The Fork in the Road: The SEC and Preemption

Part One of a Two-Part ArticleWith the preemption issue pretty well teed up, what do the courts say (to date)? A look at one recent ruling.

8 minute read August 01, 2017 at 12:03 AM

C. Evan Stewart

The Fork in the Road: The SEC and Preemption

Since 2003, I have been predicting a test case/showdown between lawyers who follow the dictates of the states in which they are licensed to practice law versus the conflicting dictates of the rules and regulations promulgated by the U.S. Securities and Exchange Commission (SEC) after the Sarbanes-Oxley Act of 2002 went into effect.

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