Agency: 
Securities and Exchange Commission

This scheme covers a wide array of cases adjudicated by the SEC's Office of Administrative Law Judges. Most administrative enforcement proceedings are conducted within the Office of Administrative Law Judges.

Note: The Securities and Exchange Commission did not participate in this survey. The information included in this database was derived from publicly available sources.

Comments/Notes on Adjudication Structure: 
This scheme concerns a wide variety of cases that are initially adjudicated by the Office of Administrative Law Judges. The cases in this scheme are first heard by an Administrative Law Judge (ALJ). After hearing a case, the ALJ renders an initial decision that is appealable by either party to the Commission. The Commission has the right to review any decision on its own initiative without regard for whether an appeal was filed.
Types of Adjudication: 
Type B
Comments/Notes on Related Schemes: 
SECOSOFF0005 also shares Appeal Level 1. SECOFFDI0003's hearing office is this scheme's appeals office. Administrative proceedings concerning administrative and salary offset can sometimes go through the Office of Administrative Law Judges. In administrative offset the Commission can immediately hear the case or may designate an ALJ in the Office of Administrative Law Judges to first hear the case. In salary offset the respondent may request a pre-offset hearing. If such hearing is granted / takes place it is normally conducted by an Administrative Law Judge within the Office of Administrative Law Judges.
Resources & Articles: 
Other resources are saved in corresponding SEC folder as PDF's
Verified by Agency: 
Not verified
Is this a Major Adjudication: 
Yes