17 CFR 10.104 - Scope of review; Commission decision.
(a)Scope of review. The Commission will ordinarily consider the whole record on review, and base its determination thereon. However, it may limit the issues to those presented in the statement of issues in the brief.
(b)Decision on review. On review, the Commission may affirm, reverse, modify, set aside or remand for further proceedings, in whole or in part, the initial decision by the Administrative Law Judge and make any findings or conclusions which in its judgment are proper based on the record in the proceeding. The Commission's decision shall be contained in its opinion and order. In the event the Commission is equally divided as to its decision the initial decision will be affirmed, without opinion.
(c)Contents of record. The record of the proceeding before the Commission for final decision shall include:
(2) Any application, motion or objection made during the course of the proceeding, briefs in support thereof, rulings thereon and exceptions thereto;
(3) Any admission or stipulations between the parties, and documents or papers filed in connection with prehearing conferences; and the record of prehearing conferences, if recorded;
(5) Any statements filed under the shortened procedure;
(6) Portions of the official public records of the Commission specified in any of the above;
(7) Any proposed findings of fact, conclusions of law and briefs in support thereof, which were filed in connection with the hearing;
(9) The initial decision and the petition for review;
(10) Any other documents which appear on the docket of the proceeding.
Title 17 published on 09-May-2017 03:50
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 10 after this date.
- 17 CFR 3.64 — Procedure to Lift or Modify Conditions or Restrictions.
- 17 CFR 3.60 — Procedure to Deny, Condition, Suspend, Revoke or Place Restrictions Upon Registration Pursuant to Sections 8a(2), 8a(3) and 8a(4) of the Act.
- 17 CFR 3.56 — Suspension or Modification of Registration Pursuant to Section 8a(11) of the Act.
- 17 CFR 3.55 — Suspension and Revocation of Registration Pursuant to Section 8a(2) of the Act.
- 17 CFR 1.66 — No-Action Positions With Respect to Floor Traders.