Tag: SEC

SEC ALJs – Lucia, the Appointments Clause and Remedies

Whether the Commission’s Administrative Law Judges were appointed in accord with the Constitution and thus validly hold their positions will be argued on Monday, April 23, 2018 at 10:00 a.m. before the Supreme Court in Raymond J. Lucia v. Securities

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This Week In Securities Litigation (Week ending April 20, 2018)

The Commission proposed a package of rules and interpretations focused on retail investors. At the center of the package is proposed Regulation Best Choice focused on the relation between brokers and their clients. The agency brought another action against an

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