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Administrative proceedings; Dodd-Frank; Securities Regulation; Chamber of Commerce; Fair enforcement; Admissibility of evidence; Hearsay; Discovery; Securities and Exchange Commission (SEC) Rules of Practice; Administrative guidelines; History of the SEC; Securities Exchange Acts of 1933 and 1934; Insider Trading Sanctions Act of 1984 (ITSA); Securities Fraud Enforcement Act of 1988 (ITSFEA); Securities Enforcement Remedies and Penny Stock Reform Act of 1990; Sarbanes-Oxley; Administrative Law Judges (ALJs); Statutory interpretation; Chevron deference; Forum selection; Administrative rulemaking; Code of Federal Regulations (CFR); CFR Rule 360; CFR Rule 233; CFR Rule 320; Pre-hearing length; Depositions
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Full-Text Articles in Securities Law
The Choice Is (Not) Yours: Why The Sec Must Further Amend Its Rules Of Practice To Increase Fairness In Administrative Proceedings, Madeline Ilibassi
The Choice Is (Not) Yours: Why The Sec Must Further Amend Its Rules Of Practice To Increase Fairness In Administrative Proceedings, Madeline Ilibassi
Brooklyn Journal of Corporate, Financial & Commercial Law
The Securities and Exchange Commission (SEC) plays an extremely important role within the securities industry—it oversees the financial markets, protects consumers, and maintains market efficiency. One of the most important (and recently one of most criticized) responsibilities of the SEC is its duty to enforce the securities laws and punish violators. During the past two decades, and especially after the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act in 2010, the SEC’s Division of Enforcement has grown substantially and has utilized administrative enforcement proceedings at an increasing rate. However; this utilization has been occurring without any substantial …