Other Fields
Agency Scheme: 
CFTCPRIV0002
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Commission
Name of Hearing Office (global name): 
Commodity Futures Trading Commission: Commission
Sub-Agency/Bureau/Division:: 
N/A
Hearing Officer #1 (Title): 
Commissioner
Hearing Officer #2 (Title): 
N/A
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
No
Comments/Notes on Adjudication Structure: 

This adjudication scheme covers matters heard directly by the Commission upon review of adverse actions by private entities involved in administration of commodities markets, namely exchanges and the National Futures Association (NFA).

The Commission reviews:
(a) disciplinary or other adverse action by an exchange under section 8(c) the Commodity Exchange Act (see 17 CFR part 7); and
(b) disciplinary actions, membership denial, and other adverse actions by the National Futures Association under sections 17(h), 17(i), and 17(o) of the CEA (see 17 CFR part 171).

PROCESS & PROCEDURE - General Information
Are private parties permitted to have representation at hearings?: 
Yes (All Types of Cases)
Who may serve as a private party representative?: 
Either
Is the agency permitted to have representation at hearings?: 
Yes (All Types of Cases)
Regulations/rules of practice for hearings (please include CFR citations): 
17 CFR pt. 9, 17 CFR pt. 171
PROCESS & PROCEDURE - Pre-Hearing Procedure
Is discovery permitted by either party at the hearing-level stage?: 
No
Briefly describe the scope and type(s) of discovery available (e.g., depositions, interrogatories, etc.): 
Does the hearing officer have subpoena authority?: 
No
Are ex parte contacts prohibited?: 
Yes (Some Types of Cases)
Are parties provided notice of hearing?: 
Yes (Some Types of Cases)
PROCESS & PROCEDURE - Hearing Procedure
What types of hearings are permitted at the hearing-level stage?: 
Written (Document-Only) Hearing
In-Person
How is the type of hearing selected: 
By Agency
Please describe: 
Salary offsets: A debtor must petition for a hearing explaining why he/she disputes the amount or existence of the debt. The petition must be filed not later than 15 calendar days of the notice of offset. Pursuant to the Federal Claims Collection Standards, the Commission must provide the debtor a reasonable a reasonable opportunity for an oral hearing, such as when the question of indebtedness cannot be resolved by review of the documentary evidence or when the validity of the debt turns on an issue of credibility or veracity. See 4 CFR 102.3(c); 31 CFR 901.3(e)(1). A hearing "is not required to be a formal evidentiary-type hearing, although the agency should always document all significant matters discussed at the hearing." (4 CFR 102.3(c)). Administrative Wage Garnishment: The debtor must submit a written request for a hearing concerning existence/amount of debt or terms of repayment schedule. Discretionary standards similar to above (i.e., when issues cannot be resolved by documentary evidence, debt turns on credibility or veracity) (17 CFR 143.10; 31 CFR 285.11(f)).
How many hearing officers preside at each hearing?: 
Four or More
If "Varies by Case," please describe: 
Is witness testimony permitted at hearings?: 
No
If "Varies by Case," please describe: 
Administrative wage garnishment regulation references witness testimony at oral hearings; regulations for salary offset oral hearings are silent on witness testimony. "Paper hearings" do not have witnesses.
Can parties cross-examine witnesses?: 
No
If "Varies by Case," please describe: 
In those cases where witness testimony is permitted, individuals are also afforded the right to confront any witness the Board presents. This right is qualified in suspension proceedings, however, as the hearing official may limit the right upon finding that "the substantial interests of the Federal Government in pending or contemplated legal proceedings based on the same facts as the [debarment/suspension] would be prejudiced." 22 CFR 513.412(b)(ii). There is no similar limitation for debarment cases.
Can third-parties submit amicus briefs and/or evidence?: 
Adjudication Officer Discretion
Are hearings recorded and/or transcribed?: 
Yes
If "Varies by Case," please describe: 
For document-only hearings, there are necessarily no hearings. For in-person hearings, the regulations are silent as to whether hearings are open or closed.
PROCESS & PROCEDURE - Post-Hearing Procedure
If "Other," please specify: 
Board of Governors
Do agency regulations or guidance provide time limits for issuance of final decisions?: 
No
If "Yes," please specify these time limit(s): 
For salary offsets, regulations require the hearing official to issue a written opinion no later than 60 days after the hearing. See 17 CFR 141.6(a), 143.10. There is no similar provision for administrative wage garnishments.
Is judicial review available after issuance of a final decision?: 
No
PROCESS & PROCEDURE - Case Management
Does the agency permit web-based electronic filing of hearing-related briefs or other documents?: 
Yes
Do agency regulations/rules of practice specify the contents of the administrative record at the hearing-level stage?: 
Yes (All Types of Cases)
If "Yes," please provide citation(s): 
17 CFR 9.2(i); 17 CFR 171.2(k).
Do agency regulations/rules of practice provide for closure of the record at the hearing-level stage (subject to applicable exce: 
No
PROCESS & PROCEDURE - Comments
Comments/Notes on Hearing-Level Process & Procedures (Optional): 
Interested parties may, upon motion and at Commission discretion, participate in proceedings. Interested parties include those "with a direct and substantival interest in the outcome of the proceeding" (17 CFR 9.25) and who might by "adversely affected or aggrieved" by the outcome (17 CFR 171.27). Agency representatives (Division of Market Oversight/Division of Clearing and Intermediary Oversight) may file briefs as amicus curiae (17 CFR 9.26, 171.28).
ADJUDICATORS
Total # of Hearing Officers: 
1
Comments/Notes on Hearing-Level Adjudicators (Optional): 
Salary Offsets: Hearing official "shall be an impartial member of the Office of the Executive Director not under the supervision or control of the head of the Commission." 17 CFR 141.2 Administrative Wage Garnishment: Hearing official "shall be . . . designated by the Executive Director with the concurrence of the General Counsel or the General Counsel's designee. Any qualified and impartial employee of the Commission designated by the Executive Director may serve as a hearing official." 17 CFR 143.10.
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
No
If "Other," please specify:: 
Settlement authority given to the Board under 22 CFR 512.13
Verified by Agency: 
Not verified