Other Fields
Agency Scheme: 
Level: 
Appeal Level One
ADJUDICATION STRUCTURE
Appeals: Basic Structure
Appeal Office (local name): 
Commission
Appeal Officer #1 (Title): 
Commissioner
Are administrative appeals permitted from final decisions issued by this appellate office?: 
No
PROCESS & PROCEDURE - General Information
Which party (or parties) is/are permitted to file appeals with this office?: 
Either
Is the agency permitted to have representation at appeal hearings?: 
Yes (All Types of Cases)
Who may serve as an agency representative?: 
Attorney
Are ex parte contacts prohibited?: 
No
Regulations/rules of practice for appeal hearings (please include CFR citations): 
17 CFR 148.28.
PROCESS & PROCEDURE - Hearing Procedure
What types of hearings are permitted on appeals adjudicated by this office?: 
Written (Document-Only) Hearing
Please provide the approximate percentage of each type of hearing relative to the total number of appeal hearings (FY2013)
Written (Document-Only) Hearing: 
100%
How is the type of hearing selected for appeals heard by this office?: 
Required by Rule
How many appeal officers preside at each hearing?: 
Varies by Case
If "Varies by Case," please describe: 
These are heard before the Commission which is currently four members, and subject to the availability of all members.
Is factual development permitted at the appellate hearing as a means of supplementing the record from below?: 
No
Can third-parties submit amicus briefs and/or evidence?: 
No
Are appeal hearings recorded and/or transcribed?: 
N/A (Document-Only Hearings)
Are appeal hearings open to the public?: 
N/A (Document-Only Hearing)
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts final decisions on appellate cases adjudicated by this office?: 
Adjudication Officer
Who has authority to issue final decisions on appellate cases adjudicated by this office?: 
Adjudication Officer
Do agency regulations or guidance provide time limits for issuance of final decisions on appellate cases?: 
No
Is judicial review available after issuance of a final decision on appellate cases adjudicated by this office?: 
Yes (All Types of Cases)
PROCESS & PROCEDURE - Case Management
Does the agency permit web-based electronic filing of briefs or other documents in cases adjudicated by this appellate office?: 
No
Are final decisions issued by this appellate office published and/or posted on the agency website?: 
No
Do agency regulations/rules of practice specify the contents of the administrative record on appeals heard by this office?: 
No
Do agency regulations/rules of practice provide for closure of the record on appeals heard by this office?: 
No
Verified by Agency: 
Not verified