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Inside SEC's New In-House Court Rules

Law360, New York (August 1, 2016, 11:54 AM EDT) -- Daniel V. Ward

Jon A. Daniels

Alexandria Perrin As the U.S. Securities and Exchange Commission has expanded the use of administrative proceedings in recent years[1] and brought more cases in that forum, it has faced sharp criticism from the defense bar that the process is unfair — and arguably unconstitutional.[2] Critics argue that the administrative process is rife with procedural inequities that shift the balance of power in the SEC’s favor and contribute to a system that is unfairly stacked against respondents. In contrast, critics say, litigation in federal court provides defendants with important protections not available in administrative proceedings, including...

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