Office of General Counsel Groups
Learn more about the groups within the Office of the General Counsel
Adjudication
The Adjudication Group advises and assists the Commission on resolving appeals to the Commission and adjudications set for a hearing before the Commission. Commission’s opinions guide the securities industry on questions of law. Adjudication attorneys review the evidentiary records in these matters, research the relevant substantive and procedural requirements, and advise the Commission on how to resolve these proceedings. Many cases involve disciplinary actions against brokerage firms and other securities professionals. The appeals present challenges to decisions by administrative law judges, self-regulatory organizations, and the Public Company Accounting Oversight Board.
Resources:
- Commission Administrative Proceedings
- Commission Opinions and Adjudicatory Orders
- Commission Rules of Practice
Administrative Law and Legal Review
The Administrative Law and Legal Review Group provides legal analysis and advice on federal securities laws, administrative procedure, and other applicable laws to the SEC. The Group analyzes rulemakings and other recommendations to the Commission prepared by SEC divisions and offices, including the Divisions of Corporation Finance, Investment Management, Trading and Markets, and the Office of the Chief Accountant.
Attorneys coordinate with division and office leaders to identify and resolve legal issues related to agency rulemaking. These attorneys often address complex matters that span a wide variety of areas and raise novel legal questions, conveying their analysis through written and oral consultations.
Resources:
Appellate
The Appellate Group represents the Commission in litigation in the federal courts of appeals to which it is a party. Attorneys in this group prepare appellate and amicus briefs on behalf of the Commission and argue appeals, such as those related to Commission enforcement actions and petitions seeking review of Commission rules and administrative orders. They also work with the Solicitor General on cases before the U. S. Supreme Court.
Some Appellate group attorneys also represent the Commission in proceedings under Chapter 11 of the Bankruptcy Code involving companies with a significant number of public security holders and advise the Commission on insolvency matters.
Resources:
Enforcement and Whistleblower Review
The Enforcement and Whistleblower Review Group advises the Commission on enforcement actions and whistleblower claims. Attorneys in the group provide advice and guidance to Commissioners and enforcement staff and they review Enforcement Division recommendations for Commission action.
Attorneys in the Group also review recommendations from the Office of the Whistleblower for adjudication of award claims, and to provide advice on the rules concerning SEC’s whistleblower program.
Resources:
Litigation and Administrative Practice
The Litigation and Administrative Practice Group advises on most matters related to agency management and operations and defends the Commission in civil and administrative litigation pertaining to the performance of the agency’s official functions. The group represents the Commission before the Equal Employment Opportunity Commission, Merit Systems Protection Board, and the Federal Labor Relations Authority as well as in federal court, handling cases that arise under a variety of statutes including federal employment and labor laws, the Administrative Procedure Act, Freedom of Information Act, Right to Financial Privacy Act, Contract Disputes Act and Equal Access to Justice Act.
They also provide legal advice on matters related to the SEC budget, real estate leasing, intellectual property, FOIA requests, labor relations, employment, and contracts among other areas.
Attorneys in the group advise on professional responsibility issues and investigate matters involving attorney misconduct, including possible violations of the federal securities laws and unethical conduct in practicing before the Commission, and litigate any resulting administrative disciplinary proceedings under Rule 102(e) of the Commission's Rules of Practice.
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Last Reviewed or Updated: May 5, 2025