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U. S. Securities and Exchange CommissionSecurities Exchange Act of 1934
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4/1/2001 - 9/30/2001 |
10/1/2000 - 3/31/2001 |
4/1/2000 - 9/30/2000 | |
---|---|---|---|
Number pending at start of period | 65 | 87 | 93 |
New matters added during period | 27110 | 31 | |
Subtotal | 92 | 97 | 124 |
Dispositions: | |||
Initial Decisions | 11 | 10 | 102 |
Other dispositions (e.g., settlements, defaults)3 |
21 | 22 | 27 |
Total pending at end of period | 60 | 65 | 87 |
Initial Decisions: | |||
Median age at decision (days) | 743 | 868 | 736 |
Number issued within 10 months | 2 | 1 | 3 |
4/1/2001 - 9/30/2001 |
10/1/2000 - 3/31/2001 |
4/1/2000 - 9/30/2000 | |
Review of ALJ Matters4 | |||
Number pending at start of period | 32 | 32 | 28 |
New matters added during period | 5 | 8 | 6 |
Subtotal | 37 | 40 | 34 |
Dispositions: | |||
Opinions | 3 | 7 | 1 |
Other dispositions (e.g., dismissals) |
-- | 1 | 1 |
Total pending at end of period | 34 | 32 | 32 |
Opinions: | |||
Median age at decision (days) | 713 | 616 | 1343 |
Number issued within 11 months | 1 | 0 | 0 |
Review of Self-Regulatory Organization Decisions5 | |||
Number pending at start of period | 25 | 27 | 26 |
New matters added during period | 10 | 13 | 13 |
Subtotal | 35 | 40 | 39 |
Dispositions: | |||
Opinions | 8 | 11 | 6 |
Other dispositions (e.g., dismissals, remands) |
3 | 4 | 6 |
Total pending at end of period | 24 | 25 | 27 |
Opinions: | |||
Median age at decision (days) | 588 | 391 | 530 |
Number decided within 11 months | 2 | 3 | 0 |
Miscellaneous Matters | |||
Interlocutory Motions: | |||
Number pending at start of period | 1 | 1 |
1 |
Number filed during period | 0 | 0 |
0 |
Number decided during period | 0 | 0 |
0 |
Total pending at end of period | 1 | 1 |
1 |
Median age at decision (days) | -- | -- |
-- |
Number decided within 45 days | -- | -- |
-- |
Stay Requests: | |||
Number pending at start of period | 0 | 1 | 1 |
Number filed during period | 3 | 5 | 13 |
Number decided during period | 3 | 5 | 14 |
Total pending at end of period | 0 | 0 | 0 |
Median age at decision (days) | 1 | 8 | 1 |
Number decided within guidelines6 | 3 | 3 | 11 |
1 | Of this number, 25 were orders instituting proceedings. The number of orders instituting proceedings issued during this six-month period by month are: 4/01:2, 5/01:3, 6/01:4, 7/01:2, 8/01:1, 9/01:13. |
2 | One additional initial decision this period did not dispose of the entire case. |
3 | Includes all proceedings disposed of other than by an initial decision, including default orders that dispose of the entire proceeding. |
4 | May include review of initial decisions, review of other non-interlocutory ALJ matters, and matters on remand from the Courts of Appeals. |
5 | May include matters filed pursuant to Section 11A of the Securities Exchange Act of 1934. |
6 | Guideline is either five days or 45 days depending on the effective date of the order requested to be stayed. |
http://www.sec.gov/news/studies/aps103101.htm
Home | Previous Page | Modified: 11/07/2001 |