SEC Rules of Practice

This PRINT REPLICA of the 2018 SEC Rules of Practice and Rules on Fair Fund and Disgorgement Plans by the Securities and Exchange Commission was UPDATED 6/28/2018.
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It has been said that the most common criticism is that the Administrative Proceedings ("Aps") process is simply unfair. In any proceeding, a person may be represented by an attorney at law admitted to practice before the Supreme Court of the United States or the highest court of any State (as defined in Section 3(a)(16) of the Exchange Act, 15 U.S.C. 78c(a)(16)); a member of a partnership may represent the partnership; a bona fide officer of a corporation, trust or association may represent the corporation, trust or association; and an officer or employee of a state commission or of a department or political subdivision of a state may represent the state commission or the department or political subdivision of the state. Now that the proposed changes to "Exchange -Traded Funds" and "Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds", the world will be a different place. You thought it was the wild, wild west before? You ain't seen nuthin yet. Kiss the Volker Rule goodbye and Dodd-Frank is history.
I included the "Rules of Practice Governing Disapproval Proceedings for SRO Proposed Rule Change Filings" at the back of the book as well as Technical Amendments Release No. 34-63723 and Release No. 34-83325.

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