Other Fields
Agency Scheme: 
SECOSOFF0005
Level: 
Appeal Level One
ADJUDICATION STRUCTURE
Appeals: Basic Structure
Appeal Office (local name): 
Commission
Appeal Office (global name): 
Securities and Exchange Commission: 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
Are private parties permitted to have representation at appeal hearings?: 
Yes (All Types of Cases)
Who may serve as a private party representative?: 
Attorney
Is the agency permitted to have representation at appeal hearings?: 
Yes (All Types of Cases)
Who may serve as an agency representative?: 
Attorney
Regulations/rules of practice for appeal hearings (please include CFR citations): 
17 C.F.R. ยงยง 201.400-.490 (impliedly incorporated by reference)
PROCESS & PROCEDURE - Hearing Procedure
What types of hearings are permitted on appeals adjudicated by this office?: 
Written (Document-Only) Hearing
In-Person
How is the type of hearing selected for appeals heard by this office?: 
By Agency
By Private Party
How many appeal officers preside at each hearing?: 
Four or More
Is factual development permitted at the appellate hearing as a means of supplementing the record from below?: 
Yes (All Types of Cases)
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts final decisions on appellate cases adjudicated by this office?: 
Adjudication Officer
Other
If "Other/Varies by Case," please describe: 
The Commission makes the final decision which is then published by the Commission's Secretary.
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
Are final decisions issued by this appellate office published and/or posted on the agency website?: 
Yes (All Decisions)
ADR: General Information
Is ADR available at one or more points for appellate cases heard by this office?: 
No
Verified by Agency: 
Not verified