Future of the SEC’s Administrative Forum Web Conference

24 September 2015 Past Event

Location

Web Conference

Contact Information

Brooke Radford
bradford@foley.com

Agenda

12:00 p.m. Central
The U.S. Securities and Exchange Commission's (SEC) practice and procedure of deciding enforcement proceedings before Administrative Law Judges (ALJ), its in-house administrative forum, has faced challenges from those who believe the forum is both unfair and unjust. As a result, two respondents recently successfully stopped SEC administrative enforcement proceedings on the basis of a potential constitutional flaw regarding how ALJs are hired by the SEC.

Join three of Foley’s SEC enforcement practitioners, Mark S. Mandel, Joseph D. Edmondson Jr., and Jonathan H. Friedman, together with Jeffrey W. Coverdell, Managing Counsel at Wells Fargo Advisors, as they discuss this rapidly evolving area, including: 

  • The SEC Enforcement Division’s practice of bringing more and more cases administratively, as opposed to filing in Federal district court 
  • A brief history of challenges to the SEC’s administrative program, both successful and unsuccessful 
  • The SEC’s likely responses, both in the short-term and structurally, within its ALJ program

There is no cost to participate in this web conference, but advance registration is required. To participate, please simply register here.

Instructions for accessing the program will be included in the registration confirmation.

For more information, please contact Brook Radford at bradford@foley.com.

Foley & Lardner LLP will apply for CLE credit after the program, wherever applicable. Foley & Lardner LLP certifies that this activity has been approved for California MCLE credits by the State Bar of California. Foley & Lardner LLP is a State Bar of California MCLE approved provider. New York licensed attorneys admitted two years or less are not eligible to earn CLE credit through nontraditional formats. This program is appropriate for experienced New York attorneys only. Certificates of attendance will be distributed to eligible participants approximately 8 weeks after the web conference via email.

Future of the SEC’s Administrative Forum Web Conference

Location

Web Conference

Contact Information

Brooke Radford
bradford@foley.com

Agenda

12:00 p.m. Central