# 17 CFR § 200.14: Office of Administrative Law Judges

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/ecfr-17-200.14

## Section

- **Citation:** 17 CFR § 200.14
- **Heading:** Office of Administrative Law Judges
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** September 22, 2026
- **Source:** Publisher's official text
- **Location:** Title 17—Commodity and Securities Exchanges > CHAPTER II—SECURITIES AND EXCHANGE COMMISSION > PART 200—ORGANIZATION › CONDUCT AND ETHICS › AND INFORMATION AND REQUESTS > Subpart A—Organization and Program Management

## Text

(a) Under the Administrative Procedure Act (5 U.S.C. 551-559) and the federal securities laws, the Office of Administrative Law Judges conducts hearings in proceedings instituted by the Commission. The Administrative Law Judges are responsible for the fair and orderly conduct of the proceedings and have the authority to:
(1) Administer oaths and affirmations;
(2) Issue subpoenas;
(3) Rule on offers of proof;
(4) Examine witnesses;
(5) Regulate the course of a hearing;
(6) Hold pre-hearing conferences;
(7) Rule upon motions; and
(8) Unless waived by the parties, prepare an initial decision containing the conclusions as to the factual and legal issues presented, and issue an appropriate order.
(b) The Chief Administrative Law Judge performs the duties of an Administrative Law Judge under the Administrative Procedure Act and the duties delegated to the Chief Administrative Law Judge by the Commission that are compatible with those duties. The Chief Administrative Law Judge is responsible for the orderly functioning of the Office of Administrative Law Judges apart from the conduct of administrative proceedings and acts as liaison between that Office and the Commission.
[60 FR 14625, Mar. 20, 1995, as amended at 86 FR 9442, Feb. 16, 2021]

## Nearby sections

- [17 CFR § 200.1 § 200.1 General statement and statutory authority.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.1.md)
- [17 CFR § 200.2 § 200.2 Statutory functions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.2.md)
- [17 CFR § 200.10 § 200.10 The Commission.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.10.md)
- [17 CFR § 200.11 § 200.11 Headquarters Office—Regional Office relationships.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.11.md)
- [17 CFR § 200.12 § 200.12 Functional responsibilities.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.12.md)
- [17 CFR § 200.13 § 200.13 Chief Operating Officer.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.13.md)
- [17 CFR § 200.13a § 200.13a The Secretary of the Commission.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.13a.md)
- [17 CFR § 200.13b § 200.13b Director of the Office of Public Affairs.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.13b.md)
- [17 CFR § 200.14 § 200.14 Office of Administrative Law Judges.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.14.md)
- [17 CFR § 200.15 § 200.15 Office of International Affairs.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.15.md)
- [17 CFR § 200.16a § 200.16a Inspector General.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.16a.md)
- [17 CFR § 200.18 § 200.18 Director of Division of Corporation Finance.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.18.md)
- [17 CFR § 200.19a § 200.19a Director of the Division of Trading and Markets.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.19a.md)
- [17 CFR § 200.19b § 200.19b Director of the Division of Enforcement.](https://www.frixlaw.com/law-library/statutes/ecfr-17-200.19b.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/ecfr-17-200.14. Check the current official text before relying on it. Not legal advice.