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The Securities and Exchange Commission has a new point man to head up the compliance division of the agency. His name is Robert Khuzami. Mr. Khuzami is former federal prosecutor.
Mr. Khuzami wants to use subpoena powers to gain cooperation with the SEC in fraud and all kinds of trading schemes and violations. The subpoena power would be given to staff investigators. This is a marked change from the previous policy, which required the Commission to grant subpoenas. Other changes would include plans to submit more immunity requests to the Justice Department.
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