[ by Melanie Gretchen  and Howard Haykin ]

The SEC reported a decline in recent caseloads of administrative proceedings.  The Commission issued the statistics for the 6-month period ended 3/31/13, along with comparable statistics for the periods ended 9/30/12 and 3/31/12. 

Continue reading this post for a brief summary, or click on the link below for access to the publication on sec.gov. 
 

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U.S. Securities and Exchange Commission
Securities Exchange Act of 1934
Release No. 69479 / April 30, 2013

Report on Administrative Proceedings
For the Period October 1, 2012 through March 31, 2013

Rule 900 of the Commission’s Rules of Practice (17 CFR 201.900) requires the Commission’s Secretary to issue a six-month status report on the Commission’s administrative proceedings caseload.

The issued report identifies:

• number of matters pending before the administrative law judges and the Commission at the start of 6-month period;
• number of matters instituted, filed, and disposed of during period;
• number of  matters pending at end of period.

For each category of decision, the report shows:

• median age of the matters at the time of decision and the number of matters decided within the guidelines in Rule 900 for the timely completion of adjudicatory proceedings;  or
• within time specified in orders instituting proceedings for issuance of an initial decision;  or,
• any extension granted by Commission.

Example of Information Presented:  The number of Administrative proceedings  added during each of the last 6-month periods were:

Matters Before Administrative Law Judges:

• 82     from 10/1/12 through 3/31/13.
• 106   from  4//1/12 through 9/30/12.
• 101   from 10/1/11 through 3/31/12.

Matters Before Commission: 

•  4   from 10/1/12 through 3/31/13.
•  7    from  4//1/12 through 9/30/12.
• 10  from 10/1/11 through 3/31/12.

For the complete report, go to [SEC Release No. 69479, 4/30/13].