Office of General Counsel Groups

Learn more about the groups within the Office of the General Counsel

Adjudication

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.

Resources:

• Commission Administrative Proceedings
• Commission Opinions and Adjudicatory Orders
• Commission Rules of Practice

Appellate

The Appellate Group represents the Commission in the federal courts of appeals in litigation to which it is a party. Attorneys in this group prepare all of the Commission’s appellate and amicus briefs and argue all appeals, which typically relate to Commission injunctive actions and petitions seeking review of Commission administrative orders. They also work with the U.S. Solicitor General on cases before the U.S. Supreme Court.

Some Appellate Group attorneys also represent the Commission in proceedings under Chapter 11 of the Bankruptcy Code involving companies with a significant number of public security holders.

Resources: 

• Request for SEC to participate as an Amicus
• Commission Amicus Briefs
• Bankruptcy Inquiries

Enforcement and Whistleblower Review

The Enforcement and Whistleblower Review Group advises on enforcement actions and whistleblower claims. Attorneys in this group provide advice and guidance to Commissioners and enforcement staff, and they review Enforcement Division recommendations for Commission action.

Attorneys in the group also review recommendations from the Office of the Whistleblower for adjudication of award claims, and provide advice on rules concerning the SEC’s whistleblower program.

Resources: 

• Enforcement Litigation
• Office of the Whistleblower

Legal Policy

The Legal Policy Group provides legal and policy analysis on federal securities laws, administrative procedure, and other laws applicable to the SEC. These attorneys analyze all rulemaking and other regulatory recommendations to the Commission from divisions and offices. The Legal Policy and Administrative Law Group handles recommendations from Investment Management and Trading and Markets, and the Corporation Finance, Accounting and Disclosure Group handles recommendations from Corporation Finance and the Chief Accountant.

Attorneys in these groups coordinate with division and office leaders to identify and resolve legal, policy and economic analysis issues related to agency rulemaking. These attorneys often address complex matters that span a wide variety of areas and raise novel legal questions, conveying their analysis through written and oral consultations while routinely participating in meetings where crucial policies, procedures, and agency positions are established.

Resources:

• Regulatory Actions

Litigation and Administrative Practice

The Litigation and Administrative Practice Group advises on most matters related to agency management and operations, and defends the Commission in civil and administrative litigation pertaining to the performance of the agency's official functions. This group represents the Commission before the Government Accountability Office, Equal Employment Opportunity Commission, Merit Systems Protection Board, and the Federal Labor Relations Authority as well as in federal court, handling cases that arise under a variety of statutes including federal employment and labor laws, the Administrative Procedure Act, Freedom of Information Act (FOIA), Right to Financial Privacy Act, Contract Disputes Act, and Equal Access to Justice Act.

They also provide legal advice on matters related to the SEC’s budget, real estate leasing, intellectual property, FOIA requests, labor relations, employment, and contracts among other areas.

Attorneys in the group advise on professional responsibility issues and investigate matters involving attorney misconduct, including possible violations of the federal securities laws and unethical conduct in practicing before the Commission, and litigate any resulting administrative disciplinary proceedings under Rule 102(e) of the Commission's Rules of Practice.

Resources:

• Commission Rules of Practice
• Professional Misconduct

Oversight and Investigations

The Oversight and Investigations Group advises and assists the Commission in conducting internal investigations and responding to oversight inquiries. Attorneys in this group help address oversight inquiries and investigations by Congress, the Government Accountability Office, and the SEC Office of Inspector General. They provide legal advice and policy assistance on legislative matters, contribute to briefings of committee staff, help respond to congressional correspondence, and help prepare Commission officials and staff for congressional testimony. They also monitor pending legislation and presidential executive orders and advise on their applicability to the SEC.