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Commission Speeches and Public Statements Archive: 2003
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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2003 Speeches and Statements by the Chairman and
Commissioners
Date |
Title |
Author |
Fourth Quarter |
Dec. 17, 2003 |
Statement Regarding the NYSE Approval Order, by Commissioner Roel C. Campos, Washington, DC |
Commissioner
Roel C. Campos |
Dec. 17, 2003 |
Opening Statement at SEC Open Meeting, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Dec. 11, 2003 |
Remarks At Conference On Institutional Equity Trading, by Commissioner Paul S. Atkins, Manalapan, FL |
Commissioner
Paul S. Atkins |
Dec. 4, 2003 |
Mutual Fund Regulation: A Time for Healing and Reform, by Commissioner Harvey J. Goldschmid, before the ICI 2003 Securities Law Developments Conference, Washington, DC |
Commissioner
Harvey J. Goldschmid |
Dec. 3, 2003 |
Opening Statement at Open Securities and Exchange Commission Meeting, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Nov. 17, 2003 |
A Lawyer's Role in Corporate Governance: The Myth of Absolute Confidentiality and the Complexity of the Counseling Task, by Commissioner Harvey J. Goldschmid, the Orison S. Marden Lecture before the Association of the Bar of the City of New York |
Commissioner
Harvey J. Goldschmid |
Nov. 15, 2003 |
Convergence And Beyond: U.S. Europe Symposium: Program on International Financial Systems, by Commissioner Roel C. Campos, Armonk, NY |
Commissioner
Roel C. Campos |
Nov. 7, 2003 |
Remarks to the Securities Industry Association, by Chairman William H. Donaldson, Boca Raton, FL |
Chairman
William H. Donaldson |
Nov. 7, 2003 |
Remarks Before the Aspen Institute Italia Seminars for Leaders, by Commissioner Cynthia A. Glassman, Cernobbio, Italy |
Commissioner
Cynthia A. Glassman |
Nov. 6, 2003 |
Remarks to the Practising Law Institute, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Oct. 20, 2003 |
Remarks on Governance Reforms and the Role of Directors before the National Association of Corporate Directors, by Commissioner Cynthia A. Glassman, Washington, DC |
Commissioner
Cynthia A. Glassman |
Oct. 17, 2003 |
Remarks on Sarbanes-Oxley's Lessons For Broker Dealers before the NASD Fall Securities Conference, by Commissioner Cynthia A. Glassman, Scottsdale, AZ |
Commissioner
Cynthia A. Glassman |
Oct. 16, 2003 |
Remarks before the Security Traders Association, by Commissioner Cynthia A. Glassman, Scottsdale, AZ |
Commissioner
Cynthia A. Glassman |
Oct. 8, 2003 |
Remarks before the Bank Insurance and Securities Association's Legislative, Regulatory and Compliance Seminar, by Commissioner Cynthia A. Glassman, Washington, DC |
Commissioner
Cynthia A. Glassman |
Oct. 8, 2003 |
Remarks on Proposed Rules for Shareholder Access to Company Proxy Material, by Commissioner Harvey J. Goldschmid, Washington, DC |
Commissioner
Harvey J. Goldschmid |
Oct. 8, 2003 |
Remarks at Open Meeting Regarding Shareholder Access Proposal, by Commissioner Paul S. Atkins, Washington, DC |
Commissioner
Paul S. Atkins |
Oct. 8, 2003 |
Introductory Remarks at the October 8 Open Meeting: Proxy Access Proposal, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Third Quarter |
Sep. 25, 2003 |
Remarks before the Foreign Policy Association, by Chairman William H. Donaldson, New York, NY |
Chairman
William H. Donaldson |
Sep. 22, 2003 |
Remarks before Government-Business Forum on Small Business Capital Formation, by Commissioner Cynthia A. Glassman, Arlington, VA |
Commissioner
Cynthia A. Glassman |
Sep. 16, 2003 |
Financial Reform: Relevance and Reality in Financial Reporting, by Commissioner Cynthia A. Glassman, Remarks Before the National Association for Business Economics, Atlanta, GA |
Commissioner
Cynthia A. Glassman |
Sep. 14, 2003 |
Speech to NASAA Annual Conference, by Chairman William H. Donaldson, Chicago, IL |
Chairman
William H. Donaldson |
Sep. 3, 2003 |
Obstacles to Good Financial Reporting, by Commissioner Cynthia A. Glassman, Remarks Before American Enterprise Institute, Washington, DC |
Commissioner
Cynthia A. Glassman |
Sep. 2, 2003 |
Letter to NYSE Regarding NYSE Executive Compensation, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Aug. 6, 2003 |
Opening Statement before Open Commission Meeting, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Jul. 30, 2003 |
Remarks to the National Press Club, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Jul. 16, 2003 |
Remarks Before the Exchequer Club, by Commissioner Cynthia A. Glassman, Washington, DC |
Commissioner
Cynthia A. Glassman |
Second Quarter |
Jun. 26, 2003 |
Recent Experience With Corporate Governance in the USA, by Commissioner Paul S. Atkins, at the 2nd German Corporate Governance Code Conference, Berlin, Germany
German version |
Commissioner
Paul S. Atkins |
Jun. 11, 2003 |
Embracing International Business in the Post-Enron Era, by Commissioner Roel C. Campos, at the Centre for European Policy Studies, Brussels, Belgium |
Commissioner
Roel C. Campos |
Jun. 5, 2003 |
Remarks Before the New York Financial Writers Association, by Chairman William H. Donaldson, New York, NY |
Chairman
William H. Donaldson |
May 30, 2003 |
Remarks at Rocky Mountain Securities Conference, by Commissioner Paul S. Atkins, Denver, CO |
Commissioner
Paul S. Atkins |
May 16, 2003 |
Current Developments at the Securities and Exchange Commission, by Commissioner Cynthia A. Glassman, Remarks Before Women in Housing and Finance, Washington, DC |
Commissioner
Cynthia A. Glassman |
May 15, 2003 |
Closing Statement at the SEC Hedge Fund Roundtable, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
May 14, 2003 |
Opening Statement at the SEC Hedge Fund Roundtable, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
May 9, 2003 |
Private and Public Sector Responses to Corporate Governance Issues, by Commissioner Cynthia A. Glassman, Remarks Before Conference on Bank Structure and Competition, Federal Reserve Bank of Chicago |
Commissioner
Cynthia A. Glassman |
May 8, 2003 |
Remarks Before the Economic Club of New York, by Chairman William H. Donaldson, New York, NY |
Chairman
William H. Donaldson |
May 7, 2003 |
Remarks Before the American Enterprise Institute, by Commissioner Paul S. Atkins, Washington, DC |
Commissioner
Paul S. Atkins |
Apr. 28, 2003 |
Statement Prepared for Delivery at SEC Press Conference Regarding Global Settlement, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Apr. 28, 2003 |
SEC Statement on Global Settlement Related to Analyst Conflicts of Interest |
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Apr. 15, 2003 |
Statement at Press Briefing to Announce Selection of the Chairman of the Public Company Accounting Oversight Board, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Apr. 11, 2003 |
Remarks at the Investment Counsel Association of America, by Commissioner Paul S. Atkins, Washington, DC |
Commissioner
Paul S. Atkins |
Apr. 10, 2003 |
Improving Corporate Disclosure - Improving Shareholder Value, by Commissioner Cynthia A. Glassman, at the 23rd Annual Ray Garrett Jr. Corporate and Securities Law Institute, Northwestern University School of Law, Chicago, IL |
Commissioner
Cynthia A. Glassman |
Apr. 7, 2003 |
SEC Implementation of Sarbanes-Oxley: The New Corporate Governance, by Commissioner Cynthia A. Glassman, at the National Economists Club, Washington, DC |
Commissioner
Cynthia A. Glassman |
Apr. 7, 2003 |
Remarks Before The Securities Industry Association, by Commissioner Paul S. Atkins, Orlando, FL |
Commissioner
Paul S. Atkins |
First Quarter |
Mar. 27, 2003 |
Remarks Before the Council of Institutional Investors by Commissioner Paul S. Atkins, Washington, DC |
Commissioner
Paul S. Atkins |
Mar. 26, 2003 |
Remarks at the Darden Distinguished Speaker Series, by Commissioner Cynthia A. Glassman, University of Virginia, Charlottesville |
Commissioner
Cynthia A. Glassman |
Mar. 26, 2003 |
Letter to Exchange Officers Regarding SRO Corporate Governance, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Mar. 25, 2003 |
The Sarbanes-Oxley Act of 2002: Goals, Content, and Status of Implementation, Remarks Before the International Financial Law Review, by Commissioner Paul S. Atkins |
Commissioner
Paul S. Atkins |
Mar. 24, 2003 |
Remarks at the 2003 Washington Economic Policy Conference, National Association for Business Economics, Washington, DC, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Mar. 17, 2003 |
Statement at News Conference Announcing Suit against Merrill Lynch and Four Merrill Lynch Executives for Aiding and Abetting Enron Accounting Fraud, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Mar. 12, 2003 |
Remarks at the Government Affairs Conference of America's Community Bankers, by Commissioner Cynthia A. Glassman, Washington, DC |
Commissioner
Cynthia A. Glassman |
Feb. 28, 2003 |
Remarks at the Practising Law Institute - SEC Speaks, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Feb. 28, 2003 |
Remarks at "The SEC Speaks in 2003," by Commissioner Paul S. Atkins, Washington, DC |
Commissioner
Paul S. Atkins |
Feb. 28, 2003 |
Remarks at the Practising Law Institute SEC Speaks, by Commissioner Cynthia A. Glassman, Washington, DC |
Commissioner
Cynthia A. Glassman |
Feb. 26, 2003 |
SEC Initiatives Under Sarbanes-Oxley and Gramm-Leach-Bliley, by Commissioner Cynthia A. Glassman, at the ABA Trust, Wealth Management and Marketing Conference, Tampa, FL |
Commissioner
Cynthia A. Glassman |
Feb. 25, 2003 |
Statement at News Conference Announcing Charges in Qwest Matter, by Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
Feb. 6, 2003 |
Remarks at Commission Open Meeting, February 6, 2003, by Chairman Harvey L. Pitt, Washington, DC |
Chairman
Harvey L. Pitt |
Feb. 5, 2003 |
The Sarbanes-Oxley Act of 2002: Goals, Content, and Status of Implementation, by Commissioner Paul S. Atkins, University of Cologne, Germany
German version |
Commissioner
Paul S. Atkins |
Feb. 4, 2003 |
Liabilities of German Companies and the Members of their Executive Boards under the Sarbanes-Oxley Act of 2002, by Commissioner Paul S. Atkins, Deutsches Aktieninstitut
German version |
Commissioner
Paul S. Atkins |
Feb. 4, 2003 |
Remarks at Commission Open Meeting, February 4, 2003, by Chairman Harvey L. Pitt, Washington, DC |
Chairman
Harvey L. Pitt |
Jan. 29, 2003 |
Alan B. Levenson Keynote Address, by Chairman Harvey L. Pitt, Securities Regulation Institute, Coronado, CA |
Chairman
Harvey L. Pitt |
Jan. 28, 2003 |
SEC Initiatives Under the Sarbanes-Oxley Act of 2002, by Commissioner Cynthia A. Glassman, Washington, DC |
Commissioner
Cynthia A. Glassman |
Jan. 23, 2003 |
Remarks at Commission Open Meeting, January 23, 2003, by Chairman Harvey L. Pitt, Washington, DC |
Chairman
Harvey L. Pitt |
Jan. 22, 2003 |
Remarks at Commission Open Meeting, January 22, 2003, by Chairman Harvey L. Pitt, Washington, DC |
Chairman
Harvey L. Pitt |
Jan. 15, 2003 |
Remarks at Commission Open Meeting, January 15, 2003, by Chairman Harvey L. Pitt, Washington, DC |
Chairman
Harvey L. Pitt |
Jan. 15, 2003 |
Remarks at Commission Open Meeting, January 15, 2003, by Commissioner Paul S. Atkins, Washington, DC |
Commissioner
Paul S. Atkins |
Jan. 9, 2003 |
Remarks at Advanced ALI-ABA Course of Study, by Commissioner Paul S. Atkins, Washington, DC |
Commissioner
Paul S. Atkins |
Jan. 8, 2003 |
Remarks at the Commission Open Meeting, January 8, 2003, by Chairman Harvey L. Pitt, Washington, DC |
Chairman
Harvey L. Pitt |
Jan. 8, 2003 |
Remarks at Mutual Fund Directors Forum, by Chairman Harvey L. Pitt, Washington, DC |
Chairman
Harvey L. Pitt |
2003 Speeches by Commission Staff
Date |
Title |
Author |
Fourth Quarter |
Dec. 11, 2003 |
Remarks by at the 2003 Thirty-First AICPA National Conference on Current SEC Developments,Randolph P. Green, Professional Accounting Fellow, Office of the Chief Accountant, Washington, DC |
Professional Accounting Fellow, Office of the Chief Accountant
Randolph P. Green |
Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by Robert J. Comerford |
Professional Accounting Fellow, Office of the Chief Accountant
Robert J. Comerford |
Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by D. Douglas Alkema |
Professional Accounting Fellow, Office of the Chief Accountant
D. Douglas Alkema |
Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by Gregory A. Faucette |
Professional Accounting Fellow, Office of the Chief Accountant
Gregory A. Faucette |
Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by Eric Schuppenhauer |
Professional Accounting Fellow, Office of the Chief Accountant
Eric Schuppenhauer |
Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by Chad A. Kokenge |
Professional Accounting Fellow, Office of the Chief Accountant
Chad A. Kokenge |
Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by John M. James |
Professional Accounting Fellow, Office of the Chief Accountant
John M. James |
Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by Russell P. Hodge |
Professional Accounting Fellow, Office of the Chief Accountant
Russell P. Hodge |
Dec. 11, 2003 |
Remarks before 2003 Thirty-First AICPA National Conference on Current SEC Developments, by Scott A. Taub |
Deputy Chief Accountant, Office of the Chief Accountant
Scott A. Taub |
Dec. 11, 2003 |
Remarks before 2003 Thirty-First AICPA National Conference on Current SEC Developments, by Donald T. Nicolaisen |
Chief Accountant
Donald T. Nicolaisen |
Dec. 4, 2003 |
A Turning Point for America's Mutual Fund Industry, by Paul F. Roye, before the ICI 2003 Securities Law Developments Conference, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
Dec. 3, 2003 |
Statement at Open Commission Meeting, by Paul F. Roye, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
Nov. 20, 2003 |
Keynote Address before the 21st Annual Advanced ALI-ABA Conference on Life Insurance Company Products, by Paul F. Roye, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
Oct. 29, 2003 |
Current Examination and Enforcement Issues: 15th Annual Conference on the Securities Industry, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, New York City, NY |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Oct. 17, 2003 |
Combating Financial Crime Globally: IOSCO Annual Conference, by Ethiopis Tafara, Director, Office of International Affairs, Seoul, Korea |
Ethiopis Tafara, Director, Office of International Affairs |
Oct. 17, 2003 |
The National Market System: Fullfilling the Promise: The Securities Traders Association 70th Annual Conference and Business Meeting, by Annette L. Nazareth, Director, Division of Market Regulation, Scottsdale, AZ |
Annette L. Nazareth, Director, Division of Market Regulation |
Oct. 16, 2003 |
Remarks Before the SIA Research Conference: New York City, by Annette L. Nazareth, Director, Division of Market Regulation, Washington, DC |
Annette L. Nazareth, Director, Division of Market Regulation |
Oct. 16, 2003 |
Keynote Address at the Ninth Annual Advanced ALI-ABA Course of Study: Investment Management Regulation, by Paul F. Roye, Director, Division of Investment Management, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
Oct. 9, 2003 |
Keeping Pace with the Speed of Change for Small Firms: Perspectives from the SEC, Remarks before the Securities Industry Association, Small Firms Conference, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Fort Lauderdale, FL |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Oct. 8, 2003 |
Remarks Before the Bank Insurance Securities Association, by Catherine McGuire, Chief Counsel, Division of Market Regulation, Washington, DC |
Catherine McGuire, Chief Counsel, Division of Market Regulation |
Third Quarter |
Sep. 24, 2003 |
Strengthening Investor Confidence Through Sound Compliance and Risk Controls, Remarks before the 5th Annual Regulatory Compliance Conference for Financial Institutions, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, Toronto, Canada |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Sep. 9, 2003 |
Remarks Before The National Regulatory Services Investment Adviser and Broker-Dealer Compliance/Risk Management Conference, by Stephen M. Cutler, Director, Division of Enforcement, Charleston, SC |
Stephen M. Cutler, Director, Division of Enforcement |
Sep. 4, 2003 |
Remarks To Announce the Filing of Actions Related to Trading Based on Non-Public Information About the Treasury's Decision To Cease Issuance of the 30-Year Bond, by Stephen M. Cutler, Director, Division of Enforcement, New York, NY |
Stephen M. Cutler, Director, Division of Enforcement |
Jul. 23, 2003 |
Letter Regarding Washington State Bar Association's Proposed Opinion on the Effect of the SEC's Attorney Conduct Rules, by Giovanni P. Prezioso, General Counsel, Washington, DC |
Giovanni P. Prezioso, General Counsel |
Jul. 8, 2003 |
U.S. Perspective on Accountancy Regulation and Reforms, by Ethiopis Tafara, Acting Director, Office of International Affairs, at the Annual Conference of the Institute of Chartered Accountants in England & Wales, London |
Ethiopis Tafara, Acting Director, Office of International Affairs |
Second Quarter |
Jun. 19, 2003 |
Remarks Before the American Law Institute/American Bar Association, by Paul F. Roye, Director, Division of Investment Management, at the Investment Company Regulation and Compliance Conference, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
Jun. 17, 2003 |
Remarks Before the National Association for Variable Annuities, by Paul F. Roye, Director, Division of Investment Management, at the 2003 Regulatory Affairs Conference, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
Jun. 13, 2003 |
Remarks Before the Fourth Annual Securities Industry Association Conference on Market Structure, by Annette L. Nazareth, Director, Division of Market Regulation, New York, NY |
Annette L. Nazareth, Director, Division of Market Regulation |
Jun. 12, 2003 |
Remarks before the American Bar Association's 2003 Conference for Corporate Counsel, by Alan L. Beller, Director, Division of Corporation Finance, Washington, DC |
Alan L. Beller, Director, Division of Corporation Finance |
Jun. 10, 2003 |
Addressing International Concerns under the Sarbanes-Oxley Act, by Ethiopis Tafara, Acting Director, Office of International Affairs, Remarks before the American Chamber of Commerce in Luxembourg |
Ethiopis Tafara, Acting Director, Office of International Affairs |
Jun. 10, 2003 |
Remarks at the Vanderbilt Directors College, by Alan L. Beller, Director, Division of Corporation Finance, Nashville, TN |
Alan L. Beller, Director, Division of Corporation Finance |
May 29, 2003 |
The SEC's Internal Control Report Rules and Thoughts on the Sarbanes-Oxley Act, Remarks Before the University of Southern California Leventhal School of Accounting SEC and Financial Reporting Conference, by Scott A. Taub, Deputy Chief Accountant, Pasadena, CA |
Scott A. Taub, Deputy Chief Accountant |
May 24, 2003 |
Remarks Before the Brown University Commencement Forum, by Annette L. Nazareth, Director, Division of Market Regulation |
Annette L. Nazareth, Director, Division of Market Regulation |
May 23, 2003 |
Proactive Initiatives to Protect Mutual Fund Investors, Remarks Before the ICI General Membership Meeting, by Paul F. Roye, Director, Division of Investment Management, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
May 12, 2003 |
Mutual Fund Issues of Interest to Defined Contribution Plan Sponsors and Participants, Remarks Before the Institutional Investor Defined Contribution Forum, by Paul F. Roye, Director, Division of Investment Management, Hallandale, FL |
Paul F. Roye, Director, Division of Investment Management |
May 9, 2003 |
Remarks Before the PLI Conference on International Securities Markets 2003, by Annette L. Nazareth, Director, Division of Market Regulation |
Annette L. Nazareth, Director, Division of Market Regulation |
May 6, 2003 |
The SEC Examination Perspective, Keynote Address at Glasser Legalworks Broker-Dealer Compliance Conference, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
May 2, 2003 |
Remarks Before American Bankers Association, Trust Management Association Meeting, by Annette L. Nazareth, Director, Division of Market Regulation |
Annette L. Nazareth, Director, Division of Market Regulation |
May 1, 2003 |
A Renewed Commitment to Compliance, Remarks Before the Glasser LegalWorks Seventh Annual Investment Advisers Compliance Conference, by Paul F. Roye, Director, Division of Investment Management, New York, NY |
Paul F. Roye, Director, Division of Investment Management |
May 1, 2003 |
Disaster Recovery and Business Continuity Planning, Remarks Before Financial Markets Association 2003 Compliance Seminar, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
May 1, 2003 |
Remarks Before Baruch College Conference on Financial Reporting, by Jackson M. Day, Acting Chief Accountant, Office of the Chief Accountant
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Jackson M. Day, Acting Chief Accountant, Office of the Chief Accountant |
May 1, 2003 |
Regarding Fraud, Insider Trading Charges Relating to Enron's Broadband Subsidiary, Remarks Prepared for Delivery at U.S. Department of Justice Press Conference by Linda Chatman Thomsen, Deputy Director, Division of Enforcement |
Linda Chatman Thomsen, Deputy Director, Division of Enforcement |
Apr. 28, 2003 |
Compliance Issues for Investment Advisers Today, Remarks at the Investment Counsel Association/IA Week, Investment Adviser Compliance Summit, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Washington, DC |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Apr. 25, 2003 |
2003 Options Industry Conference, Remarks at the Options Industry Conference by Elizabeth King, Associate Director, Division of Market Regulation |
Elizabeth King, Associate Director, Division of Market Regulation |
Apr. 23, 2003 |
The Culture of Compliance, Remarks at the Spring Compliance Conference: National Regulatory Services, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Tucson, AZ |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Apr. 10, 2003 |
Remarks at the Bond Market Association, Corporate Credit Markets, by Alan L. Beller, Director, Division of Corporation Finance, New York, NY |
Alan L. Beller, Director, Division of Corporation Finance |
First Quarter |
Mar. 31, 2003 |
A New Era of Accountability in Fund Regulation, Remarks Before the 2003 Mutual Funds and Investment Management Conference, by Paul F. Roye, Director, Division of Investment Management, Palm Desert, CA |
Paul F. Roye, Director, Division of Investment Management |
Mar. 27, 2003 |
The Next Phase: Implementing the Patriot Act, Remarks at Securities Industry Association Conference on Anti-Money Laundering Compliance for Broker-Dealers, New York, NY, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Mar. 24, 2003 |
Remarks at Books and Records Compliance Countdown, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations Washington, DC |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Mar. 17, 2003 |
Remarks To Announce the Filing of SEC v. Merrill Lynch, et al., by Stephen M. Cutler, Director, Division of Enforcement, Washington, DC |
Stephen M. Cutler, Director, Division of Enforcement |
Feb. 26, 2003 |
SEC Risk Management and Compliance Examinations, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, 2003 Fiduciary and Investment Risk Management Association, Fiduciary and Risk Management Seminar, Richmond, VA |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Feb. 21, 2003 |
Remarks at the F. Hodge O'Neal Corporate and Securities Law Symposium, by Stephen M. Cutler, Director, Division of Enforcement, Washington University School of Law, St. Louis, MO |
Stephen M. Cutler, Director, Division of Enforcement |
Jan. 28, 2003 |
Remarks Before the New York State Society of Certified Public Accountants, by Jackson M. Day, Acting Chief Accountant |
Jackson M. Day, Acting Chief Accountant |
http://www.sec.gov/news/speech/speecharchive/2003speech.shtml
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