We use cookies on this site to enable your digital experience. By continuing to use this site, you are agreeing to our cookie policy. close

SEC Offers To Remove Industry Bans After DC Circ. Ruling

Law360, Los Angeles (October 9, 2015, 8:34 PM EDT) -- The U.S. Securities and Exchange Commission said on Friday that investment advisers banned under the agency’s retroactive enforcement of a Dodd-Frank Act policy could appeal their punishment after the D.C. Circuit...
To view the full article, register now.



Case Information

Case Title

Subscribers Only

Case Number

Subscribers Only


Appellate - DC Circuit

Nature of Suit

Date Filed

July 11, 2014

Government Agencies

Law360 Pro Say Podcast
Check out Law360's new podcast, Pro Say, which offers a weekly recap of both the biggest stories and hidden gems from the world of law.