AMEX, NYSE, NASD and Other SRO Proceedings

In the United States, the federal securities laws grant the authority to police registered entities and their registered representatives to self-regulatory organizations (SROs). Orrick's Securities Litigation and Regulatory Enforcement Group has represented securities firms and their registered representatives in SRO regulatory investigations and enforcement proceedings initiated by the American Stock Exchange (AMEX), the New York Stock Exchange (NYSE), the National Association of Securities Dealers (NASD), and various other exchanges.