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Legal Sufficiency and Consistency

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As the CFTC’s statutory legal advisor, the OGC ensures that the Commission speaks with one voice in interpreting and applying the CEA. OGC plays a central role in reviewing proposed rulemakings, enforcement actions and policy initiatives for consistency with the CEA and Commission rules. OGC also assures that proposed Commission actions comply with any other applicable statutes, such as the Administrative Procedure Act. In performing its review function, OGC works closely with attorneys in the Commission’s operating divisions. OGC also assists the Commission in analyzing legislation and in preparing draft language for consideration by Congress.

OGC represents the Commission before U.S. courts of appeals and U.S. district courts in proceedings that involve derivatives industry professionals or that otherwise present questions falling within the scope of the CEA. In addition, OGC monitors bankruptcy proceedings involving derivatives industry participants and may seek to assist courts in interpreting and applying the commodity broker liquidation provisions of the U.S. Bankruptcy Code.

OGC assists the Commission in resolving appeals from decisions of the Commission’s presiding officers in administrative enforcement and reparations cases and from decisions of industry SROs.

Finally, OGC assists the Commission in complying with government-wide statutes, such as the Federal Advisory Committee Act (FACA) and the Freedom of Information Act (FOIA), and works with the CFTC’s management team to assure the legal sufficiency of the Commission’s performance under personnel laws, rules governing records maintenance and disposition, and other laws of general applicability.


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