Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

A Member of the Law Professor Blogs Network

Sunday, May 15, 2011

FINRA CEO and SEC Enforcement Director Testify before House Oversight Committee on Stanford Ponzi Scheme

The Subcommittee on Oversight and Investigations, Committee on Financial Services, U.S. House of Representatives, held on a hearing on May 13 on the Stanford ponzi scheme.  Robert Khuzami, Director, SEC Division of Enforcement and Carlo di Florio, Director, SEC Office of Compliance Inspections and Examinations, testified on “The Stanford Ponzi Scheme: Lessons for Protecting Investors from the Next Securities Fraud.”  Rick Ketchum, Chairman & CEO, FINRA,  also testified.

http://lawprofessors.typepad.com/securities/2011/05/finra-ceo-testifies-before-house-oversight-committee-on-stanford-ponzi-scheme.html

Other Regulatory Action | Permalink

TrackBack URL for this entry:

http://www.typepad.com/services/trackback/6a00d8341bfae553ef01543252a40a970c

Listed below are links to weblogs that reference FINRA CEO and SEC Enforcement Director Testify before House Oversight Committee on Stanford Ponzi Scheme:

Comments

Post a comment