id="n11">11
See http://www.sec.gov/about/whatwedo.shtml#.VMaC8dhOW70.
12
See ibid.
13
For further background on CorpFin, see the website at http://www.sec.gov/corpfin.
14
For further background on Trading and Markets, see the website at http://www.sec.gov/tm#.VMaDa9hOW70.
15
For further background on Investment Management, see the website at http://www.sec.gov/investment.
16
For further background on Enforcement, see the website at http://www.sec.gov/enforce#.VMaDvdhOW70.
17
For further background on RiskFin, see the website at http://www.sec.gov/about/whatwedo.shtml#.VMaDy9hOW73.
18
For further background on OCIE, see the website at http://www.sec.gov/ocie#.VMaEBdhOW70.
19
For further background on FINRA, see the website at www.finra.org/.
20
21
For further information on FINRA's Market Data Center, see http://finra-markets.mornin gstar.com/MarketData/Default.jsp.
22
For further information on FINRA's TRACE system, see http://www.finra.org/Industry/Compliance/MarketTransparency/TRACE/.
23
For further information on FINRA's Dispute Resolution programs, see http://www.finra.org/ArbitrationAndMediation/FINRADisputeResolution/.
24
See http://www.cftc.gov/About/MissionResponsibilities/index.htm.
25
See ibid.
26
For further background on the CFTC's Division of Clearing and Intermediary Oversight, see http://www.cftc.gov/About/CFTCOrganization/index.htm.
27
For further background on the CFTC's Division of Enforcement, see http://www.cftc.gov/LawRegulation/Enforcement/index.htm.
28
See 7 U.S.C. section 6d(a).
29
See CFTC Regulation 170.15.
30
For further background on FINRA, see www.nfa.futures.org/.
31
See http://www.nfa.futures.org/NFA-faqs/compliance-faqs/examinations/index.HTML.
32
See ibid.
33
See http://www.nfa.futures.org/NFA-about-nfa/who-we-are/how-NFA-fights-fraud-and-abuse.HTML.
34
See http://www.nfa.futures.org/NFA-about-nfa/who-we-are/customer-protection-initiatives.HTML.
35
See ibid.
36
Mediation is a settlement process in which the parties work together with a mediator to find a mutually agreeable solution. For further information on the NFA's arbitration programs, see http://www.nfa.futures.org/%5C/NFA-about-nfa/who-we-are/dispute-resolution.HTML.
37
For further background on the DOJ, see the website at www.justice.gov/.
38
39
See http://www.justice.gov/criminal/fraud/fcpa/guidance/guide.pdf.
