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U. S. Securities and Exchange CommissionSecurities Exchange Act of 1934
|
4/1/2003- 9/30/2003 |
10/1/2002- 3/31/2003 |
4/1/2002- 9/30/2002 | |
Number pending at start of period |
37 |
45 |
51 |
New matters added during period |
40 |
34 |
31 |
Subtotal |
77 |
79 |
|
Dispositions: |
|||
Initial Decisions |
10 (12)1 |
9 |
15 |
Other dispositions |
29 |
33 |
22 |
Total pending at end of period |
38 |
37 |
45 |
Initial Decisions: |
|||
Median age at decision (days) |
241 |
417 |
425 |
Number issued within guideline3 |
7 |
3 |
4 |
4/1/2003- 9/30/2003 |
10/1/2002- 3/31/2003 |
4/1/2002- 9/30/2002 | |
Review of ALJ Matters4 |
|||
Number pending at start of period |
35 |
39 |
39 |
New matters added during period |
4 |
4 |
10 |
Subtotal |
39 |
43 |
49 |
Dispositions: |
|||
Opinions |
23 |
8 |
9 |
Other dispositions |
1 |
0 |
1 |
Total pending at end of period |
15 |
35 |
39 |
Opinions: |
|||
Median age at decision (days) |
933 |
683 |
546 |
Number decided within guideline5 |
2 |
1 |
2 |
4/1/2003- 9/30/2003 |
10/1/2002- 3/31/2003 |
4/1/2002- 9/30/2002 | |
Review of Self-Regulatory Organization Decisions6 |
|||
Number pending at start of period |
17 |
21 |
18 |
New matters added during period |
10 |
11 |
7 |
Subtotal |
27 |
32 |
25 |
Dispositions: |
|||
Opinions |
10 |
13 |
4 |
Other dispositions |
1 |
2 |
0 |
Total pending at end of period |
16 |
17 |
21 |
Opinions: |
|||
Median age at decision (days) |
278 |
532 |
558 |
Number decided within 11 months |
7 |
0 |
1 |
4/1/2003- 9/30/2003 |
10/1/2002- 3/31/2003 |
4/1/2002- 9/30/2002 | |
Miscellaneous Matters |
|||
Interlocutory Motions: |
|||
Number pending at start of period |
0 |
0 |
3 |
Number filed during period |
0 |
0 |
0 |
Number decided during period |
0 |
0 |
3 |
Total pending at end of period |
0 |
0 |
0 |
Median age at decision (days) |
0 |
0 |
607 |
Number decided within 45 days |
0 |
0 |
0 |
Stay Requests: |
|||
Number pending at start of period |
0 |
0 |
1 |
Number filed during period |
11 |
13 |
3 |
Number decided during period |
11 |
13 |
4 |
Total pending at end of period |
0 |
0 |
0 |
Median age at decision (days) |
3 |
2 |
3 |
Number decided within guidelines8 |
11 |
13 |
3 |
1 Two initial decisions did not address all Respondents charged in the orders instituting proceedings, and thus did not entirely
dispose of the 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. From that date forward, each order instituting
proceedings will include 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 Guideline was 11 months from filing of appeal and was changed to seven months (or 11 months if the Commission determines
that a matter presents unusual complicating circumstances) in July 2003 amendment to the Rules of Practice.
6 May include matters filed pursuant to Section 11A of the Securities Exchange Act of 1934.
7 The age at decision of the three motions was 47 days, 60 days, and 987 days.
8 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/34-48667.htm
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