§ 10.2 Definitions.

For purposes of this part:

(a)

Act

means the Commodity Exchange Act, as amended, 7 U.S.C. 1,

et seq.;

(b)

Adjudicatory proceeding

means a judicial-type proceeding leading to the formulation of a final order, including an order by the Commission instituting proceedings pursuant to the Act, making findings, and imposing remedial sanctions;

(c)

Administrative Law Judge

means an administrative law judge appointed pursuant to the provisions of 5 U.S.C. 3105 (provisions of the rules in this part which refer to Administrative Law Judges may be applicable to other Presiding Officers as well, as set forth in § 10.8);

(d)

Administrative Procedure Act

means those provisions of the Administrative Procedure Act, as codified, which are contained in 5 U.S.C. 551 through 559;

(e)

Commission

means the Commodity Futures Trading Commission;

(f)

Complaint

means any document initiating an adjudicatory proceeding, whether designated a complaint or an order for proceeding or otherwise;

(g)

Division of Enforcement

means that office in the Commission that prosecutes a complaint issued by the Commission;

(h)

Hearing

means that part of a proceeding which involves the submission of evidence, either by oral presentation or written submission;

(i)

Proceedings Clerk

means any member of the Commission's staff designated as such by the Director of the Office of Proceedings.

(j)

Order

means the whole or any part of a final procedural or substantive disposition of a matter by the Commission or by the Presiding Officer in a matter other than rulemaking;

(k)

Party

includes a person or agency named or admitted as a party to a proceeding;

(l)

Person

includes an individual, partnership, corporation, association, exchange or other entity or organization;

(m)

Pleading

means the complaint, the answer to the complaint, any supplement or amendment thereto, and any reply that may be permitted to any answer, supplement or amendment;

r other than rulemaking;

(k)

Party

includes a person or agency named or admitted as a party to a proceeding;

(l)

Person

includes an individual, partnership, corporation, association, exchange or other entity or organization;

(m)

Pleading

means the complaint, the answer to the complaint, any supplement or amendment thereto, and any reply that may be permitted to any answer, supplement or amendment;

(n)

Presiding Officer

means a member of the Commission, and Administrative Law Judge, or a hearing officer designated by the Commission to conduct a hearing on a specific matter, or the Commission itself, if it is to preside at or accept the introduction of evidence in a particular proceeding (provisions of the rules in this part which refer to Administrative Law Judges may be applicable to other Presiding Officers as well, as set forth in § 10.8);

(o)

Respondent

means a party to an adjudicatory proceeding against whom findings may be made or relief or remedial action may be taken.

[41 FR 2511, Jan. 16, 1976, as amended at 60 FR 54801, Oct. 26, 1995; 89 FR 71807, Sept. 4, 2024; 90 FR 55645, Dec. 3, 2025]