On Thursday, November 30, 2017, the Securities and Exchange Commission (“SEC” or the “Commission”) took action to settle an issue that had been impacting its enforcement efforts for some time: whether its administrative law...more
On Wednesday, May 24, 2017, the U.S. Court of Appeals for the District of Columbia Circuit, sitting en banc, heard arguments in Raymond J. Lucia Cos. v. SEC, a case in which it is tasked with deciding whether the...more
In the final days of 2016, the U.S. Court of Appeals for the Tenth Circuit denounced the constitutional authority of the five administrative law judges (“ALJs”) who preside over contested administrative proceedings brought by...more
Senior members of the Securities and Exchange Commission’s (“SEC” or “Commission”) Division of Enforcement (“Division”) addressed the defense bar on February 19, 2016, during the Practising Law Institute’s annual “SEC Speaks”...more
3/4/2016
/ Administrative Proceedings ,
Asset Management ,
Broker-Dealer ,
Cybersecurity ,
Dark Pool ,
Financial Markets ,
Foreign Corrupt Practices Act (FCPA) ,
Insider Trading ,
Popular ,
Securities and Exchange Commission (SEC) ,
Spoofing ,
US v Newman ,
Whistleblowers