Don't Do As I Say

Published Thursday, November 01, 2007

From September 1999 until January 2005, Salvatore F. Sodano was the chairman and CEO of the American Stock Exchange (AMEX), a quasi-governmental, self-regulatory organization (SRO), which was a subsidiary of the NASD from 1998 through December 2004. In September 2000, the SEC settled administrative proceedings against the AMEX (September 2000 order) based upon findings that the SRO failed to support critical customer-protection rules relating to firm quotes and trading ahead. A June 2003 SEC investigation of AMEX determined that the SRO had failed to enhance and improve its regulatory enforcement programs as required by the September 2000 order.

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