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The Fork in the Road: The SEC and Preemption

, New York Law Journal

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C. Evan Stewart writes: Since 2003, I have been predicting a test case/showdown between lawyers who follow the dictates of the states in which they are licensed to practice law versus the conflicting dictates of the rules and regulations promulgated by the SEC after the Sarbanes-Oxley Act of 2002 went into effect. And while I thought I knew how such a test case/showdown would (should) end up, a recent judicial development has shaken my certitude (but only a little, because—as we will see—the ruling is wrong).

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