[Code of Federal Regulations]
[Title 17, Volume 1]
[Revised as of April 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR10.11]

[Page 236]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 10_RULES OF PRACTICE--Table of Contents
 
                      Subpart A_General Provisions
 
Sec.  10.11  Appearance in adjudicatory proceedings.

    (a) Appearance--(1) By non-attorneys. An individual may appear pro 
se (in his own behalf), a member of a partnership may represent the 
partnership, a bona fide officer of a corporation, trust or association 
may represent the corporation, trust or association, an officer or 
employee of a State Commission or of a department or political 
subdivision of a State may represent the State Commission or the 
department or political subdivision of the State in any proceeding.
    (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 the provisions of part 
14 of this title, may represent parties in proceedings before the 
Commission.
    (b) Debarment of counsel or representative by administrative law 
judge during the course of a proceeding. (1) Whenever, while a 
proceeding is pending before him, the Administrative Law Judge finds 
that a person acting as counsel or representative for any party to the 
proceeding is guilty of contemptuous conduct, the Administrative Law 
Judge may order that such person be precluded from further acting as 
counsel or representative in such proceeding. An immediate appeal to the 
Commission may be sought from any such order, pursuant to the terms of 
Sec.  10.101, but the proceeding shall not be delayed or suspended 
pending disposition of the appeal: Provided, That the Administrative Law 
Judge may suspend the proceedings for a reasonable time for the purpose 
of enabling the party to obtain other counsel or representative.
    (2) Whenever the Administrative Law Judge has issued an order 
precluding a person from further acting as counsel for representative in 
the proceeding, the Administrative Law Judge 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.