The Revamped SEC Administrative Enforcement Process: Balancing Out a Lopsided Warfare


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SKU: 2017-03-01 Category: Tags: , ,


In this LIVE Webcast, a panel of key thought leaders organized by The Knowledge Group will give an overview of the new rule amendments, an analysis of their advantages and a critique of their shortcomings that could form the basis of renewed due process challenges.

Key topics include:

  • Background on administrative proceedings, including
    • Overview of the forum and the administrative law judges (ALJs) who oversee the hearings
    • Similarities and differences to federal court jury trial
    • Recent expansions to the jurisdiction of the forum under Dodd-Frank
  • Recent challenges to the constitutionality of ALJ hiring process based on Appointments Clause
    • Circuit split resulting from post-hearing challenges
    • Possible Supreme Court review and revisiting of Free Enterprise Fund v. PCAOB
  • Recent amendments to the SEC Rules of Practice, including additional pre-hearing discovery
  • Possible adjustments to use of the forum under new SEC leadership
  • Defense strategies for success in administrative proceedings