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U. S. Securities and Exchange CommissionSecurities Exchange Act of 1934
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4/1/2004 – 9/30/2004 | 10/1/2003–3/31/2004 | 4/1/2003– 9/30/2003 | |
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Number pending at start of period | 40 | 38 | 37 |
New matters added during period | 71 | 32 | 40 |
Subtotal | 111 | 70 | 77 |
Dispositions: | |||
Initial Decisions | 14 | 10 | 10 (12)1 |
Other dispositions (e.g., settlements, defaults)2 |
33 | 20 | 29 |
Total pending at end of period | 64 | 40 | 38 |
Initial Decisions: | |||
Median age at decision (days) | 247 | 156 | 241 |
Number issued within guideline or specified time period3 |
8 | 6 | 7 |
4/1/2004 – 9/30/2004 | 10/1/2003–3/31/2004 | 4/1/2003– 9/30/2003 | |
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Review of ALJ Matters4 | |||
Number pending at start of period | 9 | 15 | 35 |
New matters added during period | 5 | 7 | 4 |
Subtotal | 14 | 22 | 39 |
Dispositions: | |||
Opinions | 5 | 12 (13) 5 | 23 |
Other dispositions (e.g., dismissals) |
0 | 1 | 1 |
Total pending at end of period | 9 | 9 | 15 |
Opinions: | |||
Median age at decision (days) | 237 | 449 | 933 |
Number decided within guideline6 | 2 | 5 | 2 |
4/1/2004 – 9/30/2004 | 10/1/2003–3/31/2004 | 4/1/2003– 9/30/2003 | |
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Review of Self-Regulatory Organization Decisions7 | |||
Number pending at start of period | 16 | 16 | 17 |
New matters added during period | 13 | 15 | 10 |
29 | 31 | 27 | |
Dispositions: | |||
Opinions | 10 (9)8 | 11 | 10 |
Other dispositions (e.g., dismissals, remands) |
3 | 4 | 1 |
Total pending at end of period | 16 | 16 | 16 |
Opinions: | |||
Median age at decision (days) | 215 | 240 | 278 |
Number decided within guidelines9 | 6 | 7 | 7 |
4/1/2004 – 9/30/2004 | 10/1/2003–3/31/2004 | 4/1/2003– 9/30/2003 | |
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Miscellaneous Matters | |||
Interlocutory Motions: | |||
Number pending at start of period | 0 | 0 | 0 |
Number filed during period | 0 | 1 | 0 |
Number decided during period | 0 | 1 | 0 |
Total pending at end of period | 0 | 0 | 0 |
Median age at decision (days) | 1 | 0 | |
Number decided within 45 days | 1 | 0 | |
Stay Requests: | |||
Number pending at start of period | 0 | 0 | 0 |
Number filed during period | 4 | 6 | 11 |
Number decided during period | 4 | 6 | 11 |
Total pending at end of period | 0 | 0 | 0 |
Median age at decision (days) | 6 | 6 | 3 |
Number decided within guidelines10 | 3 | 5 | 11 |
1 Twelve initial decisions disposed of 10 cases.
2 Includes all proceedings disposed of other than by an initial decision, including default orders that dispose of the entire proceeding.
3 Guideline for matters instituted prior to 7/17/03 is 10 months from institution. Effective 7/17/03, each order instituting proceedings includes a time period (120, 210, or 300 days) for issuance of an initial decision, which may be extended by the Commission.
4 May include review of initial decisions, review of other non-interlocutory ALJ matters, and matters on remand from the Courts of Appeals.
5 Thirteen opinions disposed of 12 cases.
6 Guideline for matters appealed before 7/17/03 is 11 months from filing of appeal. Guideline is 7 months for matters appealed 7/17/03 or later (or 11 months if the Commission determines that a matter presents unusual complicating circumstances).
7 May include matters filed pursuant to Section 11A of the Securities Exchange Act of 1934.
8 Nine opinions disposed of 10 cases.
9 Guideline for matters filed before 7/17/03 is 11 months from filing. Guideline is 7 months for matters filed 7/17/03 or later (or 11 months if the Commission determines that a matter presents unusual complicating circumstances).
10 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/34-50550.htm
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