Divisions
General Counsel

The Office of General Counsel (OGC) provides legal services and support to the Commission by engaging in defensive, appellate, and amicus curiae litigation; assisting the Commission in the performance of its adjudicatory functions; providing legal advice and support for Commission programs; drafting and assisting other program areas in preparing Commission regulations; interpreting the CEA; and providing advice on legislative and regulatory issues.

FY 2014 Budget Overview by Mission Activity

Breakout of General Counsel Request by Mission Activity
Dollars in Thousands
  FTE Salaries and Expenses IT Total
Registration and Registration Compliance 19 $4,530 $0 $4,530
Product Reviews 4 950 0 950
Surveillance, including Data Acquisition and Analytics 4 950 0 950
Enforcement 1 240 0 240
Economic and Legal Analysis 41 9,780 0 9,780
Total 69 $16,450 $0 $16,450

General Counsel Request by Mission Activity

Pie chart showing the General Counsel Request by Mission Activity. Values are as follows:

Registration and Registration Compliance: 28%.
Product Reviews: 6%.
Surveillance, including Data Acquisition and Analytics: 6%.
Enforcement: 1%.
Economic and Legal Analysis: 59%.

Top FY 2012 Accomplishments

Provided legal counsel on all the rulemakings, interpretations, and no-action letters associated with the Dodd-Frank Act, including counsel on the administrative compliance statutes, Regulatory Flexibility Act, Paperwork Reduction Act, Administrative Procedure Act and Small Business Regulatory Enforcement Fairness Act.

Defended two Commission rules against legal challenge; participated in the MF Global and Peregrine bankruptcy proceedings to assist the courts in applying the specialized bankruptcy laws governing commodity broker liquidations, including the Commission's Part 190 regulations; and successfully defended on appeal two judgments obtained by the Division of Enforcement against individuals charged with violating the CEA.

Led several critical rulemaking teams implementing Dodd-Frank (including final product definitions, entity definitions, and SDR rules, as well as proposed cross-border interpretation and exemptive order and proposed Volcker rule).

Adapted organizational structure to better meet legal needs in light of the Commission's re-structuring, and to increase efficiency and effectiveness.

Implemented a Commission-wide Information Governance Team aimed at facilitating the development of policies and processes to holistically address various information-use issues and create accountability with respect to the handling of information.

Created a General Law Branch to centralize the analysis of legal issues associated with appropriations, Federal Advisory Committee Act, Freedom of Information Act, personnel, procurement, information governance, Commission policies, and other agency administrative issues and matters.

Top FY 2013 President's Budget & Performance Planned Outcomes

Provide legal counsel on implementation of all Dodd-Frank Act requirements.

Design and implement processes for assuring consistency in interpretations related to the provisions of the Dodd-Frank Act and regulations thereunder.

Defend litigation arising out of rulemaking challenges; continue participation in the MF Global and Peregrine bankruptcy proceedings to assist the courts in applying the specialized bankruptcy laws governing commodity broker liquidations, including the Commission's Part 190 regulations; and defend on appeal judgments obtained by the Division of Enforcement against individuals charged with violating the CEA.

Support other Divisions by analyzing legal issues associated with activities such as registrations, international coordination, product inquiries and rule reviews, exchange trading, exercising new enforcement authorities, and clearing mandates.

Provide technical assistance to Congress and Commission on CEA reauthorization legislation.

Support the agency by analyzing legal issues associated with internal policies and procedures and provide legal counsel on appropriations, Federal Advisory Committee Act, Freedom of Information Act, personnel, procurement, information governance, and other agency administrative issues and matters.

Top FY 2014 President's Budget & Performance Planned Outcomes

Enhance the Commission's ethics program by implementing further ethics training and enhancing responsiveness to ethics inquiries.

Defend litigation arising out rulemaking challenges and appeals in enforcement actions.

Support other Divisions by analyzing legal issues associated with activities such as registrations, international coordination, product inquiries and rule reviews, exchange trading, exercising new enforcement authorities, and clearing mandates.

Support the agency by analyzing legal issues associated with internal policies and procedures and provide legal counsel on appropriations, Federal Advisory Committee Act, Freedom of Information Act, personnel, procurement, information governance, and other agency administrative issues and matters.