‘Enforcement 40’ for 2020
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By Securities Docket on June 22, 2018, 6:09 pm
Federal regulators are investigating the case of the missing “4,” exploring the numeral’s conspicuous absence in quarterly reports that could mean companies have improperly rounded up their earnings per share to the next highest cent, according to people familiar with the matter. Enforcement officials at the Securities and Exchange Commission have sent queries to at […]
By Securities Docket on June 22, 2018, 8:57 am
On Thursday, the Supreme Court issued a decision in Lucia v. SEC, Dkt. No. 17–130, holding that the SEC’s previous practice in hiring administrative law judges (“ALJs”) was unconstitutional—calling into question the validity of the proceedings and holdings of SEC ALJs that decide the vast majority of contested SEC enforcement actions. With this decision, the […]