C.F.R. » Title 17 » CHAPTER I—COMMODITY FUTURES TRADING COMMISSION › PART 171—RULES RELATING TO REVIEW OF NATIONAL FUTURES ASSOCIATION DECISIONS IN DISCIPLINARY, MEMBERSHIP DENIAL, REGISTRATION AND MEMBER RESPONSIBILITY ACTIONS › Subpart B—Notice and Effective Date of Final Decisions in Disciplinary, Membership Denial and Registration Actions

17 C.F.R. § 171.23

Notice of appeal

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(a) Time to file. Any party aggrieved by the final decision of the National Futures Association in a disciplinary, membership denial or registration action may, within thirty days of the National Futures Association's service of the notice described in § 171.21, file a notice of appeal with the Proceedings Clerk. The filing of such a notice shall not stay the effective date of the decision.

(b) Contents. The notice of appeal shall consist of a brief statement indicating that the party is requesting Commission review of an action of the National Futures Association. It should identify:

(1) The name and address of the person appealing and, if represented, the name and address of his representative;

(2) The case name and docket number of the National Futures Association proceeding; and

(3) The date of the decision.

(c) Filing fee. Each notice of appeal must be accompanied by a nonrefundable filing fee of $100. This amount may be paid by check, bank draft or money order, payable to the Commodity Futures Trading Commission.

(d) Defective notices of appeal. Notices of appeal that are untimely or not accompanied by the filing fee shall not be accepted by the Proceedings Clerk absent a showing, by motion, of excusable neglect.

Notes of Decisions
Cited in 2 cases, 2018–2019 · leading case: Effex Capital, LLC v. Nat'l Futures Ass'n, 933 F.3d 882 (7th Cir. 2019).
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Effex Capital, LLC v. Nat'l Futures Ass'n, 933 F.3d 882 (7th Cir. 2019). “" 17 C.F.R. § 171.23 (a). The regulations define a party as "any person who has been the subject of a disciplinary action .”
Effex Capital, LLC v. Nat'l Futures Ass'n (N.D. Ill. 2018). “4 17 C.F.R. § 171.23 (a) (emphasis added). But CFTC regulations also define the term “party” as including “any person granted permission to participate as a party pursuant” to the CFTC’s intervention rules, see 17 C.”
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