§ 8.13   General pleading requirements.

   Link to an amendment published at  83 FR 7922 , Feb. 22, 2018.

   Link to an amendment published at  83 FR 21927 , May 11, 2018.

   (a) General pleading requirements. All written submissions, both
   substantive and procedural, must conform to the following standards:

   (1) A pleading must be clear, concise, and explicit. All matters
   concerning a claim, defense or requested remedy should be pleaded fully
   and with specificity.

   (2) Pleadings must contain facts that, if true, are sufficient to
   warrant a grant of the relief requested.

   (3) Facts must be supported by relevant documentation or affidavit.

   (4) The original of all pleadings and submissions by any party shall be
   signed by that party, or by the party's attorney. Complaints must be
   signed by the complainant. The signing party shall state his or her
   address, telephone number, email address, and the date on which the
   document was signed. Copies should be conformed to the original. Each
   submission must contain a written verification that the signatory has
   read the submission and, to the best of his or her knowledge,
   information and belief formed after reasonable inquiry, it is well
   grounded in fact and is warranted by existing law or a good faith
   argument for the extension, modification or reversal of existing law;
   and that it is not interposed for any improper purpose. If any pleading
   or other submission is signed in violation of this provision, the
   Commission shall upon motion or upon its own initiative impose
   appropriate sanctions.

   (5) Legal arguments must be supported by appropriate judicial,
   Commission, or statutory authority. Opposing authorities must be
   distinguished. Copies must be provided of all non-Commission
   authorities relied upon which are not routinely available in national
   reporting systems, such as unpublished decisions or slip opinions of
   courts or administrative agencies.

   (6) Parties are responsible for the continuing accuracy and
   completeness of all information and supporting authority furnished in a
   pending complaint proceeding. Information submitted, as well as
   relevant legal authorities, must be current and updated as necessary
   and in a timely manner at any time before a decision is rendered on the
   merits of the complaint.

   (7) Parties seeking expedited resolution of their complaint may request
   acceptance on the Enforcement Bureau's Accelerated Docket pursuant to
   the procedures at § 1.730 of this chapter.

   (b) Initial Complaint: Fee remittance; Service; Copies to be filed. The
   complainant shall remit separately the correct fee either by check,
   wire transfer, or electronically, in accordance with part 1, subpart G
   (see § 1.1106 of this chapter) and:

   (1) Shall file an original copy of the complaint, using the
   Commission's Electronic Comment Filing System, and, on the same day:

   (2) Serve the complaint by hand delivery on either the named defendant
   or one of the named defendant's registered agents for service of
   process, if available, on the same date that the complaint is filed
   with the Commission;

   (c) Subsequent Filings: Service; Copies to be filed. (1) All subsequent
   submissions shall be filed using the Commission's Electronic Comment
   Filing System. In addition, all submissions shall be served by the
   filing party on the attorney of record for each party to the
   proceeding, or, where a party is not represented by an attorney, each
   party to the proceeding either by hand delivery, overnight delivery, or
   by email, together with a proof of such service in accordance with the
   requirements of § 1.47(g) of this chapter.

   (2) Service is deemed effective as follows:

   (i) Service by hand delivery that is delivered to the office of the
   recipient by 5:30 p.m., local time of the recipient, on a business day
   will be deemed served that day. Service by hand delivery that is
   delivered to the office of the recipient after 5:30 p.m., local time of
   the recipient, on a business day will be deemed served on the following
   business day;

   (ii) Service by overnight delivery will be deemed served the business
   day following the day it is accepted for overnight delivery by a
   reputable overnight delivery service; or

   (iii) Service by email that is fully transmitted to the office of the
   recipient by 5:30 p.m., local time of the recipient, on a business day
   will be deemed served that day. Service by email that is fully
   transmitted to the office of the recipient after 5:30 p.m., local time
   of the recipient, on a business day will be deemed served on the
   following business day.

   (3) Parties shall provide hard copies of all submissions to staff in
   the Market Disputes Resolution Division of the Enforcement Bureau upon
   request.

   (d) Prefiling notice required. Any person intending to file a complaint
   under this section must first notify the potential defendant in writing
   that it intends to file a complaint with the Commission based on
   actions alleged to violate one or more of the provisions contained in
   this part. The notice must be sufficiently detailed so that its
   recipient(s) can determine the specific nature of the potential
   complaint. The potential complainant must allow a minimum of ten (10)
   days for the potential defendant(s) to respond before filing a
   complaint with the Commission.

   (e) Frivolous pleadings. It shall be unlawful for any party to file a
   frivolous pleading with the Commission. Any violation of this paragraph
   shall constitute an abuse of process subject to appropriate sanctions.

   [ 76 FR 59232 , Sept. 23, 2011, as amended at  80 FR 19848 , Apr. 13, 2015]

   return arrow Back to Top