broker-registration

2 cases — ← All topics

Case Title Lower Court Docketed Status Flags Tags Question Presented
22-1241 Jocelyn M. Murphy, et al. v. Securities and Exchange Commission Ninth Circuit 2023-06-27 Denied Amici (2) broker-registration due-process eighth-amendment fair-notice securities-exchange-act-1934 securities-law securities-laws securities-violations seventh-amendment statutory-penalty statutory-penalty-caps The Securities Exchange Act of 1934 empowers Respondent Securities and Exchange Commission ("SEC") to seek, and district courts to impose, putatively …
20-862 Hui Feng, et al. v. Securities and Exchange Commission Ninth Circuit 2020-12-30 Denied Response Waived antifraud-provisions broker-registration capital-raising investment-advisers-act-of-1940 sec-authority secondary-market secondary-market-transactions securities-act securities-exchange-act securities-exchange-act-of-1934 statutory-interpretation The questions presented are: 1. Whether the SEC exceeded its statutory authority under the Securities Exchange Act of 1934, which regulates secondary…