# 17 CFR § 9.6: Sanctions for noncompliance

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/ecfr-17-9.6

## Section

- **Citation:** 17 CFR § 9.6
- **Heading:** Sanctions for noncompliance
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** September 22, 2026
- **Source:** Publisher's official text
- **Location:** Title 17—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 A—General Provisions

## Text

In the event that any party fails to file any document or make any appearance which is required under this part, the Commission may, in its discretion, and upon its own motion or upon the motion of any party to the proceeding, dismiss the proceeding before it, or, based on the record before it, affirm, modify, set aside, or remand for further proceedings, in whole or in part, the decision of the exchange.

## Nearby sections

- [17 CFR § 9.1 § 9.1 Scope of rules.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.1.md)
- [17 CFR § 9.2 § 9.2 Definitions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.2.md)
- [17 CFR § 9.3 § 9.3 Provisions referenced.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.3.md)
- [17 CFR § 9.4 § 9.4 Filing and service; official docket.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.4.md)
- [17 CFR § 9.5 § 9.5 Motions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.5.md)
- [17 CFR § 9.6 § 9.6 Sanctions for noncompliance.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.6.md)
- [17 CFR § 9.7 § 9.7 Settlement.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.7.md)
- [17 CFR § 9.8 § 9.8 Practice before the Commission.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.8.md)
- [17 CFR § 9.9 § 9.9 Waiver of rules; delegation of authority.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.9.md)
- [17 CFR § 9.11 § 9.11 Form, contents and delivery of notice of disciplinary or access denial action.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.11.md)
- [17 CFR § 9.12 § 9.12 Effective date of disciplinary or access denial action.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.12.md)
- [17 CFR § 9.13 § 9.13 Publication of notice.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.13.md)
- [17 CFR § 9.20 § 9.20 Notice of appeal.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.20.md)
- [17 CFR § 9.21 § 9.21 Record of exchange proceeding.](https://www.frixlaw.com/law-library/statutes/ecfr-17-9.21.md)

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/ecfr-17-9.6. Check the current official text before relying on it. Not legal advice.