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Commission Speeches and Public Statements
This index lists recent speeches and other public statements by the Chairman, Commissioners, and Staff of the SEC, which cover a wide range of topics concerning the state of the markets and the Commission's regulatory agenda.
Speeches and Statements by:
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2009 Speeches and Statements by the Chairman and Commissioners
| Date |
Title |
Author |
| Second Quarter |
| May 6, 2009 |
Remarks at the Security Traders Association 13th Annual Washington Conference, Washington, D.C. |
Commissioner
Troy A. Paredes |
| May 5, 2009 |
Opening Statement at May 5, 2009, Roundtable on Short Selling, Washington, D.C.
|
Chairman
Mary L. Schapiro |
| May 5, 2009 |
Regulating Broker-Dealers and Investment Advisers: Demarcation or Harmonization?, Washington, D.C. |
Commissioner
Elisse B. Walter |
| May 4, 2009 |
Address to Mutual Fund Directors Forum Ninth Annual Policy Conference: Critical Issues for Investment Company Directors, Washington, D.C. |
Chairman
Mary L. Schapiro |
| May 4, 2009 |
Remarks Before the Mutual Fund Directors Forum Ninth Annual Policy Conference, Washington, D.C. |
Commissioner
Troy A. Paredes |
| Apr. 28, 2009 |
NASAA Members and the SEC — United in the Public Interest and Making Investors a Priority, Washington, D.C. |
Commissioner
Luis A. Aguilar |
| Apr. 27, 2009 |
"Equalizing Opportunities for All Americans to Participate in Financial Services", New York, New York |
Commissioner
Luis A. Aguilar |
| Apr. 27, 2009 |
Address to the Society of American Business Editors and Writers, Denver, Colorado |
Chairman
Mary L. Schapiro |
| Apr. 17, 2009 |
"Making Investors a Priority in Regulatory Reform", Boston, Massachusetts |
Commissioner
Luis A. Aguilar |
| Apr. 15, 2009 |
Statement at SEC Roundtable on Credit Rating Agencies, Washington, D.C.
|
Chairman
Mary L. Schapiro |
| Apr. 8, 2009 |
Statement Before the Commission Open Meeting, Washington, D.C. |
Commissioner
Kathleen L. Casey |
| Apr. 8, 2009 |
Statement Before the Commission Open Meeting, Washington, D.C. |
Commissioner
Luis A. Aguilar |
| Apr. 8, 2009 |
Statement Before the Commission Open Meeting, Washington, D.C. |
Commissioner
Troy A. Paredes |
| Apr. 8, 2009 |
Opening Statement Before the Commission Open Meeting, Washington, D.C. |
Chairman
Mary L. Schapiro |
| Apr. 6, 2009 |
Address to the Council of Institutional Investors, Washington, D.C. |
Chairman
Mary L. Schapiro |
| First Quarter |
| Mar. 19, 2009 |
Remarks at the 2009 Southeastern Securities Conference, Atlanta, Georgia |
Commissioner
Troy A. Paredes |
| Mar. 19, 2009 |
Remarks at News Teleconference Announcing Enforcement Action Against Former N.Y. State Official and Top Political Advisor |
Chairman
Mary L. Schapiro |
| Mar. 18, 2009 |
"Reinvigorating the Enforcement Program to Restore Investor Confidence" — Introductory Remarks before the District of Columbia Bar, Washington, D.C. |
Commissioner
Luis A. Aguilar |
| Mar. 10, 2009 |
Remarks at the CCOutreach BD National Seminar, SEC Headquarters, Washington, D.C. |
Commissioner
Troy A. Paredes |
| Mar. 10, 2009 |
Remarks at the 2nd Annual CCOutreach BD National Seminar, SEC Headquarters, Washington, D.C. |
Chairman
Mary L. Schapiro |
| Mar. 2, 2009 |
"Principles to Help Guide Financial Regulatory Reform" — Remarks Before the Institute of International Bankers, Washington, D.C. |
Commissioner
Elisse B. Walter |
| Feb. 18, 2009 |
"Restoring Investor Trust through Corporate Governance" — Remarks Before the Practicing Law Institute, New York, New York |
Commissioner
Elisse B. Walter |
| Feb. 6, 2009 |
"Increasing Accountability and Transparency to Investors", Remarks at "The SEC Speaks in 2009," Washington, D.C. |
Commissioner
Luis A. Aguilar |
| Feb. 6, 2009 |
"In Search of Transparency, Accountability, and Competition: The Regulation of Credit Rating Agencies", Remarks at "The SEC Speaks in 2009," Washington, D.C. |
Commissioner
Kathleen L. Casey |
| Feb. 6, 2009 |
Remarks at "The SEC Speaks in 2009", Washington, D.C. |
Commissioner
Troy A. Paredes |
| Feb. 6, 2009 |
Address to Practising Law Institute's "SEC Speaks in 2009" Program, Washington, D.C. |
Chairman
Mary L. Schapiro |
| Feb. 6, 2009 |
Remarks at "The SEC Speaks in 2009", Washington, D.C. |
Commissioner
Elisse B. Walter |
| Jan. 26, 2009 |
Remarks at the Investment Company Institute’s Board of Governor’s Winter Meeting, Washington, D.C. |
Commissioner
Luis A. Aguilar |
| Jan. 14, 2009 |
Remarks Before the Exchequer Club, Washington, D.C. |
Commissioner
Kathleen L. Casey |
| Jan. 10, 2009 |
Empowering the Markets Watchdog to Effect Real Results, North American Securities Administrators Association's Winter Enforcement Conference, San Diego, California |
Commissioner
Luis A. Aguilar |
2009 Speeches and Statements by Commission Staff
| Date |
Title |
Author |
| Second Quarter |
| Apr. 17, 2009 |
Investment Company Act of 1940: Regulatory Gap between Paradigm and Reality?, Vancouver, Canada |
Andrew J. Donohue, Director, Division of Investment Management |
| Apr. 9, 2009 |
Remarks at the National Economists Club: Securities Markets and Regulatory Reform, Washington, D.C. |
Erik R. Sirri, Director, Division of Trading and Markets |
| Apr. 2, 2009 |
Keynote Address at the Practising Law Institute's Investment Management Institute 2009, New York, New York |
Andrew J. Donohue, Director, Division of Investment Management |
| First Quarter |
| Mar. 23, 2009 |
Keynote Address, Investment Company Institute, 2009 Mutual Funds and Investment Management Conference, Washington, D.C. |
Andrew J. Donohue, Director, Division of Investment Management |
| Mar. 12, 2009 |
"Compliance in Today's Environment: Step Up to the Challenge" — Remarks Before the IA Compliance Best Practices Summit 2009, Washington, D.C. |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
| Feb. 23, 2009 |
A Few Observations Based On International Regulatory Conversations, Before the CESR Conference, Paris, France |
Ethiopis Tafara, Director, Office of International Affairs |
| Jan. 23, 2009 |
Remarks at the Security Traders Association of Chicago Mid-Winter Meeting, Chicago, Illinois |
Elizabeth K. King, Associate Director, Division of Trading & Markets |
| Jan. 15, 2009 |
The Future of Financial Reporting, National Investors Relations Institute — New York Chapter, New York, New York
Slide presentation (PDF) |
William Lutz, Director, 21st Century Disclosure Initiative |
| Jan. 13, 2009 |
Address at the Mutual Fund Directors Forum Third Annual Directors' Institute, Fort Myers, Florida |
Andrew J. Donohue, Director, Division of Investment Management |
http://www.sec.gov/news/speech.shtml
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