34 records in this section.
(Made possible through the support of Winton Capital Management Limited)
(Made possible through the support of The Depository Trust & Clearing Corporation)
Robert S. Khuzami was appointed in 2009 by SEC Chair Mary Schapiro as Director of the SEC’s Enforcement Division where he served until January 2013. During his tenure he initiated the Division’s most significant restructuring in the agency’s history creating specialized prosecution units to concentrate on the high-priority areas of enforcement. The Division also hired private sector and other experts, adopted targeted and risk-based investigative approaches, and increased its overall expertise in the products, transactions, and practices that occur in the securities markets it polices. An Office of Market Intelligence was created to revamp the way the Division handles tips, complaints and referrals. Khuzami also created a program authorizing the use of cooperation agreements to incentivize assistance with SEC investigations and enforcement actions. During his tenure, the agency also established the Office of the Whistleblower to implement the whistleblower program authorized by the Dodd-Frank Act.
(Made possible through the support of Sidley Austin LLP)
(Made possible through the support of ASECA - Association of SEC Alumni, Inc.)
The virtual museum and archive is copyrighted by the SEC Historical Society. The Society reserves the right to restrict access to or use of the museum by any user at any time.
Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.
Material used with the Society's permission should be credited to: www.sechistorical.org.