SEC

Recent Activity

Results are sorted by the date of most recent activity.

XY Planning Network, LLC v. SEC

March 10, 2020

U.S. Chamber files coalition amicus brief in support of SEC’s Best Interest Regulation (Regulation BI). The U.S. Chamber’s brief supports the SEC’s arguments that it has statutory authority under...

Liu v. SEC

December 26, 2019

U.S. Chamber files merits-stage amicus brief in the Supreme Court arguing that the SEC lacks statutory authority to seek disgorgement in judicial proceedings.

Lucia v. SEC

June 21, 2018

Supreme Court holds SEC violated Constitution in appointing administrative law judges

Lucia v. SEC

February 28, 2018

U.S. Chamber urges Supreme Court to hold that SEC administrative law judges are “officers” who must be appointed in accordance with the Appointments Clause

Loan Syndication and Trading Association v. SEC

February 9, 2018

D.C. Circuit vacates SEC risk retention rule as it applies to open-market CLO managers

Lucia v. SEC

January 12, 2018

Supreme Court grants review on constitutionality of appointment of administrative law judges

Lucia v. SEC

August 25, 2017

U.S. Chamber urges Supreme Court to review constitutionality of appointment of administrative law judges

Raymond J. Lucia Companies, Inc. v. SEC

June 26, 2017

D.C. Circuit denies review of SEC judges

Loan Syndication and Trading Association v. SEC

April 26, 2017

U.S. Chamber supports challenge to SEC risk retention rule

NAM, Chamber of Commerce, and BRT v. U.S. Securities and Exchange Commission (SEC)

April 3, 2017

D.C. Circuit panel reaffirms that SEC’s Conflict Minerals Rule violates First Amendment