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 …

Read More »

The Supreme Court agreed to determine whether the SEC’s use of hearing officers is contrary to the Constitution’s Appointments Clause in an order entered in Raymond J. Lucia Companies v. SEC, No. 17-130 on Friday, January 12, 2018 . Both …

SEC Venue Selection: Avoiding Ground-Hog Day Read More »