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Browse: Home / 2014 / November / 22 / Debate Continues on SEC Enforcement Tactics – Risk & Compliance – WSJ

Debate Continues on SEC Enforcement Tactics – Risk & Compliance – WSJ

By Securities Docket on November 22, 2014, 9:53 am

Speaking Friday during a panel on securities enforcement at a conference in New York at Columbia Law School, Mr. Rakoff said civil judicial proceedings before the administrative judges have less due process, no jury and very few limits on evidence, in addition to being played on the SEC’s home turf.

via Debate Continues on SEC Enforcement Tactics – Risk & Compliance – WSJ

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Posted in SEC, Top | Tagged APs, Judge Rakoff

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