17 C.F.R. § 201.110
Presiding officer
All proceedings shall be presided over by the Commission or, if the Commission so orders, by a hearing officer. When the Commission designates that the hearing officer shall be an administrative law judge, the Chief Administrative Law Judge shall select, pursuant to 17 CFR 200.30-10, the administrative law judge to preside.
Notes of Decisions
Cited in 19
cases (6 in the last 5 years), 2015–2024 · leading case: Lucia v. SEC, 138 S. Ct. 2044 (2018).
Lucia v. SEC, 138 S. Ct. 2044 (2018). “See 17 CFR §201.110 (2017). But the Com- mission also may, and typically does, delegate that task to an ALJ.”
SEC v. Jarkesy, 603 U.S. 109 (2024). “See 17 CFR § 201.110 (2023). But the title “judge” in this context is not quite what it might seem.”
Jarkesy v. SEC, 34 F.4th 446 (5th Cir. 2022). “(citing 17 C.F.R. § 201.110 ). 53 Case: 20-61007 Document: 00516323784 Page: 54 Date Filed: 05/18/2022 No.”
Tilton v. Sec. & Exch. Comm'n, 824 F.3d 276 (2d Cir. 2016). “See 17 C.F.R. § 201.110 . A presiding ALJ has authority to issue an initial decision, which may become final only by order of the Commission.”
Bennett v. U.S. Sec. & Exch. Comm'n, 844 F.3d 174 (4th Cir. 2016). “See 17 C.F.R. § 201.110 . When the Commission initially assigns enforcement proceedings to an ALJ, the ALJ holds a hearing and makes an initial decision, which the respondent may appeal by petitioning for review before the full Commission.”
Gray Fin. Grp., Inc. v. U.S. Sec. & Exch. Comm'n, 825 F.3d 1236 (11th Cir. 2016). “§ 78d-1(a)-(b); 17 C.F.R. § 201.110 . Unlike an action brought in federal court, in a proceeding before the Commission the Federal Rules of Civil Procedure and Evidence do not apply, and the respondent does not enjoy the right to a jury trial.”
Bebo v. Sec. & Exch. Comm'n, 799 F.3d 765 (7th Cir. 2015). “See 17 C.F.R. § 201.110 . The hearing took place over several weeks and was scheduled to conclude by June 19, 2015.”
SEC v. Jarkesy, 603 U.S. 109 (2024). “See 17 CFR §201.110 (2023). But the title “judge” in this context is not quite what it might seem.”
Hill v. Sec. & Exch. Comm'n, 114 F. Supp. 3d 1297 (N.D. Ga. 2015). “‘ 17 C.F.R. § 201.110 . When an ALJ is selected by the SEC to preside — as was done by the SEC in Plaintiffs case — the ALJ is selected by the Chief Administrative Law Judge.”
Bombardier, Inc. v. United States Dep't of Labor, 145 F. Supp. 3d 21 (D.D.C. 2015). “(citing 17 C.F.R. § 201.110 ). Parties may then appeal the administrative law judge’s decision to the full Commission; doing so is a prerequisite to later judicial review.”
Ironridge Global IV, Ltd. v. Sec. & Exch. Comm'n, 146 F. Supp. 3d 1294 (N.D. Ga. 2015). “17 C.F.R. § 201.110 . When an ALJ is selected by the SEC to preside — as was done by the SEC in Plaintiffs’ case — the ALJ is selected by the Chief Administrative Law Judge.”
Gray Fin. Grp., Inc. v. Sec. & Exch. Comm'n, 166 F. Supp. 3d 1335 (N.D. Ga. 2015). “17 C.F.R. § 201.110 . When an ALJ is selected by the SEC to preside — as was done by the SEC in Plaintiffs’ case — the ALJ is selected by the Chief Administrative Law Judge.”
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