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

By Securities Docket on December 29, 2016, 10:49 am

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 […]

Posted in SEC, Top | Tagged Broken Windows

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

By Securities Docket on December 29, 2016, 10:40 am

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 […]

Posted in SEC, Top | Tagged ALJs