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for dispute resolution for retail futures and foreign exchange (“forex”) customers. The NFA also offers a mediation alternative during the arbitration process in cases where the total amount of the arbitration claim is $150,000 or less.36

      1.6 THE DEPARTMENT OF JUSTICE (DOJ)

      As noted above, these regulatory entities coordinate as appropriate with the Department of Justice (“DOJ”). The DOJ is a federal department designed to enforce the law and defend the interests of the United States.37 The mission of the DOJ is to:

       enforce the law and defend the interests of the United States according to the law; to ensure public safety against threats foreign and domestic; to provide federal leadership in preventing and controlling crime; to seek just punishment for those guilty of unlawful behavior; and to ensure fair and impartial administration of justice for all Americans. 38

      Offices and groups within the U.S. Department of Justice include the Federal Bureau of Investigation, the Drug Enforcement Administration, the Bureau of Prisons, the U.S. Federal Marshals, and the U.S. Parole Commission. The SEC and CFTC coordinate with the DOJ on enforcement cases, as they often initiate civil proceedings against the same actors or involving similar facts to criminal proceedings brought by the DOJ.

      In addition, the DOJ and SEC share enforcement authority for the anti-bribery and accounting provisions of the Federal Corrupt Practices Act (“FCPA”). The DOJ has criminal FCPA enforcement authority over “issuers” (i.e., public companies) and their officers, directors, employees, agents, or stockholders acting on the issuer's behalf. The DOJ also has both criminal and civil enforcement responsibility for the FCPA's anti-bribery provisions over “domestic concerns” – including (a) U.S. citizens, nationals, and residents, and (b) U.S. businesses and their officers, directors, employees, agents, or stockholders acting on the domestic concern's behalf – and certain foreign persons and businesses that act in furtherance of an FCPA violation while in the territory of the United States. The SEC is responsible for civil enforcement of the FCPA over issuers and their officers, directors, employees, agents, or stockholders acting on the issuer's behalf.39 The SEC, CFTC, FINRA, and NFA all refer potential criminal matters to the DOJ for prosecution.

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      1

      See SEC's Oversight of Bear Stearns and Related Entities: The Consolidated Supervised Entity Program, SEC Office of Inspector General, Report No. 446-A, September 25, 2008, at http://www.sec.gov/about/oig/audit/2008/446-a.pdf.

      2

      Ibid. at p. viii.

      3

      For further backgro

1

See SEC's Oversight of Bear Stearns and Related Entities: The Consolidated Supervised Entity Program, SEC Office of Inspector General, Report No. 446-A, September 25, 2008, at http://www.sec.gov/about/oig/audit/2008/446-a.pdf.

2

Ibid. at p. viii.

3

For further background on the Federal Reserve System, see the website at www.federalreserve.gov/.

4

For further background on the FDIC, see the website at www.fdic.gov/.

5

For further background on the OTS, see the website at www.ots.treas.gov/.

6

For further background on the NCUA, see the website at http://www.ncua.gov/Pages/default.aspx.

7

For further background on the SEC, see the website at www.sec.gov/.

8

For further background on the CFTC, see the website at http://www.cftc.gov/index.htm.

9

See Securities Act of 1933 codified at 15 U.S.C. section 77a et seq.; Securities Exchange Act of 1934 codified at 15 U.S.C. section 78a et seq.

10

See http://www.sec.gov/about/whatwedo.shtml#.VNOU29hOW70.

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

See http://www.finra.org/AboutFINRA/WhatWeDo/.

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.

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