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Browse: Home / 2015 / September / 28 / Enforcement Discretion at the SEC by David T. Zaring :: SSRN

Enforcement Discretion at the SEC by David T. Zaring :: SSRN

By Securities Docket on September 28, 2015, 4:33 pm

This article evaluates the SEC’s new ALJ policy both qualitatively and quantitatively, offering an in-depth perspective on how formal adjudication – the term for the sort of adjudication over which ALJs preside – works today. It argues that the suits challenging the SEC’s ALJ routing are without merit; agencies have almost absolute discretion as to who and how they prosecute, and administrative proceedings, which have a long history, do not threaten the Constitution. The controversy illuminates instead dueling traditions in the increasingly intertwined doctrines of corporate and administrative law; the corporate bar expects its judges to do equity, agencies, and their adjudicators, are more inclined to privilege procedural regularity.

via Enforcement Discretion at the SEC by David T. Zaring :: SSRN

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