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Commission Speeches and Public Statements Archive: 2009
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 |
Fourth Quarter |
Dec. 16, 2009 |
Opening Statement at SEC Open Meeting — Proxy Disclosure Enhancements, Washington, D.C. |
Commissioner
Elisse B. Walter |
Dec. 16, 2009 |
Statement at SEC Open Meeting — Custody Rules for Investment Advisers, Washington, D.C. |
Commissioner
Elisse B. Walter |
Dec. 16, 2009 |
|
Chairman
Mary L. Schapiro |
Dec. 16, 2009 |
|
Chairman
Mary L. Schapiro |
Dec. 16, 2009 |
Statement at SEC Open Meeting — Proxy Enhancements, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Dec. 16, 2009 |
Statement at SEC Open Meeting — Custody Rules for Investment Advisers, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Dec. 16, 2009 |
Statement at SEC Open Meeting — Proxy Enhancements, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Dec. 16, 2009 |
Statement at SEC Open Meeting — Custody Rules for Investment Advisers, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Dec. 16, 2009 |
Statement at SEC Open Meeting — Proxy Enhancements, Washington, D.C., Washington, D.C. |
Commissioner
Troy A. Paredes |
Dec. 16, 2009 |
Statement at SEC Open Meeting — Custody Rules for Investment Advisers, Washington, D.C. |
Commissioner
Troy A. Paredes |
Dec. 9, 2009 |
Remarks Before the AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Commissioner
Elisse B. Walter |
Dec. 3, 2009 |
"The Consumer in the Financial Services Revolution", Washington, D.C. |
Chairman
Mary L. Schapiro |
Nov. 19, 2009 |
Remarks at 2009 SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. |
Commissioner
Troy A. Paredes |
Nov. 17, 2009 |
Lessons from the Financial Crisis for Financial Reporting, Standard Setting and Rule Making, New York, New York |
Commissioner
Kathleen L. Casey |
Nov. 13, 2009 |
Remarks at Independent Directors Council's 2009 Investment Company Directors Conference, Amelia Island, Florida |
Commissioner
Troy A. Paredes |
Nov. 6, 2009 |
Remarks at the Closing of the International Institute for Enforcement and Market Oversight, Washington, D.C. |
Commissioner
Elisse B. Walter |
Nov. 6, 2009 |
Investors Deserve Sustainable Reform — Not More of the Same, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Nov. 5, 2009 |
Applying the Lessons, Cambridge, Massachusetts |
Chairman
Mary L. Schapiro |
Nov. 4, 2009 |
Address to the Practising Law Institute's 41st Annual Institute on Securities Regulation, New York, New York |
Chairman
Mary L. Schapiro |
Oct. 29, 2009 |
"The Power of the Shareholder & the Rise of Corporate Democracy", New York, New York |
Commissioner
Luis A. Aguilar |
Oct. 28, 2009 |
Regulation of the Municipal Securities Market: Investors Are Not Second-Class Citizens, New York, New York |
Commissioner
Elisse B. Walter |
Oct. 28, 2009 |
Regulation of the Municipal Securities Market: Investors Are Not Second-Class Citizens (Version as Delivered), New York, New York |
Commissioner
Elisse B. Walter |
Oct. 27, 2009 |
"The Road to Investor Confidence", SIFMA Annual Conference, New York, New York |
Chairman
Mary L. Schapiro |
Oct. 22, 2009 |
Address before the Solutions Forum on Fraud, Washington, D.C. |
Chairman
Mary L. Schapiro |
Oct. 21, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Elisse B. Walter |
Oct. 21, 2009 |
|
Chairman
Mary L. Schapiro |
Oct. 21, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Oct. 21, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Troy A. Paredes |
Oct. 21, 2009 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Oct. 16, 2009 |
Remarks Concerning Regulatory Harmonization Report, Washington, D.C. |
Chairman
Mary L. Schapiro |
Oct. 16, 2009 |
Remarks before the Symposium on "The Past, Present, and Future of the SEC", Pittsburgh, Pennsylvania |
Commissioner
Troy A. Paredes |
Oct. 10, 2009 |
Remarks at the University of Rochester’s Presidential Symposium on the Future of Financial Regulation, Rochester, New York |
Chairman
Mary L. Schapiro |
Oct. 9, 2009 |
Remarks at the Center for the Study of International Business Law at Brooklyn Law School Breakfast Roundtable, New York, New York |
Commissioner
Elisse B. Walter |
Oct. 9, 2009 |
Creating Reform That Is Sustainable for Investors, Remarks before the Hofstra Investment Management Conference, Hempstead, New York |
Commissioner Luis A. Aguilar |
Oct. 8, 2009 |
Remarks at IOSCO Technical Committee Conference, Basel, Switzerland |
Chairman
Mary L. Schapiro |
Oct. 2, 2009 |
"SEC Rulemaking - 'Advancing the Law' to Protect Investors", Chicago, Illinois |
Commissioner
Elisse B. Walter |
Oct. 2, 2009 |
Statement of Commissioner Luis A. Aguilar Regarding His Commitment to Implementation of Sarbanes-Oxley Section 404(b), Washington, D.C. |
Commissioner Luis A. Aguilar |
Third Quarter |
Sep. 30, 2009 |
|
Chairman
Mary L. Schapiro |
Sep. 29, 2009 |
|
Chairman
Mary L. Schapiro |
Sep. 24, 2009 |
Address to Financial Services Roundtable — 2009 Fall Conference, Washington D.C. |
Chairman
Mary L. Schapiro |
Sep. 24, 2009 |
Remarks Before the Investment Company Institute's Annual Capital Markets Conference, New York, New York |
Commissioner
Troy A. Paredes |
Sep. 24, 2009 |
Remarks Before SIFMA's 14th Annual Fixed Income Legal & Compliance Conference, New York, New York |
Commissioner
Troy A. Paredes |
Sep. 18, 2009 |
Address to Conference on "The Future of Global Finance", Washington, D.C. |
Chairman
Mary L. Schapiro |
Sep. 17, 2009 |
Statement at SEC Open Meeting — Flash Orders, Washington, D.C. |
Commissioner
Elisse B. Walter |
Sep. 17, 2009 |
Statement at SEC Open Meeting — NRSROs, Washington, D.C. |
Commissioner
Elisse B. Walter |
Sep. 17, 2009 |
Statement at SEC Open Meeting — NRSROs, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Sep. 17, 2009 |
Statement at SEC Open Meeting — Flash Orders, Washington, D.C. |
Commissioner
Troy A. Paredes |
Sep. 17, 2009 |
Statement at SEC Open Meeting — NRSROs, Washington, D.C. |
Commissioner
Troy A. Paredes |
Sep. 17, 2009 |
|
Chairman
Mary L. Schapiro |
Sep. 17, 2009 |
|
Chairman
Mary L. Schapiro |
Sep. 17, 2009 |
Statement at SEC Open Meeting — NRSROs, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Sep. 17, 2009 |
Address to Transatlantic Corporate Governance Dialogue — 2009 Conference, Washington D.C. |
Chairman
Mary L. Schapiro |
Sep. 10, 2009 |
Diversity in the Boardroom Yields Dividends, Stanford Law School, Palo Alto, California |
Commissioner
Luis A. Aguilar |
Sep. 4, 2009 |
Statement on the Inspector General's Report Regarding the Bernard Madoff Fraud, Washington, D.C. |
Chairman
Mary L. Schapiro |
Sep. 3, 2009 |
Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. |
Chairman
Mary L. Schapiro |
Sep. 2, 2009 |
Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. |
Commissioner
Elisse B. Walter |
Sep. 2, 2009 |
Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Sep. 2, 2009 |
Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. |
Commissioner
Troy A. Paredes |
Sep. 2, 2009 |
Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Sep. 2, 2009 |
Statement on the Release of the Executive Summary of the Inspector General's Report regarding the Bernard Madoff Fraud, Washington, D.C. |
Chairman
Mary L. Schapiro |
Sep. 2, 2009 |
Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. |
Chairman
Mary L. Schapiro |
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 |
Fourth Quarter |
Dec. 9, 2009 |
Remarks Before the ICI 2009 Securities Law Developments Conference, Washington, D.C. |
Andrew J. Donohue, Director, Division of Investment Management |
Dec. 8, 2009 |
Slide Presentation (PDF): Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Joel K. Levine, Assistant Director, Office of Interactive Disclosure |
Dec. 8, 2009 |
Remarks Before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Jason S. Flemmons, Associate Chief Accountant, Division of Enforcement
|
Dec. 8, 2009 |
Slide Presentation (PDF): Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Wayne Carnall, Chief Accountant, Division of Corporation Finance |
Dec. 8, 2009 |
Remarks at AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Robert S. Khuzami, Director, Division of Enforcement |
Dec. 7, 2009 |
Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Paul A. Beswick, Deputy Chief Accountant, Office of the Chief Accountant |
Dec. 7, 2009 |
Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Doug Besch, Professional Accounting Fellow, Office of the Chief Accountant |
Dec. 7, 2009 |
Slide Presentation (PDF): Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Wayne Carnall, Chief Accountant, Division of Corporation Finance |
Dec. 7, 2009 |
Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Brian W. Fields, Professional Accounting Fellow, Office of the Chief Accountant |
Dec. 7, 2009 |
Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Joshua S. Forgione, Associate Chief Accountant, Office of the Chief Accountant |
Dec. 7, 2009 |
Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Douglas T. Parker, Professional Accounting Fellow, Office of the Chief Accountant |
Dec. 7, 2009 |
Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Allison M. Patti, Professional Accounting Fellow, Office of the Chief Accountant |
Dec. 7, 2009 |
Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Evan Sussholz, Professional Accounting Fellow, Office of the Chief Accountant |
Dec. 7, 2009 |
Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Arie S. Wilgenburg, Professional Accounting Fellow, Office of the Chief Accountant |
Dec. 7, 2009 |
Remarks Before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
James L. Kroeker, Chief Accountant, Office of the Chief Accountant |
Dec. 6, 2009 |
Slide Presentation (PDF): Best Practices for Working with SEC Staff, 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Angela Crane, Associate Chief Accountant, and Michael Stehlik, Staff Accountant, Division of Corporation Finance |
Dec. 2009 |
Slide Presentation (PDF): SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, PCAOB Forums on Auditing in the Small Business Environment |
Wayne Carnall, Chief Accountant, Division of Corporation Finance |
Dec. 2009 |
Slide Presentation (PDF): Areas of Frequent Staff Comment — Financial Institutions |
Stephanie L. Hunsaker, Associate Chief Accountant, Division of Corporation Finance |
Nov. 20, 2009 |
Remarks before the Committee on Federal Regulation of Securites; Section of Business Law; American Bar Association, Washington, D.C. |
David M. Becker, General Counsel and Senior Policy Director |
Nov. 17, 2009 |
Remarks at Department of Justice Press Conference, Washington, D.C. |
Robert S. Khuzami, Director, Division of Enforcement |
Nov. 12, 2009 |
Keynote Address at the Independent Directors Council Investment Company Directors Conference, Amelia Island, Florida |
Andrew J. Donohue, Director, Division of Investment Management |
Nov. 12, 2009 |
Remarks before Catholic Law School Annual Securities Alumni Luncheon, Washington, D.C. |
Daniel M. Gallagher, Jr., Co-Acting Director, Division of Trading and Markets |
Nov. 9, 2009 |
Executive Compensation Disclosure: Observations on the 2009 Proxy Season and Expectations for 2010, 4th Annual Proxy Disclosure Conference, San Francisco, California |
Shelley Parratt, Deputy Director, Division of Corporation Finance |
Nov. 6, 2009 |
Remarks Before the ALI-ABA (American Law Institute/American Bar Association) Conference on Life Insurance Company Products, Washington, D.C. |
Andrew J. Donohue, Director, Division of Investment Management |
Nov. 5, 2009 |
Remarks at Press Conference, New York, New York |
Robert Khuzami
Director, Division of Enforcement |
Oct. 28, 2009 |
Luncheon Address at Practicing Law Institute:
Strengthening Supervision, New York, New York |
Daniel M. Gallagher, Jr., Co-Acting Director, Division of Trading and Markets |
Oct. 16, 2009 |
Remarks at Press Conference, New York, New York |
Robert Khuzami
Director, Division of Enforcement |
Oct. 9, 2009 |
Remarks Before the Hofstra Journal of International Business Law Conference on Investment Management Law, Hempstead, New York |
Andrew J. Donohue, Director, Division of Investment Management |
Oct. 8, 2009 |
Remarks at the Trader Forum 2009 Fall Workshop: Securities Markets and Regulatory Reform, Boston, Massachusetts |
James A. Brigagliano, Co-Acting Director, Division of Trading and Markets |
Oct. 5, 2009 |
Remarks at the 2009 NSCP National Meeting, Philadelphia, Pennsylvania |
John H. Walsh, Acting Director, Office of Compliance Inspections and Examinations |
Third Quarter |
Sep. 21, 2009 |
Luncheon Address at IA Week/IA Watch's 9th Annual IA Compliance Fall Conference 2009, Philadelphia, Pennsylvania |
Andrew J. Donohue, Director, Division of Investment Management |
Sep. 17, 2009 |
Staff Statements at SEC Open Meeting — NRSROs, Washington, D.C. |
Dan Gallagher, Randall Roy, Penelope Saltzman, Michael Gaw and Blair Petrillo |
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 19, 2009 |
Remarks before Fintel's 2nd Annual Global Financial Services Centers Conference: "Reshaping the World's International Financial Services Centers", Dublin, Ireland |
Daniel M. Gallagher, Jr., Co-Acting Director, Division of Trading and Markets |
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/speecharchive/2009speech.shtml
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