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Commission Speeches and Public Statements Archive: 1940
This index lists 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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1940 Speeches by the Chairman and Commissioners
Date |
Title |
Author |
Dec. 12, 1940 |
Opening Statement, Committee of Corporate Finance, 1940 Annual Convention, National Association of Railroad and Utilities Commissioners, Miami, Florida |
Commissioner Robert E. Healy |
Oct. 22, 1940 |
Statement, Washington, D.C. |
Chairman Jerome N. Frank |
Oct. 18, 1940 |
The Sin of Perfectionism, Annual Meeting of American Institute of Accountants, Memphis, Tennessee |
Chairman Jerome N. Frank |
Sep. 20, 1940 |
Address, Maine Investment Dealers Association, Portland, Maine |
Commissioner Sumner T. Pike |
Sep. 10, 1940 |
Section 11 of the Public Utility Holding Company Act, Section of Public Utility Law at the Convention of the American Bar Association, Philadelphia, Pennsylvania |
Commissioner Robert E. Healy |
Aug. 29, 1940 |
SEC Respects State Jurisdiction: A critical analysis of a recent suggestion that the SEC is seeking to undermine regulatory authority of the states over local utility securities, Reprinted in the Public Utilities Fortnightly, Vol. XXVI; No. 5 |
Chairman Jerome N. Frank |
Jun. 6, 1940 |
Integration And Utility Investors |
Chairman Jerome N. Frank |
Apr. 25, 1940 |
Regional Financing, Kiwanis Club of Cleveland, Cleveland, Ohio |
Chairman Jerome N. Frank |
Apr. 8, 1940 |
In Time of War Prepare for Peace, The Army Industrial College, Washington, D.C. |
Chairman Jerome N. Frank |
Apr. 2, 1940 |
Statement, Subcommittee of Committee on Banking and Currency on Wagner-Lea Act., S. 3580, to regulate investment trusts and investment companies, Washington, D.C. , |
Commissioner Robert E. Healy |
Mar. 27, 1940 |
Fairness and Feasibility, Association of the Bar of the City of New York |
Chairman Jerome N. Frank |
Feb. 12, 1940 |
Statement, Temporary National Economic Committee at the resumption of the hearings on the insurance business. |
Commissioner Leon Henderson |
Jan. 25, 1940 |
Corporation Management and the SEC, American Management Association, New York, New York |
Chairman Jerome N. Frank |
1940 Speeches and Statements by Commission Staff
Date |
Title |
Author |
Oct. 14, 1940 |
Section 11 of the Holding Company Act: Some Legal and Administrative Problems, Practising Law Institute, New York City, New York |
Joseph L. Weiner, Director, Public Utilities Division |
Oct. 8, 1940 |
The Joint Responsibility of the Federal and State Commissions in the Prevention of Securities Fraud, National Association of Securities Commissioners, Dallas, Texas |
Robert E. Kline, Jr., Assistant General Counsel |
Sep. 16, 1940 |
The Government's Responsibility for the Regulation of Accounting Reports, Accounting Symposium, Bicentennial Conference of the University of Philadelphia, Philadelphia, Pennsylvania |
William W. Werntz, Chief Accountant |
Jun. 13, 1940 |
Accounting Requirements of the Securities and Exchange Commission, Texas Society of Certified Public Accountants, Dallas, Texas |
William W. Werntz, Chief Accountant |
Jun. 7, 1940 |
Independence and Cooperation, Regional Conference of the Controllers Institute of America, Swampscott, Massachusetts |
William W. Werntz, Chief Accountant |
May 2, 1940 |
Wanted: A New Banking System for Small Business, Kiwanis Club of Newark, Newark, New Jersey |
Peter R. Nememkis, Jr., Special Cousel, Investment Banking Section |
Mar. 28, 1940 |
Paper, First Session of a Symposium on Constitutional Law, George Washington University and the Federal Bar Association, Washington, D.C. |
Lawrence S. Lesser |
Mar. 20, 1940 |
Address, District of Columbia Control, Comptrollers Institute of America, Washington, D.C. |
M. Quinn Shaughnessy, Assistant Director, Registration Division |
http://www.sec.gov/news/speech/speecharchive/1940speech.shtml
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