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Expert Analysis

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....

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