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Expert Analysis

SEC Gives Itself Home-Court Advantage

Law360, New York ( August 5, 2014, 10:15 AM EDT) -- An otherwise mundane U.S. Securities and Exchange Commission announcement on July 30, 2014, of an enforcement action charging a public company CEO and chief financial officer with accounting fraud and internal controls violations is significant because the SEC is proceeding against the nonsettling individual (the CEO) in an administrative proceeding rather than in federal court. While not unprecedented, it has been, to date, exceedingly rare for the commission to proceed against an unregulated entity or person administratively rather than in federal court....

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