C.F.R. » Title 17 » CHAPTER II—SECURITIES AND EXCHANGE COMMISSION › PART 201—RULES OF PRACTICE › Subpart D—Rules of Practice

17 C.F.R. § 201.452

Additional evidence

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Upon its own motion or the motion of a party, the Commission may allow the submission of additional evidence. A party may file a motion for leave to adduce additional evidence at any time prior to issuance of a decision by the Commission. Such motion shall show with particularity that such additional evidence is material and that there were reasonable grounds for failure to adduce such evidence previously. The Commission may accept or hear additional evidence, may remand the proceeding to a self-regulatory organization, or may remand or refer the proceeding to a hearing officer for the taking of additional evidence, as appropriate.

Notes of Decisions
Cited in 7 cases (4 in the last 5 years), 2005–2024 · leading case: Nat'l Ass'n of Sec. Dealers, Inc. v. Sec. & Exch. Comm'n, 431 F.3d 803 (D.C. Cir. 2005).
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Nat'l Ass'n of Sec. Dealers, Inc. v. Sec. & Exch. Comm'n, 431 F.3d 803 (D.C. Cir. 2005). “Commission Rule of Practice 452, 17 C.F.R. § 201.452 . SEC’s oversight of NASD’s quasi-governmental disciplinary functions is not limited to review of individual disciplinary actions.”
Transcontinental Gas Pipe Line Co LLC v. Pennsylvania Env't Hearing Bd., 108 F.4th 144 (3d Cir. 2024). “So although this Court and the EHB both have appellate review powers over a PADEP decision regarding conditions or sub-conditions for a Certificate of Public Convenience and Necessity, the EHB need not be understood as a court for purposes of the Natural 4 See also, e.”
Jarkesy v. Sec. & Exch. Comm'n, 803 F.3d 9 (D.C. Cir. 2015). “17 C.F.R. § 201.452 ; see John Thomas Capital Mgmt.”
Scottsdale Capital Advisors Corp. v. Fin. Indus. Regulatory Auth., Inc. (D.D.C. 2023). · cites it 2× “§ 78s(d)(2), which conducts de novo review and may consider evidence not previously considered by FINRA, see Commission Rule of Practice 452, 17 C.F.R. § 201.452 . Final decisions by the SEC are subject to review by a federal appellate court with the filing of a petition by an…”
Kim v. Fin. Indus. Regulatory Auth., Inc. (D.D.C. 2023). “25 at 16:5–8; see also 17 C.F.R. § 201.452 (permitting SEC to consider additional evidence).”
Transcontinental Gas Pipe Line Co LLC v. Pennsylvania Env't Hearing Bd. (3d Cir. 2024). “So although this Court and the EHB both have appellate review powers over a PADEP decision regarding conditions or sub-conditions for a Certificate of Public Convenience and Necessity, the EHB need not be understood as a court for purposes of the Natural 4 See also, e.”
Natl Assn Sec Dlrs v. SEC (D.C. Cir. 2005). “Commission Rule of Practice 452, 17 C.F.R. § 201.452 . SEC’s oversight of NASD’s quasi-governmental disciplinary functions is not limited to review of individual disciplinary actions.”
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