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Depositions Securities and Exchange Commission (SEC)

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

US trade negotiations with China have stalled such that the anticipated meeting between the countries’ leaders is, according the White House, “highly unlikely” to occur before the March 1 deadline marking the end of a 90-day...more

Ward and Smith, P.A.

A Parallel Universe: Navigating Discovery in Concurrent Civil and Criminal Proceedings

Ward and Smith, P.A. on

As criminal law has expanded into almost every sector of the American economy, one byproduct is the rise of "parallel proceedings"—lawsuits that proceed concurrently in criminal and civil court based on largely the same...more

Pierce Atwood LLP

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

Pierce Atwood LLP on

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

Proskauer - Corporate Defense and Disputes

SEC Adopts Amendments to Rules Governing Its Administrative Proceedings

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

Stinson - Corporate & Securities Law Blog

SEC Amends Rules for Administrative Proceedings

The SEC has approved a final rule amending its rules of practice for administrative proceedings. Among other things, the final rules would adjust the timing of administrative proceedings and give parties additional...more

Carlton Fields

SEC Issues Proposed Changes to Administrative Proceedings

Carlton Fields on

Amid controversy over its increased use of administrative proceedings to bring enforcement cases, the SEC has recently proposed several reforms. For instance, one change would ease the deadlines by which an initial decision...more

Dechert LLP

U.S. Chamber of Commerce Joins Chorus Pushing For Overhaul in SEC Enforcement Practices

Dechert LLP on

A recent report by the Center for Capital Markets Competitiveness at the U.S. Chamber of Commerce (Chamber Report) regarding the enforcement program of the Securities and Exchange Commission (SEC or Commission) identified...more

Orrick - Finance 20/20

SEC Proposed to Amend Rules Governing its Administrative Proceedings

Orrick - Finance 20/20 on

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

Morgan Lewis

Tweaking the “Home Court” Rules for SEC Administrative Proceedings

Morgan Lewis on

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

Proskauer - Corporate Defense and Disputes

SEC Proposes Amendments to Rules Governing Administrative Proceedings

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

Burr & Forman

US Chamber Recommends SEC Enforcement Changes

Burr & Forman on

Last week the US Chamber of Commerce, through its Center for Capital Markets Competitiveness, issued a white paper proposing wide-ranging changes to the SEC’s enforcement process. Most of the 28 recommendations were...more

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