See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

News November 2, 2015 Issue

House Bill Would Effectively Reduce Number of Administrative Proceedings

Critics of the SECís increased use of administrative proceedings to try advisers and other targets of SEC enforcement have a new weapon and a new battleground. A bill introduced in the U.S. House of Representatives would, if passed, enable those charged by the agency to terminate an administrative proceeding within 20 days, leaving the SEC with no recourse save a civil court proceeding.

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight for just $1,195! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.