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Jurisdiction › Securities and Exchange Commission (SEC) › Administrative Hearings

Dorsey & Whitney LLP

Challenges to SEC Forum Selection Decisions

Dorsey & Whitney LLP on

Two cases challenging the SEC’s use of administrative proceedings based on the Constitution’s Appointment Clause are headed for the Circuit Courts. One, Duka v. SEC will be considered by the Second Circuit. A second, Hill v....more

Carlton Fields

Defendants Challenge SEC’s Increased Use of Administrative Forum

Carlton Fields on

The Dodd-Frank Act expanded the SEC’s jurisdiction to compel administrative hearings and to seek sanctions and remedies similar to those in federal court. The Commission’s recent policy of commencing more enforcement...more

Proskauer - Corporate Defense and Disputes

District Court Rejects Constitutional Challenge to SEC Administrative Proceedings

Proskauer - Corporate Defense and Disputes on

We recently wrote that critics, including Judge Jed Rakoff, have been questioning the SEC’s policy of increasingly bringing enforcement actions in its administrative forum rather than federal court. We noted that several...more

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