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Expert Analysis

The Case For Voluntary SEC Administrative Proceedings

By Kurt Wolfe (June 14, 2017, 4:00 PM EDT) -- In an enforcement action, the U.S. Securities and Exchange Commission may require a defendant to appear before one of its administrative law judges (ALJs) to answer the commission's charges. The ALJ, an independent "judge" employed by the SEC, presides over a trial-like "administrative proceeding," at the conclusion of which he or she decides whether the respondent has violated the federal securities laws and recommends sanctions, if appropriate....

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