Adjudication

Aug. 2, 2023

The Adjudication Group advises and assists the Commission in issuing opinions in appeals from SEC administrative proceedings and adjudications set for a hearing before the Commission. Commission 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.

Last Reviewed or Updated: Aug. 21, 2023