# 17 C.F.R. § 12.404 (2026): The record of proceedings

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P12_S12_404

## Section

- **Citation:** 17 C.F.R. § 12.404 (2026)
- **Heading:** The record of proceedings
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** Title 17 CFR: Commodity and Securities Exchanges / Chapter I: COMMODITY FUTURES TRADING COMMISSION / Part 12: RULES RELATING TO REPARATIONS / Subpart F: Commission Review of Decisions / § 12.404: § 12.404   The record of proceedings.

## Text

The record of proceedings on appeal before the Commission shall include: The pleadings; motions and requests filed, and rulings thereon; the transcript of the testimony taken at an oral hearing, together with the exhibits filed therein; the transcript of testimony taken during an oral examination by telephone; any statements or stipulations filed in any proceeding; any documents or papers filed in connection with prehearing conferences; such proposed findings of fact, conclusions, and orders and briefs as may have been permitted to be filed in connection with an oral hearing; such statements of objections, and briefs in support thereof, as may have been filed in the proceedings; and the initial (or final) decision, or other order disposing of issues in the proceeding.
[49 FR 6621, Feb. 22, 1984, as amended at 59 FR 9638, Mar. 1, 1994]

## Nearby sections

- [17 C.F.R. § 12.400 (2026) § 12.400   Scope and applicability of rules.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P12_S12_400.md)
- [17 C.F.R. § 12.401 (2026) § 12.401   Appeal to the Commission.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P12_S12_401.md)
- [17 C.F.R. § 12.402 (2026) § 12.402   Appeal of disposition of less than all claims or parties in a proceeding.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P12_S12_402.md)
- [17 C.F.R. § 12.403 (2026) § 12.403   Commission review on its own motion.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P12_S12_403.md)
- [17 C.F.R. § 12.404 (2026) § 12.404   The record of proceedings.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P12_S12_404.md)
- [17 C.F.R. § 12.405 (2026) § 12.405   Leave to adduce additional evidence.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P12_S12_405.md)
- [17 C.F.R. § 12.406 (2026) § 12.406   Final decision of the Commission.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P12_S12_406.md)
- [17 C.F.R. § 12.407 (2026) § 12.407   Satisfaction of reparation award; enforcement; sanctions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P12_S12_407.md)
- [17 C.F.R. § 12.408 (2026) § 12.408   Delegation of authority to the General Counsel.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P12_S12_408.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P12_S12_404. Check the current official text before relying on it. Not legal advice.