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A Renewed Fight Over SEC's Admin Forum Constitutionality

Law360, New York (October 9, 2014, 10:30 AM EDT) -- The U.S. Securities and Exchange Commission’s ability to bring enforcement actions before its own administrative law judges seemed settled — though it still rankled the defense bar. Then Congress passed Dodd-Frank § 929P(a) in 2010, which expanded the SEC’s administrative jurisdiction to reach respondents it didn’t regulate directly and to impose civil monetary penalties — both previously required enforcement staff to sue in federal court. Those new provisions rekindled arguments that the SEC’s administrative enforcement provisions are not constitutional.

Challenges to SEC Forum

Last week, Joseph Stilwell and his newly registered investment advisory firm, Stilwell Value LLC, sued the SEC for...

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