Year: 2018

In Kokesh the Supreme Court rejected the SEC’s claim that disgorgement is equitable, concluding that as used in agency enforcement actions it is in fact a penalty. The Court also reserved the questions of whether the Commission is entitled to …

Kokesh on Remand: Applying the Statute of Limitations

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The Commission brought its first action based on Regulation SCI regarding business continuity as part of a proceeding naming the New York Stock Exchange, NYSE American and NYSE Arca, Inc. as Respondents. The proceeding is the result of five separate …

SEC Sanctions NYSE, American and Arca Exchanges Read More »

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