Other Fields
Agency Scheme: 
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of the Chief Financial Officer
Name of Hearing Office (global name): 
Securities and Exchange Commission: Office of the Chief Financial Officer
Hearing Officer #1 (Title): 
Chief Financial Officer
Hearing Officer #2 (Title): 
Administrative Law Judge
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
Comments/Notes on Adjudication Structure: 

Hearings can be held before either the Program Official (Chief Financial Officer or his/her designee) or before an administrative law judge (from the Office of Administrative Law Judges). Who hears a case is determined by whether the respondent (debtor) requests a formal pre-offset hearing and whether the Program Official grants the debtor such hearing. If the hearing is not held (or not granted) then the Program Official adjudicates the case. If it is granted, an administrative law judge from the Office of Administrative Law Judges adjudicates the case.

PROCESS & PROCEDURE - General Information
Are private parties permitted to have representation at hearings?: 
Yes (All Types of Cases)
Who may serve as a private party representative?: 
Attorney
Is the agency permitted to have representation at hearings?: 
Yes (All Types of Cases)
Who may serve as an agency representative?: 
Attorney
Regulations/rules of practice for hearings (please include CFR citations): 
17 C.F.R. ยงยง 204.30-.59
PROCESS & PROCEDURE - Pre-Hearing Procedure
Is discovery permitted by either party at the hearing-level stage?: 
No
Are ex parte contacts prohibited?: 
No
Are parties provided notice of hearing?: 
Yes (All Types of Cases)
PROCESS & PROCEDURE - Hearing Procedure
What types of hearings are permitted at the hearing-level stage?: 
Written (Document-Only) Hearing
In-Person
How is the type of hearing selected: 
By Agency
By Private Party
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Yes
Can parties cross-examine witnesses?: 
Yes
Can third-parties submit amicus briefs and/or evidence?: 
No
Are hearings recorded and/or transcribed?: 
Yes
Are hearings open to the public?: 
Presumed Open (But May Be Closed Under Certain Conditions)
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts the decision at the hearing-level stage?: 
Adjudication Officer
Program Official
Who has authority to issue final decisions?: 
Adjudication Officer
Program Official
Do agency regulations or guidance provide time limits for issuance of final decisions?: 
No
Is judicial review available after issuance of a final decision?: 
No
PROCESS & PROCEDURE - Case Management
Does the agency permit web-based electronic filing of hearing-related briefs or other documents?: 
No
Are final decisions published and/or posted on the agency website?: 
Yes (All Decisions)
Do agency regulations/rules of practice specify the contents of the administrative record at the hearing-level stage?: 
No
Do agency regulations/rules of practice provide for closure of the record at the hearing-level stage (subject to applicable exce: 
No
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
No
Comments/Notes on ADR Process (Optional): 
Although ADR is not available. The Commission will consider debtor requests for repayment agreements.
Verified by Agency: 
Not verified