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.
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)
Who typically drafts 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)
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