Are you in compliance?

Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.


Status message

Start your free, no obligation 5-day trial to continue exploring with full access.

SEC Proposes Changes to Administrative Proceedings

Joe Mont | September 24, 2015

Amid growing scrutiny of the process, in both the business and judicial world, the Securities and Exchange Commission has proposed changes to how it conducts its administrative proceedings.

The proposals would amend the Commission’s Rules of Practice to adjust the timing of administrative proceedings; permit parties to take depositions of witnesses as part of discovery; and require parties in administrative proceedings to submit filings and serve each other electronically.

The SEC’s Rules of Practice establish the timing for certain stages of an administrative proceeding, including a pre-hearing period, hearing, a period during which parties review hearing transcripts and submit briefs, and...

Read this single article for $49, or click the subscribe button below to review subscription options.

Enjoy unlimited access to thousands of articles, browse five years of digital magazines, qualify for reduced admission to events, and more.