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12.22

Federal Register / Vol. 86, No. 220 / Thursday, November 18, 2021 / Rules and Regulations Default proceedings.

12.24

b Default procedure. Upon a partys failure to respond timely to a complaint or counterclaim as prescribed in 12.16 and 12.20, or timely to comply with 12.25b or c, the Director of the Office of Proceedings shall forward the pleadings, and other materials then of record, to an Administrative Judge or Administrative Law Judge who may thereafter enter findings and conclusions concerning the questions of violations and damages and, if warranted, enter a reparation award against the non-responding party. If the facts which are treated as admitted are considered insufficient to support a violation or the amount of reparations sought, the Administrative Judge or Administrative Law Judge may order production of supplementary evidence from the party not in default and may enter a default order and an award based thereon.

19. In 12.23, revise paragraph b to read as follows:

12.23

Setting aside of default.

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b Default order final. A default order that has become final pursuant to 12.22c shall not be set aside except upon a motion filed and served by the defaulted party showing that the defaulted party should be relieved from the default order because of fraud perpetrated on a decisionmaking official or the Commission, mistake, excusable neglect, or because the order is void for want of jurisdiction. Such a motion shall also show that, if the default order were set aside, there would be a reasonable likelihood of success for the defaulted partys claim or defense on the merits and that no party would be prejudiced thereby. Motions to set aside a final default order for fraud, mistake, or excusable neglect shall be filed within one year after the order was issued. All motions to set aside default orders shall be decided, in the first instance, by the official who issued the order. A denial of a motion to set aside a default order that has become final shall be treated as an initial decision, which may be appealed to the Commission in accordance with the requirements of 12.401. A grant of a motion to set aside a final default order shall be treated as a nonfinal order which may be appealed only in accordance with the requirements of 12.309.

20. In 12.24, revise paragraphs a1iii and e to read as follows:

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Parallel proceedings.

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iii Is governed by a compulsory counterclaim rule of Federal court procedure which required the complainant in reparations to assert all of complainants claims including those based on alleged violations of the Commodity Exchange Act, and any regulation or order issued thereunder as counterclaims in that proceeding;

e Exceptions. At the time notice of a parallel proceeding is filed pursuant to paragraph b of this section, or any time thereafter, any party, or the receiver or trustee, may file and serve upon other parties a statement in support of or in opposition to any action taken or to be taken pursuant to paragraph c or d of this section. This statement shall be addressed to the Office of Proceedings, attention of the Proceedings Clerk. Upon receipt of any such statement, the Proceedings Clerk shall immediately forward the statement to the official with responsibility over the case. The notice and the statements filed by the parties shall be reviewed by that official who, on or before the effective date of action taken pursuant to paragraphs c1 and 2 and d1 and 2 of this section, may take such actions as, in the officials opinion, are necessary to ensure that the parties to the matter or proceedings are not unduly prejudiced.

21. In 12.25, revise paragraphs b and c to read as follows:
12.25

Filing fees.

b Fees payable upon filing an answer. 1 If a complainant, in the complaint, has elected the voluntary decisional procedure, a respondent who, in the answer, elects the summary decisional procedure available only where the amount of damages claimed in the complaint or as counterclaims does not exceed $30,000 shall, at the time of filing the answer, pay a filing fee of $75.00.
2 If a complainant, in the complaint, has elected the voluntary decisional procedure, a respondent who, in the answer, elects the formal decisional procedure available only where the amount of damages claimed in the complaint or as counterclaims exceeds $30,000 shall, at the time of filing the answer, pay a filing fee of $200.00.
c Fees payable upon filing a reply.
In any case in which a counterclaim has been made, unless a complainant in the complaint, or the respondent in an answer, has elected the summary
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decisional procedure or the formal decisional procedure a complainant, who in the reply elects either of these procedures, shall, at the time of filing the reply, pay a filing fee of $75.00 or $200.00, respectively, depending whether the procedure elected by complainant is pursuant to subpart D or E of this part.
22. Revise 12.26 to read as follows:
12.26 Commencement of a reparation proceeding.

a Commencement of voluntary decisional proceeding. Where complainant and respondent in the complaint and answer have elected the voluntary decisional procedure pursuant to subpart C of this part and the complainant has paid the filing fee required by 12.25, the Director of the Office of Proceedings shall, if in the Directors opinion the facts warrant taking such action, forward the pleadings and all materials of record to the Proceedings Clerk for a proceeding to be conducted in accordance with subpart C of this part. The Proceedings Clerk shall forthwith notify the parties of such action. Such notification shall be accompanied by an order issued by the Proceedings Clerk requiring the parties to complete all discovery, as provided in subpart B of this part, within 50 days thereafter. A voluntary decisional proceeding commences upon service of such notification and order.
As soon as practicable after service of such notification, the Proceedings Clerk shall assign the case to an Administrative Judge for a final decision.
b Commencement of summary decisional proceeding. Where the amount claimed as damages, exclusive of interest and costs, in the complaint or in counterclaim does not exceed $30,000, and either a complainant or a respondent in the complaint, answer, or reply, has elected the summary decisional procedure pursuant to subpart D of this part, and has paid the filing fee required by 12.25, the Director of the Office of Proceedings shall, if in the Directors opinion the facts warrant taking such action, forward the pleadings and all materials of record to the Proceedings Clerk for a proceeding to be conducted in accordance with subpart D of this part.
The Proceedings Clerk shall forthwith notify the parties of such action. Such notification shall be accompanied by an order issued by the Proceedings Clerk requiring the parties to complete all discovery, as provided in subpart B of this part, within 50 days thereafter. A
summary decisional proceeding commences upon service of such
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