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Speeches by the Chairman and Commissioners | ||
| Date | Title | Author |
| Mar. 27, 2003 | Remarks Before the Council of Institutional Investors by Commissioner Paul S. Atkins, Washington, D.C. | Commissioner Paul S. Atkins |
| Mar. 25, 2003 | The Sarbanes-Oxley Act of 2002: Goals, Content, and Status of Implementation, Remarks before the International Financial Law Review, by Commissioner Paul S. Atkins | Commissioner Paul S. Atkins |
| Mar. 24, 2003 | Remarks at the 2003 Washington Economic Policy Conference, National Association for Business Economics, Washington, D.C., by Chairman William H. Donaldson, Washington, D.C. | Chairman William H. Donaldson |
| Mar. 12, 2003 | Remarks at the Government Affairs Conference of America's Community Bankers, by Commissioner Cynthia A. Glassman, Washington, D.C. | Commissioner Cynthia A. Glassman |
| Feb. 28, 2003 | Remarks at the Practising Law Institute — SEC Speaks, by Commissioner Cynthia A. Glassman, Washington, D.C. | Commissioner Cynthia A. Glassman |
| Feb. 5, 2003 | The Sarbanes-Oxley Act of 2002: Goals, Content, and Status of Implementation, by Commissioner Paul S. Atkins, University of Cologne, Germany German version |
Commissioner Paul S. Atkins |
| Feb. 4, 2003 | Liabilities of German Companies and the Members of their Executive Boards under the Sarbanes-Oxley Act of 2002, by Commissioner Paul S. Atkins, Deutsches Aktieninstitut German version |
Commissioner Paul S. Atkins |
| Feb. 4, 2003 | Remarks at Commission Open Meeting, February 4, 2003, by Chairman Harvey L. Pitt, Washington, D.C. | Chairman Harvey L. Pitt |
| Jan. 23, 2003 | Remarks at Commission Open Meeting, January 23, 2003, by Chairman Harvey L. Pitt, Washington, D.C. | Chairman Harvey L. Pitt |
| Jan. 15, 2003 | Remarks at Commission Open Meeting, January 15, 2003, by Commissioner Paul S. Atkins, Washington, D.C. | Commissioner Paul S. Atkins |
| Jan. 9, 2003 | Remarks at Advanced ALI-ABA Course of Study, by Commissioner Paul S. Atkins, Washington, D.C. | Commissioner Paul S. Atkins |
| Jan. 8, 2003 | Remarks at the Commission Open Meeting, January 8, 2003, by Chairman Harvey L. Pitt, Washington, D.C. | Chairman Harvey L. Pitt |
| Jan. 8, 2003 | Remarks at Mutual Fund Directors Forum, by Chairman Harvey L. Pitt, Washington, D.C. | Chairman Harvey L. Pitt |
| Presented in 2002 | ||
| Dec. 9, 2002 | Remarks Before the Investment Company Institute 2002 Securities Law Developments Conference, by Commissioner Paul S. Atkins, Washington, D.C. | Commissioner Paul S. Atkins |
| Nov. 20, 2002 | Comment & Analysis — Let Issuers Pay for Analysts' Research, by Commissioner Roel C. Campos, "Op-Ed" for the Financial Times, London Edition 1 | Commissioner Roel C. Campos |
| Nov. 19, 2002 | Statement: Auditor Independence, by Commissioner Roel C. Campos, SEC Open Meeting, Washington, D.C. | Commissioner Roel C. Campos |
| Nov. 14, 2002 | Remarks at the Federalist Society 20th Annual Convention, by Commissioner Paul S. Atkins, Washington, D.C.. | Commissioner Paul S. Atkins |
| Nov. 5, 2002 | Remarks at the Financial Executives International 2002 Conference, by Commissioner Cynthia A. Glassman, New York Hilton Hotel, New York, N.Y. | Commissioner Cynthia A. Glassman |
| Nov. 4, 2002 | Welcoming Remarks at the International Institute for Enforcement and Market Oversight, by Commissioner Roel C. Campos, Washington, D.C. | Commissioner Roel C. Campos |
| Oct. 25, 2002 | Statement on New Public Company Accounting Oversight Board,, by Commissioner Harvey J. Goldschmid at Open Commission Meeting, SEC Headquarters, Washington, D.C. | Commissioner Harvey J. Goldschmid |
| Oct. 24, 2002 | Remarks at the Second Annual Wall Street Summit of the New American Alliance, by Comissioner Roel C. Campos, New York, N.Y. | Comissioner Roel C. Campos |
| Oct. 22, 2002 | Remarks at the Directors' Education Institute, Duke University, by Chairman Harvey L. Pitt, Durham, N.C. | Chairman Harvey L. Pitt |
| Oct. 16, 2002 | Remarks at the Commission Open Meeting, by Chairman Harvey L. Pitt, Washington, D.C. | Chairman Harvey L. Pitt |
| Oct. 10, 2002 | A Single Capital Market in Europe:Challenges for Global Companies – Remarks of Chairman Harvey L. Pitt at the Conference of the Institute of Chartered Accountants of England and Wales, in Brussels, Belgium. | Chairman Harvey L. Pitt |
| Oct. 8, 2002 | Remarks at the Financial Times' Conference on Regulation & Integration of the International Capital Markets, by Chairman Harvey L. Pitt, London. | Chairman Harvey L. Pitt |
| Sept. 27, 2002 | Sarbanes-Oxley and the Idea of "Good" Governance – Remarks by Commissioner Cynthia A. Glassman, before the American Society of Corporate Secretaries, Washington, D.C. | Commissioner Cynthia A. Glassman |
| Sep. 26, 2002 | Remarks at the Twenty-First Annual Government-Business Forum on Small Business Capital Formation, by Comissioner Roel C. Campos, New York, N.Y. | Comissioner Roel C. Campos |
| Sept. 26, 2002 | Remarks before the U.S. Department of Justice Corporate Fraud Conference, by Chairman Harvey L. Pitt, Washington, D.C. | Chairman Harvey L. Pitt |
| Sept. 20, 2002 | Remarks at the September Symposium on Corporate Governance and Accounting Reform, Women in Housing and Finance, by Chairman Harvey L. Pitt, Washington, D.C. | Chairman Harvey L. Pitt |
| Aug. 12, 2002 | Remarks Before the Annual Meeting of the American Bar Association's Business Law Section, by Chairman Harvey L. Pitt, Washington, D.C. | Chairman Harvey L. Pitt |
| Jul. 19, 2002 | Remarks Before the National Press Club, by Chairman Harvey L. Pitt, Washington, D.C. | Chairman Harvey L. Pitt |
| Jun. 26, 2002 | Remarks before the Economic Club of New York, by Chairman Harvey L. Pitt, New York, N.Y. | Chairman Harvey L. Pitt |
| Jun. 20, 2002 | Remarks on the Proposed Framework for Enhancing the Quality of Financial Information through Improvement of Oversight of the Auditing Process – Statement by Commissioner Cynthia A. Glassman at SEC Headquarters, Washington, D.C. | Commissioner Cynthia A. Glassman |
| Jun. 20, 2002 | Proposed Rules to Create a Framework for a Public Accountability Board – Statement by Chairman Harvey L. Pitt at SEC Headquarters, Washington, D.C. | Chairman Harvey L. Pitt |
| Jun. 13, 2002 | Remarks before the New York Financial Writers Association, by Chairman Harvey L. Pitt, New York, New York | Chairman Harvey L. Pitt |
| May 24, 2002 | Remarks Before the Investment Company Institute, 2002 General Membership Meeting, by Chairman Harvey L. Pitt, Washington, D.C. | Chairman Harvey L. Pitt |
| Apr. 6, 2002 | Remarks Before the Committee on Federal Regulation of Securities, Section on Business Law, American Bar Association, by Commissioner Isaac C. Hunt, Jr., Boston, Massachusetts | Commissioner Isaac C. Hunt, Jr. |
| Feb. 22, 2002 | Remarks at "The SEC Speaks in 2002", by Commissioner Cynthia A. Glassman, Washington, D.C. | Commissioner Cynthia A. Glassman |
| Feb. 22, 2002 | Remarks at "The SEC Speaks in 2002", by Commissioner Isaac C. Hunt, Jr., Washington, D.C. | Commissioner Isaac C. Hunt, Jr. |
| Feb. 22, 2002 | Remarks at "The SEC Speaks in 2002", by Chairman Harvey L. Pitt, Washington, D.C. | Chairman Harvey L. Pitt |
| Feb. 19, 2002 | Remarks at the Winter Bench and Bar Conference of the Federal Bar Council, by Chairman Harvey L. Pitt, Puerto Rico | Chairman Harvey L. Pitt |
| Jan. 23, 2002 | Remarks at the 29th Annual Securities Regulation Institute, by Chairman Harvey L. Pitt, Coronado, California | Chairman Harvey L. Pitt |
| Jan. 17, 2002 | Regulation of the Accounting Profession – Statement by Chairman Harvey L. Pitt at SEC Headquarters, Washington, D.C. | Chairman Harvey L. Pitt |
| Jan. 17, 2002 | Regulation of the Accounting Profession – Statement by Chairman Harvey L. Pitt at SEC Headquarters, Washington, D.C. | Chairman Harvey L. Pitt |
| Presented in 2001 | ||
| Dec. 11, 2001 | How to Prevent Future Enrons – "Op-Ed" by Chairman Harvey L. Pitt for the Wall Street Journal | Chairman Harvey L. Pitt |
| Nov. 16, 2001 | Remarks at the Fall Meeting of the ABA's Committee on Federal Regulation of Securities by Chairman Harvey L. Pitt, J.W. Marriott Hotel, Washington, D.C. | Chairman Harvey L. Pitt |
Speeches by Commission Staff | ||
| Date | Title | Author |
| Mar. 24, 2003 | Remarks at Books and Records Compliance Countdown, by Mary Ann Gadziala, Associate Director, Securities and Exchange Commission, Washington, D.C. | Mary Ann Gadziala, Associate Director, Securities and Exchange Commission |
| Jan. 28, 2003 | Remarks before the New York State Society of Certified Public Accountants, by Jackson M. Day, Acting Chief Accountant | Jackson M. Day, Acting Chief Accountant |
| Presented in 2002 | ||
| Dec. 13, 2002 | International Developments: Convergence and You, Remarks before the AICPA SEC Developments Conference, by Jackson M. Day, Acting Chief Accountant | Jackson M. Day, Acting Chief Accountant |
| Dec. 12, 2002 | Changing the Future, Remarks before the AICPA SEC Current Issues Conference, Washington, D.C., by Jackson M. Day, Acting Chief Accountant | Jackson M. Day, Acting Chief Accountant |
| Dec. 12, 2002 | Remarks Before the American Institute of Certified Public Accountants, by Stephen M. Cutler, Director, Division of Enforcement, Washington, D.C. | Stephen M. Cutler, Director, Division of Enforcement |
| Dec. 9, 2002 | Keynote Address at the Investment Company Institute 2002 Securities Law Developments Conference, by Paul F. Roye, Director, Division of Investment Management, Washington, D.C. | Paul F. Roye, Director, Division of Investment Management |
| Nov. 22, 2002 | Keynote Address at the Meeting of the Business Law Section of the American Bar Association, Committee on Federal Regulation of Securities, by Paul F. Roye, Director, Division of Investment Management, Washington, D.C. | Paul F. Roye, Director, Division of Investment Management |
| Nov. 19, 2002 | Opening Statement: Commission Open Meeting on Record Retention (§802) and Independence (Title II), by Jackson M. Day, Acting Chief Accountant, Washington, D.C. | Jackson M. Day, Acting Chief Accountant |
| Nov. 14, 2002 | Keynote Address at the Twentieth Annual Advanced ALI-ABA Conference on Life Insurance Company Products, by Paul F. Roye, Director, Division of Investment Management, Washington, D.C. | Paul F. Roye, Director, Division of Investment Management |
| Nov. 1, 2002 | Remarks at the University of Michigan Law School, by Stephen M. Cutler, Director, Division of Enforcement, Ann Arbor, Michigan | Stephen M. Cutler, Director, Division of Enforcement, |
| Oct. 15, 2002 | Remarks at the 2002 Internal Auditors Division Annual Conference, Securities Industry Association, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Tempe, Ariz. | Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
| Jul. 11, 2002 | Remarks before the American Society of Corporate Secretaries National Conference, by Alan L. Beller, Director, Division of Corporation Finance, Toronto, Ontario | Alan L. Beller, Director, Division of Corporation Finance |
| Jun. 20, 2002 | Rule Proposal in Connection With the Establishment of a Framework of a Public Accountability Board – Statement by Robert K. Herdman, Chief Accountant, at SEC Headquarters, Washington, D.C. | Robert K. Herdman, Chief Accountant |
| Apr. 18, 2002 | Moving Toward the Globalization of Accounting Standards – Remarks by Robert K. Herdman, Chief Accountant, at the Schmalenbach Institute for Business Administration Conference (Schmalenbach-Tagung), Cologne, Germany | Robert K. Herdman, Chief Accountant |
| Apr. 11, 2002 | Improving Standard Setting To Advance the Interests of Investors – Remarks by Robert K. Herdman, Chief Accountant, at the 22nd Annual Ray Garrett Jr. Corporate & Securities Law Institute, Northwestern University, Chicago, Illinois | Robert K. Herdman, Chief Accountant |
| Mar. 7, 2002 | Making Audit Committees More Effective – Remarks by Robert K. Herdman, Chief Accountant, Tulane Corporate Law Institute, New Orleans |
Robert K. Herdman, Chief Accountant |
| Feb. 15, 2002 | Remarks at the Glasser LegalWorks 20th Annual Federal Securities Institute by Stephen M. Cutler, Director, Division of Enforcement, Hallandale, Florida | Stephen M. Cutler, Director, Division of Enforcement |
| Jan. 24, 2002 | Critical Accounting and Critical Disclosures – Remarks of Robert K. Herdman, Chief Accountant, before the Financial Executives International – San Diego Chapter, Annual SEC Update, San Diego, California | Robert K. Herdman, Chief Accountant |
| Presented in 2001 | ||
| Dec. 7, 2001 | Remarks before the Annual AICPA Conference, Washington, D.C., by Charles Niemeier, Chief Accountant, Division of Enforcement and Chief Counsel of the Financial Fraud Task Force | Charles Niemeier, Chief Accountant, Division of Enforcement |
| Dec. 6, 2001 | Remarks before the Investment Company Institute, Securities Law Developments Conference, Washington, D.C., by Stephen M. Cutler, Director, Division of Enforcement | Stephen M. Cutler, Director, Division of Enforcement |
| Sept. 18, 2001 | Debits and Credits in the New Economy – Remarks by Robert Bayless, Chief Accountant, before the Silicon Valley Chapter of Financial Executives International | Robert Bayless, Chief Accountant, Division of Corporation Finance |
Testimony by the Chairman, Commissioners and Commission Staff | ||
| Date | Description | |
| Mar. 13, 2003 | Chairman William H. Donaldson, Before the Subcommittee on Commerce, Justice, State, and the Judiciary, Committee on Appropriations, United States House of Representatives, re: Appropriations for Fiscal 2004 | |
| Mar. 6, 2003 | James M. McConnell, Executive Director, Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the House Committee on Financial Services, re: H.R. 658, the "Accountant, Compliance, and Enforcement Staffing Act of 2003" | |
| Feb. 26, 2003 | Stephen M. Cutler, Director, Division of Enforcement, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Returning Funds to Defrauded Investors | |
| Presented in 2002 | ||
| Dec. 11, 2002 | Annette L. Nazareth, Director, Division of Market Regulation, Before the Senate Permanent Subcommittee on Investigations, Committee on Governmental Affairs, re:Transparent Financial Reporting for Structured Finance Transactions | |
| Sep. 17, 2002 | Alan L. Beller, Director, Division of Corporate Finance, Before the Senate Committee on Banking, Housing and Urban Affairs, re: the Application of Federal Securities Law Disclosure and Reporting Requirements to the Tennessee Valley Authority | |
| May 24, 2002 | Written Statement of the Commission, Before the Subcommittee on Government Efficiency, Financial Management and Intergovernmental Relations, Committee on Government Reform, U.S. House of Representatives, re: H.R. 4685, the "Accountability of Tax Dollars Act of 2002" | |
| May 22, 2002 | Annette L. Nazareth, Director, Division of Market Regulation, Before the House Committee on Financial Services, re: Certain Pending Proposalsby the European Commission | |
| May 14, 2002 | Robert K. Herdman, Chief Accountant, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: The Roles of the SEC and the FASB in Establishing GAAP | |
| Apr. 23, 2002 | James M. McConnell, Executive Director, Before the Senate Subcommittee on Oversight of Government Management, Restructuring and the District of Columbia, Committee on Governmental Affairs, re:Critical Resource and Staffing Issues Facing the SEC | |
| Apr. 17, 2002 | Chairman Harvey L. Pitt, Before the House Subcommittee on Commerce, Justice, State, and the Judiciary, Committee on Appropriations, re: Appropriations for Fiscal 2003 | |
| Mar. 21, 2002 | John M. Morrissey, Deputy Chief Accountant, Before the Subcommittee on Oversight and Investigations of the House Committee on Financial Services re: Telecommunications Accounting Issues | |
| Mar. 21, 2002 | Oral testimony of Chairman Harvey L. Pitt, Before the Senate Committee on Banking, Housing, and Urban Affairs re: Accounting and Investor Protection Issues Raised by Enron and Other Public Companies | |
| Mar. 21, 2002 | Written testimony of Chairman Harvey L. Pitt, Before the Senate Committee on Banking, Housing, and Urban Affairs re: Accounting and Investor Protection Issues Raised by Enron and Other Public Companies | |
| Mar. 20, 2002 | Chairman Harvey L. Pitt, Before the House Committee on Financial Services re: The Corporate and Auditing Accountability, Responsibility, and Transparency Act | |
| Feb. 14, 2002 | Robert K. Herdman, Chief Accountant, Before the House Subcommittee on Commerce, Trade and Consumer Protection, Committee on Energy and Commerce re: Are Current Financial Accounting Standards Protecting Investors? | |
| Feb. 4, 2002 | Chairman Harvey L. Pitt, Before the House Subcommittee on Capital Markets, Insurance and Government Suponsored Enterprises re: Legislative Solutions to Problems Raised by Events Relating to Enron Corporation | |
| Presented in 2001 | ||
| Dec. 12, 2001 | Robert K. Herdman, Chief Accountant, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises and The House Subcommittee on Oversight and Investigations, Committee on Financial Services re: Recent Events Relating to Enron Corporation | |
| Financial Reporting Information Center Selected Accounting and Auditing Enforcement Releases Other Financial Reporting Actions |
Regulatory Pronouncements Investor Information |
http://www.sec.gov/divisions/enforce/frispeeches.shtml
| Contact | Employment | Links | FOIA | Forms | Privacy | Modified: 04/10/2003 |
