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NEW YORK REPUBLICAN STATE COMMITTEE v. S.E.C.

No. 18-1111.

927 F.3d 499 (2019)

NEW YORK REPUBLICAN STATE COMMITTEE and Tennessee Republican Party, Petitioners v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided June 18, 2019.

Attorney(s) appearing for the Case

Edmund G. LaCour Jr. argued the cause for petitioners. With him on the briefs were H. Christopher Bartolomucci and Jason B. Torchinsky .

Jeffrey A. Berger , Senior Litigation Counsel, Securities and Exchange Commission, argued the cause for respondent. With him on the brief was Michael A. Conley , Solicitor.

Carter G. Phillips , Joseph Guerra , Tobias S. Loss-Eaton , and Michael L. Post were on the brief for amicus curiae Municipal Securities Rulemaking Board in support of respondent.

Dissenting opinion filed by Senior Circuit Judge Sentelle.

In 2016 the Securities and Exchange Commission adopted Rule 2030, which regulates the political contributions of those members of the Financial Industry Regulatory Authority (FINRA), a self-regulatory association of broker-dealers, who act as "placement agents" — i.e., individuals and firms that investment...

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