17 C.F.R. § 12.12

Signature

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(a) By whom. All documents filed with the Commission shall be signed personally:

(1) By the person or persons on whose behalf they are tendered for filing;

(2) By a general partner, officer or director of a partnership, corporation, association, or other legal entity; or

(3) By an attorney-at-law having authority with respect thereto.

The Proceedings Clerk may require appropriate evidence of the authority of a person subscribing a document on behalf of another person.

(b) Effect. The signature on any document of any persons acting either for themselves or as attorney or agent for another constitutes certification by them that:

(1) They have read the document subscribed and know the contents thereof;

(2) If executed in any representative capacity, it was done with full power and authority to do so;

(3) To the best of their knowledge, information, and belief, every statement contained in the document is true and not misleading; and

(4) The document is not being interposed for delay.

[49 FR 6621, Feb. 22, 1984, as amended at 86 FR 64352, Nov. 18, 2021]

Notes of Decisions

Cited in 1 case, 1996–1996 · leading case: Carr Investments, Inc. v. Commodity Futures Trading Comm'n, 87 F.3d 9 (1st Cir. 1996).

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Carr Investments, Inc. v. Commodity Futures Trading Comm'n, 87 F.3d 9 (1st Cir. 1996). · cites it 2× “For its first factor, the Commission listed Davis’s failure to file a complaint bearing his original signature and cited two regulations, 17 C.F.R. §§ 12.12 , 12.13, as support. Assuming arguendo that these regulations required Davis to file a complaint bearing an original…”

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