Securities and Exchange Commission (SEC), Administrative Proceedings, Discovery

Leveling the Playing Field? Developing Discovery Strategies in CFTC Civil Enforcement Actions

Perkins Coie on 4/8/2025

The Commodity Futures Trading Commission’s Division of Enforcement wields immense power in civil enforcement actions. It often seeks financial sanctions, including hefty financial penalties, and injunctive relief that can...more

SEC Adopts Amendments Updating its Rules of Practice for Administrative Proceedings

Mintz - Securities & Capital Markets... on 7/26/2016

On July 13, 2016, the SEC announced its adoption of several amendments that update the SEC’s rules of practice governing its administrative proceedings. ...more

New Amendments to SEC's Rules of Practice in Administrative Proceedings

Pierce Atwood LLP on 7/19/2016

On July 13, 2016, the U.S. Securities and Exchange Commission (SEC) adopted several amendments to its Rules of Practice regarding administrative proceedings. The amendments address, among other things, the timing of...more

SEC Adopts Amendments to Rules Governing Its Administrative Proceedings

Proskauer - Corporate Defense and Disputes on 7/14/2016

On July 13, 2016, the SEC announced that it will adopt certain amendments to its rules of practice governing administrative proceedings. Faced with criticism from practitioners and the media regarding a perceived “home field...more

SEC Proposed to Amend Rules Governing its Administrative Proceedings

Orrick - Finance 20/20 on 10/6/2015

On September 24, the U.S. Securities and Exchange Commission (the “SEC”) proposed to amend rules governing its administrative proceedings. Key changes to the SEC’s rules of practice include: adjustment of timing of the...more

Tweaking the “Home Court” Rules for SEC Administrative Proceedings

Morgan Lewis on 9/28/2015

SEC proposes modest amendments to AP process to enhance efficiency and address concerns regarding fairness. In an effort to enhance the efficiency of its processes in administrative proceedings (APs) and bolster its...more

SEC Proposes Amendments to Rules Governing Administrative Proceedings

Proskauer - Corporate Defense and Disputes on 9/25/2015

The Securities and Exchange Commission appears to be hearing the music. In response to the many voices that have expressed dissatisfaction with the procedures used in SEC administrative hearings, the SEC today issued proposed...more

Securities and Exchange Commission (SEC) › Administrative Proceedings › Discovery