U. S. Securities and Exchange Commission

Securities Exchange Act of 1934
Release No. 45768 /April 17, 2002

Report on Administrative Proceedings
For the Period October 1, 2001 through March 31, 2002

Rule 900 of the Commission's Rules of Practice (17 CFR 201.900) requires the Commission's Secretary to issue each October and April a status report on the Commission's administrative proceedings caseload.

The report identifies the number of matters pending before the administrative law judges and the Commission at the beginning of the six-month period; the number of matters instituted, filed, and disposed of during the period; and the number pending at the end of the period. For each category of decision, the report shows the median age of the matters at the time of decision and the number of matters decided within the guidelines in Rule 900 for the timely completion of adjudicatory proceedings. Finally, the report includes comparison figures from the previous two six-month periods.

Report on Administrative Proceedings
for the Period October 1, 2001 through March 31, 2002

Matters Before the Administrative Law Judges

	10/1/2001 - 3/31/2002	4/1/2001 - 9/30/2001	10/1/2000 - 3/31/2001
Number pending at start of period	60	65	87
New matters added during period	191	27	10
Subtotal	79	92	97
Dispositions:
Initial Decisions	8	11	10
Other dispositions (e.g., settlements, defaults)2	20	21	22
Total pending at end of period	51	60	65
Initial Decisions:
Median age at decision (days)	713	743	868
Number issued within 10 months	3	2	1

Matters Before the Commission

	10/1/2001 - 3/31/2002	4/1/2001 - 9/30/2001	10/1/2000 - 3/31/2001
Review of ALJ Matters3
Number pending at start of period	34	32	32
New matters added during period	114	5	8
Subtotal	45	37	40
Dispositions:
Opinions	6	3	7
Other dispositions (e.g., dismissals)	--	--	1
Total pending at end of period	39	34	32
Opinions:
Median age at decision (days)	734	713	616
Number decided within 11 months	0	1	0

Matters Before the Commission

	10/1/2001 - 3/31/2002	4/1/2001 - 9/30/2001	10/1/2000 - 3/31/2001
Review of Self-Regulatory Organization Decisions5
Number pending at start of period	24	25	27
New matters added during period	4	10	13
Subtotal	28	35	40
Dispositions:
Opinions	9	8	11
Other dispositions (e.g., dismissals, remands)	1	3	4
Total pending at end of period	18	24	25
Opinions:
Median age at decision (days)	459	588	391
Number decided within 11 months	3	2	3

	10/1/2001 - 3/31/2002	4/1/2001 - 9/30/2001	10/1/2000 - 3/31/2001
Miscellaneous Matters
Interlocutory Motions:
Number pending at start of period	1	1	1
Number filed during period	2	0	0
Number decided during period	0	0	0
Total pending at end of period	3	1	1
Median age at decision (days)	--	--	--
Number decided within 45 days	--	--	--
Stay Requests:
Number pending at start of period	0	0	1
Number filed during period	7	3	5
Number decided during period	6	3	5
Total pending at end of period	1	0	0
Median age at decision (days)	2	1	8
Number decided within guidelines6	6	3	3

Footnotes

http://www.sec.gov/litigation/admin/34-45768.htm