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6 J. Bus. & Sec. L. 1 (2006)

handle is hein.journals/bussecul6 and id is 1 raw text is: PROCEEDINGS OF THE 2005 MIDWEST SECURITIES LAW INSTITUTE SYMPOSIUM* 6 J. Bus. & SEC. L. 1 TABLE OF CONTENTS INTRODUCTION ........................................................................................................... 2 Joe Spiegel, Joseph H Spiegel, PC NEW YORK STOCK EXCHANGE (NYSE) ENFORCEMENT ISSUES ................................ 3 Panelists: Susan Light, Vice President of the Division of Enforcement, NYSE Hugh Makens, Warner Norcross & Judd, LLP Dennis Egan, Butzel Long NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD) ENFORCEMENT ISSUES... 16 Panelists: Roger Sherman, Senior Vice Pres. of the Enforcement Dept., NASD Regulation, Inc. Merri Jo Gillette, Regional Director, SEC's Midwest Regional Office Gary Saretsky, Hertz, Schram & Saretsky, PC SEC ENFORCEMENT ISSUES FOR 2005-06 .................................................................. 29 Panelists: Merri Jo Gillette, Regional Director, SEC's Midwest Regional Office Raymond Henney, Honigman Miller Schwartz & Cohn LLP Tom Cox, Miller Canfield Paddock and Stone, PLC K EYNOTE A DDRESS ................................................................................................... 44 Roger Sherman, Senior Vice Pres. of the Enforcement Dept., NASD Regulation, Inc. *Note from the Editor and Disclaimer: The following is a minimally-edited transcript of the panel speakers and keynote speech from the 2006 Midwest Securities Law Institute (MWSLI) Symposium, an annual one-day gathering of securities lawyers held at Michigan State University College of Law on October 21, 2005. Biographies of the speakers are footnoted throughout. Readers interested in attending next year's event andfinding additional information on the MWSLI can visit http://www. mwsli. org. None of the opinions of these persons is necessarily the opinion of their respective agencies. They are their own opinions and they are not to be used nor will they be able to be used for any legally binding purpose regarding them or any agency.