Administrative Agency Constitutional Law Securities

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Court Ruling Regarding the Dodd-Frank Conflict Minerals Disclosure Requirements

A panel of the U.S. Court of Appeals for the D.C. Circuit held today that a portion of the SEC’s conflict minerals reporting regulations – and possibly a portion of the underlying Dodd Frank Act – compel speech in violation...more

Name And Shame No More?

The last few years has seen the rise of so-called “name and shame” laws. The aims of many these laws may be laudable, but yesterday’s decision by the Court of Appeals for the District of Columbia Circuit calls their...more

Circuit Court Largely Rejects Challenges To SEC Conflict Mineral Rules

The SEC largely prevailed in the D.C. Circuit Court of Appeals in a suit changing the Rules promulgated by the agency under Dodd-Frank regarding conflict minerals. National Association of Manufacturers v. SEC, No.. 13-5252...more

Money Manager Sues SEC to Stop Administrative Action in $1.5 Billion CDO Case

A money manager and his firm recently sued the Securities and Exchange Commission claiming that the agency violated their constitutional rights by bringing an administrative proceeding for securities claims in connection with...more

Commentary on the planned work on the act “against the Big Brother” presented by the Minister of Internal Affairs B. Sienkiewicz...

In 2013 the Minister of Internal Affairs B. Sienkiewicz announced work on the bill “against the Big Brother”. The announcement of B. Sienkiewicz of the act regulating among others the principles of operation of video...more

Opinion on the proposed reform of the secret services in Poland - the Bill on the Internal Security Agency's (2013)

In fact, the biggest problem of Polish secret services (including ISA) is their lack of specialization. Despite determining their activities, under the current law, the ISA deals with “everything and nothing”, which...more

Caso Lídia Teixeira x União (Senado)

Justiça derruba limite de gastos do Senado com assistência à saúde de viúva de ex-Senador

"No caso dos autos, como referido linhas retro, a Requerente é pessoa idosa, necessitada de constante acompanhamento médico-hospitalar e ambulatorial, em clínicas de tratamentos multidisciplinares e que, em vista de constar...more

Konczal: Dodd-Frank Reforms Get Roughed Up in Court [Video]

April 11 (Bloomberg Law) -- Mike Konczal, fellow at the Roosevelt Institute and contributor to Bloomberg View, talks with Bloomberg Law's Lee Pacchia about how the implementation of the financial reform laws in Dodd-Frank...more

Can CalPERS Be Sued In Federal Court Or Perhaps Even New York State Court?

The California Public Employees’ Retirement System began lending securities in the early 1980s. Since the early 1990s, CalPERS has used the Master Securities Loan Agreement (MSLA) originally developed by the former Bond...more

Californians Like To Whistle While They Work

California Ranked No. 1! The staff at the Securities and Exchange Commission recently released the 2012 Annual Report on the Dodd-Frank Whistleblower Program. It turns out that California leads the other states in...more

Gabelli v. SEC,

Brief Of The CATO Institute As Amicus Curiae In Support Of Petitioners

Statutes of limitations exist for good reason: Over time, evidence can be corrupted or disappear, memories fade, and companies dispose of records. Moreover, people want to get on with their lives and not have legal battles...more

U.S. Chamber of Commerce Sues SEC to Overturn Controversial Dodd-Frank Resource Extraction Rule

On October 10, 2012, the U.S. Chamber of Commerce and three industry groups filed suit against the Securities and Exchange Commission in federal court in Washington, D.C., seeking to overturn the recently-promulgated SEC rule...more

State AGs join lawsuit challenging constitutionality of CFPB

Republican state Attorneys General from Oklahoma, South Carolina and Michigan have now joined the lawsuit that was filed this past June in federal court in Washington, D.C. challenging the constitutionality of Dodd-Frank....more

Lawyers Ask Federal Court to Strike Down Sarbanes Oxley 304 Clawbacks as Applied to Innocent Executive

On July 13, 2012, two defendants in an SEC enforcement action moved to dismiss the SEC's complaint, in part on the grounds that Section 304 of SOX was unconstitutional as applied to them. According to the complaint, the SEC...more

CFTC Proposes Guidance on the Cross-Border Impact of Dodd-Frank’s Swap Regulations

For nearly two years, swap market participants have wanted to know how the Commodity Futures Trading Commission (CFTC) would interpret the extraterritorial reach of the Dodd-Frank Wall Street Reform and Consumer Protection...more

Supreme Court Fails To Bite At Bulldog And Oxfam America Sues The SEC

Supreme Court says “no” to Bulldog In March, I wrote that the Bulldog group of funds had asked the United States Supreme Court to determine the constitutionality of Massachusetts’ ban on general solicitations in...more

The California Constitution, The FACA And The SEC’s New Investor Advisory Committee

Last month the Securities and Exchange Commission announced the formation of a new Investment Advisory Committee. Section 911 of the Dodd-Frank Act created the committee to advise the SEC on: -regulatory...more

Disclosure Bill May Put Retirees At Risk

Recently, I wrote about a bill, SB 1208 (Leno), that would require disclosure of total compensation information with respect to each of a corporation’s five most highly compensated retirees. This requirement would be imposed...more

U.S. Supreme Court Asked To Determine Constitutionality Of General Solicitation Ban

Federal and state securities laws are premised on the belief that the government can constitutionally prohibit or limit speech in connection with the offer or sale of securities. At least one issuer has aggressively...more

Bulldog Investors General Partnership v. Massachusetts

Brief Amici Curiae Of CATO Institute, Competitive Enterprise Institute, et al., In Support Of Petitioners

The Massachusetts Uniform Securities Act prohibits general solicitation and advertising by anyone offering unregistered securities, ostensibly for the purpose of furthering state and federal disclosure schemes. Yet this ban...more

Supreme Court Rules Against Proposed Securities Act

In a unanimous judgment, the Supreme Court of Canada has ruled that the proposed federal Securities Act is unconstitutional. The federal government had referred the proposed legislation to the Supreme Court for an advisory...more

Standard Investment Chartered, Inc. v. National Assoc. of Securities Dealers

Brief Amici Curiae Of The CATO Institute And The Competitive Enterprise Institute In Support Of Petitioner

As protestors across America condemn Wall Street for its greed and corruption, the Supreme Court has an opportunity to examine a ruling that holds some of Wall Street's biggest regulators immune from suit. In 2006, the...more

Bulldog II: SJC Eliminates First Amendment Challenge to Securities Violations Found by the Massachusetts Securities Division

A decision by the Massachusetts Supreme Judicial Court (“SJC”) on September 22, 2011, lays to rest the Secretary of the Commonwealth’s finding that a hedge fund manager, Bulldog Investors General Partnership (“Bulldog”), and...more

The Fiction of Social Security Bonds

On May 30, 2005, Charles E. Rounds, Jr. published the attached article: "The Fiction of Social Security Bonds." On July 12, 2011, President Obama said he could not guarantee that retirees would receive their Social Security...more

Conflict Minerals Bill In Suspense File (For Now)

In April, I wrote in this post about SB 861 (Corbett), a California bill intended to put some teeth in the Dodd-Frank Act’s mandate (Section 1502) that the Securities and Exchange Commission adopt disclosure and reporting...more

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