On June 21, in Lucia v. Securities and Exchange Commission, the US Supreme Court held that administrative law judges of the US Securities and Exchange Commission are not mere federal employees but qualify as “Officers of the...more
6/25/2018
/ Administrative Agencies ,
Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Appeals ,
Appointments Clause ,
Constitutional Challenges ,
Enforcement Actions ,
Final Written Decisions ,
Lucia v SEC ,
Officers of the United States ,
Remand ,
Reversal ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Special Trial Judges (STJs)
Commission staff highlight key developments and successes in the SEC enforcement program.
As they do every year, senior officials from the US Securities and Exchange Commission (SEC or the Commission), including current...more
3/6/2017
/ Anti-Money Laundering ,
Asset Management ,
Broker-Dealer ,
Corporate Liability ,
Cybersecurity ,
Enforcement ,
Financial Reporting ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Hackers ,
Insider Trading ,
Public Corruption ,
Public Financing ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Whistleblowers
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
9/28/2015
/ Administrative Proceedings ,
Amended Regulation ,
Appointments Clause ,
Comment Period ,
Depositions ,
Discovery ,
Due Process ,
Expert Witness ,
Federal Register ,
Federal Rules of Civil Procedure ,
Proposed Regulation ,
Securities and Exchange Commission (SEC)
Stung by adverse court rulings in some of its enforcement cases, the SEC is bringing more of those cases in its own forum—an SEC administrative proceeding.
...more
The Commission has announced an unprecedented enforcement initiative against officers, directors, and major stockholders for violating beneficial ownership reporting requirements and against public companies for their roles...more
Rule lists criteria that lenders must consider in determining a prospective borrower has the ability to repay a loan and defines Dodd-Frank's concept of a "qualified mortgage."
On January 10, the Consumer Financial...more