17 CFR 201.411 - Commission consideration of initial decisions by hearing officers

Cite as17 CFR 201.411
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23 practice notes
  • Justice Department, Immigration and Naturalization Service,
    • United States
    • Federal Register August 26, 2002
    • August 26, 2002
    ...See, e.g., 10 CFR 2.786 (Nuclear Regulatory Commission; domestic licensing proceedings; review of decisions of a presiding officer); 17 CFR 201.411 (Securities and Exchange Commission; consideration of initial decisions by hearing officers); 20 CFR 422.114 (Social Security Administration; a......
  • List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
    • United States
    • Federal Register October 28, 2015
    • October 28, 2015
    ...201.141; 17 CFR 201.150-154; 17 CFR 201.201-202; 17 CFR 201.210; 17 CFR 201.230-233; 17 CFR 201.350-351; 17 CFR 201.360; 17 CFR 201.400; 17 CFR 201.411; 17 CFR 201.420; 17 CFR 201.430; 17 CFR 201.440-441; 17 CFR 201.450-451; 17 CFR 201.460; 17 CFR 201.460; 17 CFR 201.470; 17 CFR 201.601; 17......
  • Hill v. Sec. & Exch. Comm'n, Civil Action No. 1:15–CV–1801–LMM.
    • United States
    • United States District Courts. 11th Circuit. United States District Courts. 11th Circuit. Northern District of Georgia
    • June 8, 2015
    ...the respondent or the SEC's Division of Enforcement, 17 C.F.R. § 201.410, or the SEC can review the matter "on its own initiative." 17 C.F.R. § 201.411(c). A decision is not final until the SEC issues it. If there is no appeal and the SEC elects not to review an initial order, the ALJ's dec......
  • Raymond J. Lucia Cos. v. Sec. & Exch. Comm'n, No. 15–1345
    • United States
    • United States Courts of Appeals. United States Court of Appeals (District of Columbia)
    • August 9, 2016
    ...either on its own initiative or upon a petition for review filed by a party or aggrieved person. 15 U.S.C. § 78d–1(b) ; see also 17 C.F.R. § 201.411(b)–(c). Other than where a petition for review triggers mandatory review, 15 U.S.C. § 78d–1(b) ; see also 17 C.F.R. § 201.411(b)(1), the Commi......
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14 cases
  • Hill v. Sec. & Exch. Comm'n, Civil Action No. 1:15–CV–1801–LMM.
    • United States
    • United States District Courts. 11th Circuit. United States District Courts. 11th Circuit. Northern District of Georgia
    • June 8, 2015
    ...the respondent or the SEC's Division of Enforcement, 17 C.F.R. § 201.410, or the SEC can review the matter "on its own initiative." 17 C.F.R. § 201.411(c). A decision is not final until the SEC issues it. If there is no appeal and the SEC elects not to review an initial order, the ALJ's dec......
  • Raymond J. Lucia Cos. v. Sec. & Exch. Comm'n, No. 15–1345
    • United States
    • United States Courts of Appeals. United States Court of Appeals (District of Columbia)
    • August 9, 2016
    ...either on its own initiative or upon a petition for review filed by a party or aggrieved person. 15 U.S.C. § 78d–1(b) ; see also 17 C.F.R. § 201.411(b)–(c). Other than where a petition for review triggers mandatory review, 15 U.S.C. § 78d–1(b) ; see also 17 C.F.R. § 201.411(b)(1), the Commi......
  • Gray Fin. Grp., Inc. v. Sec. & Exch. Comm'n, CIVIL ACTION NO. 1:15–CV–0492–LMM
    • United States
    • United States District Courts. 11th Circuit. United States District Courts. 11th Circuit. Northern District of Georgia
    • August 4, 2015
    ...the respondent or the SEC's Division of Enforcement, 17 C.F.R. § 201.410, or the SEC can review the matter “on its own initiative.” 17 C.F.R. § 201.411(c). A decision is not final until the SEC issues it. If there is no appeal and the SEC elects not to review an initial order, the ALJ's dec......
  • Bennett v. U.S. Sec. & Exch. Comm'n, No. 15-2584
    • United States
    • United States Courts of Appeals. United States Court of Appeals (4th Circuit)
    • December 16, 2016
    ...over that proceeding. Unlike an inspection or investigation, a disciplinary proceeding results in a final Commission order. See17 C.F.R. §§ 201.411(a), 201.360(d)(2). Thus, unlike the petitioners' claims in Free Enterprise, Bennett's constitutional claims "fall within the fairly discernible......
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2 firm's commentaries

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