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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.

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