Other Fields
Agency Scheme: 
SECOEAJA0002
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
Hearing Officer #1 (Title): 
Administrative Law Judge
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
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. §§ 201.31-201.59
PROCESS & PROCEDURE - Pre-Hearing Procedure
Is discovery permitted by either party at the hearing-level stage?: 
No
Does the hearing officer have subpoena authority?: 
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: 
Ordinarily, the determination of an award will be made on the basis of the written record. However, on request of either the applicant or counsel for the Office or Division of the Commission, or on his or her own initiative, the administrative law judge may order further proceedings, such as an informal conference, oral argument, etc.
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
N/A (Document-Only Hearings)
Can parties cross-examine witnesses?: 
N/A (Document-Only Hearings)
Can third-parties submit amicus briefs and/or evidence?: 
No
Are hearings recorded and/or transcribed?: 
N/A (Document-Only Hearings)
Are hearings open to the public?: 
N/A (Document-Only Hearing)
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?: 
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?: 
Yes
If "Yes," when is ADR available?: 
Pre-Hearing
Post-Hearing
Is ADR a mandatory or voluntary process?: 
Voluntary
What type(s) of ADR are available?: 
Settlement Conference
If "Other," please specify:: 
The hearing official (normally an ALJ) initially expresses his or her views on an offer of settlement. The division involved then presents the offer of settlement to the Commission with its recommendation (to accept or decline the offer). Normally only offers that are recommended to be accepted are presented to the Commission.
Regulations/rules of practice governing ADR process (please include CFR citations): 
17 C.F.R § 201.240
Comments/Notes on ADR Process (Optional): 
The settlement conference procedures applicable to EAJA cases are incorporated by reference to the general procedures used for cases adjudicated by the Office of Administrative Law Judges.
Verified by Agency: 
Not verified