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U. S. Securities and Exchange CommissionSecurities Exchange Act of 1934
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10/1/2002- 3/31/2003 |
4/1/2002- 9/30/2002 |
10/1/2001- 3/31/2002 | |
Number pending at start of period |
45 | 51 | 60 |
New matters added during period |
34 | 31 | 19 |
Subtotal |
79 | 82 | 79 |
Dispositions: |
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Initial Decisions |
9 | 15 | 8 |
Other dispositions |
33 | 22 | 20 |
Total pending at end of period |
37 | 45 | 51 |
Initial Decisions: |
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Median age at decision (days) |
417 | 425 | 713 |
Number issued within 10 months |
3 | 4 | 3 |
10/1/2002- 3/31/2003 |
4/1/2002- 9/30/2002 |
10/1/2001- 3/31/2002 | |
Review of ALJ Matters2 |
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Number pending at start of period |
39 | 39 | 34 |
New matters added during period |
4 | 10 | 113 |
Subtotal |
43 | 49 | 45 |
Dispositions: |
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Opinions |
8 | 9 | 6 |
Other dispositions |
0 | 1 | -- |
Total pending at end of period |
35 | 39 | 39 |
Opinions: |
|||
Median age at decision (days) |
683 | 546 | 734 |
Number decided within 11 months |
1 | 2 | 0i |
10/1/2002- 3/31/2003 |
4/1/2002- 9/30/2002 |
10/1/2001- 3/31/2002 | |
Review of Self-Regulatory Organization Decisions4 | |||
Number pending at start of period | 21 | 18 | 24 |
New matters added during period | 11 | 7 | 4 |
Subtotal | 32 | 25 | 28 |
Dispositions: | |||
Opinions | 13 | 4 | 9 |
Other dispositions (e.g., dismissals, remands) |
2 | 0 | 1 |
Total pending at end of period | 17 | 21 | 18 |
Opinions: | |||
Median age at decision (days) | 532 | 558 | 459 |
Number decided within 11 months | 0 | 1 | 3 |
10/1/2002- 3/31/2003 |
4/1/2002- 9/30/2002 |
10/1/2001- 3/31/2002 | |
Miscellaneous Matters | |||
Interlocutory Motions: | |||
Number pending at start of period | 0 | 3 | 1 |
Number filed during period | 0 | 0 | 2 |
Number decided during period | 0 | 3 | 0 |
Total pending at end of period | 0 | 0 | 3 |
Median age at decision (days) | 0 | 605 | -- |
Number decided within 45 days | 0 | 0 | -- |
Stay Requests: | |||
Number pending at start of period | 0 | 1 | 0 |
Number filed during period | 13 | 3 | 7 |
Number decided during period | 13 | 4 | 6 |
Total pending at end of period | 0 | 0 | 1 |
Median age at decision (days) | 2 | 3 | 2 |
Number decided within guidelines6 | 13 | 3 | 6 |
______________________
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/34-47681.htm
Home | Previous Page | Modified: 04/17/2003 |