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Commission Speeches and Public Statements Archive: 1997
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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1997 Speeches by the Chairman and Commissioners
Date |
Title |
Author |
Fourth Quarter |
Dec. 9, 1997 |
"A Securities Regulator's Top Accounting and Auditing Priorities for 1998" Remarks of Commissioner Isaac C. Hunt, Jr., at the American Institute of Certified Public Accountants 1997 National Conference on Current SEC Developments, Washington, D.C. |
Commissioner Isaac C. Hunt, Jr. |
Nov. 7, 1997 |
Remarks of Chairman Arthur Levitt to the Securities Industry Association, Boca Raton, Fla. |
Chairman Arthur Levitt |
Nov. 6, 1997 |
"A Renewed Precedent: The Securities Bar and the SEC" Remarks of Chairman Arthur Levitt to the Practicing Law Institute, 29th Annual Institute on Securities Regulation |
Chairman Arthur Levitt |
Oct. 14, 1997 |
Welcoming Remarks of Chairman Arthur Levitt to SEC's Consumer Affairs Advisory Committee, Washington, D.C. |
Chairman Arthur Levitt |
Oct. 13, 1997 |
"The Risks and Rewards of Technology" Remarks of Chairman Arthur Levitt to the International Federation of Stock Exchanges, New York, N.Y. |
Chairman Arthur Levitt |
Oct. 9, 1997 |
"Recent Initiatives Related to Supervisory Practices" Remarks of Commissioner Isaac C. Hunt, Jr., at the 1997 NSCP National Membership Meeting, National Society of Compliance Professionals, Washington, D.C. |
Commissioner Isaac C. Hunt, Jr. |
Oct. 8, 1997 |
"A Declaration of (Accounting) Independence" Remarks of Chairman Arthur Levitt to The Conference Board, New York, N.Y. |
Chairman Arthur Levitt |
Third Quarter |
Sep. 29, 1997 |
"The Importance of High Quality Accounting Standards" Remarks of Chairman Arthur Levitt at the Inter-American Development Bank, Washington, D.C. |
Chairman Arthur Levitt |
Sep. 23, 1997 |
"Auditor Independence and Related Issues" Remarks of Commissioner Isaac C. Hunt, Jr., to the National Association of State Boards of Accountancy, Maui, Hawaii |
Commissioner Isaac C. Hunt, Jr. |
Aug. 6, 1997 |
Remarks (concerning "pay-to-play") by Chairman Arthur Levitt to the American Bar Association, House of Delegates, San Francisco, Calif. |
Chairman Arthur Levitt |
Aug. 4, 1997 |
"Investing Wisely: Tips From an SEC Insider" Remarks of Chairman Arthur Levitt at the Investors' Town Meeting, Union Performing Arts Center Tulsa, Okla. |
Chairman Arthur Levitt |
Jul. 23, 1997 |
"Fulfilling the Promise of Disclosure" Remarks of Chairman Arthur Levitt at the American Savings Education Council, New York |
Chairman Arthur Levitt |
Jul. 17, 1997 |
"Plain English and the U.S. Securities Markets" Remarks of Commissioner Isaac C. Hunt, Jr., at the The Plain English Campaign's 5th International Conference, London, England |
Commissioner Isaac C. Hunt, Jr. |
Second Quarter |
Jun. 26, 1997 |
"Lawyers And Ethics: The Problem of Pay-to-Play" Remarks of Chairman Arthur Levitt at the Fixed Income Daily Conference on Municipal Finance, Philadelphia, Pa. |
Chairman Arthur Levitt |
Jun. 6, 1997 |
"Advertising Fund Performance: Public Policy Considerations" Remarks of Commissioner Isaac C. Hunt, Jr., at the 1997 Investment Adviser Conference, Investment Company Institute, Washington, D.C. |
Commissioner Isaac C. Hunt, Jr. |
Jun. 3, 1997 |
"The 1935 Act: Where Do We Go From Here?" Remarks of Commissioner Isaac C. Hunt, Jr., at The Energy Daily's 2nd Annual Finance Forum: Securitization, M&A Restructuring |
Commissioner Isaac C. Hunt, Jr. |
May 26, 1997 |
"Investor Education Policies and Programs" Remarks of Commissioner Isaac C. Hunt, Jr., to the Financial Services Board of South Africa, Johannesburg, South Africa |
Commissioner Isaac C. Hunt, Jr. |
May 23, 1997 |
"Concept Release on Exchange Regulation and Foreign Market Access to the United States" Opening Statement by Chairman Arthur Levitt at the Open Meeting of the SEC, Washington, D.C. |
Chairman Arthur Levitt |
May 19, 1997 |
"Securities in the U.S. and Russian Stock Markets" Remarks of Commissioner Isaac C. Hunt, Jr., at the Bank of New York/CTEC Program, New York |
Commissioner Isaac C. Hunt, Jr. |
May 19, 1997 |
"CPAs and CEOs: A Relationship at Risk" Remarks of Chairman Arthur Levitt at the Economic Club Of Detroit, Detroit, Mich. |
Chairman Arthur Levitt |
May 6, 1997 |
"A Good Year for the Markets, A Busy Year for the SEC" Remarks of Chairman Arthur Levitt to the SIA Regional Firms Committee, Chicago, Ill. |
Chairman Arthur Levitt |
May 5, 1997 |
Remarks of Commissioner Norman S. Johnson to the National Organization of Investment Professionals, Washington, D.C. |
Commissioner Norman S. Johnson |
May 5, 1997 |
"Mutual Fund Regulation: Developments At Home and Abroad" Remarks of Commissioner Isaac C. Hunt, Jr., at the 8th Annual Seminar on the Globalisation of Mutual Funds, Bermuda. |
Commissioner Isaac C. Hunt, Jr. |
Apr. 28, 1997 |
"Implementing the Investment Advisers Supervision Coordination Act" Remarks of Commissioner Isaac C. Hunt, Jr., at the SEC/NASAA 19(c) Conference, Washington, D.C. |
Commissioner Isaac C. Hunt, Jr. |
Apr. 21, 1997 |
"Small Business Makes a Large Contribution" Remarks of Chairman Arthur Levitt at the Small Business Town Meeting, Richmond, Virginia |
Chairman Arthur Levitt |
Apr. 18, 1997 |
"Underwriting: The Year that Was, Trends, and Comments" Remarks of Commissioner Isaac C. Hunt, Jr., at the RIBA Mid-Atlantic States Capital Conference, Pentagon City, Va. |
Commissioner Isaac C. Hunt, Jr. |
Apr. 10, 1997 |
"Implementing the National Securities Markets Improvement Act" Remarks of Commissioner Isaac C. Hunt, Jr., at the National Regulatory Services Annual Compliance Conference for Investment Advisers and Broker-Dealers, Puerto Rico |
Commissioner Isaac C. Hunt, Jr. |
First Quarter |
Mar. 21, 1997 |
"Preserving Muncipal Market Trust The Road Ahead" Remarks of Chairman Arthur Levitt at the New York State Government Finance Officers Assn., Albany, New York |
Chairman Arthur Levitt |
Mar. 18, 1997 |
"Values Add Value" Remarks of Chairman Arthur Levitt at the Trinity Church Tercentenary, New York, N.Y. |
Chairman Arthur Levitt |
Mar. 14, 1997 |
"Current Developments in Securities Law and Corporate Governance" Remarks of Commissioner Norman S. Johnson at the 16th Annual Institute for Corporate Counsel, Los Angeles, Calif. |
Commissioner Norman S. Johnson |
Mar. 6, 1997 |
"Mutual Funds and the International Marketplace: A Regulatory Challenge" Remarks of Commissioner Isaac C. Hunt, Jr., at the Sixth Annual Conference on International Issues, The University of Tulsa, Tulsa, Okla. |
Commissioner Isaac C. Hunt, Jr. |
Feb. 25, 1997 |
"Taking the Mystery Out of Mutual Funds" Remarks of Chairman Arthur Levitt at the Boston Citizens Seminar, Boston, Mass. |
Chairman Arthur Levitt |
Feb. 13, 1997 |
"Concerning H.R. 268, The Depository Institution Affiliation and Thrift Charter Conversion Act" Oral Statement by Chairman Arthur Levitt before the House of Representatives |
Chairman Arthur Levitt |
Feb. 6, 1997 |
"Plain English: A Work in Progress" Remarks of Commissioner Isaac C. Hunt, Jr., at the First Annual Institute on Mergers and Acquisition: Corporate, Tax, Securities and Related Aspects, Key Biscayne, Fla. |
Commissioner Isaac C. Hunt, Jr. |
Jan. 30, 1997 |
"The Options Markets: A Cornerstone of U.S. Capital Markets Today" Remarks of Chairman Arthur Levitt at the 13th Annual Risk Management Conference,Tucson, Arizona |
Chairman Arthur Levitt |
Jan. 23, 1997 |
"Corporate Finance in the Information Age" Remarks of Chairman Arthur Levitt at the Securities Regulation Institute, San Diego, Calif. |
Chairman Arthur Levitt |
1997 Speeches by Commission Staff
Date |
Title |
Author |
Fourth Quarter |
Dec. 10, 1997 |
Jane B. Adams, Deputy Chief Accountant Current Accounting Projects, Office of the Chief Accountant, at the American Institute of Certified Public Accountants 1997 National Conference on Current SEC Developments, Washington, D.C. (NOTE! Text revised 12-24-97) |
Jane B. Adams, Deputy Chief Accountant, Office of the Chief Accountant |
Dec. 10, 1997 |
Remarks of Walter R. Teets, Academic Accounting Fellow, Current Accounting Projects, Office of the Chief Accountant, at the American Institute of Certified Public Accountants 1997 National Conference on Current SEC Developments, Washington, D.C. |
Walter R. Teets, Academic Accounting Fellow, Current Accounting Projects, Office of the Chief Accountant |
Dec. 9, 1997 |
Remarks of Donna L. Coallier, Professional Accounting Fellow, Current Accounting Projects, Office of the Chief Accountant, at the American Institute of Certified Public Accountants 1997 National Conference on Current SEC Developments, Washington, D.C. |
Donna L. Coallier, Professional Accounting Fellow, Current Accounting Projects, Office of the Chief Accountant |
Dec. 9, 1997 |
Remarks of William R. McLucas, Director, Division of Enforcement, at the American Institute of Certified Public Accountants 1997 National Conference on Current SEC Developments, Washington, D.C. |
William R. McLucas, Director, Division of Enforcement |
Dec. 9, 1997 |
"Current Developments in Financial Reporting: Perspectives from the SEC" Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the American Institute of Certified Public Accountants 1997 National Conference on Current SEC Developments, Washington, D.C. |
Michael H. Sutton, Chief Accountant of the Commission |
Dec. 4, 1997 |
"Remembering the Past: Mutual Funds and the Lessons of the Wonder Years" Remarks of Barry P. Barbash, Director of the Division of Investment Management, 1997 ICI Securities Law Procedures Conference, Washington, D.C. |
Barry P. Barbash, Director of the Division of Investment Management |
Nov. 11, 1997 |
"Current Developments in Financial Reporting: Challenges and Opportunities" Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the Financial Executives Institute Current Financial Reporting Issues Conference, New York, N.Y. |
Michael H. Sutton, Chief Accountant of the Commission |
Nov. 10, 1997 |
"International Accounting Standards: Progress and Challenges" Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the Financial Executives Institute Current Financial Reporting Issues Conference, New York, N.Y. |
Michael H. Sutton, Chief Accountant of the Commission |
Nov. 7, 1997 |
"Current Developments in Financial Reporting: Perspectives from the SEC" Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the American Institute of Certified Public Accountants 1997 National Conference on Banks and Savings Institutions, Washington, D.C. |
Michael H. Sutton, Chief Accountant of the Commission |
Oct. 22, 1997 |
"Insurance Products: The Responsibilities of a Growing Industry" Remarks of Barry P. Barbash, Director of the Division of Investment Management, at the 15th Annual Advanced ALI-ABA Conference on Life Insurance Company Products, Washington, D.C. |
Barry P. Barbash, Director of the Division of Investment Management |
Oct. 20, 1997 |
"Financial Reporting and Investor Protection" The Emanuel Saxe Distinguished Lecture in Accounting, by Michael H. Sutton, Chief Accountant of the Commission, at the Department of Accountancy, Baruch College, New York, N.Y. |
Michael H. Sutton, Chief Accountant of the Commission |
Oct. 1, 1997 |
"Capital Market Standards for Financial Reporting: Perspective from the Securities and Exchange Commission" Remarks of Mary B. Tokar, Senior Associate Chief Accountant for the Office of the Chief Accountant, at the Institut Der Wirtschaftsprufer, Hannover, Germany |
Mary B. Tokar, Senior Associate Chief AccountantInternational, Office of the Chief Accountant |
Third Quarter |
Aug. 17, 1997 |
"Dangerous Ideas: A Sequel" Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the 1997 Annual Meeting of the American Accounting Association, Dallas, Texas |
Michael H. Sutton, Chief Accountant of the Commission |
Aug. 17, 1997 |
"International Harmonization of Accounting Standards: Perspectives From the Securities and Exchange Commission" Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the 1997 Annual Meeting of the American Accounting Association, Dallas, Texas |
Michael H. Sutton, Chief Accountant of the Commission |
Second Quarter |
May 29, 1997 |
"Current Financial Reporting Issues" Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the University of Southern California School of Business Administration's 16th Annual SEC and Financial Reporting Institute, Pasadena, California |
Michael H. Sutton, Chief Accountant of the Commission |
May 16, 1997 |
"Mutual Funds in the New Millennium: The Opportunity To Invent Their Future" Remarks of Barry P. Barbash, Director of the Division of Investment Management, at the 1997 ICI General Membership Meeting, Washington, D.C. |
Barry P. Barbash, Director of the Division of Investment Management |
First Quarter |
Mar. 23, 1997 |
"Concept Release on Exchange Regulation and Foreign Market Access to the United States" Opening Statement by Richard Lindsey, Director, Division of Market Regulation, at the Open Meeting of the SEC, Washington, D.C. |
Richard Lindsey, Director, Division of Market Regulation |
Feb. 4, 1997 |
"Whither PUHCA?" Remarks of Barry P. Barbash, Director of the Division of Investment Management, before the Tenth Annual Utility M&A Symposium, New York, N.Y. |
Barry P. Barbash, Director of the Division of Investment Management |
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