On June 21, in Lucia v. Securities and Exchange Commission, the US Supreme Court held that administrative law judges of the US Securities and Exchange Commission are not mere federal employees but qualify as “Officers of the...more
6/25/2018
/ Administrative Agencies ,
Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Appeals ,
Appointments Clause ,
Constitutional Challenges ,
Enforcement Actions ,
Final Written Decisions ,
Lucia v SEC ,
Officers of the United States ,
Remand ,
Reversal ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Special Trial Judges (STJs)
SEC proposes modest amendments to AP process to enhance efficiency and address concerns regarding fairness.
In an effort to enhance the efficiency of its processes in administrative proceedings (APs) and bolster its...more
9/28/2015
/ Administrative Proceedings ,
Amended Regulation ,
Appointments Clause ,
Comment Period ,
Depositions ,
Discovery ,
Due Process ,
Expert Witness ,
Federal Register ,
Federal Rules of Civil Procedure ,
Proposed Regulation ,
Securities and Exchange Commission (SEC)