Other Fields
Agency Scheme: 
SECOAOFF0001
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of Administrative Law Judges
Name of Hearing Office (global name): 
Securities and Exchange Commission: Office of Administrative Law Judges
Sub-Agency/Bureau/Division:: 
"Designee" (often an ALJ w/in Office of ALJ's)
Hearing Officer #1 (Title): 
"Designee" (often an Administrative Law Judge (ALJ) within the Office of Administrative Law Judges)
Hearing Officer #2 (Title): 
Commissioner
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (Some Types of Cases)
Comments/Notes on Adjudication Structure: 

Administrative appeals are normally allowed when the hearing is conducted by a "designee" and not the Commission itself.

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
Regulations/rules of practice for hearings (please include CFR citations): 
17 C.F.R. §§ 204.1-204.11
PROCESS & PROCEDURE - Pre-Hearing Procedure
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: 
Depends on Nature of Case/Claim
Please describe: 
A debtor will be provided an oral hearing when: (1) by statute, consideration must be given to a request to waive the indebtedness; or (2) the debtor requests reconsideration and the Commission's designee determines that the question of indebtedness cannot be resolved by reviewing document evidence.
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Varies by Case
If "Varies by Case," please describe: 
In those hearings that are not document-only, it appears witness testimony is allowed.
Can parties cross-examine witnesses?: 
Varies by Case
If "Varies by Case," please describe: 
In those hearings that are not document-only, it appears (in line with other agency procedures and Commission decisions available online) that parties are allowed to cross-examine witnesses.
Can third-parties submit amicus briefs and/or evidence?: 
No
Are hearings recorded and/or transcribed?: 
N/A (Document-Only Hearings)
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts the decision at the hearing-level stage?: 
Adjudication Officer
Who has authority to issue final decisions?: 
Adjudication Officer
Do agency regulations or guidance provide time limits for issuance of final decisions?: 
Yes (Some Types of Cases)
If "Yes," please specify these time limit(s): 
Where an oral hearing is provided, the hearing officer must provide the debtor with a written decision 30 days after the hearing.
Is judicial review available after issuance of a final decision?: 
Yes (Some Types of Cases)
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
ADJUDICATORS
Comments/Notes on Hearing-Level Adjudicators (Optional): 
The hearing level adjudicator can be a wide variety of individuals (anyone the Commission "designates"). It appears that an administrative law judge from the Office of Administrative Law Judges is the most common "designee." However, it is well within the Commission's authority to appoint another agency official to preside over the hearing.
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. See 17 C.F.R. § 204.8.
Verified by Agency: 
Not verified