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Do Politics Matter to this Watchdog? The Effects of Ideology on Civil Enforcement at the United State Securities and Exchange Commission.

机译：政治对这个看门狗重要吗？意识形态对美国证券交易委员会民事执法的影响。

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摘要

My goal in this dissertation is to examine whether the political ideology of the federal courts, as well as the ideology of political principals in Congress and the executive branch, affect the decision making and behavior of an independent U.S. agency. The agency's decision making pertains specifically to the application of its powers both directly through its politically appointed leadership and bureaucrats, and indirectly through a private litigation regime, in a policy area - civil enforcement - that should normatively be mostly free from politics.;As a foundation for the study, I analyze the public civil enforcement program and related policy and procedural components of the United States Securities and Exchange Commission (SEC) to determine whether political ideology - and other factors - influence the agency's strategic decision making and behavior relating to its direct bureaucratic powers of civil prosecution. I generally focus the analysis on the SEC's selection of forum in enforcement cases. My research examines whether the agency is less likely to utilize the forum of federal court for civil enforcement actions, and will opt instead for an administrative forum, when the ideology of the court that will likely hear a case is conservative, and whether the agency is more likely to utilize the federal court system when the ideology of the court that will likely hear a case is liberal.;My analysis supports a conclusion that although the characteristics of individual civil enforcement cases play a prominent role in the SEC's strategic decision making, the impact of political ideology is significant and comparable in magnitude. The data analysis reveals that the ideology of the lower federal courts at the district level is a material factor in the strategic decision making of the SEC in its enforcement program. It also shows that the politics of some of the agency's political principals -congressional committees responsible for the oversight and annual budget of the SEC - significantly affect the agency's strategic enforcement behavior. This element of my research extends a line of political science literature that analyzes who controls the federal bureaucracy.;I then use a different research perspective to broaden my analysis of the SEC's enforcement behavior by examining its measured role in private securities litigation as a strategic extension of its public civil enforcement program, and explain how the agency carefully leverages the private regime to help achieve its enforcement mission. In this part of the dissertation, I conclude that the SEC actively and directly participates in the private enforcement regime through a strategic program of filing amicus curiae briefs, and participates indirectly through the fruits of its public civil enforcement litigation. This component of the dissertation rounds out my analysis by revealing an unexpected strategic dimension the agency leverages to achieve its mission.
机译：我在本文中的目标是研究联邦法院的政治思想以及国会和行政部门的政治负责人思想是否会影响美国独立机构的决策和行为。该机构的决策特别涉及直接通过其政治任命的领导层和官僚机构，以及通过私人诉讼制度间接地在其政策领域（民事执法）中施加权力的做法，该领域在规范上应基本不受政治影响。在研究的基础上，我分析了公共民事执法计划以及美国证券交易委员会（SEC）的相关政策和程序组件，以确定政治意识形态和其他因素是否会影响该机构的战略决策和与其行为有关的行为民事起诉的直接官僚权力。我通常将分析重点放在SEC在执行案件中选择论坛的方式。我的研究调查了该机构是否不太可能利用联邦法院的论坛进行民事执法行动，而当可能会审理此案的法院意识形态较为保守时，该机构将选择一个行政论坛，以及该机构是否当可能会审理案件的法院意识形态是自由主义时，更有可能利用联邦法院系统。我的分析支持一个结论，即尽管个别民事执行案件的特征在SEC的战略决策中起着重要作用，政治意识形态的影响是巨大的，可比的。数据分析表明，区级下级联邦法院的意识形态是SEC执行计划中战略决策的重要因素。它还表明，该机构某些政治负责人的政治-负责SEC监督和年度预算的国会委员会-对该机构的战略执行行为产生了重大影响。我研究的这一内容扩展了一系列政治科学文献的范围，分析了谁控制了联邦官僚机构。然后我使用不同的研究视角，通过检查SEC在私人证券诉讼中作为战略扩展的作用，扩大了对SEC执行行为的分析。的公共民事执法计划，并解释该机构如何谨慎利用私人政权来帮助实现其执法任务。在本文的这一部分中，我得出结论，证交会通过一项提出法庭之友书状摘要的战略计划，积极而直接地参与了私人执法体系，并通过其公共民事执法诉讼的成果而间接参与了其中。本文的这一部分通过揭示该机构为实现其使命所利用的意想不到的战略维度来完善我的分析。

著录项

  • 作者

    Sivolella, John.;

  • 作者单位

    Columbia University.;

  • 授予单位 Columbia University.;
  • 学科 Law.;Political Science General.;Sociology Public and Social Welfare.
  • 学位 Ph.D.
  • 年度 2013
  • 页码 336 p.
  • 总页数 336
  • 原文格式 PDF
  • 正文语种 eng
  • 中图分类
  • 关键词

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