17 CFR 10.2 - Definitions.
For purposes of this part:
(b)Adjudicatory proceeding means a judicial-type proceeding leading to the formulation of a final order;
(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);
(h)Hearing means that part of a proceeding which involves the submission of evidence, either by oral presentation or written submission;
(l)Person includes an individual, partnership, corporation, association, exchange or other entity or organization;
(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);
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 10.22 — Complaint and Notice of Hearing.
- 17 CFR 148.3 — Proceedings Covered.
- 17 CFR 10.23 — Answer.
- 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 10.93 — Obtaining Default Order.