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SACKS v. S.E.C.

No. 07-74647.

635 F.3d 1121 (2011)

Richard L. SACKS, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, Ninth Circuit.

Filed February 22, 2011.

Attorney(s) appearing for the Case

Timothy A. Canning , Arcata, CA, for the petitioner.

Brian G. Cartwright , General Counsel, Andrew N. Vollmer , Deputy General Counsel, Jacob H. Stillman , Solicitor, Mark Pennington , Assistant General Counsel, Washington, D.C., for the respondent.

Before: MARY M. SCHROEDER, SIDNEY R. THOMAS, and RONALD M. GOULD, Circuit Judges.

OPINION

THOMAS, Circuit Judge:

Richard Sacks filed a petition for review challenging a rule proposed by the Financial Industry Regulatory Authority and adopted by the Securities and Exchange Commission. The rule prohibits non-attorneys who have been banned from the securities industry from representing parties in securities-related arbitration. Sacks argues the rule is impermissibly retroactive. We agree and hold that the rule cannot be applied retroactively...

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