SEC Inspector General report finds no evidence of ALJ bias
In a recently-issued report, the SEC's Office of Inspector General concluded that there was no evidence to support allegations of bias on the part of Administrative Law Judges in the SEC's administrative proceedings. The allegation had surfaced in a May 2015 article in The Wall Street Journal.
Related articles
-
Article
SCOTUS delivers a constitutional blow to SEC’s ALJ process
The perpetually maligned use of administrative law judges at the SEC faces big changes after the Supreme Court, led by Justice Elena Kagan, agreed with constitutional challenges.
-
Article
Debate over SEC’s in-house courts could go to the Supreme Court
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.
-
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.