Securities and Exchange Commission's Administrative Forum Background and Selected Legal Challenges

Format:

Book

Government document

Author/Creator:

Library of Congress. Congressional Research Service. American Law Division

Language:

English

Subjects (All):

Administrative law.

Constitutional law.

Due process of law.

Judge-made law.

Physical Description:

1 online resource

Contained In:

ProQuest U.S. Congressional Research Digital Collection

Place of Publication:

[United States] [publisher not identified] 2015

Summary:

Examines administrative law process in general, and considers likelihood that Section 929P(a) of P.L. 111-203, the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), has caused SEC to increase use of its in-house administrative forum to resolve charges against persons alleged to have violated Federal securities laws. Summarizes selected cases challenging SEC use of the administrative forum on the bases of constitutional violations of due process and equal protection and of unconstitutional selection of the SEC administrative law judges; discusses possible implications of these cases; and reviews Congressional interest in the issue

Notes:

CRS Report

Record is based on bibliographic data in ProQuest U.S. Congressional Research Digital Collection (last viewed Jan. 2016). Reuse except for individual research requires license from ProQuest, LLC

Vendor supplied data

Other Format:

Microfiche version Library of Congress. Congressional Research Service. American Law Division. Securities and Exchange Commission's Administrative Forum

Publisher Number:

CRS-2015-AML-0457

Access Restriction:

Restricted for use by site license