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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 |
| Third Quarter |
| Jul. 27, 2009 |
Restoring Investors' Voices — The Launch of the Investor Advisory Committee, Washington, D.C. |
Commissioner
Luis A. Aguilar |
| Jul. 22, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Kathleen L. Casey |
| Jul. 22, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Luis A. Aguilar |
| Jul. 22, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Troy A. Paredes |
| Jul. 22, 2009 |
|
Chairman
Mary L. Schapiro |
| Jul. 15, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Luis A. Aguilar |
| Jul. 15, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Elisse B. Walter |
| Jul. 15, 2009 |
|
Chairman
Mary L. Schapiro |
| Jul. 13, 2009 |
Remarks at Corporate Directors Forum, San Diego, California |
Commissioner
Troy A. Paredes |
| Jul. 1, 2009 |
|
Chairman
Mary L. Schapiro |
| Jul. 1, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Kathleen L. Casey |
| Jul. 1, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Luis A. Aguilar |
| Jul. 1, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Elisse B. Walter |
| Jul. 1, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Troy A. Paredes |
| Second Quarter |
| Jun. 27, 2009 |
"The American Corporation and its Shareholders: Dooryard Visits Disallowed", Society of Corporate Secretaries and Governance Professionals, San Diego, California |
Commissioner
Elisse B. Walter |
| Jun. 24, 2009 |
Opening Statement at Open Meeting on Money Market Fund Reform, Washington, D.C. |
Commissioner
Elisse B. Walter |
| Jun. 24, 2009 |
Strengthening the Money Market Framework with Investors in Mind, Open Meeting, Washington, D.C. |
Commissioner
Luis A. Aguilar |
| Jun. 24, 2009 |
|
Chairman
Mary L. Schapiro |
| Jun. 24, 2009 |
Statement at SEC Open Meeting Regarding Money Market Fund Reform, Washington, D.C. |
Commissioner
Kathleen L. Casey |
| Jun. 24, 2009 |
Remarks at the Open Meeting of the U.S. Securities & Exchange Commission Regarding Money Market Fund Reform, Washington, D.C. |
Commissioner
Troy A. Paredes |
| Jun. 23, 2009 |
"The Globalization of Investment Advisers — How Will Regulators Respond?", International Institute for the Regulation and Inspection of Investment Advisers, Washington, D.C. |
Commissioner
Luis A. Aguilar |
| Jun. 23, 2009 |
Remarks at Conference on "Shareholder Rights, the 2009 Proxy Season, and the Impact of Shareholder Activism", Washington, D.C. |
Commissioner
Troy A. Paredes |
| Jun. 18, 2009 |
Hedge Fund Regulation on the Horizon — Don’t Shoot the Messenger, Spring 2009 Hedgeworld Fund Services Conference, New York, New York |
Commissioner
Luis A. Aguilar |
| Jun. 18, 2009 |
Address before the New York Financial Writers’ Association Annual Awards Dinner, New York, N.Y. |
Chairman
Mary L. Schapiro |
| Jun. 18, 2009 |
Statement at SEC-DOL Hearing on Target Date Funds, Department of Labor, Washington, D.C.
|
Chairman
Mary L. Schapiro |
| Jun. 11, 2009 |
|
Chairman
Mary L. Schapiro |
| Jun. 10, 2009 |
Welcoming Remarks Before the 34th IOSCO Annual Conference, Tel Aviv, Israel |
Commissioner
Kathleen L. Casey |
| Jun. 3, 2009 |
Reversing Course — Putting Investors First in Regulatory Reform, Compliance Week Annual Conference, Washington, D.C. |
Commissioner
Luis A. Aguilar |
| May 28, 2009 |
"Combating Securities Fraud at Home and Abroad", Third Annual Fraud and Forensic Accounting Education Conference, Atlanta, Georgia |
Commissioner
Luis A. Aguilar |
| May 20, 2009 |
|
Chairman
Mary L. Schapiro |
| May 20, 2009 |
Statement at SEC Open Meeting on Facilitating Shareholder Director Nominations, Washington, D.C. |
Commissioner
Luis A. Aguilar |
| May 20, 2009 |
Statement at Open Meeting to Propose Amendments Regarding Facilitating Shareholder Director Nominations, Washington, D.C. |
Commissioner
Kathleen L. Casey |
| May 20, 2009 |
Statement at Open Meeting to Propose Amendments Regarding Facilitating Shareholder Director Nominations, Washington, D.C. |
Commissioner
Troy A. Paredes |
| May 20, 2009 |
Statement at SEC Open Meeting on Facilitating Shareholder Director Nominations, Washington, D.C. |
Commissioner
Elisse B. Walter |
| May 14, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Kathleen L. Casey |
| May 14, 2009 |
Remarks at SEC Open Meeting, Washington, D.C. |
Commissioner
Troy A. Paredes |
| May 14, 2009 |
|
Chairman
Mary L. Schapiro |
| May 13, 2009 |
Statement at Treasury Department Press Briefing on OTC Derivatives, Washington, D.C. |
Chairman
Mary L. Schapiro |
| May 8, 2009 |
"Building a Stable and Efficient Financial System", Address to the Investment Company Institute, Washington, D.C. |
Chairman
Mary L. Schapiro |
| May 7, 2009 |
SEC's Oversight of the Adviser Industry Bolsters Investor Protection, Investment Advisers Association Annual Conference, San Diego, California |
Commissioner
Luis A. Aguilar |
| May 6, 2009 |
Remarks at the Security Traders Association 13th Annual Washington Conference, Washington, D.C. |
Commissioner
Troy A. Paredes |
| May 5, 2009 |
|
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 |
|
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 |
| Third Quarter |
| Aug. 5, 2009 |
Remarks Before the New York City Bar: My First 100 Days as Director of Enforcement, New York, New York |
Robert Khuzami
Director, Division of Enforcement |
Jul. 14, 2009 and
Aug. 2, 2009 |
The New Financial Landscape: Lesson of the Financial Crisis, Sydney, Australia, and Chicago, Illinois |
Ethiopis Tafara
Director, Office of International Affairs |
| Jul. 1, 2009 |
Division Statement before the Commission Open Meeting: Shareholder Approval of Executive Compensation of TARP Recipients, Washington, D.C. |
John Harrington, Attorney-Adviser, Division of Corporation Finance |
| Jul. 1, 2009 |
Division Statement before the Commission Open Meeting: Proxy Disclosure and Solicitation Enhancements, Washington, D.C. |
Sean Harrison, Special Counsel, Division of Corporation Finance |
| Second Quarter |
| Jun. 19, 2009 |
Statement at News Conference Announcing Additional Charges in Stanford Ponzi Scheme Case, Washington, D.C. |
Robert Khuzami, Director, Division of Enforcement |
| Jun. 17, 2009 |
Strengthening Examination Oversight: Changes to Regulatory Examinations, Remarks before the SIFMA Compliance and Legal Division, St. Louis Regional Seminar, The New World of Compliance and Legal, St. Louis, Missouri |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
| Jun. 4, 2009 |
Statement at News Conference Announcing Fraud Charges Against Former Countrywide Executives, Washington, D.C. |
Robert Khuzami, Director, Division of Enforcement |
| May 20, 2009 |
Keynote Address to the 2009 SIFMA Market Structure Conference, New York, New York |
James A. Brigagliano, Co-Acting Director, Division of Trading and Markets |
| May 20, 2009 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
Lillian Brown, Senior Special Counsel, Division of Corporation Finance |
| May 5, 2009 |
The Road Ahead: Short Sale Regulation for Today’s Markets, New York, New York |
James A. Brigagliano, Co-Acting Director, Division of Trading and Markets |
| 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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