(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:
(1) The complaint, notice of hearing, answers and any amendments thereto;
(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;
(4) The transcript of testimony taken at the hearing, together with exhibits received at the hearing;
(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;
(8) Any written communication accepted by the Administrative Law Judge pursuant to §§ 10.34 and 10.35 relating to limited participation;
(9) The initial decision and the petition for review;
(10) Any other documents which appear on the docket of the proceeding.
Notes of Decisions
JCC, Inc. v. Commodity Futures Trading Comm'n, 63 F.3d 1557 (11th Cir. 1995).
“” 17 C.F.R. § 10.104 (b). We have previously held that agencies have the authority to make independent credibility determinations without the admitted advantage presented by the opportunity to view witnesses firsthand.”
John H.M. Chen v. Gen. Acct. Off., 821 F.2d 732 (D.C. Cir. 1987).
“54 (a) (Federal Trade Commission); 17 C.F.R. § 10.104 (Commodities Futures Trading Commission); 43 C.”
Steven C. Brenner & Jami Weisner Brenner v. Commodity Futures Trading Comm'n, 338 F.3d 713 (7th Cir. 2003).
“See 17 C.F.R. § 10.104 (b) (2003) (“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…”
Jeffrey L. Silverman v. Commodity Futures Trading Comm'n, 562 F.2d 432 (7th Cir. 1977).
“In relevant part, the CFTC’s Rules of Practice (17 C.F.R. 10.104(b)) provide: “On review, the Commission may affirm, reverse, modify, set aside or remand for further proceedings, in whole or in part, the initial decision by * * * [an] Administrative Law Judge and make any…”
United States v. Furlett, 781 F. Supp. 536 (N.D. Ill. 1991).
“§ 9 ; 17 C.F.R. § 10.104 (b) (1991). If Halper merely required the Court to consider what types of sanctions were available in the administrative proceedings in order to determine *542 whether jeopardy attached, the prospect that the ALJ’s ruling might be modified would be of no…”
Piasio v. Commodity Futures Trading Comm'n, 54 F. App'x 702 (2d Cir. 2002).
“§ 557 (b), and its own regulations, see 17 C.F.R. § 10.104 (b). When an agency overturns an ALJ’s credibility determinations, “the substantiality of the evidence to support inconsistent findings .”
Brenner, Steven C. v. CFTR (7th Cir. 2003).
“See 17 C.F.R. § 10.104 (b) (2003) (“On review, the Commission may affirm, reverse, modify, set aside or remand for further proceed- ings, in whole or in part, the initial decision by the Admin- istrative Law Judge and make any findings or conclusions which in its judgment are…”
— 17 C.F.R. § 10.104(b) — 1 case
Jeffrey L. Silverman v. Commodity Futures Trading Comm'n, 562 F.2d 432 (7th Cir. 1977).
“In relevant part, the CFTC’s Rules of Practice (17 C.F.R. 10.104(b)) provide: “On review, the Commission may affirm, reverse, modify, set aside or remand for further proceedings, in whole or in part, the initial decision by * * * [an] Administrative Law Judge and make any…”
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