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Commission Appellate Court Briefs

This page provides links to some of the legal briefs the Commission's staff submitted in various court actions. See also:

Commission Amicus / Friend of the Court Briefs

Request for Commission Amicus Participation in a Pending Case

SEC Appellate Court Briefs
*Date*	*Case*
June 2006	SEC v. Rocklage: Appeal challenging denial of motion to dismiss a complaint alleging insider trading
Jun. 9, 2006	Financial Planning Association v. Securities and Exchange Commission: Petition for Review challenging rulemaking relating to certain broker-dealers deemed not to be investment advisers under the Investment Advisers Act of 1940
May 18, 2005	Goldstein v. Securities and Exchange Commission: Petition for Review challenging rulemaking relating to registration under the Advisers Act of 1940 of certain hedge fund advisers
Jan. 12, 2005	Chamber of Commerce of the United States of America v. Securities and Exchange Commission: Petition for Review challenging amendments to exemptive rules permitting certain transactions under the Investment Company Act of 1940
May 10, 2004	Securities and Exchange Commission v. ETS Payphones, Inc.: Supplemental brief filed after Supreme Court remand argues that “common enterprise” is not a distinct element of an “investment contract,” but that the latter term encompasses any investment in which the promoter or a third party, not the investor, manages and controls the enterprise through which the investor has been led to expect to receive a financial return.

http://www.sec.gov/litigation/appellatebriefs.shtml

Modified: 08/02/2006