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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...

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