Year: 2017

SEC Enforcement, ALJs and the Appointments Clause

Introduction The future of the SEC’s administrative enforcement process and, in particular its Administrative Law Judges, will be the focus of the D.C. Circuit later this month as the Court, sitting en banc hears oral argument in SEC v Raymond

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This Week In Securities Litigation (Week ending May 12, 2017)

New Chairman Jay Clayton began at the agency this week. There are now three Commissioners, at least until early June when the term of another Commissioner expires. The Administration has not nominated anyone to fill the remaining open seats at

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