Agency Commons^™

Mandatory Third Party Compliance Examinations For Investment Advisers: An Sec Waterloo?, Mercer Bullard

Brooklyn Journal of Corporate, Financial & Commercial Law

The Securities and Exchange Commission (SEC or Commission) appears to be on the verge of requiring investment advisers to undergo third party examinations. One justification for the rulemaking is that the Commission lacks sufficient resources to examine advisers frequently enough. Another is to create indirectly a self-regulatory organization (SRO) for investments advisers. Both may leave a rulemaking particularly vulnerable to challenge as arbitrary and capricious under the Administrative Procedures Act. This Article considers three novel grounds on which a rulemaking may be successfully challenged. Congress has repeatedly rejected SEC requests to provide additional funding for examinations or to create an …

Apple Watch-Ing You: Why Wearable Technology Should Be Federally Regulated, Grant Arnow

Loyola of Los Angeles Law Review

No abstract provided.

Without Unnecessary Delay: Using Army Regulation 190–8 To Curtail Extended Detention At Sea, Meghan Claire Hammond

Northwestern University Law Review

This Note analyzes instances of U.S. detention of suspected terrorists while at sea as an alternative to Guantánamo, and how this at-sea detention fits in the interplay of U.S. statutory law, procedural law, and applicable international law. Of particular interest is the dual use of military and civilian legal regimes to create a procedural-protection-free zone on board U.S. warships during a detainee’s transfer from their place of capture to the U.S. court system. The Note concludes that U.S. Army Regulation 190–8 contains language of which the purpose and intent may be analogized to the Federal Rules of Criminal Procedure requirements …

An Unconstitutional Work Of Art: Discussing Where The Federal Government's Discrete Intrusions Into One's Privacy Become An Unconstitutional Search Through Mosaic Theory, Steven Graziano

Minnesota Journal of Law, Science & Technology

No abstract provided.

Three Out Of Four Economists Recommend Raising The Minimum Wage! A Closer Look At The Debate Surrounding Seattle's Minimum Wage Ordinance, Erica Bergmann

Seattle University Law Review

This Note will discuss the implications of a high minimum wage by examining the debate around the Seattle Ordinance with a particular focus on the IFA lawsuit. To analyze the possible impacts of the Seattle Ordinance, current and historical arguments both in support of and in opposition to minimum wage laws are considered. This Note ultimately concludes that the U.S. District Court rightly denied the IFA’s motion for a preliminary injunction, which would have frustrated Seattle’s experiment before it began. Seattle’s plan to implement a $15 minimum wage, and similar experiments, should be permitted to proceed because the problem of …

Bureaucratic Administration: Experimentation And Immigration Law, Joseph Landau

Faculty Scholarship

In debates about executive branch authority and policy innovation, scholars have focused on two overarching relationships—horizontal tension between the president and Congress and the vertical interplay of federal and state authority. However, these debates have overlooked the role of frontline bureaucratic officials in advancing the laws they administer. This Article looks to immigration law—in which lower-level federal officers exercise discretion delegated down throughout federal agencies—to identify how bottom-up agency influences can inform categorical, across-the-board executive branch policy. In this Article, I argue that decisions by frontline officers can and should be better harnessed to pair local laboratories of executive experimentation …

Chipping Away At The Rock: Perez V. Mortgage Bankers Association And The Seminole Rock Deference Doctrine, Kevin O. Leske

Loyola of Los Angeles Law Review

Largely escaping judicial and scholarly examination for close to seventy years, the Seminole Rock deference doctrine directs federal courts to defer to an administrative agency’s interpretation of its own regulation unless such interpretation “is plainly erroneous or inconsistent with the regulation.” But at long last the United States Supreme Court is poised to re-evaluate the doctrine.

In March 2015, in Perez v. Mortgage Bankers Association, the Court addressed whether a federal agency was required to follow the notice-and-comment procedures of the Administrative Procedure Act after it changed a prior interpretation of its regulation under the “Paralyzed Veterans doctrine.” Although …

Passing The Torch But Sailing Too Close To The Wind: Congress’S Role In Authorizing Administrative Branches To Promulgate Regulations That Contemplate Criminal Sanctions, Reem Sadik

Legislation and Policy Brief

The Supreme Court has stated that Congress must simply “lay down by legislative act an intelligible principle” to which the agency must conform. If this is done, a court will find the delegation of broad authority to the agency to be constitutional. There is, however, an open issue regarding whether the “intelligible principle” standard applies to delegations of authority that allow for the promulgation of both civil and criminal penalties. In Touby v. United States, the Supreme Court was asked whether “something more than an ‘intelligible principle’ is required” when Congress authorizes an agency to issue regulations that contemplate …

"We The People," Constitutional Accountability, And Outsourcing Government, Kimberly L. Wehle

All Faculty Scholarship

The ubiquitous outsourcing of federal functions to private contractors, although benign in the main, raises the most fundamental of constitutional questions: What institutions and actors comprise the "federal government" itself? From Abu Ghraib to Blackwater, a string of scandals has heightened public awareness that highly sensitive federal powers and responsibilities are routinely entrusted to government contractors. At the same time, the American populace seems vaguely aware that, when it comes to ensuring accountability for errors and abuses of power, contractors occupy a special space. The fact is that myriad structural and procedural means for holding traditionally government actors accountable do …

Agency Independence After Pcaob, Kevin M. Stack

Vanderbilt Law School Faculty Publications

Separation of powers has a new endeavor. The PCAOB decision makes the validity of good-cause removal protections depend on the separation of adjudicative from policymaking and enforcement functions within the agency. At a minimum, within independent agencies, it preserves the second layer of removal protection only for dedicated adjudicators. But its logic extends further. In PCAOB, the demand for political supervision over rulemaking and enforcement trumped Congress's choice to preserve the independence of officials who perform those roles and also adjudicate. In that way, PCAOB reversed the consistent constitutional validation of good-cause removal protections for those who engage in adjudication. …

Advising Terrorism: Material Support, Safe Harbors, And Freedom Of Speech, Peter Margulies

Law Faculty Scholarship

No abstract provided.

Obama's Equivocal Defense Of Agency Independence, Kevin M. Stack

Vanderbilt Law School Faculty Publications

You can't judge a President by his view of Article II. At the very least, only looking to a President's construction of Article II gives a misleading portrait of the actual legal authority recent Presidents have asserted.

President Obama is no exception, as revealed by his defense of the constitutionality of an independent agency from challenge under Article II in Free Enterprise Fund v. Public Company Accounting Oversight Board' (PCAOB) in the Supreme Court this term. The PCAOB is an independent agency, located inside the Securities Exchange Commission (SEC), created to regulate accounting of public companies in the wake of …

Regulatory Adjudication, Marcia L. Mccormick

All Faculty Scholarship

Calls for increased regulation are flying fast and furious these days. We use regulation in the United States to prevent harm that various kinds of activities might cause and also to create positive external benefits that those activities could yield, but might not without incentives. Most regulatory programs in the United States provide a blend of measures designed to create these positive external benefits, promote good practices in the industry, prevent harms, and provide those harmed with remedies. At a time in which we contemplate new ways to regulate to deal with the crises of the day and prevent the …

The Constitutional Foundations Of Chenery, Kevin M. Stack

Vanderbilt Law School Faculty Publications

The Supreme Court regularly upholds federal legislation on grounds other than those stated by Congress. Likewise, an appellate court may affirm a lower court judgment even if the lower court's opinion expressed the wrong reasons for it. Not so in the case of judicial review of administrative agencies. The established rule, formulated in SEC v. Chenery Corp., is that a reviewing court may uphold an agency's action only on the grounds upon which the agency relied when it acted. This Article argues that something more than distrust of agency lawyers is at work in Chenery. By making the validity of …

A Complete Property Right Amendment, John H. Ryskamp

ExpressO

The trend of the eminent domain reform and "Kelo plus" initiatives is toward a comprehensive Constitutional property right incorporating the elements of level of review, nature of government action, and extent of compensation. This article contains a draft amendment which reflects these concerns.

Bond Repudiation, Tax Codes, The Appropriations Process And Restitution Post-Eminent Domain Reform, John H. Ryskamp

ExpressO

This brief comment suggests where the anti-eminent domain movement might be heading next.

Using Capture Theory And Chronology In Eminent Domain Proceedings, John H. Ryskamp

ExpressO

Capture theory--in which private purpose is substituted for government purpose--sheds light on a technique which is coming into greater use post-Kelo v. New London. That case affirmed that eminent domain use need only be rationally related to a legitimate government purpose. Capture theory focuses litigators' attention on "government purpose." That is a question of fact for the trier of fact. This article shows how to use civil discovery in order to show the Court that private purpose has been substituted for government purpose. If it has, the eminent domain use fails, because the use does not meet minimum scrutiny. This …

Breaking The Bank: Revisiting Central Bank Of Denver After Enron And Sarbanes-Oxley, Celia Taylor

ExpressO

No abstract provided.

Beyond Accountability: Arbitrariness And Legitimacy In The Administrative State, Lisa Schultz Bressman

Vanderbilt Law School Faculty Publications

This Article argues that efforts to square the administrative state with the constitutional structure have become too fixated on the concern for political accountability. As a result, those efforts have overlooked an important obstacle to agency legitimacy: the concern for administrative arbitrariness. Such thinking is evident in the prevailing model of the administrative state, which seeks to legitimate agencies by placing their policy decisions firmly under the control of the one elected official responsive to the entire nation-the President. This Article contends that the "presidential control" model cannot legitimate agencies because the model rests on a mistaken assumption about the …

Ultra Vires Takings, Matthew D. Zinn

Michigan Law Review

When does legislative or administrative regulatory action "go[] too far" and effectively amount to an .appropriation of private property for which the Fifth Amendment requires just compensation? This question has turned out to be one of the thorniest in American constitutional law. The Supreme Court has identified several circumstances in which one can expect to find a regulatory taking, but its numerous pronouncements on the subject give no clear rule to distinguish compensable takings from noncompensable interference with property rights. Notwithstanding its volume, the commentary on the Takings Clause by and large addresses only proper governmental action that rises to …

Fiduciary Duties As Default Rules, Tamar Frankel

Faculty Scholarship

This Article consists of four parts. Part I draws a profile of fiduciary relationships. It also explains the different responses of fiduciary and contract rules to the different problems that the relationships pose regarding: (1) the right of one party to rely on the other and the specific duties of loyalty and care, which mirror these rights; and (2) the events that trigger the application of fiduciary rules. Finally, it compares contract with fiduciary rules. The reasons for the existence of fiduciary rules suggest that, when in conflict, they trump the rules governing other parallel relationships, including contracts.

Part II …

Administrative Agencies, Joseph Vining

Book Chapters

Administrative agencies, often called the ‘‘fourth branch,’’ are entities of government that make decisions within particular substantive fields. Although these fields range over the full spectrum of public concern, the specificity of agencies’ focus distinguishes them from other decision making entities in the constitutional structure—the judiciary, the presidency, the Congress, indeed the individual citizen—each of which can be taken to have a scope of interest as broad as imagination will allow.

Shutting Down The Government, Alan L. Feld

Faculty Scholarship

Actions of the federal government cost money. Legislative processes that specify the amounts and purposes of governmental expenditures control the scope and content of government actions.¹ To paraphrase Chief Justice Marshall, the power to withhold spending involves the power to destroy.²

Those involved in the legislative process ordinarily do not engage in wholesale or sudden dismantling of government activities through unheralded failures to provide funds. While disputes over funding constitute a regular part of the nation's political activity, these controversies usually concern adjustments in the level of spending and of agency operations. A decision to terminate an agency …

Can Consent Waive Absolute Rights To An Article Iii Court (85-621) (85-642), Ronald Filler

Articles & Chapters

No abstract provided.

Foreign Nationals And Agencies Of Foreign Governments As Persons Under The Freedom Of Information Act: A Question Of Constitutionality, Lloyd F. Leroy

Vanderbilt Journal of Transnational Law

This note will first examine the FOIA as it is juxtaposed against the President's power in the area of foreign affairs. Particular attention in this area will be directed to the expressed congressional purpose for passage of the FOLA and the President's role as sole voice of the nation in international relations. Next, the conflicting interests will be highlighted by means of a hypothetical fact situation in which the FOIA dictates disclosure of information which the President feels must be withheld because of foreign policy considerations. Finally, this note will propose some solutions to both the practical problems presented and …

Book Reviews, Dale F. Stansbury, Malcolm P. Sharp, Arthur T. Von Mehren, John S. Bradway, James D. Ghiardi, Thomas H. Eliot, Julius Paul, W. Howard Mann

Journal of Legal Education

No abstract provided.

Recent Cases, Law Review Staff

Vanderbilt Law Review

Agency--Representations--Liability of Principal for Agent's Assault Where Consent Obtained by Fraud

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Constitutional Law--Due Process--Admissibility in State Criminal Prosecution of Results of Blood Test taken while Accused was Unconscious

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Constitutional Law--Privilege Against Self-Incrimination--Effect of Possible Federal Prosecution on Application of State Immunity Statute in State Criminal Proceedings

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Constitutional Law--Military Jurisdiction--Capital Offenses Committed by Civilian Dependents Accompanying Armed Forces Abroad in Peacetime

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Corporations--Election of Directors--Conflict Between Constitutional Right of Cumulative Voting and Statute Authorizing Classification of Directors

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Corporations--Officers--Secretary--Treasurer's Authority to Institute Litigation

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Corporations--Shareholder Voting Agreements--Applicability of Voting Trust Statute to Pooling Agreement Giving Irrevocable Proxies to …

Constitutional Law: Legislature Held To Have Power To Confer Upon The Court Of Claims Exclusive Jurisdiction To Determine Cases Against State Agencies Or “Authorities” / Procedure-City Law Requiring Written Notice Of Deective Sidewalk As Condition Precedent To Bringing Action Against The City For Damages Upheld

NYLS Law Review

No abstract provided.

Book Reviews, Ralph C. Barnhart, Leonard F. Manning, Coleman Karesh, Wilfred J. Ritz, Edward J. Freeman, Thomas Broden Jr., E. C. Bolmeier, A. Kenneth Pye, Philip K. Yonge, Joseph T. Tinnelly C.M., Thomas I. Emerson

Journal of Legal Education

No abstract provided.

Recent Cases, Law Review Staff

Vanderbilt Law Review

Recent Cases

Agency--Liability of Master for Servant's Acts--State Permit to Operate

Agency--Possession as Indicia of Ownership

Constitutional Law--Aliens--Detention Where Deportations is Impossible

Courts--Contempt--Delay in Summary Punishment

Criminal Law--Habitual Criminal Statutes--Meaning of Previous Conviction Requirement

Domestic Relations--Liability of Husband for Necessaries of Wife Rightfully Living Apart

Income Taxation--Excludibility from Gross Income of Payment over Ceiling Price

Income Taxation--Taxable Income--Claim of Right

Procedure--Grand Jury--Motion to Expunge Defamatory Remarks in Report

Procedure--Statute of Limitations--Retroactive Operation

Statutes--Holding of Unconstitutionality Overruled--Necessity for Re-Enactment

Wills--Contest--Interest of Legatee's Representative