Administrative Law Judges: Comparison of SEC and CFTC Programs

GGD-96-27 Published: Nov 14, 1995. Publicly Released: Nov 14, 1995.

Highlights

Pursuant to a congressional request, GAO compared various aspects of the Securities and Exchange Commission's (SEC) and the Commodity Futures Trading Commission's (CFTC) administrative law judge (ALJ) programs.

Full Report

Full Report (33 pages)

Office of Public Affairs

Chuck Young

Managing Director

youngc1@gao.gov

(202) 512-4800

Topics

Financial Markets and Institutions

Administrative hearingsAdministrative law judgesAdministrative remediesAppellate procedureComparative analysisFines (penalties)Jurisdictional authoritySanctionsSecurities regulationSelf-regulatory organizations