party must state on the 
first page the name and postal address of the person who is authorized 
to receive service for the party of all documents filed in the 
proceeding. Thereafter, service of documents must be made upon the 
person authorized unless service on a different authorized person or on 
the party himself is ordered by the Commission, or unless pursuant to 
Sec.  9.8 the person authorized is changed by the party upon due notice 
to all other parties. Parties must file and serve notification of any 
changes in the information provided pursuant to this subparagraph as 
soon as practicable after the change occurs.
    (4) Service of orders and decisions. A copy of all notices, rulings, 
opinions and orders of the Commission will be served on each of the 
parties and will be deemed served upon deposit in the mail.
    (d) Official docket. Upon receipt of a notice of appeal filed in 
accordance with Sec.  9.20, or a petition for stay pending review filed 
in accordance with Sec.  9.24, the Proceedings Clerk will establish and 
thereafter maintain the official docket of that proceeding and will 
assign a docket number to the proceeding.

[52 FR 25366, July 7, 1987, as amended at 60 FR 49334, Sept. 25, 1995]