Keywords: Administrative Law Judges (“ALJs”)
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Journal Articles
Journal of Investment Compliance (2019) 20 (1): 22–26.
Published: 12 March 2019
... Commission’s (“SEC”) use of Administrative Law Judges (“ALJs”), and the litigation challenging the appointment of those ALJs, culminating in the Supreme Court’s decision in Lucia. Findings In Lucia, the Court held that SEC ALJs are “officers of the United States,” and thus subject to the Constitution’s...

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