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Browse: Home / 2014 / December / 10 / Forum selection For SEC Cases — District Court or Administrative Proceeding? | SEC ACTIONS

Forum selection For SEC Cases — District Court or Administrative Proceeding? | SEC ACTIONS

By Securities Docket on December 10, 2014, 9:23 am

Prior to the filing of these seven cases the SEC rarely brought insider trading actions as administrative proceedings. While it is true that the Dodd-Frank Act added remedies to the Commission’s arsenal that were not previously available, that statute was signed into law in 2010. The filing of these seven settled insider trading cases traces to September of 2014, four years after the enactment of Dodd-Frank.

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