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)
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)
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.
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)
Are final decisions issued by this appellate office published and/or posted on the agency website?:
Yes (All Decisions)
Is ADR available at one or more points for appellate cases heard by this office?:
No
Verified by Agency:
Not verified