Corporate Practice Series Portfolio No. 21-4th, Manual of Federal Trade Commission Practice, examines in detail the practices and procedures employed by the Federal Trade Commission in administering the Federal Trade Commission Act. The analysis outlines the missions and structure of the Commission and describes its functions. The description of Commission functions includes a discussion of the issuance of advisory opinions, industry guides, and statements of enforcement policy. It goes on to describe the rulemaking process for trade regulation rules. It next describes the process of enjoining conduct that may be deceptive or that may constitute unfair competition, including the premerger Hart-Scott-Rodino process, the decision to start an investigation, the means used to conduct an investigation, cooperation with other agencies and state and foreign governments, the decision whether to issue a complaint, injunctive proceedings, consent orders, cease-and-desist orders, and appeals to the Commission. The Commission's remedial and compliance functions are also examined.
Portfolio 21-4th: Manual of Federal Trade Commission Practice
Portfolio 21-5th: Manual of Federal Trade Commission Practice
I. Missions and Structure of the Federal Trade Commission
A. Vision and Missions
B. Structure of the Commission
1. The commissioners
2. The staff
a. Enforcement bureaus
(1). Bureau of Competition
(2). Bureau of Consumer Protection
b. Regional offices
c. Support bureaus
d. Staff contacts with non-involved persons
C. Laws Administered by the Commission
I. Missions and Structure of the Federal Trade
Commission
A. Vision and Missions
B. Structure of the Commission
1. The
commissioners
2. The staff
a. Enforcement bureaus
(1). Bureau of
Competition
(2). Bureau of Consumer
Protection
b. Supporting bureaus and
offices
c. Regional offices
d. Staff contacts with non-involved persons
C. Laws Administered by the Commission
II. Functions of the Commission
. Introductory Material
A. Enforcement
1. Merger enforcement—Bureau of Competition
a. Hart-Scott-Rodino Act
(1). ‘Second requests'
(2). Penalties
(3). Failure to file for reportable transactions
(4). Confidentiality
b. Horizontal Merger Guidelines
(1). Market definition and concentration
(a). Market definition
(b). Market concentration
(2). Potential adverse effects
(3). Entry
(4). Efficiencies
(5). Failure and exiting assets
2. Non-merger antitrust enforcement—Bureau of Competition
a. Statements of antitrust enforcement policy in health care
b. Antitrust Enforcement Guidelines for International Operations
c. Antitrust Guidelines for the Licensing of Intellectual Property
(1). Innovation or technology markets
(a). Technology markets
(b). Innovation markets
(2). Safety zone
d. Antitrust Guidelines for Collaborations among Competitors
3. Consumer protection enforcement—Bureau of Consumer Protection
4. Investigations
a. The decision to start an investigation
(1). Initial phase investigation
(2). Full investigations
b. How an investigation is conducted
(1). Informal investigations
(2). Formal investigations
(a). Tools of discovery
(i). Civil investigative demand
(ii). Subpoena
(iii). Investigational hearing
(iv). 6(b) order
(v). Order requiring access
(vi). Judicial review of discovery
(3). Cooperation with other agencies, the states and foreign governments
(a). International Antitrust Enforcement Assistance Act of 1994
(b). US Safe Web Act
(c). Protocol with NAAG
5. Consent decrees
a. Deciding whether to consent
b. Negotiating a consent order
c. Acceptance of a consent order
6. Preliminary injunction proceedings
7. Administrative complaint proceedings
a. Pre-trial proceedings
b. Trial of the complaint
c. Initial decision
d. Appeal to the Commission
e. Scope of the order
f. Finalization, enforcement, and reopening of orders
8. Compliance
a. Compliance by respondent
b. Compliance by non-respondents with trade regulation rules and cease and desist orders against others
B. Policy, Research, and Educational Function
1. Advisory opinions
2. Industry guides
3. Advocacy filings
4. Research, reports, workshops and conferences
5. Speeches, testimony and press reports
6. Consumer Web sites
C. Rulemaking
1. Rulemaking authority
2. Rulemaking procedures
a. Proposed rule
b. Issuance/non-issuance of rule
3. Commission review of rules
4. Judicial review
II. Functions of the Commission
. Introductory Material
A.
Enforcement
1. Merger enforcement—Bureau of
Competition
a. Hart-Scott-Rodino
Act
(1). Second requests
(2). Penalties
(3). Failure to file
for reportable transactions
(4).
Confidentiality
b. Horizontal Merger
Guidelines
(1). Evidence of adverse competitive
effects
(2). Targeted customers and price
discrimination
(3). Market definition and
concentration
(a). Market definition
(b). Market participants, market shares, and
market concentration
(4). Potential adverse
effects
(5). Powerful buyers
(6). Entry
(7).
Efficiencies
(8). Failure and exiting
assets
(9). Mergers of competing
buyers
(10). Partial acquisitions
2. Non-merger antitrust enforcement—Bureau of Competition
a. Statements of antitrust enforcement policy in
health care
b. Antitrust Enforcement Guidelines for
International Operations
c. Antitrust Guidelines
for the Licensing of Intellectual Property
(1).
Technology or innovation markets
(a). Technology
markets
(b). Innovation markets
(2). Safety zone
d. Antitrust
Guidelines for Collaborations Among Competitors
3.
Consumer protection enforcement—Bureau of Consumer Protection
4. Investigations
a. The decision to
start an investigation
(1). Initial phase
investigation
(2). Full
investigations
b. How an investigation is
conducted
(1). Informal
investigations
(2). Formal
investigations
(a). Tools of
discovery
(i). Civil investigative
demand
(ii). Subpoena
(iii). Investigational hearing
(iv).
6(b) order
(v). Order requiring
access
(vi). Judicial review of
discovery
(3). Cooperation with other agencies, the
states, and foreign governments
(a).
International Antitrust Enforcement Assistance Act of 1994
(b). US Safe Web Act
(c). Protocol
with NAAG
5. Consent decrees
a. Deciding whether to consent
b.
Negotiating a consent order
c. Acceptance of a
consent order
6. Preliminary injunction
proceedings
7. Administrative complaint
proceedings
a. Pre-trial
proceedings
b. Trial of the
complaint
c. Initial decision
d. Appeal to the Commission
e. Scope
of the order
f. Finalization, enforcement, and
reopening of orders
8. Compliance
a. Compliance by respondent
b.
Compliance by non-respondents with trade regulation rules and cease and desist
orders against others
B. Policy, Research, and
Educational Function
1. Advisory
opinions
2. Industry guides
3. Advocacy filings
4. Research,
reports, workshops, and conferences
5. Speeches,
testimony, and press reports
6. Consumer
websites
C. Rulemaking
1. Rulemaking authority
2. Rulemaking
procedures
a. Proposed rule
b. Issuance/non-issuance of rule
3.
Commission review of rules
4. Judicial
review
Portfolio 21-4th: Manual of Federal Trade Commission Practice
Wks. 1 Federal Trade Commission Act, 15 U.S.C. §§41–58
Wks. 2 Procedures and Rules of Practice of the Federal Trade Commission, 16 C.F.R. §§1.1–1.99
Wks. 3 International Antitrust Enforcement Assistance Act of 1994, 15 U.S.C. §§6201–6212
Wks. 4 Guides for Advertising Allowances and Other Merchandising, Payments, and Services, 16 C.F.R. §§240.1–240.15
Wks. 5 Guide I: What is the Premerger Notification Program? (Jan. 2002)
Wks. 6 Guide II: To File or Not to File—When You Must File a Premerger Notification Report Form (Oct. 2005)
Wks. 7 Guide III: Model Request for Additional Information and Documentary Material (Second Request) (Jan. 2002)
Wks. 8 Guide IV: The Most Frequently Asked H-S-R Questions *
Wks. 9 Overview of the Advisory Opinion Process at the Federal Trade Commission
Wks. 10 Procedures For Submitting Post-Consummation Filings
Wks. 11 FTC Protocol for Coordination in Merger Investigations Between the Federal Enforcement Agencies and State Attorneys General
Wks. 12 Model Second Requests for Additional Information and Documentary Material
Wks. 13 Statement of the Federal Trade Commission's Bureau of Competition on Negotiating Merger Remedies
Wks. 14 U.S. Department of Justice & Federal Trade Commission, Antitrust Guidelines for Collaborations Among Competitors (2000)
Wks. 15 U.S. Department of Justice & Federal Trade Commission, Horizontal Merger Guidelines (1992) (as amended Apr. 8, 1997)
Wks. 16 U.S. Department of Justice & Federal Trade Commission, Statements of Antitrust Enforcement Policy in Health Care (1996)
Wks. 17 U.S. Department of Justice & Federal Trade Commission, Antitrust Guidelines for the Licensing of Intellectual Property (1995)
Wks. 18 U.S. Department of Justice & Federal Trade Commission, Antitrust Enforcement Guidelines for International Operations (1995)
Wks. 19 Subpoena
Wks. 20 Motion to Quash a Subpoena
Wks. 21 Order Requiring the Filing of a Special Report
Wks. 22 Motion to Quash an Order Requiring the Filing of a Special Report
Wks. 23 Complaint
Wks. 24 Request for Opportunities for Oral Cross-Examination
Wks. 25 Initial Decision and Cease-and-Desist Order
Wks. 26 Final Order
Wks. 27 Checklist for Participation in a Rulemaking Proceeding