[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: 17CFR12.10]

[Page 273-274]
 
              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.  12.10  Service.

    (a) General requirements--(1) When service is required; number of 
copies. One copy of all motions, petitions or applications made in the 
course of a proceeding (unless made orally during a hearing), all 
proposed findings and conclusions (to the extent permitted by these 
rules), all notices of appeal, all briefs, and letters to the 
Commission, an employee thereof, or an Administrative Law Judge, shall 
be served by a party upon all other parties to the proceeding. This rule 
does not apply to a complaint filed pursuant to Sec.  12.13 of these 
rules, which shall only be filed with the Commission.
    (2) Filing with the Proceedings Clerk; proof of service. All 
documents which are required to be served upon a party

[[Page 274]]

shall be filed concurrently with the Proceedings Clerk, and shall meet 
the requirements as to form prescribed by Sec. Sec.  12.11 and 12.12 of 
these rules. Unless otherwise provided in these rules a document shall 
be filed by delivering it in person or by mailing it, by first-class 
mail, post-paid, addressed to: Proceedings Clerk, Office of Proceedings, 
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st 
Street, NW., Washington, DC 20581. To be timely filed a document must be 
delivered, or mailed, by first-class mail, to the Proceedings Clerk 
within the time prescribed for filing. Proof of filing shall be made by 
attaching to the document for filing an affidavit certifying 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 
shall 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 certificate of service executed 
by an attorney-at-law qualified to practice before the Commission. The 
proof of service shall identify the persons served, state that service 
has been made, set forth the date of service, and recite the manner of 
service.
    (3) Service of orders and decisions. A copy of all notices, rulings, 
opinions, and orders of the Proceedings Clerk, the Director of the 
Office of Proceedings, a Judgment Officer, Administrative Law Judge, the 
Deputy General Counsel for Opinions or the Commission shall be served by 
the Proceedings Clerk on each of the parties.
    (b) How service is made. Service shall be made either by personal 
service or by first-class mail. Service shall be complete at the time of 
personal service or upon deposit in the mails of a properly addressed 
and post-paid document. Where service is effected by mail, the time 
within which the person served may respond thereto shall be increased by 
five (5) days. For the purposes of this Rule, service of any document by 
the Proceedings Clerk upon the Commission shall be regarded as service 
by mail.
    (c) Designation of person to receive service. The first document 
filed in a proceeding by or on behalf of any party shall state on the 
first page thereof the name and post office address of the person who is 
authorized to receive service for him of all documents filed in the 
proceeding. Thereafter, service of documents shall be made upon the 
person authorized unless service on a different authorized person or on 
the party himself is ordered by a Judgment Officer, Administrative Law 
Judge or the Commission, or unless the person authorized is changed by 
the party upon due notice to all other parties. Parties shall file and 
serve notification of any changes in the information provided pursuant 
to this subparagraph as soon as practicable after the change occurs.

[49 FR 6621, Feb. 22, 1984; 49 FR 15070, Apr. 17, 1984, as amended at 57 
FR 20638, May 14, 1992; 59 FR 9636, Mar. 1, 1994; 60 FR 49335, Sept. 25, 
1995]