Administrative Law

"The CFTC Division of Enforcement investigates and prosecutes alleged violations of the Commodity Exchange Act and Commission regulations. The CFTC takes enforcement actions against individuals and firms registered with the Commission, those who are engaged in commodity futures and option trading on designated domestic exchanges, and those who improperly market futures and options contracts."

"The Commodity Futures Trading Commission Decisions (CFTCD) file contains Commodity Futures Trading Commission (CFTC) orders and decisions (including Administrative Law Judge decisions) addressing financial commodities contracts matters and futures commission merchants, introducing and floor brokers, pool operators, and commodity trading advisers subject matters."

"The Bureau may enforce the law by filing an action in federal district court or by initiating an administrative adjudication proceeding. Administrative proceedings are conducted by an Administrative Law Judge, who holds hearings and issues a recommended decision."

"The FDIC Enforcement Decisions and Orders (ED&O) website contains the full text of the formal enforcement actions against financial institutions that are supervised by the FDIC or against their institution-affiliated parties, including final orders and notices of charges."

"The Office of Financial Institution Adjudication (OFIA) is the executive body charged with overseeing the administration of administrative enforcement proceedings for the Office of the Comptroller of the Currency ("OCC"), the Board of Governors of the Federal Reserve System ("Board of Governors"), the Federal Deposit Insurance Corporation ("FDIC"), the Office of Thrift Supervision ("OTS"), and the National Credit Union Administration ("NCUA"). The documents contained in this source are the initial recommended decisions issued by Administrative Law Judges housed in the Office of Financial Institution Adjudication for the five banking agencies, which ultimately issue the final decisions"

"The Federal Deposit Insurance Corporation's mission is to maintain the stability of and public confidence in the nation's financial system. To achieve this goal, the FDIC has insured deposits and promoted safe and sound banking practices since 1933. The FDIC periodically issues "Statements of Policy" to provide guidance to its staff and the public on a variety of issues within the scope of the agency's mission. This source contain selected policy statements from 1980."

"The International Trade Commission Decisions (ITC) file contains materials relevant to antidumping (section 731) and countervailing duty (section 701) investigations, and five-year reviews (section 751(c) "sunset provision") under the Tariff Act of 1930; and global safeguard investigations under sections 201 and 204 of the Tariff Act of 1974. These materials include all full-text investigative opinions made by the Commission (preliminary and final determinations); five-year review opinions; notices of investigations, terminations, requests for submission, proposed amendments, news, and other USITC Publications and actions of the Commission. "

"The International Trade Commission Administrative Law Judge Decisions (ALJ) file includes the full text of opinions and orders. The decisions deal with patents and unfair trade practices brought under section 337 of the Tariff Act of 1930. "

"The International Trade Commission General Counsel Memoranda (GCM) file contains General Counsel Memoranda from the Office of the General Counsel of the International Trade Commission. The memoranda were issued to explain legal or factual issues and make recommendations to the Commission."

"Administrative Orders are formal enforcement orders issued by the NCUA pursuant to Section 206 of the Federal Credit Union Act (12 U.S.C. § 1786). Generally, the NCUA issues Administrative Orders when it finds that a credit union or persons affiliated with a credit union have violated a law, rule or regulation, breached a fiduciary duty, or engaged in an unsafe or unsound practice.
The three most common orders issued by the NCUA include:
- An Order to Cease and Desist, which requires an institution or individual to take action (or refrain from taking action), including making restitution;
- An Order of Prohibition, which prohibits an individual from ever working for a federally insured financial institution; and
- An Order Assessing Civil Money Penalties, which requires an institution or individual to pay an assessed penalty amount."

"The Office of Financial Institution Adjudication (OFIA) is the executive body charged with overseeing the administration of administrative enforcement proceedings for the Office of the Comptroller of the Currency ("OCC"), the Board of Governors of the Federal Reserve System ("Board of Governors"), the Federal Deposit Insurance Corporation ("FDIC"), the Office of Thrift Supervision ("OTS"), and the National Credit Union Administration ("NCUA"). The documents contained in this source are the initial recommended decisions issued by Administrative Law Judges housed in the Office of Financial Institution Adjudication for the five banking agencies, which ultimately issue the final decisions"

From June 1968 through current; 1968-2007 for "Office of the Comptroller of the Currency Quarterly Journal

"The Office of Financial Institution Adjudication (OFIA) is the executive body charged with overseeing the administration of administrative enforcement proceedings for the Office of the Comptroller of the Currency ("OCC"), the Board of Governors of the Federal Reserve System ("Board of Governors"), the Federal Deposit Insurance Corporation ("FDIC"), the Office of Thrift Supervision ("OTS"), and the National Credit Union Administration ("NCUA"). The documents contained in this source are the initial recommended decisions issued by Administrative Law Judges housed in the Office of Financial Institution Adjudication for the five banking agencies, which ultimately issue the final decisions"

"OTS Regulatory Bulletins provide guidance to the staff for the examination and supervision of the thrift industry. OTS Thrift Bulletins alert regulated institutions on developments affecting the thrift industry. OTS Legal Alert Memos, applicable through October 26, 1990, provided national direction on thrift industry issues. This information is now incorporated into the OTS Regulatory Bulletins and OTS Thrift Bulletins. The OTS Transmittals provide proposed rules, final rules, and letters from practitioners to clarify OTS positions on certain regulatory matters. The OTS ceased to exist on 19 October 2011, its operations having been merged with those of the OCC."

"The file contains federal agency materials from the Treasury - Office of Thrift Supervision (OTS). The file is made up of the OTS Chief Counsel Opinions, Memoranda, Directors Decisions, the Federal Home Loan Bank Board (FHLBB) General Counsel Opinions and Memoranda."

From November 07, 1989 through July 15, 2011; Selected coverage 1989 through 1991; no decisions from 2001.

- Open & closed litigated administrative proceedings
- Commission opinions & adjudicatory orders
- Administrative Law Judge (ALJ) orders & initial decisions

"The SEC Decisions, Orders & Releases (SECREL) file contains Securities and Exchange Commission (SEC) administrative materials including administrative decisions, administrative proceedings, administrative proceedings and rulings, ALJ initial decisions, EDGAR Filer Manual, Market 2000 Report, and interpretative releases (Accounting and Auditing Enforcement, Accounting Series, Asian Development Bank, Bretton Woods Agreement, Corporate Reorganization, Financial Accounting, Financial Reporting, Freedom of Information Act of 1975 (Coverage for releases regarding appeals of Denial of Request under FOIA is 4/1975 to 6/1995), Inter-American Development Bank, International Series, Investment Advisers Act of 1940, Investment Company Act of 1940, Litigation, Privacy Act, Public Utility Holding Company Act of 1935, Securities Act of 1933, Securities Exchange Act of 1934, Securities Investor Protection Act of 1970, Special Market Studies, Staff Accounting Bulletins, Statistical Report, Survey Series, and Trust Indenture Act of 1939)."