‘Enforcement 40’ for 2020
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By Securities Docket on January 10, 2017, 3:01 pm
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 […]
By Securities Docket on January 10, 2017, 10:47 am
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 […]
By Securities Docket on January 10, 2017, 8:55 am
Get caught up with the Securities Docket News Wire for January 9, 2017.
By Securities Docket on January 10, 2017, 8:47 am
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 […]