In the Margins

How will Supreme Court judge review impact SEC enforcement actions?

January 17, 2018

By InvestmentNews

A Supreme Court case on the Securities and Exchange Commission's use of internal judges could put into limbo more than 100 pending enforcement actions but may not end the agency's ability to adjudicate such matters on its home court. Circuit courts have split on whether SEC judges are officers or employees. If the Supreme Court rules that the current SEC ALJ's were unconstitutionally hired, the cases in the SEC pipeline would be put in limbo. Read the original story from InvestmentNews.

 

 

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