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337 results found

Article

Cooley LLP | USA | 21 Dec 2018

US: Second Circuit Highlights Importance of Disclosures in Insurance Policy Warranty Statement

The United States Court of Appeals for the Second Circuit recently issued a decision highlighting the significance of full disclosure in an insurance

Article

Eversheds Sutherland (US) LLP | USA | 13 Nov 2018

SEC and CFTC continue efforts to regulate cryptocurrency

Important events at the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) last week further indicate these

Article

Shearman & Sterling LLP | USA | 6 Nov 2018

SEC Enforcement Division Releases Report On FY 2018, Highlighting Focus On Cyber And Efforts To Protect Retail Investors

On November 2, 2018, the U.S. Securities and Exchange Commission (“SEC”) Enforcement Division issued its annual report (“Annual Report”) on

Article

Dykema Gossett PLLC | USA | 5 Sep 2018

Deadline Looms for Pending Cases in Front of Administrative Law Judges, per SEC Orders

On June 21, 2018, the Supreme Court issued its opinion in the matter of Lucia v. SEC, 585 U.S. ___ (2018), which held that administrative law judges

Article

Quarles & Brady LLP | USA | 26 Jul 2018

Supreme Court Decides When Administrative Law Judges Must Have Constitutional Appointments

Recently, in Lucia v. Securities and Exchange Comm’n, 138 S. Ct. 2044 (2018), the Supreme Court decided when administrative law judges must be

Article

Hunton Andrews Kurth LLP | USA | 4 Jul 2018

Supreme Court Boots SEC ALJ in Lucia v. SEC: Could This Decision Fuel the Constitutional Questions Surrounding the CFPB?

On June 21, 2018, the Supreme Court of the United States remanded to the Securities and Exchange Commission (SEC) an administrative proceeding against

Article

Thompson Hine LLP | USA | 2 Jul 2018

SEC Suspends Pending Administrative Proceedings in Wake of Lucia Decision

In a 7-2 decision, the U.S. Supreme Court recently ruled that administrative law judges (ALJs) of the Securities and Exchange Commission (SEC) are

Article

Vedder Price PC | USA | 2 Jul 2018

SEC Administrative Law Judges: Key Takeaways and Lingering Questions from Lucia v. SEC

On June 21, 2018, the United States Supreme Court resolved a circuit split on the question of whether administrative law judges (“ALJs”) of the

Article

Morvillo Abramowitz Grand Iason & Anello PC | USA | 26 Jun 2018

Justices Call Foul on SEC's Home Court Advantage

After the passage of the Dodd-Frank Act in 2010, the Securities and Exchange Commission increasingly began to rely on internal administrative

Article

Morvillo Abramowitz Grand Iason & Anello PC | USA | 26 Jun 2018

Justices Call Foul on SEC's Home Court Advantage

After the passage of the Dodd-Frank Act in 2010, the Securities and Exchange Commission increasingly began to rely on internal administrative

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