Former SEC Chairman Cox Weighs in on Administrative Proceedings
In detailed remarks on Wednesday, former SEC Chairman Christopher Cox weighed in on the growing controversy concerning the SEC's use of administrative proceedings. Chairman Cox offered insights into how the present situation came to be and how it might be resolved.
Related articles
-
Article
SEC modifies administrative proceedings, but did it go far enough?
The SEC views administrative proceedings as a streamlined, time-sensitive process that can adjudicate certain enforcement actions that would otherwise clog federal courts. Critics see an unfair process that stacks the deck in favor of the Commission. The big issue, writes Joe Mont, is whether new procedural changes can appease detractors.
-
News BriefSEC exam priorities for 2026 signal heightened focus on firmwide compliance
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its 2026 examination priorities, which give companies a roadmap of areas of heightened risk and regulatory focus for next year.
-
ArticleSan Francisco firm pays $11.4M for alleged Russia-related sanctions violations
A San Francisco-based private equity firm has agreed to pay $11.4 million to settle allegations it violated U.S. sanctions rules by handling investments for a sanctioned Russian oligarch.