Executive Summary

July 2009
Venulex Legal Summaries;2009 Q3, Special section p1
The article cites the highlights of enforcement actions and developments about broker-dealers from the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and NYSE Regulation during the first half of 2009. The new SEC Division of Enforcement director appointed by SEC chairman Mary L. Schapiro was Robert Khuzami. Guidance to the FINRA enforcement process is mentioned in the Regulatory Notice 09-17 published in March 2009.


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