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Code · CFR · Title 17 — Commodity and Securities Exchanges · Part 201 — Rules of Practice · § 201.350

§ 201.350. Record in proceedings before hearing officer; retention of documents; copies.

249 words·~1 min read·/us/cfr/t17/s§ 201.350·

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(a)Contents of the record. The record shall consist of:
(1)The order instituting proceedings, each notice of hearing and any amendments;
(2)Each application, motion, submission or other paper, and any amendments, motions, objections, and exceptions to or regarding them;
(3)Each stipulation, transcript of testimony and document or other item admitted into evidence;
(4)Each written communication accepted by the hearing officer pursuant to § 201.210;
(5)With respect to a request to disqualify a hearing officer or to allow the hearing officer's withdrawal under § 201.112, each affidavit or transcript of testimony taken and the decision made in connection with the request;
(6)All motions, briefs and other papers filed on interlocutory appeal;
(7)All proposed findings and conclusions;
(8)Each written order issued by the hearing officer or Commission; and
(9)Any other document or item accepted into the record by the hearing officer.
(b)Retention of documents not admitted. Any document offered into evidence but excluded shall not be considered a part of the record. The Secretary shall retain any such document until the later of the date upon which a Commission order ending the proceeding becomes final, or the conclusion of any judicial review of the Commission's order.
(c)Substitution of copies. A true copy of a document may be substituted for any document in the record or any document retained pursuant to paragraph
(b)of this section. \[60 FR 32796, June 23, 1995, as amended at 69 FR 13178, Mar. 19, 2004\]
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§ 201.350
Record in proceedings before hearing officer; retention of documents; copies.
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