Add to ORKGThis Article will consider some of the possibilities for controlling and guiding the SEC\u27s discretion to impose sanctions upon broker-dealers. Although it is limited to an examination of the Commission\u27s practice and a discussion of possibilities for reform, the analysis contains obvious implications for any agency with the power to impose sanctions
“Regulatory capture” sounds like something totally at odds with the rule of law. It implies that off...
What are the proper bounds of executive discretion in the regulatory state, especially over administ...
Sanctions for regulation violations are used to deter conduct which could potentially result in grea...
This Article will consider some of the possibilities for controlling and guiding the SEC\u27s discre...
In addition to regulating different substantive areas, administrative agencies differ in the enforce...
The author evaluates the enforcement mechanisms employed by the Securities and Exchange Commission (...
The growth of administrative bodies in the Unites States is one of the greatest changes the country ...
Administrative agencies increasingly enlist the judgment of private firms they regulate to achieve p...
Drawing on general criminological research and literature on enforcement, the article comprehensivel...
Suspending a lawyer from practice, even for a limited period of time, however, can have substantial ...
This Article begins with the standard Law and Economics account of tort law as a regulatory tool or ...
Congress has repeatedly expanded the authority of the SEC to pursue violations of the securities law...
This note will address two primary issues in analyzing Teicher. The first is whether the SEC has the...
The article is concerned with the evaluation of civil, administrative and penal law sanctions conta...
The legislative history of the Act shows that its principal drafters regarded those who trade on mat...
“Regulatory capture” sounds like something totally at odds with the rule of law. It implies that off...
What are the proper bounds of executive discretion in the regulatory state, especially over administ...
Sanctions for regulation violations are used to deter conduct which could potentially result in grea...
This Article will consider some of the possibilities for controlling and guiding the SEC\u27s discre...
In addition to regulating different substantive areas, administrative agencies differ in the enforce...
The author evaluates the enforcement mechanisms employed by the Securities and Exchange Commission (...
The growth of administrative bodies in the Unites States is one of the greatest changes the country ...
Administrative agencies increasingly enlist the judgment of private firms they regulate to achieve p...
Drawing on general criminological research and literature on enforcement, the article comprehensivel...
Suspending a lawyer from practice, even for a limited period of time, however, can have substantial ...
This Article begins with the standard Law and Economics account of tort law as a regulatory tool or ...
Congress has repeatedly expanded the authority of the SEC to pursue violations of the securities law...
This note will address two primary issues in analyzing Teicher. The first is whether the SEC has the...
The article is concerned with the evaluation of civil, administrative and penal law sanctions conta...
The legislative history of the Act shows that its principal drafters regarded those who trade on mat...
“Regulatory capture” sounds like something totally at odds with the rule of law. It implies that off...
What are the proper bounds of executive discretion in the regulatory state, especially over administ...
Sanctions for regulation violations are used to deter conduct which could potentially result in grea...