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Keywords: SEC administrative proceedings
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Journal Articles
A Tale of Two Enforcement Venues: Determinants and Consequences of the SEC's Choice of Enforcement Venue After the Dodd-Frank Act
Available to Purchase
Journal:
The Accounting Review
The Accounting Review (2021) 96 (6): 451–476.
Published: 01 November 2021
... of 2010 grants SEC administrative proceedings the same enforcement power as federal district courts. Prior to the Dodd-Frank Act, the SEC could only use its internal administrative proceedings to impose civil penalties on directly regulated entities and personnel (i.e., securities exchanges, brokerage...
