Daily Archives: December 29, 2016, 10:49 am

Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and Brokers? — ThinkAdvisor

With SEC Chair Mary Jo White’s announcement that she will step down at the same time President Barack Obama leaves office in January, there has been much speculation about whether Chair White’s policy of pursuing minor, “broken windows” type violations will be turfed out. via Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and Brokers? — ThinkAdvisor

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Are the SEC’s administrative law judges unconstitutional? – The Washington Post

The U.S. Court of Appeals for the 10th Circuit has bestowed a holiday gift on all of us administrative law nerds (especially for those who should be grading exams). Today, in Bandimere v. SEC, a divided panel held that the Securities and Exchange Commission’s administrative law judges (ALJs) are unconstitutional. Judge Matheson wrote for the court, joined by Judge Briscoe (who also wrote…

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