Securities, Administrative Proceedings

The SEC (and Other Agencies) Could Lose a Powerful Enforcement Tool

Brownstein Hyatt Farber Schreck on 7/13/2023

The U.S. Supreme Court will decide whether the use of administrative law judges passes constitutional muster If the U.S. Supreme Court upholds a recent Fifth Circuit ruling, it could end the use of administrative proceedings...more

Investment Management Update

Ballard Spahr LLP on 1/20/2017

SEC Issues Guidance on Mutual Fund Fee Structure - The Securities and Exchange Commission’s (SEC) Division of Investment Management recently issued a guidance update addressing disclosure issues and certain procedural...more

2016 Year In Review: Securities Litigation And Regulation

Cadwalader, Wickersham & Taft LLP on 1/13/2017

2016 was an active year in securities litigation. In the first half of 2016 alone, plaintiffs filed 119 new federal class action securities cases. It was also a busy year for SEC enforcement proceedings, with a record 868...more

What’s Your Game Plan? Offensive or Defensive: Playing to Your Strengths [Expect Focus – October 2016]

Carlton Fields on 10/31/2016

- AXA Prevails at First Post-Jones v. Harris Excessive Fee Trial - Potential Secondary Effects of Regulatory Examinations: Evidentiary Issues and Preclusion in Parallel Litigation - On The Horizon: Global...more

DC Circuit Upholds SEC ALJs in First Merits Opinion

Burr & Forman on 8/10/2016

The D.C. Circuit has affirmed that SEC ALJs are not constitutional Officers subject to the Appointments Clause, rejecting perhaps the strongest of the constitutional challenges to the Commission’s administrative forum. The...more

The SEC Retains its House Advantage During Administrative Proceedings

Cadwalader, Wickersham & Taft LLP on 8/8/2016

Amendments to the Rules of Practice Do Little to Address Criticism that the Deck is Stacked - Facing pressure from industry practitioners and in the wake of constitutional challenges in multiple jurisdictions, the...more

Prevailing in an Era of Regulatory Enforcement – Balancing Risk and Compliance [Expect Focus – Vol. II, July 2016]

Carlton Fields on 7/26/2016

IN THE SPOTLIGHT - - SEC Sanctions Unregistered EB-5 Investments Broker SECURITIES - - FINRA to Assess Member Firms’ Culture - SEC Seeks Fund Responses to Distribution-In-Guise Guidance ...more

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