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33 Sec. Litig. 1 (2022-2023)

handle is hein.aba/scurlit0033 and id is 1 raw text is: Fall 2022, Vol. 33 No. 1 TABLE OF CONTENTS Articles Fifth Circuit Holds SEC's In-House Forum Is Unconstitutional By Charles D. Riely, Gabriel K. Gillett, and Cianan M. Lesley It violates the Seventh Amendment's right to a jury trial, reflects an impermissible delegation of authority to the agency, and features adjudicators who are improperly insulated from removal. Expungement in the States' Crosshairs By David I. Hantman, W. Preston Martin, Ronak V. Patel, and Andrea Greene State regulators have threatened to take, and in at least one instance have taken, steps to intervene in the arbitration process to oppose the awarding of expungement. Meditations in a (Fund) Emergency: Practical Advice for Fund Trustees By Aaron Morris When litigation is filed, trustees too often default to positions that favor the financial interests of the advisor over alternatives that might provide value to shareholders. Father Knows Best By Brent Baker, Jonathan Bletzacker, Rikke Dierssen-Morice, and Joseph Watkins The SEC continues to improperly insert itself between officers and directors and their insurance defense policies. Practice Points Key Takeaways from ABA Panel on FINRA's 2022 Exams By Andrew Sidman Tips for preparing for a FINRA cycle examination, from FINRA's perspective. Securities and Exchange Commission Chair Emphasizes SEC's Role in Cybersecurity and Suggests Additional Cybersecurity Regulations Are on the Horizon By Charles D. Riely, Shoba Pillay, Gregory M. Boyle, and Karolina L. Bartosik Key takeaways from Chairman Gensler's comments.