News & Analysis as of August 12, 2025

Seventh Amendment

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A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous... more +

Industry Pushback Against FINRA: A Growing Challenge to Its Authority

Kohrman Jackson & Krantz LLP on 8/8/2025

Over the last few years, broker dealers and financial advisors have filed a flurry of legal actions seeking both: (1) to strip the Financial Industry Regulatory Authority (FINRA) of its power to adjudicate customer and...more

Regulatory Roundup for July 2024

SEC Compliance Consultants, Inc. (SEC³) on 7/31/2024

SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more

Two U.S. Supreme Court Decisions Will Affect the Securities Industry

Steptoe & Johnson PLLC on 7/22/2024

The Supreme Court of the United States (SCOTUS) recently issued two opinions that are likely to have a longer-term effect on the way securities industry matters are handled. Juries, not the Securities Exchange Commission...more

Ripple Effects Of SEC Adjudication Ruling May Be Momentous

Balch & Bingham LLP on 7/18/2024

Suppose that your nemesis has a legal beef with you, and you learn that the law allows him to appoint one of his employees to judge the case. Shocked? You should be. Yet federal agency adjudication works the same way. How...more

[Commentary] A Trilogy of U.S. Supreme Court Decisions Empower Regulated Entities to Challenge Agency Regulations and Actions

Hinshaw & Culbertson LLP on 7/11/2024

In a trilogy of cases decided at the end of this term, the United States Supreme Court made significant changes to the administrative law terrain by: eliminating Chevron deference....more

SCOTUS Predictions: Supreme Court Set to Limit Labor Board’s Reach Over Employers in Surprising Way

Fisher Phillips on 2/23/2024

An impending Supreme Court decision is poised to transform how the National Labor Relations Board decides cases and may fundamentally alter the course of labor relations as we know it. We predict that a SCOTUS decision to be...more

The Assault on the SEC’s Administrative Citadel Continues

Burr & Forman on 8/21/2023

A panel of the D.C. Circuit recently relied on Lucia and Cochran to enjoin a FINRA regulatory enforcement action pending appeal of an Appointments Clause challenge....more

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