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Administrative Law Judges: Comparison of SEC and CFTC Programs

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

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Topics

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