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U. S. Securities and Exchange CommissionSecurities Exchange Act of 1934
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4/1/2002- 9/30/2002 | 10/1/2001 - 3/31/2002 | 4/1/2001 - 9/30/2001 | |
Number pending at start of period | 51 | 60 | 65 |
New matters added during period | 31 | 19 | 27 |
Subtotal | 82 | 79 | 92 |
Dispositions: | |||
Initial Decisions | 15 | 8 | 11 |
Other dispositions (e.g., settlements, defaults)1 |
22 | 20 | 21 |
Total pending at end of period | 45 | 51 | 60 |
Initial Decisions: | |||
Median age at decision (days) | 425 | 713 | 743 |
Number issued within 10 months | 4 | 3 | 2 |
4/1/2002 - 9/30/2002 | 10/1/2001 - 3/31/2002 | 4/1/2001 - 9/30/2001 | |
Review of ALJ Matters2 | |||
Number pending at start of period | 39 | 34 | 32 |
New matters added during period | 10 | 113 | 5 |
Subtotal | 49 | 45 | 37 |
Dispositions: | |||
Opinions | 9 | 6 | 3 |
Other dispositions (e.g., dismissals) |
1 | -- | -- |
Total pending at end of period | 39 | 39 | 34 |
Opinions: | |||
Median age at decision (days) | 546 | 734 | 713 |
Number decided within 11 months | 2 | 0 | 1 |
4/1/2002 - 9/30/2002 | 10/1/2001 - 3/31/2002 | 4/1/2001 - 9/30/2001 | |
Review of Self-Regulatory Organization Decisions4 | |||
Number pending at start of period | 18 | 24 | 25 |
New matters added during period | 7 | 4 | 10 |
Subtotal | 25 | 28 | 35 |
Dispositions: | |||
Opinions | 4 | 9 | 8 |
Other dispositions (e.g., dismissals, remands) |
0 | 1 | 3 |
Total pending at end of period | 21 | 18 | 24 |
Opinions: | |||
Median age at decision (days) | 558 | 459 | 588 |
Number decided within 11 months | 1 | 3 | 2 |
4/1/2002 - 9/30/2002 | 10/1/2001 - 3/31/2002 | 4/1/2001 - 9/30/2001 | |
Miscellaneous Matters | |||
Interlocutory Motions: | |||
Number pending at start of period | 3 | 1 | 1 |
Number filed during period | 0 | 2 | 0 |
Number decided during period | 3 | 0 | 0 |
Total pending at end of period | 0 | 3 | 1 |
Median age at decision (days) | 605 | -- | -- |
Number decided within 45 days | 0 | -- | -- |
Stay Requests: | |||
Number pending at start of period | 1 | 0 | 0 |
Number filed during period | 3 | 7 | 3 |
Number decided during period | 4 | 6 | 3 |
Total pending at end of period | 0 | 1 | 0 |
Median age at decision (days) | 3 | 2 | 1 |
Number decided within guidelines6 | 3 | 6 | 3 |
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1 | Includes all proceedings disposed of other than by an initial decision, including default orders that dispose of the entire proceeding. |
2 | May include review of initial decisions, review of other non-interlocutory ALJ matters, and matters on remand from the Courts of Appeals. |
3 | Includes one matter appealed during the last reporting period and not included in the previous report. |
4 | May include matters filed pursuant to Section 11A of the Securities Exchange Act of 1934. |
5 | The age at decision of the three motions was 47 days, 60 days, and 987 days. |
6 | Guideline is either five days or 45 days depending on the effective date of the order requested to be stayed. |
http://www.sec.gov/litigation/admin/34-46664.htm
Home | Previous Page | Modified: 10/21/2002 |