# 17 C.F.R. § 9.21 (2026): Record of exchange proceeding

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P9_S9_21

## Section

- **Citation:** 17 C.F.R. § 9.21 (2026)
- **Heading:** Record of exchange proceeding
- **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 9: RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS / Subpart C: Initial Procedure With Respect to Appeals / § 9.21: § 9.21   Record of exchange proceeding.

## Text

(a)
Filing of record.
Within thirty days after service of the notice of appeal, the exchange must file two copies of the record of the exchange proceeding (as defined in § 9.2(i)) with the Proceedings Clerk, and serve a copy on the appellant and any other party to the proceeding, provided that such person has agreed to pay the exchange reasonable fees, as provided in the rules of the exchange, for printing the copy. The record must be bound as a unit, must be chronologically indexed and tabbed, must be certified as correct by a duly authorized official, agent or employee of the exchange, and must contain a certificate of service on the appellant or any other party to the proceeding (or waiver of service for failure to pay costs pursuant to this rule).
(b)
Motion that the Commission not accept notice of appeal.
Within fifteen days after service of the notice of appeal, the exchange may file a motion that the Commission not accept a notice of appeal of any matter that the exchange contends is excluded from this part by §§ 9.1(b), 9.2(a) and 9.2(g). Such motion must be accompanied by an affidavit averring facts in support of the motion. The filing of such motion will operate to stay the filing of the record and subsequent submissions pending the Commission's ruling on such motion. The appellant may serve and file a written response to such motion within ten days after service of the motion.

## Nearby sections

- [17 C.F.R. § 9.20 (2026) § 9.20   Notice of appeal.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P9_S9_20.md)
- [17 C.F.R. § 9.21 (2026) § 9.21   Record of exchange proceeding.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P9_S9_21.md)
- [17 C.F.R. § 9.22 (2026) § 9.22   Appeal brief.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P9_S9_22.md)
- [17 C.F.R. § 9.23 (2026) § 9.23   Answering brief.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P9_S9_23.md)
- [17 C.F.R. § 9.24 (2026) § 9.24   Petition for stay pending review.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P9_S9_24.md)
- [17 C.F.R. § 9.25 (2026) § 9.25   Limited participation of interested persons.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P9_S9_25.md)
- [17 C.F.R. § 9.26 (2026) § 9.26   Participation of Commission staff.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P9_S9_26.md)

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P9_S9_21. Check the current official text before relying on it. Not legal advice.