Code of Massachusetts Regulations
950 CMR - OFFICE OF THE SECRETARY OF THE COMMONWEALTH
Title 950 CMR 10.00 - Adjudicatory Proceedings: Securities Division
Section 10.02 - Construction and Definitions

1. "Adjudicatory Proceeding". A proceeding before the Division in which the legal rights, duties or privileges of specifically named persons are required by constitutional right, by provision of M.G.L. c. 30A, 110A or by any other provision of the General Laws, to be determined, after opportunity for an agency hearing.

2. "the Division". The Securities Division of the Office of the Secretary of the Commonwealth.

3. "Director". The Director of the Division as defined in 950 CMR 14.406(a)(1).

4. "Authorized Representative". An attorney, legal guardian or other person authorized by a Party to represent him in an Adjudicatory Proceeding.

5. "Papers". All written communications filed in an Adjudicatory Proceeding, including motions, pleadings, and other documents.

6. "Party". The Division and/or the specifically named Person(s) whose legal rights, duties or privileges are being determined in an Adjudicatory Proceeding; any other Person(s) who as a matter of constitutional right or by any provision of the General Laws is entitled to participate fully in the proceeding; or any Person allowed by the Division to intervene.

7. "Person". An individual or legal entity(ies).

8. "Presiding Officer". The hearing shall be conducted by a Presiding Officer who may be the Director or a hearing officer appointed by the Director to conduct the hearing. The hearing officer may be a member of the Division, a person authorized by law to serve as a hearing officer or administrative law judge, or any other person who is selected by the Director. When serving as Presiding Officer, the hearing officer shall have all the powers of the Presiding Officer conduct of a hearing as contained herein, except that in the the hearing officer shall not be empowered to make any decision which would finally determine the proceedings. At the conclusion of the hearing, the hearing officer shall submit recommended findings of fact and conclusions of law to the Director for his consideration.

9. "Respondent". Party who must make an answer in an Adjudicatory Proceeding.