- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2016-07-15T08:00:00
The SEC this week adopted amendments updating its rules of practice governing its administrative proceedings. After careful consideration of the comments received, the SEC adopted final amendments that, among other things, would adjust the timing of administrative proceedings and give parties additional opportunities to take depositions of witnesses. Jaclyn Jaeger ...
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2017-01-04T11:30:00Z By Joe Mont
The SEC has fought off challenges to its in-house judges before, but new complaints that the Commission’s proceedings are unconstitutional might just stick. Joe Mont reports.
2016-08-09T13:00:00Z By Joe Mont
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.
2025-05-05T13:42:00Z By Aaron Nicodemus
The Department of Justice has ended another compliance monitorship more than a year early. This scaling back of regulatory enforcement by the federal government has been a growing trend since the start of the Trump administration.
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