Code of Massachusetts Regulations
950 CMR - OFFICE OF THE SECRETARY OF THE COMMONWEALTH
Title 950 CMR 10.00 - Adjudicatory Proceedings: Securities Division
Section 10.07 - Motions

Universal Citation: 950 MA Code of Regs 950.10

Current through Register 1537, December 20, 2024

(a) General Requirements.

1. Presentation/Objection to Motion. An application to the Presiding Officer should be made by motion. Motions may be made in writing at any time after the commencement of an Adjudicatory Proceeding, or they may be made or allyduring a hearing. Each motion shall set forth the grounds for the desired order or action and state whether a hearing is desired. Unless otherwise ordered by the Presiding Officer, a party opposing a motion must file its response within 14 days after service of the motion. Any party may request a hearing on the motion. The Presiding Officer may, in his discretion, grant or deny a request for hearing. A request for hearing may be denied on any of the following grounds: oral argument or testimony would not substantially advance the Presiding Officer's understanding of the issues, a delay in deciding the motion until hearing would severely prejudice a party, or a hearing would not be in the public interest.

2. Action on Motions. The Presiding Officer shall, if he determines a hearing on the motion is warranted, give at least three days notice of the time and place for hearing. The Presiding Officer may grant requests for continuances or may in the event of unexcused absence of a Party permit the hearing to proceed, and the unexcused Party's motion or objections will be regarded as submitted. The Presiding Officer may act on a motion when all Parties have responded thereto, or the deadline for response has passed, whichever comes first.

3. Factual Basis. The Parties may offer at a hearing on the motion only such evidence as is relevant to the particular motion. This evidence may consist of facts which are presented orally by sworn testimony, supported by affidavit, or which appear in records, files, depositions, or answers to interrogatories.

(b) Motion for More Definite Statement. If a pleading to which a responsive pleading is required is so vague or ambiguous that a Party cannot reasonably frame a responsive pleading, the responding Party may within the time permitted for such responsive pleading, move for a more definite statement before filing its responsive pleading. The motion shall set forth the defects complained of and the details desired. If the motion is granted, the more definite statement shall be filed within ten days of the notice of the order being sent or within such other time as may be ordered.

(c) Motion to Strike. A Party may move to strike, or the Presiding Officer on its own motion may strike from any pleading any insufficient allegation or defense or any redundant, immaterial, impertinent or scandalous matter.

(d) Motion to Dismiss. Any Party may move to dismiss for failure of the other Party to prosecute or to comply with these rules or with any order of the Division or Presiding Officer. Upon completion by the initiating Party of the presentation of evidence, the responding Party may move to dismiss on the grounds that, upon the facts and/or the law, the Division has not sustained its case. The Presiding Officer may act upon the motion then, or may wait until the close of all the evidence.

(e) Motion for Decision on the Pleadings. After the pleadings are closed, and within such time as not to delay the proceedings, any Party may move for judgment on the pleadings. If matters outside the pleadings are presented, the motion shall be treated as one for summary decision.

(f) Motion for Summary Decision. Any Party may with or without supporting affidavits move for summary decision in his favor, as to all or part of a matter. If the motion is granted as to part of the matter and further proceedings are necessary to decide the remaining issues, a hearing shall so be held.

(g) Briefs. The Presiding Officer may direct that the parties brief any issue presented by a motion or a pleading or a party may upon motion request that the presiding officer direct briefing of any appropriate issue presented.

(h) Substitution of Parties. The Presiding Officer may, on motion, at any time in the course of an Adjudicatory Proceeding, permit such substitution of Parties as justice or convenience may require.

(i) Consolidation of Proceedings. In such cases as there are multiple Adjudicatory Proceedings and where these Adjudicatory Proceedings involve common issues, a Party shall notify the Presiding Officer of this fact, stating with particularity the common issues, and the Presiding Officer may in his discretion consolidate the proceedings.

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