Cooperative Arrangements with Foreign Regulators

1. Enforcement Cooperation:

• Argentina (December 9, 1991)
• Australia (October 20, 1993)
• Brazil (July 1, 1988)
• Canada (January 7, 1988)
• Chile (June 3, 1993)
• France (December 14, 1989)
• Germany (November 22, 1993; March 24, 1994; October 17, 1997)
• Hong Kong (October 5, 1995)
• IOSCO (May, 2002)
• Israel (February 13, 1996)
• Italy (May 3 & 5, 1993)
• Japan (May 23, 1986; May 17, 2002; January 12 & 16, 2006)
• Jersey (May 22, 2002)
• Mexico (October 18, 1990)
• Netherlands (December 11, 1989; July 1, 1992)
• Norway (September 24, 1991)
• Portugal (October 10, 1997)
• Singapore (May 16, 2000)
• Spain (July 8, 1992)
• Switzerland (August 31, 1982; November 10, 1987; November 3, 1993)
• United Kingdom (September 23, 1986, September 25, 1991)
• Communiqués/Joint Statements
  • Costa Rica (October 10, 1991)
  • The Commission of the European Communities (September 23, 1991)
  • South Africa (March 2, 1995)
  • Sweden (September 25, 1991)

2. Regulatory Cooperation:

• Market Participants and Markets
  • Germany (April 26, 2007)
    • Germany (December 2007)
  • Switzerland (December 2007)
  • College of Euronext Regulators (January 2007)
    • English version
    • French version
  • Belgium (June 29, 2006, and July 6, 2006)
  • United Kingdom Financial Services Authority (March 14, 2006)
  • United Kingdom Bank of England (October 27, 1997)
  • Hong Kong (October 5, 1995)
• Issuers and Financial Reporting
  • United Kingdom (April 2007)
  • Belgium (May 2008)
  • Bulgaria (May 2008)
  • Portugal (May 2008)
  • Norway (May 2008)

3. Technical Assistance:

• Argentina (December 9, 1991)
• Chile (June 3, 1993)
• China (April 28, 1994)
• Egypt (February 11, 1996)
• Hungary (June 22, 1990)
• India (March 6, 1998)
• Indonesia (March 24, 1992)
• IADB/UNECLAC (September 26, 1991)
• Russia (December 5 & 6, 1995)

4. Terms of Reference for Bilateral Dialogues:

• Korea Financial Supervisory Commission (June 27, 2006)
  • Press Release and Terms of Reference
• China Securities Regulatory Commission (May 2, 2006)
  • Press Release
  • Terms of Reference
• Japan Financial Services Agency (January 30, 2006)
  • Press Release
  • Terms of Reference
• Committee of European Securities Regulators (June 4, 2004)
  • SEC-CESR Work Plan (August 2, 2006)

5. Mutual Recognition:

• Australia (August 25, 2008)
  • Press Release
  • Framework Arrangement
  • Enhanced Enforcement Memorandum of Understanding
  • Supervisory Memorandum of Understanding

http://www.sec.gov/about/offices/oia/oia_cooparrangements.htm