C.F.R. » Title 17 » CHAPTER I—COMMODITY FUTURES TRADING COMMISSION › PART 9—RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS › Subpart D—Commission Review of Disciplinary, Access Denial or Other Adverse Action

17 C.F.R. § 9.30

Scope of review

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On review, the Commission may, in its discretion, consider sua sponte any issues arising from the record before it and may base its determination thereon, or limit the issues to those presented in the statement of issues in the briefs, treating those issues not raised as waived. If the Commission determines to consider any issue not raised by the parties, it may issue an order that notifies the parties of such determination and provides an opportunity for the parties to address any issue considered sua sponte by the Commission.

Notes of Decisions
Cited in 3 cases, 1984–1985 · leading case: Karen E. Cardoza v. Commodity Futures Trading Comm'n & Bd. of Trade of the City of Chicago, Inc., an Illinois Corp., 768 F.2d 1542 (7th Cir. 1985).
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Karen E. Cardoza v. Commodity Futures Trading Comm'n & Bd. of Trade of the City of Chicago, Inc., an Illinois Corp., 768 F.2d 1542 (7th Cir. 1985). · cites it 3× “First, the CFTC has issued a regulation, 17 C.F.R. 9.30 (1982), which sets forth five specific factors that the agency may consider in its determination of whether to grant or deny review of exchange action.”
Cardoza v. Commodity Futures Trading Comm'n, 588 F. Supp. 621 (N.D. Ill. 1984). “17 C.F.R. § 9.30 (1982). Section 9.37(b) provides that: [t]he standards for Commission review of the disciplinary action or other adverse action shall be: (1) Whether the exchange disciplinary action or other adverse action was taken in accordance with the rules of the exchange;…”
Cardoza v. Com. Futures Trading Com'n, 588 F. Supp. 621 (N.D. Ill. 1984). “17 C.F.R. § 9.30 (1982). Section 9.37(b) provides that: [t]he standards for Commission review of the disciplinary action or other adverse action shall be: (1) Whether the exchange disciplinary action or other adverse action was taken in accordance with the rules of the exchange;…”
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