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Expert Analysis

SEC Signals Greater Use Of Administrative Forum In 2013

Law360, New York (January 18, 2013, 9:58 AM EST) -- It used to be that the U.S. Securities and Exchange Commission's Enforcement Division would rarely entertain the notion of filing big ticket cases anywhere other than in federal court. And, regardless of whether the individual or entity fell under the SEC's regulatory jurisdiction, stigmatizing the offender and delivering the message of deterrence and vigilance typically steered SEC staff past the SEC's administrative forum. For important matters, staff would instead venture to a U.S. District Court to ask that tribunal to invoke its equitable powers to enter an injunction and use its statutory powers to impose monetary penalties....

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