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Commission Speeches and Public Statements Archive: 2005
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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2005 Speeches and Statements by the Chairman and Commissioners
Date |
Title |
Author |
Fourth Quarter |
Dec. 14, 2005 |
Opening Remarks at Open Meeting, by Chairman Christopher Cox, New York, NY |
Chairman
Christopher Cox |
Dec. 12, 2005 |
Remarks Before the Economic Club, by Chairman Christopher Cox, New York, NY |
Chairman
Christopher Cox |
Dec. 6, 2005 |
Remarks at "Beyond the Myth of Anglo-American Corporate Governance"; Institute of Chartered Accountants in England & Wales, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Dec. 5, 2005 |
Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Chairman Christopher Cox, Washington, D.C.
Video:
Windows Media Streaming (12 Mb)
Windows Media Player (30 Mb)
MPG format (140 Mb)
|
Chairman
Christopher Cox |
Dec. 5, 2005 |
Remarks Before the American Institute of Certified Public Accountants, by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
Nov. 29, 2005 |
Opening Statement at SEC Open Meeting, by Chairman Christopher Cox, Washington, D.C. |
Chairman
Christopher Cox |
Nov. 17, 2005 |
Remarks Before the 2005 Mutual Fund Directors Forum, Investment Industry Trading Practices and Best Execution Workshop, by Commissioner Annette L. Nazareth, New York, NY |
Commissioner Annette L. Nazareth |
Nov. 17, 2005 |
Remarks Before the Conference on Listed Companies and Legislators in Dialogue Danish Ministry of Economic and Business Affairs, by Commissioner Cynthia A. Glassman, Copenhagen, Denmark |
Commissioner
Cynthia A. Glassman |
Nov. 11, 2005 |
Board Diversity: The 21st Century Challenge;
"The New Regulatory Climate and Impact on Board Composition", Remarks Before the
2005 Colloquium for Women Directors, by Commissioner Cynthia A. Glassman, New York, New York |
Commissioner
Cynthia A. Glassman |
Nov. 11, 2005 |
Remarks Before the Securities Industry Association, by Chairman Christopher Cox, Boca Raton, Florida |
Chairman
Christopher Cox |
Nov. 11, 2005 |
Remarks Before the American Bar Association Legislative and Regulatory Subcommittee of the Committee on Banking Law, by Commissioner Paul S. Atkins, Richmond, VA |
Commissioner
Paul S. Atkins |
Nov. 9, 2005 |
Remarks Before the SIA Compliance and Legal Division Fall Compliance Seminar, by Commissioner Paul S. Atkins, New York, NY |
Commissioner
Paul S. Atkins |
Nov. 8, 2005 |
Opening Message Before the CCOutreach National Seminar, by Chairman Christopher Cox, Washington, D.C.
Video:
Windows Media Streaming (13 Mb)
Windows Media Player (20 Mb)
AVI format (50 Mb)
|
Chairman
Christopher Cox |
Nov. 7, 2005 |
Remarks at the 12th XBRL International Conference, by Chairman Christopher Cox, Tokyo, Japan
Video:
Windows Media Streaming (25.5 Mb)
Windows Media Player (64 Mb)
|
Chairman
Christopher Cox
|
Nov. 4, 2005 |
Remarks at the Plain Language Association International's Fifth International Conference, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Nov. 2, 2005 |
Statement Regarding the CCOutreach National Seminar, by Chairman Christopher Cox, Washington, D.C. |
Chairman
Christopher Cox |
Oct. 26, 2005 |
Remarks Before the European Parliamentary Financial Services Forum, by Commissioner Paul S. Atkins, Strasbourg, France |
Commissioner
Paul S. Atkins |
Oct. 21, 2005 |
XIX Annual Meeting: International Investment Funds Association, by Commissioner Roel C. Campos, Washington, D.C. |
Commissioner
Roel C. Campos |
Oct. 18, 2005 |
Remarks Before the Securities Industries Association/Tsinghua University Conference, by Chairman Christopher Cox, Beijing, China |
Chairman
Christopher Cox |
Oct. 16, 2005 |
Remarks Before the US - China Joint Economic Committee, by Chairman Christopher Cox, Hebei, China |
Chairman
Christopher Cox |
Oct. 7, 2005 |
Remarks Before the STA Annual Conference, by Commissioner Annette L. Nazareth, Boca Raton, FL |
Commissioner Annette L. Nazareth |
Oct. 7, 2005 |
Remarks Before the Center for the Study of International Business Law Breakfast Roundtable Series, by Commissioner Cynthia A. Glassman, New York, NY |
Commissioner
Cynthia A. Glassman |
Oct. 7, 2005 |
Elimination of Investment Adviser Fees a ‘Happy Day’, by Chairman Christopher Cox, Washington, D.C. |
Chairman
Christopher Cox |
Oct. 6, 2005 |
Remarks at the Video/Tele Conference on International Securities Regulatory and Accounting Issues of the American Bar Association, by Chairman Christopher Cox, Washington, D.C. (3MB mp3 audio file) |
Chairman
Christopher Cox |
Oct. 6, 2005 |
Remarks on the Occasion of the Visit Of President George W. Bush to the National Endowment for Democracy, by Chairman Christopher Cox, Washington, D.C. |
Chairman
Christopher Cox |
Third Quarter |
Sep. 29, 2005 |
Remarks Before the Managed Funds Association, by Commissioner Paul S. Atkins, New York, NY |
Commissioner
Paul S. Atkins |
Sep. 22, 2005 |
Remarks Before the ICI Equity Markets Conference, by Commissioner Annette L. Nazareth, New York City, NY |
Commissioner Annette L. Nazareth |
Sep. 21, 2005 |
Statement at the Commission Open Meeting Regarding the Proposed Soft Dollar Interpretive Release, by Chairman Christopher Cox, Washington, D.C. |
Chairman
Christopher Cox |
Sep. 21, 2005 |
Statement at Open Meeting Regarding Extension of Section 404 Compliance Date for Smaller Companies and Amendments to Accelerated Filing Requirements, by Chairman Christopher Cox, Washington, D.C. |
Chairman
Christopher Cox |
Sep. 20, 2005 |
Remarks Before the National Association of State Treasurers, by Commissioner Paul S. Atkins, Incline Village, Nevada |
Commissioner
Paul S. Atkins |
Sep. 19, 2005 |
Remarks Before the Joint Meeting of SEC Government-Business Forum on Small Business Capital Formation Forum and the SEC Advisory Committee on Smaller Public Companies, by Commissioner Paul S. Atkins, San Francisco |
Commissioner
Paul S. Atkins |
Sep. 15, 2005 |
Keynote Address Before the 30th Bond Attorney's Workshop of the National Association of Bond Lawyers, by Commissioner Roel C. Campos, Chicago, IL |
Commissioner
Roel C. Campos |
Sep. 14, 2005 |
Remarks Before the SIA-Hedge Fund Conference, by Commissioner Roel C. Campos, New York, NY |
Commissioner
Roel C. Campos |
Aug. 4, 2005 |
Statement to SEC Staff, by SEC Chairman Christopher Cox, Washington, D.C. See also: Webcast Archive |
Chairman
Christopher Cox |
Jul. 26, 2005 |
Remarks Before the Committee on Banking, Housing, and Urban Affairs United States Senate, by Commissioner Roel C. Campos, Washington, D.C. |
Commissioner
Roel C. Campos |
Jul. 12, 2005 |
Remarks Before the Managed Funds Association, by Commissioner Roel C. Campos, London, England |
Commissioner
Roel C. Campos |
Second Quarter |
Jun. 29, 2005 |
Farewell Remarks to SEC Staff, by SEC Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
Jun. 29, 2005 |
Amendments to Investment Company Act of 1940 - Concurring Views: Remarks Before the SEC Open Meeting, by Commissioner Harvey J. Goldschmid, Washington, D.C. |
Commissioner
Harvey J. Goldschmid |
Jun. 29, 2005 |
Mutual Fund Governance - Response to the Remand: Remarks Before the SEC Open Meeting, by Commissioner Roel C. Campos, Washington, D.C. |
Commissioner
Roel C. Campos |
Jun. 29, 2005 |
Remarks Before the SEC Open Meeting, by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
Jun. 29, 2005 |
Investment Company Governance Remand: Remarks Before the SEC Open Meeting, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Jun. 29, 2005 |
Consideration of Issues Remanded to the Commission by the Court of Appeals: Opening Statement Before the SEC Open Meeting, by SEC Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
Jun. 29, 2005 |
Shell Company Rules: Opening Statement Before the SEC Open Meeting, by SEC Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
Jun. 29, 2005 |
Securities Offering Reform: Opening Statement Before the SEC Open Meeting, by SEC Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
Jun. 28, 2005 |
Remarks Before the National Association for Variable Annuities, by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
Jun. 23, 2005 |
Remarks Before the European Institute of the University of Gent, by Commissioner Paul S. Atkins, Brussels, Belgium |
Commissioner
Paul S. Atkins |
Jun. 21, 2005 |
Developing Bond Markets in APEC: Key Lessons from the U.S. Experience: Remarks Before the ABAC/ADBI/PECC Conference, by Commissioner Roel C. Campos, Toyko, Japan |
Commissioner
Roel C. Campos |
Jun. 21, 2005 |
Remarks at Nippon Keidanren (Japan Federation of Economic Organizations), by Commissioner Roel C. Campos, Toyko, Japan |
Commissioner
Roel C. Campos |
Jun. 15, 2005 |
SEC in Transition: What We've Done and What's Ahead, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Jun. 13, 2005 |
Remarks Before the American Academy in Berlin, by Commissioner Roel C. Campos, Berlin, Germany |
Commissioner
Roel C. Campos |
June 8, 2005 |
Remarks Before the SIA Industry Leadership Luncheon, by Commissioner Paul S. Atkins, San Francisco, CA |
Commissioner
Paul S. Atkins |
May 19, 2005 |
Remarks Before the the Council on Foreign Relations, by SEC Chairman William H. Donaldson, New York, NY |
Chairman
William H. Donaldson |
May 12, 2005 |
Remarks Before the Foundation Financial Officers Group Spring Meeting, by SEC Chairman William H. Donaldson, Washington, DC |
Chairman
William H. Donaldson |
May 8, 2005 |
2005 CFA Institute Annual Conference, by SEC Chairman William H. Donaldson, Philadelphia, Pennsylvania |
Chairman
William H. Donaldson |
May 2, 2005 |
Letter from Commissioners Glassman and Atkins re: Staff Report on the Exemptive Rule Amendments of 2004: The Independent Chair Condition, by Commissioners Cynthia A. Glassman and Paul S. Atkins
See also: Adopting Release, IC-26520 |
Commissioners
Cynthia A. Glassman,
Paul S. Atkins |
Apr. 27, 2005 |
Remarks Before the California '40 Acts Institute, by Commissioner Paul S. Atkins, San Francisco, CA |
Commissioner
Paul S. Atkins |
Apr. 20, 2005 |
Remarks Before the Bond Market Association, by SEC Chairman William H. Donaldson, New York, NY |
Chairman
William H. Donaldson |
Apr. 13, 2005 |
Closing Remarks Before the Roundtable on the Implementation of Internal Control Reporting Provisions, by SEC Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
Apr. 13, 2005 |
Opening Remarks Before the Roundtable on the Implementation of Internal Control Reporting Provisions, by SEC Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
Apr. 11, 2005 |
Remarks Before the Council of Institutional Investors 2005 Spring Conference Critical SEC Issues for 2005 - 2006, by Commissioner Harvey J. Goldschmid, Washington, D.C. |
Commissioner
Harvey J. Goldschmid |
Apr. 6, 2005 |
Enhancement and Modernization of the National Market System, by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
Apr. 6, 2005 |
Remarks Before the open meeting regarding the IA/BD Rule, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Apr. 6, 2005 |
Remarks Before the Open Meeting regarding Regulation NMS, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Apr. 6, 2005 |
Opening Statement at Commission Open Meeting of April 6, 2005, re: Regulation NMS, by SEC Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
Apr. 6, 2005 |
Opening Statement at Commission Open Meeting of April 6, 2005, re: Broker-Dealer Rule, by SEC Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
Apr. 4, 2005 |
Charles Hamilton Houston Lecture, by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
Apr. 1, 2005 |
Remarks Before the Financial Services Roundtable, by SEC Chairman William H. Donaldson, Palm Beach, Florida |
Chairman
William H. Donaldson |
First Quarter |
Mar. 30, 2005 |
Remarks Before the Redefining Investment Strategy Education ("RISE") Symposium Corporate Governance Panel, by Commissioner Cynthia A. Glassman, Dayton, OH |
Commissioner
Cynthia A. Glassman |
Mar. 16, 2005 |
Remarks Before the Directors Education Institute, by SEC Chairman William H. Donaldson, Duke University, Durham, North Carolina |
Chairman
William H. Donaldson |
Mar. 14, 2005 |
EU-U.S. Dialogue on Financial Market Regulation A U.S. Perspective, Remarks Before the Annual Washington Conference of the Institute of International Bankers, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Mar. 14, 2005 |
Remarks Before the Mutual Fund and Investment Management Conference, by SEC Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
Mar. 9, 2005 |
Remarks Before the Boston Securities Traders Association by Commissioner Paul S. Atkins, Boston, MA. |
Commissioner
Paul S. Atkins |
Mar. 4, 2005 |
Remarks before SEC Speaks in 2005 by Commissioner Paul S. Atkins, Washignton, D.C. |
Commissioner
Paul S. Atkins |
Mar. 4, 2005 |
Remarks Before the SEC Speaks Conference, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Mar. 4, 2005 |
Remarks before SEC Speaks Conference, by SEC Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
Mar. 3, 2005 |
Statement Before the Open Meeting regarding Mutual Fund Redemption Fees by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
Mar. 3, 2005 |
Statement Before the Open Meeting regarding NRSRO Proposing Release by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
Mar. 3, 2005 |
Statement Before the Open Meeting regarding PCAOB and FASB Budget Review by Commissioner Paul S. Atkins, Washington, D.C.
|
Commissioner
Paul S. Atkins |
Mar. 3, 2005 |
Statement at Open Meeting Regarding NRSRO Rule Proposal, by Commissioner Harvey J. Goldschmid, Washington, D.C. |
Commissioner
Harvey J. Goldschmid |
Mar. 3, 2005 |
Statement at March 3, 2005 Open Meeting, by SEC Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
Mar. 3, 2005 |
Statement regarding the NRSRO Proposal Before the Open Meeting, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Mar. 2, 2005 |
Remarks Before the European Corporate Governance Summit: An SEC Commissioner's View: The Post-Sarbanes-Oxley Environment for Foreign Issuers, by Commissioner Cynthia A. Glassman, London, England |
Commissioner
Cynthia A. Glassman |
Feb. 24, 2005 |
Remarks Before the Ninth Annual Conference on SEC Regulation Outside the United States, by Commissioner Cynthia A. Glassman, London, England |
Commissioner
Cynthia A. Glassman |
Feb. 23, 2005 |
Remarks Before the Atlanta Chapter of the National Association of Corporate Directors by Commissioner Paul S. Atkins, Atlanta, Georgia |
Commissioner
Paul S. Atkins |
Feb. 22, 2005 |
Remarks Before the Association for Corporate Growth of the National Capital Region 11th Annual Mid-Atlantic Region M&A Conference and Capital Forum, by Commissioner Cynthia A. Glassman, McClean, VA |
Commissioner
Cynthia A. Glassman |
Feb. 16, 2005 |
Remarks Before the Mutual Fund Directors Forum, by SEC Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
Feb. 16, 2005 |
Remarks Before the Economic Club of Memphis by Commissioner Paul S. Atkins, Memphis, Tennessee |
Commissioner
Paul S. Atkins |
Feb. 11, 2005 |
Remarks Before the SIEPR Economic Summit: Assessment of the Sarbanes-Oxley Act Critical Issue Session, by Commissioner Cynthia A. Glassman, Stanford, CA |
Commissioner
Cynthia A. Glassman |
Feb. 1, 2005 |
Remarks Before the Bond Market Association 2005 Legal & Compliance Conference by Commissioner Paul S. Atkins, New York, NY |
Commissioner
Paul S. Atkins |
Jan. 27, 2005 |
Remarks Before the Deutsches Aktieninstitut New Year's Reception by Commissioner Paul S. Atkins, Brussels, Belgium |
Commissioner
Paul S. Atkins |
Jan. 25, 2005 |
U.S. Capital Markets in the Post-Sarbanes-Oxley World: Why Our Markets Should Matter to Foreign Issuers, Remarks Before the London School of Economics, by SEC Chairman William H. Donaldson, London, England |
Chairman
William H. Donaldson |
Jan. 10, 2005 |
The SEC's Shareholder Access Proposal by Commissioner Roel C. Campos, New York, NY |
Commissioner
Roel C. Campos |
2005 Speeches and Statements by Commission Staff
Date |
Title |
Author |
Fourth Quarter |
Dec. 8, 2005 |
The Growth of Derivative Securities, by Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis, New York, New York |
Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis |
Dec. 6, 2005 |
Remarks before the 2005 Thirty-Third AICPA National Conference on Current SEC and PCAOB Developments, by Joel Levine, Associate Chief Accountant, Division of Corporation Finance, Washington, DC
See also: PowerPoint presentation
|
Joel Levine, Associate Chief Accountant, Division of Corporation Finance |
Dec. 5, 2005 |
Remarks before the Practising Law Institute; Fifth Annual Institute on Securities Regulation in Europe, by Alan L. Beller, Director, Division of Corporation Finance, London, England
|
Alan L. Beller, Director, Division of Corporation Finance |
Dec. 5, 2005 |
Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Carol A. Stacey, Chief Accountant, Division of Corporation Finance, Washington, DC
|
Carol A. Stacey, Chief Accountant, Division of Corporation Finance |
Dec. 5, 2005 |
Conflicts of Interest in Pension Consulting: An Update on the SEC’s Examinations, by Lori Richards, Director, Office of Compliance Inspections and Examinations, San Francisco, California |
Lori Richards, Director, Office of Compliance Inspections and Examinations |
Dec. 5, 2005 |
Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Mark Northan, Professional Accounting Fellow, Washington, DC
|
Mark Northan, Professional Accounting Fellow |
Dec. 5, 2005 |
Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Alison Spivey, Associate Chief Accountant, Washington, DC
|
Alison Spivey, Associate Chief Accountant |
Dec. 5, 2005 |
Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Pamela Schlosser, Professional Accounting Fellow, Washington, DC, December 5, 2005
|
Pamela Schlosser, Professional Accounting Fellow |
Dec. 5, 2005 |
Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Brian K. Roberson, Professional Accounting Fellow, Washington, DC |
Brian K. Roberson, Professional Accounting Fellow |
Dec. 5, 2005 |
Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Brian Croteau, Associate Chief Accountant, Washington, DC |
Brian Croteau, Associate Chief Accountant |
Dec. 5, 2005 |
Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Jennifer M. Burns, Professional Accounting Fellow, Washington, DC |
Jennifer M. Burns, Professional Accounting Fellow |
Dec. 5, 2005 |
Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Shan Benedict, Professional Accounting Fellow, Washington, DC |
Shan Benedict, Professional Accounting Fellow |
Dec. 5, 2005 |
Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Scott A. Taub, Acting Chief Accountant, Washington, D.C. |
Scott A. Taub, Acting Chief Accountant |
Dec. 5, 2005 |
Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Edmund W. Bailey, Senior Associate Chief Accountant, Office of the Chief Accountant, Washington, D.C. |
Edmund W. Bailey, Senior Associate Chief Accountant, Office of the Chief Accountant |
Dec. 5, 2005 |
Remarks Before 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant, Washington, D.C. |
Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant |
Dec. 1, 2005 |
International Financial Reporting Standards and the US Capital Market, Remarks Before the Federation of European Accountants, by Ethiopis Tafara, Director, Office of International Affairs, Brussels |
Ethiopis Tafara, Director, Office of International Affairs |
Nov. 30, 2005 |
Integrating Audit and Compliance Disciplines within the Risk Management Framework, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, New York |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Nov. 18, 2005 |
Remarks Before the Fall CLE Conference of the Section of Business Law of The American Bar Association, by Giovanni P. Prezioso, General Counsel, Washington, DC |
Giovanni P. Prezioso, General Counsel |
Nov. 16, 2005 |
Why Private Pensions Matter to the Public Capital Markets, Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Washington, DC |
Chester Spatt, Chief Economist and Director, Office of Economic Analysis |
Nov. 14, 2005 |
Remarks Before the Fund of Funds Forum, by Gene Gohlke, Associate Director Office of Compliance Inspection and Examinations, New York, NY |
Gene Gohlke, Associate Director Office of Compliance Inspection and Examinations |
Oct. 27, 2005 |
Remarks Before the Institute of International Bankers' Annual Regulatory Examination and Compliance Seminar, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, New York, NY. |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Oct. 26, 2005 |
Remarks Before the National Society of Compliance Professionals National Membership Meeting, by Lori Richards, Director, Office of Compliance Inspections and Examinations, Washington, D.C. |
Lori Richards, Director, Office of Compliance Inspections and Examinations |
Oct. 19, 2005 |
Remarks Before the SIA Compliance and Legal Division Regional Seminar, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, Washington, D.C. |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Oct. 19, 2005 |
Remarks Before the 2005 China Capital Markets Conference, by Ethiopis Tafara, Director, Office of International Affairs, Beijing, China |
Ethiopis Tafara, Director, Office of International Affairs |
Oct 18, 2005 |
Remarks Before the Securities Industry Association, Internal Auditors Division 2005 Annual Conference, by Lori Richards, Director, Office of Compliance Inspections and Examinations, Key Biscayne, FL |
Lori Richards, Director, Office of Compliance Inspections and Examinations |
Third Quarter |
Sep. 22, 2005 |
Remarks Before the: Greater Cincinnati Mutual Fund Association Directors' Workshop, by Lori Richards, Director, Office of Compliance Inspections and Examinations, Cincinnati, OH |
Lori Richards, Director, Office of Compliance Inspections and Examinations |
Sep. 13, 2005 |
Remarks for Promethee: Transatlantic Dialogue and Regulatory Convergence: Panel on Financial Markets: Which Balance Between Market Discipline, Supervision and Regulation? How to Make Compatible Regulatory Initiatives on the Two Sides of the Atlantic?, by Ethiopis Tafara, Director, Office of International Affairs, Paris, France |
Ethiopis Tafara, Director, Office of International Affairs |
Sep. 13, 2005 |
Remarks for Promethee: Transatlantic Dialogue and Regulatory Convergence: Panel on the Transatlantic Economic Relationship: What Comes Next and How the Debate Evolves?, by Ethiopis Tafara, Director, Office of International Affairs, Paris, France |
Ethiopis Tafara, Director, Office of International Affairs |
Sep. 9, 2005 |
Statement Regarding Use of Market Instruments in Valuing Employee Stock Options, by Donald T. Nicolaisen, Chief Accountant, Washington, D.C. |
Donald T. Nicolaisen, Chief Accountant |
Aug. 29, 2005 |
Governance, the Board, and Compensation, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Stockholm, Sweeden |
Chester Spatt, Chief Economist and Director, Office of Economic Analysis |
Jul. 26, 2005 |
Economic Aspects of Hedge Funds, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Washington, D.C. |
Chester Spatt, Chief Economist and Director, Office of Economic Analysis |
Jul. 21, 2005 |
Remarks Before the SIA Compliance and Legal Division Member Luncheon, by Annette L. Nazareth, Director, Division of Market Regulation, New York City, NY |
Annette L. Nazareth, Director, Division of Market Regulation |
Second Quarter |
Jun. 29, 2005 |
Opening Statement Before the SEC Open Meeting, by Senior Special Counsel, Division of Corporation Finance, Washington, D.C. |
Senior Special Counsel, Division of Corporation Finance |
Jun. 24, 2005 |
Remarks Before Convergence: The Future of International Financial Reporting Worldwide Conference, by Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant, London, England |
Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant |
Jun. 23, 2005 |
Rebuilding Ethics and Compliance in the Securities Industry:, Remarks Before the NYSE Regulation First Annual Securities Conference, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, New York, NY |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Jun. 21, 2005 |
Covering the Bases, Remarks Before the Directors' College, by Linda C. Thomsen, Director, Division of Enforcement, Stanford University |
Linda C. Thomsen, Director, Division of Enforcement |
Jun. 21, 2005 |
Remarks Before the NYSE Regulation First Annual Securities Conference, by Annette L. Nazareth, Director, Division of Market Regulation, New York City, NY |
Annette L. Nazareth, Director, Division of Market Regulation |
Jun. 17, 2005 |
Putting Investors First: Remarks Before the ALI-ABA Course of Study SEC/NASD Compliance, by Linda C. Thomsen, Director, Division of Enforcement, Washington, D.C. |
Linda C. Thomsen, Director, Division of Enforcement |
Jun. 9, 2005 |
Governance, the Board and Compensation, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Pittsburgh, PA |
Chester Spatt, Chief Economist and Director, Office of Economic Analysis |
Jun. 2, 2005 |
Remarks Before the USC Leventhal School of Accounting: SEC Financial Reporting Institute Conference, by Donald T. Nicolaisen, Chief Accountant, Pasadena, CA |
Donald T. Nicolaisen, Chief Accountant |
May 20, 2005 |
Remarks Before the SIA Market Structure Conference, by Annette L. Nazareth, Director, Division of Market Regulation, New York City, NY |
Annette L. Nazareth, Director, Division of Market Regulation |
May 13, 2005 |
Remarks Before the 2003 0ptions Industry Conference, by Elizabeth King, Associate Director, Division of Market Regulation, Bonita Springs, FL |
Elizabeth King, Associate Director, Division of Market Regulation |
May 12, 2005 |
Conflicts of Interest in Asset Management, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, New York City, NY |
Chester Spatt, Chief Economist and Director, Office of Economic Analysis |
May 6, 2005 |
Broad Themes in Market Microstructure, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Cambridge, MA |
Chester Spatt, Chief Economist and Director, Office of Economic Analysis |
May 5, 2005 |
Managed Funds Association Educational Seminar Series 2005: Practical Guidance for Hedge Fund CCOs Under the SEC's New Regulatory Framework, by Gene Gohlke, Associate Director Office of Compliance Inspection and Examinations, New York, NY |
Gene Gohlke, Associate Director Office of Compliance Inspection and Examinations |
April 28, 2005 |
Remarks Before the Spring Meeting of the Association of General Counsel, by Giovanni P. Prezioso, General Counsel, Pebble Beach, CA |
Giovanni P. Prezioso, General Counsel |
April 27, 2005 |
Remarks before Transatlantic Financial Market Symposium Panel, "The Road to Regulatory Convergence: Where are We and Where are We Going?", by Ethiopis Tafara, Director, Office of International Affairs, Luxembourg |
Ethiopis Tafara, Director, Office of International Affairs |
April 26, 2005 |
Remarks for the 11th XBRL International Conference, by Peter Derby, Managing Executive for Operations & Management, Office of the Chairman, Boston, Massachusetts |
Peter Derby, Managing Executive for Operations & Management, Office of the Chairman |
April 2005 |
A Securities Regulator Looks at Convergence by Donald T. Nicolaisen, Chief Accountant, Northwestern University Journal of International Law and Business |
Donald T. Nicolaisen, Chief Accountant |
April 20, 2005 |
Compliance: Some Core Principles, by Lori Richards, Director, Office of Compliance Inspections and Examinations, National Regulatory Services' Twentieth Annual Spring Compliance/Risk Management Conference, Scottsdale, AZ |
Lori Richards, Director, Office of Compliance Inspections and Examinations |
April 18, 2005 |
Opening Remarks Before the International Institute for Securities Market Development, by Ethiopis Tafara, Director, Office of International Affairs, Washington, D.C. |
Ethiopis Tafara, Director, Office of International Affairs |
April 12, 2005 |
Certain Specialist Trading - New York Stock Exchange, Inc., by Mark K. Schonfeld, Director, Northeast Regional Office, New York, NY |
Mark K. Schonfeld, Director, Northeast Regional Office |
April 6, 2005 |
Remarks for the International Organization of Securities Commissions Annual Conference Panel on the Regulation of Credit Rating Agencies, by Ethiopis Tafara, Director, Office of International Affairs, Colombo, Sri Lanka |
Ethiopis Tafara, Director, Office of International Affairs |
Apr. 6, 2005 |
Opening Statement Before the Open Meeting regarding Regulation NMS, Annette L. Nazareth, Director, Division of Market Regulation, Washington, D.C. |
Annette L. Nazareth, Director, Division of Market Regulation |
April 1, 2005 |
Regulatory Issues and Economic Principles, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, College Park, MD |
Chester Spatt, Chief Economist and Director, Office of Economic Analysis |
First Quarter |
Mar. 18, 2005 |
Remarks Before the Directors’ Education Institute at Duke University: Staying the Course, by Stephen M. Cutler, Director, Division of Enforcement, Durham, NC |
Stephen M. Cutler, Director, Division of Enforcement |
Mar. 3, 2005 |
NRSRO Proposal Opening Statement at March 3, 2005 Open Commission Meeting, Annette L. Nazareth, Director, Division of Market Regulation, Washington, D.C. |
Annette L. Nazareth, Director, Division of Market Regulation |
Mar. 3, 2005 |
Redemption Fees for Redeemable Securities, Opening Statment at March 3, 2005 Open Meeting, Paul F. Roye, Director, Division of Investment Management, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
Feb. 28, 2005 |
Remarks Before the Investment Adviser Compliance Best Practices Summit: Compliance Programs: Our Shared Mission, Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Washington, D.C. |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Feb. 28, 2005 |
Guest Speech at IA Compliance Best Practices Summit, Paul F. Roye, Director, Division of Investment Management, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
Feb. 17, 2005 |
Remarks Before the Mutual Fund Directors Forum Fifth Annual Policy Conference: Critical Issues for Investment Company Directors, Paul F. Roye, Director, Division of Investment Management, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
Feb. 9, 2005 |
Remarks Before the Managed Funds Association Educational Seminar Series 2005 Guidance on the SEC's New Regulatory Framework for Hedge Fund Advisers, Paul F. Roye, Director, Division of Investment Management, Key Biscayne, FL |
Paul F. Roye, Director, Division of Investment Management |
Feb. 4, 2005 |
Remarks at the University of South Florida Program: Understanding the Financial Infrastructure for Globalization, Susan Koski-Grafer, Senior Associate Chief Accountant, Tampa, FL |
Susan Koski-Grafer, Senior Associate Chief Accountant |
Jan. 28, 2005 |
Remarks Before the ALI-ABA Course of Study Investment Adviser Regulation, by Paul F. Roye, Director, Division of Investment Management, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
Jan. 13, 2005 |
Statement regarding Royal Ahold and its U.S. Foodservice Subsidiary, by Linda Chatman Thomsen, Deputy Director, Division of Enforcement, Washington, DC |
Linda Chatman Thomsen, Deputy Director, Division of Enforcement |
Jan. 12, 2005 |
Investors, the Stock Market, and Sarbanes-Oxley's New Section 404 Requirements, by Alan L. Beller, Director, Division of Corporation Finance, New York, NY |
Alan L. Beller, Director, Division of Corporation Finance |
Jan. 12, 2005 |
Remarks Before the Managed Funds Association Educational Seminar Series 2005: Guidance on the SEC's New Regulatory Framework for Hedge Fund Advisers, by Paul F. Roye, Director, Division of Investment Management, New York, NY |
Paul F. Roye, Director, Division of Investment Management |
Jan. 7, 2005 |
Remarks Before the the Presentation of the Paul A. Samuelson Award for Publication on Lifetime Financial Security by TIAA-CREF, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Philadelphia, PA |
Chester Spatt, Chief Economist and Director, Office of Economic Analysis |
http://www.sec.gov/news/speech/speecharchive/2005speech.shtml
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