‘Enforcement 40’ for 2020
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By Securities Docket on September 24, 2015, 12:22 pm
The Securities and Exchange Commission again rejected constitutional challenges to the use of administrative enforcement proceedings presided over by Administrative Law Judges (“ALJs”). The Commission’s September 17, 2015 decision in In the Matter of Timbervest, LLC – the Commission’s second ruling on the constitutional issue in the past two weeks – rebuffed arguments that ALJ […]
By Securities Docket on September 24, 2015, 11:24 am
On Tuesday, the SEC announced that it had filed a settled enforcement action against an investment adviser for the firm’s alleged failure to establish required cybersecurity policies and procedures. The firm’s web server was later breached, compromising the personally identifiable information of approximately 100,000 individuals. This is the first enforcement action that the SEC has […]
By Securities Docket on September 24, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for September 23, 2015.