17 C.F.R. § 12.101

Functions and responsibilities of the Administrative Judge

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The Administrative Judge shall be responsible for the fair and orderly conduct of the proceeding and shall have the authority:

(a) To rule upon discovery-related motions, and to take such action pursuant to § 12.35 as is appropriate if a party fails to comply with a discovery order;

(b) To issue orders for the production of documents and tangible things and orders for written testimony, as provided in § 12.34;

(d) To issue orders of default for good cause shown against any party who fails to participate in the proceeding, or to comply with any provisions of these rules;

(e) To receive submissions of proof;

(f) Make the final decision in accordance with § 12.106 of these rules; and

(g) Issue such orders as are necessary and appropriate to effectuate the orderly conduct of the proceeding.

[49 FR 6621, Feb. 22, 1984; 49 FR 15070, Apr. 17, 1984, as amended at 78 FR 12937, Feb. 26, 2013; 86 FR 64356, Nov. 18, 2021]

Notes of Decisions

Cited in 2 cases, 1980–1982 · leading case: Rosenthal & Co. v. Commodity Futures Trading Comm'n, 614 F.2d 1121 (7th Cir. 1980).

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Rosenthal & Co. v. Commodity Futures Trading Comm'n, 614 F.2d 1121 (7th Cir. 1980). “17 C.F.R. §§ 12.101 (a), 12.48 (1979). The Commission, however, unaware of the defect, granted review and on February 10, 1978, reversed.”

Myron v. Martin, 670 F.2d 49 (5th Cir. 1982). “” 17 C.F.R. § 12.101 (c) (1981). As noted in the text, Rosenthal admits it did not raise the scienter issue in its application for review of the ALJ’s decision.”

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