LINDEEN v. S.E.C.

No. 15-1149. Consolidated with 15-1150.

825 F.3d 646 (2016)

Monica J. LINDEEN, Montana State Auditor, Ex Officio Montana Commissioner of Securities and Insurance, Petitioner v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided June 14, 2016.


Attorney(s) appearing for the Case

Robert E. Toone Jr. , Assistant Attorney General, Office of the Attorney General for the Commonwealth of Massachusetts, argued the cause for the petitioner. Maura Healy , Attorney General, and Jesse Laslovich and Nicholas J. Mazanec , Special Assistant Montana Attorneys General, Office of the Montana State Auditor, were with him on brief. Seth G. Schofield , Assistant Attorney General, Office of the Attorney General for the Commonwealth of Massachusetts, entered an appearance.

Anne-Valerie S. Mirko , Washington, DC, was on brief for the amicus curiae North American Securities Administrators Association, Inc. in support of the petitioner.

John Vail , Washington, DC, was on brief for the amici curiae Current and Former Members of Congress in support of the petitioner.

Jeffrey A. Berger , Senior Litigation Counsel, Securities and Exchange Commission, argued the cause for the respondent. Michael A. Conley , Deputy General Counsel, Jacob H. Stillman , Solicitor, Randall W. Quinn , Assistant General Counsel and Benjamin M. Vetter , Senior Counsel, were with him on brief.

William M. Cunningham, pro se, was on brief for the amicus curiae William M. Cunningham in support of the respondent.

Ford C. Ladd , Washington, DC, was on brief for the amicus curiae National Small Business United Association in support of the respondent.

Before: HENDERSON, Circuit Judge, and GINSBURG and SENTELLE, Senior Circuit Judges.


Pursuant to congressional mandate, the Securities and Exchange Commission (SEC or Commission) created a new class of securities offerings freed from federal-registration requirements so long as the issuers of these securities comply with certain investor safeguards. See Amendments for Small and Additional...

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