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SEC Ends Decades-Old Ban on Post-Settlement Denials

The move gives defendants who settle the right to dispute the SEC’s claims in public.

Overview

  • The SEC rescinded its 1972 no-admit/no-deny condition that had barred settling defendants from publicly disputing the agency’s allegations.
  • The agency said it will not seek to reopen past enforcement cases if former defendants now speak out against the claims they settled.
  • Regulatory records show the rescission listed as a final rule under White House budget office review, a step that typically precedes Federal Register publication.
  • Companies and individuals can now resolve a case and still explain their version of events to investors and the public, which could spur extended disputes after settlements.
  • Supporters, including Chair Paul Atkins and the American Securities Association, call the change a free speech fix, while Better Markets criticized the SEC for acting without first taking public comment.