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Join the Securities Litigation and Enforcement Group on LinkedInThe Defense Bar’s New Toy: Appointments Clause Challenge to SEC ALJs Prevails | Bloomberg BNA
The recent decision by the U.S. Tenth Circuit Court of Appeals in Bandimere v. SEC called the constitutionality of the SEC’s system of in-house tribunals into question. The appellate panel determined that SEC administrative law judges carry out “important functions” and exercise “significant authority pursuant to the laws of the United States,” and are therefore […]
Lawmaker Asks SEC to Investigate Stock Trades of HHS Nominee Tom Price – WSJ
A veteran legislator who wrote a law to curtail abusive stock-trading in Congress on Tuesday asked securities regulators to open an investigation into President-elect Donald Trump’s nominee to be secretary of Health and Human Services. The request to investigate Rep. Tom Price, a Georgia Republican, comes after The Wall Street Journal reported last month that he made trades worth […]
Securities Docket News Wire for January 9, 2017
Get caught up with the Securities Docket News Wire for January 9, 2017.
House bills would put brakes on SEC, other regulators — InvestmentNews
The SEC Regulatory Accountability Act could reach the House floor as soon as Wednesday for what would likely be approval by the chamber’s Republican majority. Written by Rep. Ann Wagner, R-Mo., the measure would increase the cost-benefit analysis requirements for SEC regulations. Such a step would make it more difficult for the SEC to promulgate […]