For purposes of this part:

1. (a) Act means the Commodity Exchange Act, as amended, 7 U.S.C. 1, et seq.;
2. (b) Adjudicatory proceeding means a judicial-type proceeding leading to the formulation of a final order, including an order by the Commission instituting proceedings pursuant to the Act, making findings, and imposing remedial sanctions;
3. (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);
4. (d) Administrative Procedure Act means those provisions of the Administrative Procedure Act, as codified, which are contained in 5 U.S.C. 551 through 559;
5. (e) Commission means the Commodity Futures Trading Commission;
6. (f) Complaint means any document initiating an adjudicatory proceeding, whether designated a complaint or an order for proceeding or otherwise;
7. (g) Division of Enforcement means that office in the Commission that prosecutes a complaint issued by the Commission;
8. (h) Hearing means that part of a proceeding which involves the submission of evidence, either by oral presentation or written submission;
9. (i) Proceedings Clerk means any member of the Commission's staff designated as such by the Director of the Office of Proceedings.
10. (j) Order means the whole or any part of a final procedural or substantive disposition of a matter by the Commission or by the Presiding Officer in a matter other than rulemaking;
11. (k) Party includes a person or agency named or admitted as a party to a proceeding;
12. (l) Person includes an individual, partnership, corporation, association, exchange or other entity or organization;
13. (m) Pleading means the complaint, the answer to the complaint, any supplement or amendment thereto, and any reply that may be permitted to any answer, supplement or amendment;
14. (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);
15. (o) Respondent means a party to an adjudicatory proceeding against whom findings may be made or relief or remedial action may be taken.

[41 FR 2511, Jan. 16, 1976, as amended at 60 FR 54801, Oct. 26, 1995; 89 FR 71807, Sept. 4, 2024; 90 FR 55645, Dec. 3, 2025]