Securities
Jul. 24, 2014
SEC may ramp up administrative proceedings
Recent developments make the SEC's administrative forum an attractive alternative to federal court for the commission to prosecute cases. By Ronald E. Wood
In an occurrence as rare as lightning striking twice, the Securities and Exchange Commission recently lost two insider trading cases in one week. Within days, the head of its Enforcement Division announced plans to increase use of the SEC's administrative forum to prosecute civil enforcement actions, including insider trading cases. To this end, on June 30, the commission hired two new administrative law judges and three law clerks. This...
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