Search for: "Lucia v. Securities and Exchange Commission"
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1 Oct 2023, 9:02 pm
Securities and Exchange Commission’s (SEC) proceeding against Jarkesy and his company for possible securities fraud violated the Constitution in three separate ways. [read post]
5 Sep 2023, 9:05 pm
Supreme Court next term of Securities and Exchange Commission v. [read post]
16 Aug 2023, 10:52 am
Here is the authors’ article. ****************** Introduction The United States Supreme Court recently granted Certiorari in a closely watched case that could have significant consequences for the Securities and Exchange Commission (SEC) and certain other federal administrative agencies. [read post]
11 Jul 2023, 3:59 am
Securities & Exchange Commission that past litigants were entitled to decisions from properly appointed judges. [read post]
5 Jul 2023, 3:30 am
Lucia, in which the Court by a 7-2 vote invalidated the SEC’s process for appointing ALJs. [read post]
9 Jun 2023, 12:26 pm
Earlier this month on a Friday afternoon, the Securities and Exchange Commission quietly issued an extraordinary administrative order. [read post]
25 Apr 2023, 9:01 pm
In 2018, the Supreme Court determined in Lucia v. [read post]
27 Mar 2023, 9:01 pm
In particular, the Second Circuit in SEC v. [read post]
15 Dec 2022, 8:33 am
Lucia's Day (December 13), the staff of the Securities and Exchange Commission published updates to its compliance and disclosure interpretations (CD&Is) with respect to non-GAAP financial measures. [read post]
22 Nov 2022, 6:30 am
After a sweeping defeat in the Fifth Circuit, the Securities and Exchange Commission (“SEC” or “Commission”) may be headed to the Supreme Court in an effort to salvage important tools in its enforcement arsenal. [read post]
22 Nov 2022, 6:30 am
After a sweeping defeat in the Fifth Circuit, the Securities and Exchange Commission (“SEC” or “Commission”) may be headed to the Supreme Court in an effort to salvage important tools in its enforcement arsenal. [read post]
8 Nov 2022, 11:43 am
The Court also heard arguments in a similar case, Securities and Exchange Commission v. [read post]
7 Nov 2022, 10:36 am
The US Supreme Court Monday heard oral arguments in Securities and Exchange Commission v. [read post]
4 Nov 2022, 12:03 pm
Federal Trade Commission and Securities and Exchange Commission v. [read post]
3 Oct 2022, 9:03 pm
In 2018, the Court held in Lucia v. [read post]
28 Sep 2022, 9:12 am
This case would ultimately determine the constitutional status of Securities & Exchange Commission administrative law judges. [read post]
17 Aug 2022, 3:10 pm
[Assessing an aggressive Fifth Circuit opinion declaring Securities & Exchange Commission proceedings unconstituional.] [read post]
10 Aug 2022, 5:49 am
After Lucia v. [read post]
31 May 2022, 5:57 am
Background on SEC Administrative Proceedings One of the SEC’s functions is to bring enforcement proceedings against those alleged to have violated securities laws, such as the Securities Act of 1933, Securities Exchange Act of 1934, or Investment Advisor Act of 1940. [read post]
19 May 2022, 12:10 pm
Securities and Exchange Commission Washington, DC (May 18, 2022) – The U.S. [read post]
