[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: 17CFR10.82]

[Page 252-253]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER I--COMMODITY FUTURES TRADING COMMISSION
 
PART 10_RULES OF PRACTICE--Table of Contents
 
          Subpart F_Post Hearing Procedures; Initial Decisions
 
Sec.  10.82  Proposed findings and conclusions; briefs.

    In any proceeding involving a hearing or an opportunity for hearing, 
the parties may file written proposed findings of fact and conclusions 
of law. Briefs may be filed in support of proposed findings and 
conclusions either as part of the same document or in a separate 
document. Any proposed finding or conclusion not briefed may be regarded 
as waived.
    (a) Proposed findings and briefs; time for filing. Where the parties 
file proposed findings and briefs, the following schedule shall apply, 
unless otherwise determined by the Administrative Law Judge:
    (1) Initial submission. Proposed findings, conclusions and an 
initial brief shall be served and filed by the Division of Enforcement 
and intervenors on the side of the Division of Enforcement within 45 
days of the close of the hearing;
    (2) Answering submission. Proposed findings, conclusions, and an 
answering brief shall be served and filed by the respondents and 
intervenors on the side of the respondents within 30 days after service 
of the initial findings, conclusions and briefs upon the respondents;
    (3) Reply. A reply brief may be filed by the Division of Enforcement 
and intervenors on the side of the Division of Enforcement within 15 
days after filing of the answering submission;
    (4) Submissions by limited participants. Submissions by a person 
admitted as a

[[Page 253]]

limited participant pursuant to Sec.  10.34 of these rules, are 
permitted under such terms as determined by the Administrative Law 
Judge.
    (b) Alternative procedures for submissions. In his discretion the 
Administrative Law Judge may lengthen or shorten the periods for the 
filing of submissions, may direct simultaneous filings, may direct that 
respondents make the first filing, or may otherwise modify the 
procedures set forth in paragraph (a) of this section for purposes of a 
particular proceeding.
    (c) Briefs. (1) The initial brief should include:
    (i) A short, clear and concise statement of the case;
    (ii) Specification of the questions to be resolved; and
    (iii) The argument, presenting clearly the points of fact and law 
relied upon in support of the position taken on each question.
    (2) The answering brief shall generally follow the same style as 
prescribed for the initial brief but may omit a statement of the case if 
the party does not dispute the statement of the case contained in the 
initial brief;
    (3) Reply briefs should be limited to rebuttal of matters in the 
prior briefs.
    (d) Content and form of proposed findings and conclusions. (1) The 
findings of fact shall be confined to the material issues of fact 
presented on the record, with exact citations to the transcripts of 
record and exhibits in support of each proposed finding.
    (2) The proposed findings and conclusions of the party filing 
initially shall be set forth in consecutively numbered paragraphs and 
all counter-statement of proposed findings and conclusions shall, in 
addition to any other matter, indicate which paragraphs of initial 
proposals are not disputed.