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Commission Speeches and Public Statements Archive: 2007
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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2007 Speeches and Statements by the Chairman and Commissioners
Date |
Title |
Author |
Fourth Quarter |
Dec. 19, 2007 |
Keynote Address to the Columbia Law and Business Schools, Cross Border Securities Market Mergers Conference, New York, New York |
Chairman
Christopher Cox |
Dec. 18, 2007 |
Remarks before the Commission Open Meeting Regarding Public Company Accounting Standards Board Annual Budget and Accounting Support Fees
|
Chairman
Christopher Cox |
Dec. 18, 2007 |
Statement at Open Meeting to Consider PCAOB's Proposed 2008 Budget, Washington, D.C. |
Commissioner
Paul S. Atkins |
Dec. 11, 2007 |
Remarks before the Commission Open Meeting Regarding Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves
|
Chairman
Christopher Cox |
Dec. 11, 2007 |
Remarks before the Commission Open Meeting Regarding Electronic Filing and Revision of Form D
|
Chairman
Christopher Cox |
Dec. 11, 2007 |
Remarks before the Commission Open Meeting Regarding Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3
|
Chairman
Christopher Cox |
Dec. 10, 2007 |
Remarks at the 35th Annual AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Dec. 5, 2007 |
The Rise of Sovereign Business: Gauer Distinguished Lecture in Law and Policy at the American Enterprise Institute Legal Center for the Public Interest, Washington, D.C. |
Chairman
Christopher Cox |
Dec. 4, 2007 |
Remarks Introducing "The Hub", SEC Division of Enforcement Roundtable, Washington, D.C. |
Chairman
Christopher Cox |
Dec. 3, 2007 |
Address to the 16th XBRL International Conference, Vancouver, British Columbia |
Chairman
Christopher Cox |
Nov. 28, 2007 |
Remarks before the Independent Directors Council, San Francisco, California |
Commissioner
Paul S. Atkins |
Nov. 28, 2007 |
Statement before the Open Meeting regarding Electronic Shareholder Forums, Washington, D.C. |
Commissioner
Paul S. Atkins |
Nov. 28, 2007 |
Electronic Shareholder Forum Rules; Codification of Interpretation of Rule 14(a)(8)(i)(8), Commission Open Meeting, Washington, D.C.
|
Chairman
Christopher Cox |
Nov. 28, 2007 |
Opening Statement — Shareholder Proposals Relating to the Election of Directors, Open Meeting, Washington, D.C. |
Commissioner
Annette L. Nazareth |
Nov. 27, 2007 |
Videotaped Introductory Remarks at the 2007 SBR/XBRL International Conference, Brisbane, Australia
Video:
|
Chairman
Christopher Cox |
Nov. 20, 2007 |
Remarks Before EDHEC Alternative Investment Days 2007, London, England |
Commissioner
Paul S. Atkins |
Nov. 15, 2007 |
Mutual Fund Prospectus Simplification; Financial Statements Using IFRS; Small Business Capital Formation, Simplified Reporting, and Disclosure Reforms, SEC Open Meeting, Washington, D.C. |
Chairman
Christopher Cox |
Nov. 15, 2007 |
Statement on Fiscal 2007 Enforcement Results, Washington, D.C. |
Chairman
Christopher Cox |
Nov. 15, 2007 |
Statement before the Open Meeting regarding Smaller Public Companies, Washington, D.C. |
Commissioner
Paul S. Atkins |
Nov. 15, 2007 |
Open Meeting Statement on Acceptance from Foreign Private Issuers of Financial Statements Prepared in Accordance with IFRS, Washington, D.C. |
Commissioner
Paul S. Atkins |
Nov. 15, 2007 |
Open Meeting Statement on Mutual Fund Prospectus Disclosure and Delivery, Washington, D.C. |
Commissioner
Paul S. Atkins |
Nov. 14, 2007 |
Address to the 2007 CCOutreach National Seminar, Washington, D.C. |
Chairman
Christopher Cox |
Nov. 13, 2007 |
Remarks Before the National Organization of Investment Professionals (NOIP), New York |
Commissioner
Paul S. Atkins |
Nov. 9, 2007 |
Remarks Before the Securities Industry and Financial Markets Association Annual Meeting, Boca Raton, Florida |
Commissioner
Annette L. Nazareth |
Nov. 8, 2007 |
'Learning from the Shogun — Toward IOSCO's Vision of A Global Market', International Organization of Securities Commissions Technical Committee Conference, Hotel Okura Tokyo, Tokyo, Japan |
Chairman
Christopher Cox |
Nov. 1, 2007 |
Remarks at the Opening of the SEC Visitors Center Historic Exhibit, Washington, D.C. |
Chairman
Christopher Cox |
Nov. 1, 2007 |
Remarks at the SEC Historical Society Symposium, ‘Keeping the Markets Open – Lessons Learned From the 1987 Market Break', Washington, D.C. |
Chairman
Christopher Cox |
Oct. 29, 2007 |
Remarks Before the International Corporate Governance Network, New York, New York |
Commissioner
Annette L. Nazareth |
Oct. 24, 2007 |
Address to the Institute for Legal Reform's Annual Legal Reform Summit, Washington, DC |
Commissioner
Kathleen L. Casey |
Oct. 24, 2007 |
'The Role of Government in Markets': Keynote Address and Robert R. Glauber Lecture at the John F. Kennedy School of Government, Harvard University, Cambridge, Massachusetts |
Chairman
Christopher Cox |
Oct. 22, 2007 |
Welcoming Address to the AICPA Governing Council 2007 Fall Meeting, Tampa, Florida |
Chairman
Christopher Cox |
Oct. 19, 2007 |
Remarks Before the Los Angeles County Bar Association 40th Annual Securities Regulation Seminar, Los Angeles, California |
Commissioner
Annette L. Nazareth |
Oct. 16, 2007 |
The SEC's Role in Globalization of the Capital Markets, Tokyo, Japan |
Commissioner
Paul S. Atkins |
Oct. 15, 2007 |
American Society and the SEC's Mission, Tokyo, Japan |
Commissioner
Paul S. Atkins |
Oct. 12, 2007 |
'Plain Language and Good Business': Keynote Address to the Center for Plain Language Symposium, Washington, DC |
Chairman
Christopher Cox |
Oct. 9, 2007 |
Just Say 'No' to the Trial Lawyers — "Op-Ed" for the Wall Street Journal |
Commissioner
Paul S. Atkins |
Oct. 9, 2007 |
Remarks at the Eighth Annual A. A. Sommer, Jr. Corporate, Securities and Financial Law Lecture, New York, New York |
Commissioner
Paul S. Atkins |
Oct. 9, 2007 |
Remarks at the Institute of International Bankers Fall Membership Luncheon, New York, New York |
Commissioner
Kathleen L. Casey |
Oct. 9, 2007 |
Keynote Address to the 2007 US-EU Corporate Governance Conference, Washington, DC |
Chairman
Christopher Cox |
Oct. 8, 2007 |
How Technology Can Improve Life for Investors, Orlando, Florida
Video:
|
Chairman
Christopher Cox |
Oct. 4, 2007 |
Remarks Before the Security Traders Association's 74th Annual Conference and Business Meeting, Boca Raton, Florida |
Commissioner
Annette L. Nazareth |
Oct. 1, 2007 |
Address at the North American Securities Administrators Association Annual Conference, Seattle, Washington |
Commissioner
Kathleen L. Casey |
Third Quarter |
Sep. 28, 2007 |
Remarks Before the Global Financial Reporting Convergence Conference, New York, New York |
Commissioner
Kathleen L. Casey |
Sep. 24, 2007 |
Welcoming Remarks to the SEC's Annual Forum on Small Business Capital Formation, Washington, D.C. |
Chairman
Christopher Cox |
Sep. 20, 2007 |
Remarks to the Leadership Health Care Delegation to Wall Street, New York, New York |
Commissioner
Paul S. Atkins |
Sep. 19, 2007 |
Adoption of Regulation R Final Rules; Temporary Rule Regarding Principal Trades with Investment Advisory Clients, Washington, D.C. |
Chairman
Christopher Cox |
Sep. 19, 2007 |
Comments on Regulation R Final Rules, SEC Open Meeting, Washington, D.C. |
Commissioner
Paul S. Atkins |
Sep. 13, 2007 |
Remarks Before the Security Traders Association of Boston, Boston, Massachusetts |
Commissioner
Paul S. Atkins |
Sep. 10, 2007 |
Remarks at the Second Annual Seniors Summit, Washington, D.C. |
Chairman
Christopher Cox |
Sep. 6, 2007 |
Address to the AARP National Convention, "Life at Fifty-Plus", Boston, Massachusetts |
Chairman
Christopher Cox |
Sep. 5, 2007 |
Keynote Address at the Southwest Regional Enforcement Conference, Fort Worth, Texas |
Commissioner
Kathleen L. Casey |
Aug. 2, 2007 |
Welcoming Remarks to the Advisory Committee on Improvements to Financial Reporting, Washington, D.C. |
Chairman
Christopher Cox |
Aug. 2, 2007 |
Remarks Before the Federal Reserve Bank of Chicago Seventh Annual Private Equity Conference, Chicago, Illinois |
Commissioner
Paul S. Atkins |
Jul. 25, 2007 |
Statement before the Open Meeting regarding Shareholder Proposals, Washington, D.C. |
Commissioner
Paul S. Atkins |
Jul. 25, 2007 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
Chairman
Christopher Cox |
Jul. 25, 2007 |
Remarks at the SEC Open Meeting: Shareholder Proposals, Washington, D.C. |
Commissioner
Roel C. Campos |
Jul. 25, 2007 |
Remarks at the SEC Open Meeting: Approval of Auditing Standard #5 and Significant Deficiency, Washington, D.C. |
Commissioner
Roel C. Campos |
Jul. 25, 2007 |
Remarks at the Open Meeting: Concept Release on Allowing U.S. Issuers to Use IFRS, Washington, D.C. |
Commissioner
Roel C. Campos |
Jul. 18, 2007 |
Integrity in the Municipal Market, Los Angeles, California |
Chairman
Christopher Cox |
Jul. 11, 2007 |
Remarks at the SEC Open Meeting: An Antifraud Rule For Advisers To Pooled Investment Vehicles, Washington, D.C. |
Commissioner
Paul S. Atkins |
Jul. 11, 2007 |
Remarks at the SEC Open Meeting: Antifraud Rule For Advisers To Pooled Investment Vehicles, Washington, D.C. |
Commissioner
Roel C. Campos |
Jul. 6, 2007 |
Remarks at the International Corporate Governance Network, Cape Town, South Africa |
Commissioner
Roel C. Campos |
Second Quarter |
Jun. 27, 2007 |
Remarks before the SIFMA Risk Management Conference, New York, New York |
Commissioner
Annette L. Nazareth |
Jun. 20, 2007 |
Remarks at the SEC Open Meeting: Shareholder Choice Regarding Proxy Materials, Washington, D.C. |
Commissioner
Roel C. Campos |
Jun. 20, 2007 |
Remarks at the SEC Open Meeting: IFRS / U.S. GAAP Reconciliation, Washington, D.C. |
Commissioner
Roel C. Campos |
Jun. 20, 2007 |
Remarks at the SEC Open Meeting: Extension of Interactive Data Voluntary Reporting Program on the EDGAR System to Include Mutual Fund Risk/Return Summary Information, Washington, D.C. |
Commissioner
Roel C. Campos |
Jun. 20, 2007 |
Remarks at the SEC Open Meeting: Amendments to Rule 105 of Regulation M, Washington, D.C. |
Commissioner
Roel C. Campos |
Jun. 14, 2007 |
Remarks to the New York Society of Security Analysts, Washington, D.C. |
Chairman
Christopher Cox |
Jun. 14, 2007 |
Principles v. Rules, Luxembourg Fund Industry Association and the American Chamber of Commerce, Luxembourg |
Commissioner
Roel C. Campos |
Jun. 13, 2007 |
Opening Statement at the Commission Open Meeting, Washington, D.C. |
Chairman
Christopher Cox |
Jun. 7, 2007 |
Remarks at the Fund Governance Forum, New York City |
Commissioner
Paul S. Atkins |
Jun. 6, 2007 |
Welcoming Remarks, SEC Historical Society's Commemoration of the Commission's Seventy-Third Year, Washington, D.C. |
Chairman
Christopher Cox |
Jun. 6, 2007 |
Remarks Before the PLI Hedge Fund Conference, New York, New York |
Commissioner
Annette L. Nazareth |
Jun. 4, 2007 |
Remarks at the 15th International XBRL Conference, Munich, Germany |
Commissioner
Kathleen L. Casey |
Jun. 1, 2007 |
Remarks before the International Organization of Securities Commissions' Roundtable on the Quality of Public Company Audits, Paris, France |
Commissioner
Roel C. Campos |
Jun. 1, 2007 |
Remarks to the Annual Meeting of the Association of Audit Committee Members, Washington, D.C. |
Chairman
Christopher Cox |
May 31, 2007 |
Address to the National Italian-American Foundation, New York City |
Chairman
Christopher Cox |
May 30, 2007 |
Remarks before AmCham Germany, Frankfurt, Germany |
Commissioner
Paul S. Atkins |
May 29, 2007 |
Remarks Before the Association of Chartered Certified Accountants, Paris, France |
Commissioner
Paul S. Atkins |
May 23, 2007 |
Remarks at the SEC Open Meeting: Final Rules regarding Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations, Washington, D.C. |
Commissioner
Kathleen L. Casey |
May 23, 2007 |
Comments on Final Rules Regarding Oversight of Credit Rating Agencies as Nationally Recognized Statistical Rating Agencies, Washington, D.C. |
Commissioner
Paul S. Atkins |
May 23, 2007 |
Remarks at the SEC Open Meeting: Proposed Rules regarding Smaller Companies, Washington, D.C. |
Commissioner
Roel C. Campos |
May 23, 2007 |
Remarks at the SEC Open Meeting: Management Guidance on Internal Control over Financial Reporting, Washington, D.C. |
Commissioner
Roel C. Campos |
May 18, 2007 |
Address to the Federal Reserve Bank of Chicago's 43rd Annual Conference on Bank Structure and Competition, Chicago, Illinois |
Chairman
Christopher Cox |
May 18, 2007 |
Address to the Senior Investor Protection Symposium, The Federal Reserve Bank of Chicago, Chicago, Illinois |
Chairman
Christopher Cox |
May 11, 2007 |
Address to the 39th Annual Rocky Mountain Securities Conference, Denver, Colorado |
Chairman
Christopher Cox |
May 10, 2007 |
Address to the Investment Company Institute's 2007 General Membership Meeting, Washington, D.C. |
Chairman
Christopher Cox |
May 10, 2007 |
Remarks Before the Financial Services Roundtable Lawyers Council 2007 Spring Meeting, Washington, D.C. |
Commissioner
Paul S. Atkins |
May 10, 2007 |
The Challenge of MiFID in the United States, Amsterdam, Netherlands, via teleconference from Washington, D.C. |
Commissioner
Roel C. Campos |
May 9, 2007 |
Address to the Security Traders Association 11th Annual Washington Conference, Washington, D.C. |
Chairman
Christopher Cox |
May 8, 2007 |
Remarks Before the SEC/NASAA 19(d) Conference, Washington, D.C. |
Commissioner
Paul S. Atkins |
May 8, 2007 |
Remarks Before the Asian Pacific American Heritage Month Program, Washington, D.C. |
Commissioner
Paul S. Atkins |
May 7, 2007 |
Remarks before the SEC's Roundtable on the Federal Proxy Rules and State Corporation Law, Washington, D.C. |
Chairman
Christopher Cox |
May 4, 2007 |
Remarks Before the ABA Section of International Law, Washington, D.C. |
Commissioner
Annette L. Nazareth |
Apr. 30, 2007 |
Remarks Before the 34th Annual SIFMA Operations Conference, Kissimmee, Florida |
Commissioner
Paul S. Atkins |
Apr. 28, 2007 |
Remarks Before the Brown Spring Forum: Economics, Entrepreneurship & Technology, Providence, RI |
Commissioner
Annette L. Nazareth |
Apr. 27, 2007 |
Remarks Before the Investment Adviser Association, Austin, Texas |
Commissioner
Paul S. Atkins |
Apr. 26, 2007 |
Address to the American Academy in Berlin and the American Chamber of Commerce in Germany, Berlin, Germany |
Chairman
Christopher Cox |
Apr. 23, 2007 |
Remarks at the Operation Hope 15th Anniversary Bankers Bus Tour, Los Angeles, California |
Commissioner
Paul S. Atkins |
Apr. 20, 2007 |
Is Excessive Regulation and Litigation Eroding U.S. Financial Competitiveness?, Conference co-sponsored by the American Enterprise Institute and the Brookings Institution, Washington, D.C. |
Commissioner
Paul S. Atkins |
Apr. 19, 2007 |
Remarks Before the Security Traders Association of New York 71st Annual Conference, New York, New York |
Commissioner
Paul S. Atkins |
Apr. 17, 2007 |
The Euro and the Dollar: Pillars in Global Finance, Conference organized by the Federal Reserve Bank of New York and the European Commission, New York, New York |
Commissioner
Kathleen L. Casey |
Apr. 13, 2007 |
Remarks Before the Mutual Fund Directors Forum Seventh Annual Policy Conference, Washington, D.C. |
Chairman
Christopher Cox |
Apr. 12, 2007 |
Remarks Before the IOSCO Annual Conference, Mumbai, India |
Commissioner
Roel C. Campos |
Apr. 12, 2007 |
Remarks Before the Mutual Fund Directors Forum Seventh Annual Policy Conference, Washington, D.C. |
Commissioner
Annette L. Nazareth |
Apr. 4, 2007 |
Opening Statement at the Commission Open Meeting, Washington, D.C. |
Chairman
Christopher Cox |
First Quarter |
Mar. 30, 2007 |
Remarks Before the North Carolina Banking Institute, Charlotte, North Carolina |
Commissioner
Paul S. Atkins |
Mar. 27, 2007 |
Remarks at the Royal Society of Arts, London, England |
Commissioner
Paul S. Atkins |
Mar. 26, 2007 |
Remarks Before the SIFMA Compliance and Legal Conference, Phoenix, Arizona |
Commissioner
Annette L. Nazareth |
Mar. 26, 2007 |
Remarks at Finance Dublin, Dublin, Ireland |
Commissioner
Paul S. Atkins |
Mar. 23, 2007 |
Closing Remarks to the Second Annual Corporate Governance Summit, Los Angeles, California |
Chairman
Christopher Cox |
Mar. 22, 2007 |
Remarks Before the Governance for Owners Conference, London, England |
Commissioner
Roel C. Campos |
Mar. 21, 2007 |
Remarks at the Open Meeting on Foreign Private Issuer Deregistration Rules, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Mar. 21, 2007 |
Opening Statement on Foreign Private Issuer Deregistration Final Rules, SEC Open Meeting, Washington, D.C. |
Commissioner
Annette L. Nazareth |
Mar. 21, 2007 |
Remarks at the Open Meeting: Foreign Private Issuer Deregistration, Washington, D.C. |
Commissioner
Roel C. Campos |
Mar. 21, 2007 |
Comments on Final Deregistration Rules at the SEC Open Meeting, Washington, D.C. |
Commissioner
Paul S. Atkins |
Mar. 20, 2007 |
Remarks Before the Council of Institutional Investors, Washington, D.C. |
Commissioner
Annette L. Nazareth |
Mar. 14, 2007 |
Address to Joint Meeting of the National Endowment for Democracy and the Foreign Policy Association, New York, New York |
Chairman
Christopher Cox |
Mar. 14, 2007 |
Remarks to the U.S. Chamber of Commerce's First Annual Capital Markets Summit: Securing America's Competitiveness, Washington, D.C. |
Chairman
Christopher Cox |
Mar. 13, 2007 |
Remarks Before the National Association for Business Economics, Arlington, Virginia |
Commissioner
Paul S. Atkins |
Mar. 8, 2007 |
Remarks Before the Association Française des Entreprises Privées, Paris, France |
Commissioner
Roel C. Campos |
Mar. 8, 2007 |
SEC Regulation Outside the United States, London, England |
Commissioner
Roel C. Campos |
Mar. 8, 2007 |
Remarks at Press Conference on ‘Operation Spamalot’, Washington, D.C. |
Chairman
Christopher Cox |
Mar. 8, 2007 |
Address to the 2007 Corporate Counsel Institute, Washington, D.C. |
Chairman
Christopher Cox |
Mar. 6, 2007 |
Videotaped Address to the 2007 Australian Securities and Investment Commission Summer School, Sydney, Australia |
Chairman
Christopher Cox |
Mar. 6, 2007 |
Chairman's Address to the SEC Roundtable on International Financial Reporting Standards, Washington, D.C. |
Chairman
Christopher Cox |
Mar. 5, 2007 |
Remarks Before the Hedge Fund Institutional Forum Corporate Funds Roundtable, Washington, D.C. |
Commissioner
Roel C. Campos |
Mar. 5, 2007 |
Remarks Before the Women's History Month Program, Washington, D.C. |
Chairman
Christopher Cox |
Mar. 5, 2007 |
Remarks Before the Annual Washington Conference of the Institute of International Bankers, Washington, D.C. |
Commissioner
Paul S. Atkins |
Feb. 28, 2007 |
Remarks Before the Mutual Fund Directors Forum First Annual Directors Institute, Coral Gables, Florida |
Commissioner
Roel C. Campos |
Feb. 22, 2007 |
Opening Remarks at African American History Month Celebration, Washington, D.C. |
Chairman
Christopher Cox |
Feb. 9, 2007 |
Remarks Before SEC Speaks, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Feb. 9, 2007 |
Remarks Before SEC Speaks, Washington, D.C. |
Commissioner
Annette L. Nazareth |
Feb. 9, 2007 |
Opening Remarks to the Practising Law Institute's SEC Speaks Series, Washington, D.C. |
Chairman
Christopher Cox |
Feb. 9, 2007 |
Remarks Before the SEC Speaks in 2007, Washington, D.C. |
Commissioner
Paul S. Atkins |
Feb. 8, 2007 |
Remarks Before the CNMV Corporate Governance and Securities Markets Conference, Madrid, Spain |
Commissioner
Roel C. Campos |
Feb. 8, 2007 |
Remarks Before the Conference of Business Economists, Washington, D.C. |
Commissioner
Annette L. Nazareth |
Jan. 31, 2007 |
Comments on Proposed Rules Regarding Oversight of Credit Rating Agencies as Nationally Recognized Statistical Rating Agencies, Washington, D.C. |
Commissioner
Paul S. Atkins |
Jan. 29, 2007 |
Remarks Before the 9th Annual Alternative Investment Roundup, Scottsdale, Arizona |
Commissioner
Paul S. Atkins |
Jan. 24, 2007 |
Re-Thinking Regulation in the Era of Global Securities Markets, 34th Annual Securities Regulation Institute, Coronado, California |
Chairman
Christopher Cox |
Jan. 23, 2007 |
Remarks Before the 2007 Summit on Executive Compensation, New York, New York |
Commissioner
Roel C. Campos |
Jan. 22, 2007 |
Remarks at Northwestern University School of Law, Chicago, Illinois |
Chairman
Christopher Cox |
Jan. 22, 2007 |
Remarks at the Corporate Directors Forum 2007, San Diego, California |
Commissioner
Paul S. Atkins |
Jan. 11, 2007 |
Remarks at the ALI-ABA Course of Study, Broker Dealer Regulation, Washington, D.C. |
Commissioner
Annette L. Nazareth |
2007 Speeches and Statements by Commission Staff
Date |
Title |
Author |
Fourth Quarter |
Dec. 12, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Janet Luallen, Associate Chief Accountant, Office of the Chief Accountant |
Dec. 11, 2007 |
Opening Statement of the Division of Corporation Finance: Oil and Gas Concept Release, Commission Open Meeting, Washington, D.C. |
Mellissa Campbell Duru, Attorney-Adviser, Division of Corporation Finance |
Dec. 11, 2007 |
Opening Statement of the Division of Corporation Finance Regarding Electronic Filing and Revision of Form D, Commission Open Meeting, Washington, D.C. |
Corey A. Jennings, Attorney-Adviser, Division of Corporation Finance
|
Dec. 11, 2007 |
Opening Statement of the Division of Corporation Finance Regarding Revisions to the Eligibility Requirements of Forms S-3 and F-3, Commission Open Meeting, Washington, D.C. |
Daniel Greenspan, Special Counsel, Division of Corporation Finance |
Dec. 11, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C.
Slide presentation (PDF) |
Todd E. Hardiman, Associate Chief Accountant, Division of Corporation Finance |
Dec. 11, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C.
Slide presentation (PDF) |
Stephanie L. Hunsaker, Associate Chief Accountant, Division of Corporation Finance |
Dec. 11, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C.
Slide presentation (PDF) |
Steven C. Jacobs, Associate Chief Accountant, Division of Corporation Finance |
Dec. 11, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C.
Slide presentation (PDF) |
Joel K. Levine, Associate Chief Accountant, Division of Corporation Finance |
Dec. 11, 2007 |
Lessons Learned from San Diego, AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Linda Chatman Thomsen, Director, Division of Enforcement |
Dec. 10, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant |
Dec. 10, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Mark Barrysmith, Professional Accounting Fellow, Office of the Chief Accountant |
Dec. 10, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Ashley W. Carpenter, Professional Accounting Fellow, Office of the Chief Accountant |
Dec. 10, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Conrad W. Hewitt, Chief Accountant |
Dec. 10, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Josh Jones, Professional Accounting Fellow, Office of the Chief Accountant |
Dec. 10, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Len Jui, Associate Chief Accountant, Office of the Chief Accountant |
Dec. 10, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Vassilios Karapanos, Associate Chief Accountant, Office of the Chief Accountant |
Dec. 10, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Sandie E. Kim, Professional Accounting Fellow, Office of the Chief Accountant |
Dec. 10, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Katrina A. Kimpel, Professional Accounting Fellow, Office of the Chief Accountant |
Dec. 10, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
James L. Kroeker, Deputy Chief Accountant, Office of the Chief Accountant |
Dec. 10, 2007 |
"Considering Audit Regulation under SOX", AICPA National Conference, Washington, D.C. |
Zoe-Vonna Palmrose, Deputy Chief Accountant for Professional Practice |
Dec. 10, 2007 |
Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Eric C. West, Associate Chief Accountant, Office of the Chief Accountant |
Dec. 6, 2007 |
Remarks Before the ICI 2007 Securities Law Developments Conference, Washington, D.C. |
Andrew J. Donohue, Director, Division of Investment Management |
Nov. 28, 2007 |
"Risk Management for Broker-Dealers", 2007 AICPA/FMD National Conference on the Securities Industry, New York, NY |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Nov. 28, 2007 |
Division Statement Before the Commission Open Meeting Regarding Electronic Shareholder Forums, Washington, D.C. |
Tamara Brightwell, Senior Special Counsel to the Director, Division of Corporation Finance |
Nov. 28, 2007 |
Division Statement Before the Commission Open Meeting Regarding Shareholder Proposals Relating to the Election of Directors, Washington, D.C. |
Lillian C. Brown, Senior Special Counsel to the Director, Division of Corporation Finance |
Nov. 28, 2007 |
Keynote Address at the Investment Company Directors Conference, San Francisco, CA |
Andrew J. Donohue, Director, Division of Investment Management |
Nov. 28, 2007 |
Remarks Before the AICPA/FMD National Conference on the Securities Industry, New York, N.Y. |
Erik R. Sirri, Director, Division of Trading and Markets |
Nov. 15, 2007 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
Michael D. Coco, Special Counsel, Office of International Corporate Finance, Division of Corporation Finance |
Nov. 15, 2007 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
Conrad Hewitt, Chief Accountant |
Nov. 15, 2007 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
Katrina A. Kimpel, Professional Accounting Fellow, Office of the Chief Accountant |
Nov. 15, 2007 |
Opening Statement of the Division of Corporation Finance at the SEC Open Meeting, Washington, D.C. |
Johanna Vega Losert, Attorney-Advisor, Division of Corporation Finance |
Nov. 15, 2007 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
John W. White, Director, Division of Corporation Finance |
Nov. 14, 2007 |
Welcome and Closing Remarks Before the CCOutreach National Seminar, Washington, D.C. |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Nov. 14, 2007 |
"Electric Money: Trading in the 21st Century", Financial Times Conference, New York, N.Y. |
Erik R. Sirri, Director, Division of Trading and Markets |
Nov. 14, 2007 |
Opening Remarks Before the CCOutreach National Seminar, Washington, DC |
Andrew J. Donohue, Director, Division of Investment Management |
Nov. 8, 2007 |
"If I Were a Director of a Fund Investing in Derivatives — Key Areas of Risk on Which I Would Focus," Mutual Fund Directors Forum Program, New York, New York |
Gene Gohlke, Associate Director, Office of Compliance Inspection and Examinations |
Nov. 8, 2007 |
Remarks Before the 2007 ALI-ABA Life Insurance Company Products Conference, Washington, D.C. |
Linda Chatman Thomsen, Director, Division of Enforcement |
Nov. 6, 2007 |
Keynote Address at the Investment Company Directors Conference, Washington, D.C. |
Andrew J. Donohue, Director, Division of Investment Management |
Oct. 24, 2007 |
The Future of Securities Regulation, Philadelphia, Pennsylvania |
Brian G. Cartwright, General Counsel |
Oct. 19, 2007 |
Keynote Address at the 2007 Managed Account Solutions Conference, New York, New York |
Andrew J. Donohue, Director, Division of Investment Management |
Oct. 18, 2007 |
Remarks Before the Investment Company Institute 2007 Operations and Technology Conference, Washington, D.C. |
Andrew J. Donohue, Director, Division of Investment Management |
Oct. 18, 2007 |
Working Towards a Culture of Compliance: Some Obstacles in the Path, Remarks Before the National Society of Compliance Professionals 2007 National Membership Meeting, Washington, D.C. |
Lori Richards, Director, Office of Compliance Inspections and Examinations |
Oct. 16, 2007 |
Remarks Before the SIFMA Proxy Symposium, New York, NY |
Erik R. Sirri, Director, Division of Market Regulation |
Oct. 15, 2007 |
Trading Places: Mobility and the New International Financial Regulation, Montreal, Quebec |
Ethiopis Tafara, Director, Office of International Affairs |
Oct. 11, 2007 |
Luncheon Address at the 2007 ICI Closed End Fund Workshop, New York, New York |
Andrew J. Donohue, Director, Division of Investment Management |
Oct. 10, 2007 |
Opening Remarks Before the 15th Annual NASPP Conference, San Francisco, California |
Linda Chatman Thomsen, Director, Division of Enforcement |
Oct. 9, 2007 |
Where’s the Analysis?, Remarks Before the 2nd Annual Proxy Disclosure Conference, San Francisco, California |
John W. White, Director, Division of Corporation Finance |
Oct. 1, 2007 |
Luncheon Address at IA Week's 7th Annual Fall Compliance Conference, Philadelphia, Pennsylvania |
Andrew J. Donohue, Director, Division of Investment Management |
Third Quarter |
Sep. 24, 2007 |
Implementation and Enforcement of IFRSs, London, England |
Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant |
Sep. 20, 2007 |
Remarks Before the FIA and OIC New York Equity Options Conference, New York, New York |
Erik R. Sirri, Director, Division of Market Regulation |
Sep. 19, 2007 |
Opening Remarks at SEC Open Meeting: Adoption of Regulation R — The Bank Broker Provisions of the Securities Exchange Act of 1934, Washington, D.C. |
Erik R. Sirri, Director, Division of Market Regulation |
Sep. 11, 2007 |
"Perspectives on Public Transparency", Second Internal Control & Fraud Conference of the Association of Governmental Accountants, Atlanta, Georgia |
Martha Mahan Haines, Assistant Director, Office of Municipal Securities, Division of Market Regulation |
Aug. 18, 2007 |
A Global View: Examining Cross-Border Financial Services, Whistler, BC, Canada |
Erik R. Sirri, Director, Division of Market Regulation |
Aug. 14, 2007 |
Corporation Finance in 2007 — An Interim Report, San Francisco, California |
John W. White, Director, Division of Corporation Finance |
Aug. 2, 2007 |
Opening Remarks Before the Initial Meeting of the SEC Advisory Committee on Improvements to Financial Reporting, Washington, D.C. |
Conrad W. Hewitt, Chief Accountant, Office of the Chief Accountant |
Jul. 25, 2007 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
Katrina Kimpel, Professional Accounting Fellow, Office of the Chief Accountant |
Jul. 25, 2007 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. | Lillian C. Brown, Senior Special Counsel, Division of Corporation Finance |
Jul. 25, 2007 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
John W. White, Director, Division of Corporation Finance |
Jul. 25, 2007 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
Conrad Hewitt, Chief Accountant, Office of the Chief Accountant |
Jul. 25, 2007 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
Zoe-Vonna Palmrose, Deputy Chief Accountant, Office of the Chief Accountant |
Second Quarter |
Jun. 26, 2007 |
Remarks Before the Stanford Law School Directors' College 2007, Stanford, California |
Linda Chatman Thomsen, Director, Division of Enforcement |
Jun. 25, 2007 |
Drilling for Disclosure: The Powerful Tool of Interactive Data, Washington, D.C.
Slide presentation (PDF) |
John W. White, Director, Division of Corporation Finance |
Jun. 25, 2007 |
Remarks Before the NAVA Compliance and Regulatory Affairs Conference, Washington, D.C. |
Andrew J. Donohue, Director, Division of Investment Management |
Jun. 20, 2007 |
Remarks Before the SEC Open Meeting: Final Amendments to Rule 105 of Regulation M, Washington, D.C. |
Erik R. Sirri, Director, Division of Market Regulation |
Jun. 20, 2007 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
Michael D. Coco, Special Counsel, Office of International Corporate Finance, Division of Corporation Finance |
Jun. 20, 2007 |
Opening Statement of the Division of Corporation Finance at the SEC Open Meeting, Washington, D.C. |
Raymond A. Be, Special Counsel, Office of Rulemaking, Division of Corporation Finance |
Jun. 15, 2007 |
Tchaikovsky's Fourth or Monk's Mood: Improvisation and Harmony in Cross-Border Regulation, London, United Kingdom |
Ethiopis Tafara, Director, Office of International Affairs |
Jun. 13, 2007 |
Opening Statement at the SEC Open Meeting re: Amendments to Rule 10a-1 and Regulation SHO, Washington, D.C. |
Erik R. Sirri, Director, Division of Market Regulation |
Jun. 13, 2007 |
Opening Statement at the SEC Open Meeting re: Amendments to Regulation SHO, Washington, D.C. |
Erik R. Sirri, Director, Division of Market Regulation |
Jun. 7, 2007 |
The Regulatory Focus on Broker-Dealer Legal and Compliance Issues, Chicago, Illinois |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Jun. 1, 2007 |
Increased Importance of Models: Disclosure, Fair Value and Accounting, Wharton School of the University of Pennsylvania, Philadelphia, Pennsylvania |
Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis |
May 31, 2007 |
SEC and Financial Reporting Institute, Leventhal School of Accounting, Pasadena, California |
James L. Kroeker, Deputy Chief Accountant, Office of the Chief Accountant |
May 24, 2007 |
Remarks for Financial Reporting Through XBRL Panel Discussion at FDIC Accounting Conference, Arlington, Virginia |
James Freeman, Investor Advocate, Office of Investor Education and Assistance |
May 23, 2007 |
Remarks at IASC Foundation: IFRS Conference, Zurich, Switzerland |
Conrad Hewitt, Chief Accountant |
May 23, 2007 |
Remarks Before the SEC Open Meeting: Final Rules Implementing the Credit Rating Agency Reform Act of 2006, Washington, D.C. |
Erik R. Sirri, Director, Division of Market Regulation |
May 23, 2007 |
Remarks Before the 4th Annual Hedge Funds and Alternative Investments Conference, The Securities Industry and Financial Markets Association, New York, N.Y. |
Andrew J. Donohue, Director, Division of Investment Management |
May 23, 2007 |
SEC's Proposed Interpretive Guidance to Management for Section 404 of Sarbanes-Oxley Act, SEC Open Meeting, Washington, D.C. |
John W. White, Director, Division of Corporation Finance |
May 23, 2007 |
SEC's Proposed Interpretive Guidance to Management for Section 404 of Sarbanes-Oxley Act, SEC Open Meeting, Washington, D.C. |
Conrad Hewitt, Chief Accountant |
May 23, 2007 |
SEC's Proposed Interpretive Guidance to Management for Section 404 of Sarbanes-Oxley Act, SEC Open Meeting, Washington, D.C. |
Zoe-Vonna Palmrose, Deputy Chief Accountant |
May 23, 2007 |
Statement of the Division of Corporation Finance at the SEC Open Meeting, Washington, D.C. |
Kevin O'Neill, Anthony Barone and Katherine Hsu, Special Counsels, Division of Corporation Finance |
May 14, 2007 |
Challenges to the Structure and Regulation of the Financial Markets, Paris, France |
Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis |
May 8, 2007 |
Shared Responsibilities In Global Capital Markets, BritishAmerican Business Inc.'s Financial Services Forum, London, England |
Ethiopis Tafara, Director, Office of International Affairs |
May 4, 2007 |
Remarks Before the 27th Annual Ray Garrett, Jr. Corporate and Securities Law Institute 2007, Chicago, Illinois |
Linda Chatman Thomsen, Director, Division of Enforcement |
May 3, 2007 |
Keeping the Promises of Leadership and Teamwork: The 2007 Proxy Season and Executive Compensation Disclosures, 27th Annual Ray Garrett Jr. Corporate and Securities Law Institute, Chicago, IL |
John W. White, Director, Division of Corporation Finance |
May 3, 2007 |
Remarks at Baruch College, New York, New York |
Conrad Hewitt, Chief Accountant |
May 2, 2007 |
Corporation Finance and the Foreign Private Issuer Community in 2007, Practising Law Institute Conference, "Foreign Issuers & the U.S. Securities Laws 2007: Strategies for the Changing Regulatory Environment", New York, New York |
John W. White, Director, Division of Corporation Finance |
Apr. 27, 2007 |
Remarks before the 2007 Options Industry Conference, San Antonio, Texas |
Elizabeth K. King, Associate Director, Division of Market Regulation |
Apr. 20, 2007 |
Shareholder Voting and Corporate Governance: Economic Perspectives, Rutgers University Conference on "Improving Corporate Governance: Markets vs. Regulation", New York, New York |
Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis |
Apr. 12, 2007 |
Public Plan Investment and the Role of Indexing, Harrisburg, Pennsylvania |
Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis |
Apr. 12, 2007 |
Remarks Before the Mutual Fund Directors Forum 7th Annual Policy Conference, Washington, D.C. |
Linda Chatman Thomsen, Director, Division of Enforcement |
Apr. 12, 2007 |
Keynote Address at the Practicing Law Institute Investment Management Institute 2007, New York, N.Y. |
Andrew J. Donohue, Director, Division of Investment Management |
Apr. 4, 2007 |
Remarks before the 2007 Conference on Principles-Based Accounting and the Challenges of Implementation, New York, N.Y. |
James L. Kroeker, Deputy Chief Accountant, Office of the Chief Accountant |
First Quarter |
Mar. 26, 2007 |
Keynote Address at 2007 Mutual Funds and Investment Management Conference, Palm Desert, California |
Andrew J. Donohue, Director, Division of Investment Management
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Mar. 26, 2007 |
Remarks at Press Conference, New York, New York |
Linda Chatman Thomsen, Director, Division of Enforcement |
Mar. 23, 2007 |
SEC's Compliance Examinations in the Protection of Investors, 9th Annual IA Compliance Best Practices Summit 2007, IA Week and the Investment Adviser Association, Washington, D.C. |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Mar. 23, 2007 |
Seeing Down the Road: IFRS and the U.S. Capital Markets, NYSE/Brooklyn Law School Breakfast Roundtable, New York, New York |
John W. White, Director, Division of Corporation Finance |
Mar. 22, 2007 |
Remarks before the 2007 USC Corporate Governance Summit, Los Angeles, California |
Zoe-Vonna Palmrose, Deputy Chief Accountant, Office of the Chief Accountant |
Mar. 22, 2007 |
Short Sale Regulation: A Targeted Approach for Efficient Markets, Keynote Address at the MFA Seminar Series 2007, New York, New York |
James A. Brigagliano, Associate Director, Office of Trading Practices and Processing, Division of Market Regulation |
Mar. 22, 2007 |
Remarks Before the IA Week and the Investment Adviser Association 9th Annual IA Compliance Best Practices Summit 2007, Washington, D.C. |
Linda Chatman Thomsen, Director, Division of Enforcement |
Mar. 22, 2007 |
Remarks Before the IA Week and the Investment Adviser Association 9th Annual IA Compliance Best Practices Summit 2007, Washington, D.C. |
Andrew J. Donohue, Director, Division of Investment Management |
Mar. 21, 2007 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
Elliot Staffin, Special Counsel, Division of Corporation Finance |
Mar. 16, 2007 |
Remarks Before the American Bar Association Section of Business Law Spring Meeting, Washington, D.C. |
Andrew J. Donohue, Director, Division of Investment Management |
Mar. 15, 2007 |
Economic Analysis and Cost-Benefit Analysis: Substitutes or Complements?, Washington, D.C. |
Chester S. Spatt, Chief Economist and Director of the Office of Economic Analysis |
Mar. 8, 2007 |
The Economics of FIN 48: Accounting for Uncertainty in Income Taxes, Washington, D.C. |
Chester S. Spatt, Chief Economist and Director of the Office of Economic Analysis |
Mar. 8, 2007 |
Remarks at "Operation Spamalot" Press Conference, Washington, D.C. |
Mark K. Schonfeld, Director, New York Regional Office |
Mar. 8, 2007 |
Remarks at the 2007 Corporate Counsel Institute, Washington, D.C. |
Linda Chatman Thomsen, Director, Division of Enforcement |
Mar. 8, 2007 |
Remarks at "Operation Spamalot" Press Conference, Washington, D.C. |
Linda Chatman Thomsen, Director, Division of Enforcement |
Mar. 1, 2007 |
Keynote Address at the Mutual Fund Directors Forum Institute, Coral Gables, Florida |
Andrew J. Donohue, Director, Division of Investment Management |
Mar. 1, 2007 |
Trading Foreign Shares, Boston, Massachusetts |
Erik R. Sirri, Director, Division of Market Regulation |
Mar. 1, 2007 |
Statement Concerning SEC v. Guttenberg, New, York, New York |
Linda Chatman Thomsen, Director, Division of Enforcement |
Feb. 23, 2007 |
The Promise of Transparency Corporation Finance in 2007, 29th Annual Conference on Securities Regulation and Business Law, Dallas, Texas |
John W. White, Director, Division of Corporation Finance |
Feb. 9, 2007 |
Remarks to the Practising Law Institute’s SEC Speaks Series , Washington, D.C. |
Conrad Hewitt, Chief Accountant |
Feb. 9, 2007 |
Management Reporting on Internal Control over Financial Reporting, SEC Speaks, Washington, D.C. |
Zoe-Vonna Palmrose, Deputy Chief Accountant for Professional Practice |
Feb. 8–9, 2007 |
Remarks on UK and US Approaches to Corporate Governance and on the Market for Corporate Control, Madrid, Spain, and London, England |
Ethiopis Tafara, Director, Office of International Affairs |
Jan. 31, 2007 |
Remarks before the SEC Open Meeting, Washington, D.C. |
Erik R. Sirri, Director, Division of Market Regulation |
Jan. 26, 2007 |
Remarks before The California ’40 Acts Group, Los Angeles, California |
Erik R. Sirri, Director, Division of Market Regulation |
Jan. 22, 2007 |
Remarks before the 2007 Foundation of Accounting Education SEC/FASB Conference, Washington, D.C. |
Conrad W. Hewitt, Chief Accountant |
Jan. 19, 2007 |
Feedback from Individual Investors on Disclosure, Malvern, Pennsylvania |
Lori J. Schock, Acting Director, Office of Investor Education and Assistance |
Jan. 15, 2007 |
Remarks before the Practising Law Institute Sixth Annual Institute on Securities Regulation in Europe, London, England |
John W. White, Director, Division of Corporation Finance |
Jan. 6, 2007 |
Penalties and Sanctions for Securities Fraud, Chicago, Illinois |
Chester S. Spatt, Chief Economist |
http://www.sec.gov/news/speech/speecharchive/2007speech.shtml
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