Other Fields
Agency Scheme: 
CFTCFORM0001
Level: 
Appeal Level One
ADJUDICATION STRUCTURE
Appeals: Basic Structure
Appeal Office (local name): 
Commission
Appeal Office (global name): 
Commodity Futures Trading Commission: Commission
Appeal Officer #1 (Title): 
Commission Member
Appeal Officer #2 (Title): 
N/A
Are administrative appeals permitted from final decisions issued by this appellate office?: 
No
Comments/Notes on Adjudication Structure: 
Appeals to the Commission from proceedings conducted under: * 17 CFR part 10: Primarily (though not exclusively) administrative enforcement proceedings under the Commodity Exchange Act. The Commission may hear appeals on Initial Decisions or other final disposition either (a) when a party files a notice of appeal, or (b) the Commission exercises "own motion" review on its own initiative; and * 17 CFR part 12: Review of Initial Decisions by CFTC adjudicators in private reparation actions. Parties have right of appeal to Commission in both summary and formal proceedings, and Commission may also review on own motion. Voluntary proceedings do not permit appeals by parties; however, the Commission may conduct own motion review when necessary to prevent "manifest injustice."
PROCESS & PROCEDURE - General Information
Which party (or parties) is/are permitted to file appeals with this office?: 
Either
Are private parties permitted to have representation at appeal hearings?: 
Yes (All Types of Cases)
Who may serve as a private party representative?: 
Either
Are ex parte contacts prohibited?: 
Yes (All Types of Cases)
Regulations/rules of practice for appeal hearings (please include CFR citations): 
17 CFR 10, Subpart H & 17 CFR 12, Subpart F
PROCESS & PROCEDURE - Hearing Procedure
What types of hearings are permitted on appeals adjudicated by this office?: 
Written (Document-Only) Hearing
In-Person
How is the type of hearing selected for appeals heard by this office?: 
By Agency
How many appeal officers preside at each hearing?: 
Four or More
If "Varies by Case," please describe: 
Oral arguments are normally before the whole Commission; a Commissioner can miss oral arguments and later make a decision if he or she reviews the transcript of the argument. 17 CFR 10.103.
Is factual development permitted at the appellate hearing as a means of supplementing the record from below?: 
Yes (Some Types of Cases)
Can third-parties submit amicus briefs and/or evidence?: 
No
Are appeal hearings recorded and/or transcribed?: 
Yes
N/A (Document-Only Hearings)
PROCESS & PROCEDURE - Post-Hearing Procedure
Who has authority to issue final decisions on appellate cases adjudicated by this office?: 
Other
If "Other/Varies by Case," please specify: 
The entire Commission sits in review in these appeal proceedings.
Do agency regulations or guidance provide time limits for issuance of final decisions on appellate cases?: 
No
Is judicial review available after issuance of a final decision on appellate cases adjudicated by this office?: 
Yes (All Types of Cases)
PROCESS & PROCEDURE - Case Management
Does the agency permit web-based electronic filing of briefs or other documents in cases adjudicated by this appellate office?: 
Yes
Do agency regulations/rules of practice specify the contents of the administrative record on appeals heard by this office?: 
Yes (All Types of Cases)
If "Yes," please provide citation(s): 
17 CFR 10.104(c), 17 CFR 12.404
Do agency regulations/rules of practice provide for closure of the record on appeals heard by this office?: 
No
PROCESS & PROCEDURE
Comments/Notes on Appellate Process & Procedures (Optional): 
Review of Decisions Issued Under Part 10: CFTC regulations provide a mechanism for interlocutory review of ALJ rulings on motions under certain circumstances. Also, a party can ask for reconsideration of the opinion of the Commission within 15 days of the issuance of the opinion. It must be confined to only new questions raised by the opinion or order that the petitioner had no opportunity to argue before the Commission. See 17 CFR 10.106(a).
ADJUDICATORS
Total # of Appeal Officers: 
4
ADR: General Information
Is ADR available at one or more points for appellate cases heard by this office?: 
No
Verified by Agency: 
Not verified