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Supreme Court Holds That the SEC’s Administrative Law Judges Are Officers Subject to the Constitution’s Appointments Clause

USA - June 27 2018 On June 21, 2018, the Supreme Court of the United States held in Lucia v. SEC that the Securities and Exchange Commission's ("SEC" or "Commission")...

David S. Slovick, Bradley J. Bondi, Sara Ortiz, Geoffrey E. Liebmann, Charles A. Gilman, Helene R. Banks.

CFTC Announces New Self-Reporting and Cooperation Program

USA - October 23 2017 In a September 25, 2017 speech at New York University School of Law, James McDonald, the Director of the Division of Enforcement of the Commodity...

Kimberly Petillo-Décossard, David S. Slovick, Bradley J. Bondi, Charles A. Gilman, John J. Schuster.

President Takes Executive Actions Affecting Dodd-Frank and the DOL Fiduciary Duty Rule

USA - February 17 2017 On February 3, 2017, President Trump took two executive actions affecting financial regulations. First, he issued an executive order that likely is...

Kimberly Petillo-Décossard, Bradley J. Bondi, Sara Ortiz, Charles A. Gilman, John J. Schuster, Glenn J. Waldrip, Jr.

SEC Adopts Amendments to Rules of Practice for Administrative Proceedings

USA - July 15 2016 On July 13, 2016, the Securities and Exchange Commission ("SEC") adopted important amendments updating its rules of practice governing its...

Bradley J. Bondi, Sara Ortiz, Charles A. Gilman, Jonathan I. Mark, John J. Schuster.