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Commission Speeches and Public Statements Archive: 2002
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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2002 Speeches by the Chairman and Commissioners
Date |
Title |
Author |
Fourth Quarter |
Dec. 18, 2002 |
Remarks at the Commission Open Meeting, December 18, 2002, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
Dec. 11, 2002 |
Remarks at the Commission Open Meeting, December 11, 2002, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
Dec. 9, 2002 |
Remarks Before the Investment Company Institute 2002 Securities Law Developments Conference, by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
Dec. 2, 2002 |
Post-Enron America: An SEC Perspective, The Third Annual A.A. Sommer, Jr. Corporate Securities & Financial Law Lecture, by Commissioner Harvey J. Goldschmid, Fordham University School of Law |
Commissioner
Harvey J. Goldschmid |
Nov. 20, 2002 |
Comment & Analysis Let Issuers Pay for Analysts' Research, by Commissioner Roel C. Campos, "Op-Ed" for the Financial Times, London Edition 1 |
Commissioner
Roel C. Campos |
Nov. 19, 2002 |
Statement: Auditor Independence, by Commissioner Roel C. Campos, SEC Open Meeting, Washington, D.C. |
Commissioner
Roel C. Campos |
Nov. 18, 2002 |
Noah Krieger Memorial Lecture, by Chairman Harvey L. Pitt, Brown University, Providence, R.I. |
Chairman
Harvey L. Pitt |
Nov. 14, 2002 |
Remarks at the Federalist Society 20th Annual Convention, by Commissioner Paul S. Atkins, Washington, D.C.. |
Commissioner
Paul S. Atkins |
Nov. 8, 2002 |
Remarks at the Securities Industry Association Annual Meeting , by Chairman Harvey L. Pitt, Boca Raton, Fla. |
Chairman
Harvey L. Pitt |
Nov. 7, 2002 |
Chairman Harvey Pitt's Announced Resignation, Statement by Commissioner Roel C. Campos, SEC Headquarters, Washington, D.C. |
Commissioner
Roel C. Campos |
Nov. 6, 2002 |
Statement by Commissioner Cynthia A. Glassman, SEC Headquarters, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Nov. 5, 2002 |
Remarks at the Financial Executives International 2002 Conference, by Commissioner Cynthia A. Glassman, New York Hilton Hotel, New York, N.Y. |
Commissioner
Cynthia A. Glassman |
Nov. 4, 2002 |
Welcoming Remarks at the International Institute for Enforcement and Market Oversight, by Commissioner Roel C. Campos, Washington, D.C. |
Commissioner
Roel C. Campos |
Oct. 25, 2002 |
Statement on New Public Company Accounting Oversight Board,, by Commissioner Roel C. Campos at Open Commission Meeting, SEC Headquarters, Washington, D.C. |
Commissioner
Roel C. Campos |
Oct. 25, 2002 |
Statement on New Public Company Accounting Oversight Board,, by Commissioner Harvey J. Goldschmid at Open Commission Meeting, SEC Headquarters, Washington, D.C. |
Commissioner
Harvey J. Goldschmid |
Oct. 25, 2002 |
Statement on New Public Company Accounting Oversight Board,, by Commissioner Cynthia A. Glassman at Open Commission Meeting, SEC Headquarters, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Oct. 24, 2002 |
Remarks at the Second Annual Wall Street Summit of the New American Alliance, by Comissioner Roel C. Campos, New York, N.Y. |
Comissioner
Roel C. Campos |
Oct. 22, 2002 |
Remarks at the Directors' Education Institute, Duke University, by Chairman Harvey L. Pitt, Durham, N.C. |
Chairman
Harvey L. Pitt |
Oct. 16, 2002 |
Remarks at the Commission Open Meeting, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
Oct. 16, 2002 |
Remarks at the Commission Open Meeting Regarding Corporate Ethical Behavior, by Comissioner Roel C. Campos, Washington, D.C. |
Comissioner
Roel C. Campos |
Oct. 10, 2002 |
A Single Capital Market in Europe:Challenges for Global Companies Remarks of Chairman Harvey L. Pitt at the Conference of the Institute of Chartered Accountants of England and Wales, in Brussels, Belgium. |
Chairman
Harvey L. Pitt |
Oct. 8, 2002 |
Remarks at the Financial Times' Conference on Regulation & Integration of the International Capital Markets, by Chairman Harvey L. Pitt, London. |
Chairman
Harvey L. Pitt |
Third Quarter |
Sep. 27, 2002 |
Sarbanes-Oxley and the Idea of "Good" Governance Remarks by Commissioner Cynthia A. Glassman, before the American Society of Corporate Secretaries, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Sep. 26, 2002 |
Remarks at the Twenty-First Annual Government-Business Forum on Small Business Capital Formation, by Comissioner Roel C. Campos, New York, N.Y. |
Comissioner
Roel C. Campos |
Sep. 26, 2002 |
Remarks before the U.S. Department of Justice Corporate Fraud Conference, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
Sep. 23, 2002 |
Remarks Before the Council of Institutional Investors' Fall Conference, by Chairman Harvey L. Pitt, New York, N.Y. |
Chairman
Harvey L. Pitt |
Sep. 20, 2002 |
Remarks at the September Symposium on Corporate Governance and Accounting Reform, Women in Housing and Finance, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
Sep. 17, 2002 |
SEC Statement Regarding Arbitration Programs of Self-Regulatory Organizations |
|
Aug. 12, 2002 |
Remarks Before the Annual Meeting of the American Bar Association's Business Law Section, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
Jul. 24, 2002 |
Statement on Proposal of Regulation AC, by Chairman Harvey L. Pitt, SEC Headquarters |
Chairman
Harvey L. Pitt |
Jul. 19, 2002 |
Remarks Before the National Press Club, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
Jul. 15, 2002 |
Statement on Passage of S. 2673, Public Company Accounting Reform and Investor Protection Act of 2002, by Chairman Harvey L. Pitt, SEC Headquarters |
Chairman
Harvey L. Pitt |
Jul. 12, 2002 |
Statement on Fannie Mae/Freddie Mac, by Chairman Harvey L. Pitt, SEC Headquarters |
Chairman
Harvey L. Pitt |
Second Quarter |
Jun. 26, 2002 |
Remarks before the Economic Club of New York, by Chairman Harvey L. Pitt, New York, N.Y. |
Chairman
Harvey L. Pitt |
Jun. 20, 2002 |
Remarks on the Proposed Framework for Enhancing the Quality of Financial Information through Improvement of Oversight of the Auditing Process Statement by Commissioner Cynthia A. Glassman at SEC Headquarters, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Jun. 20, 2002 |
Proposed Rules to Create a Framework for a Public Accountability Board Statement by Chairman Harvey L. Pitt at SEC Headquarters, Washington, D.C. |
Chairman
Harvey L. Pitt |
Jun. 13, 2002 |
Remarks before the New York Financial Writers Association, by Chairman Harvey L. Pitt, New York, N.Y. |
Chairman
Harvey L. Pitt |
Jun. 4, 2002 |
Opening Remarks before the Symposium on Enhancing Financial Transparency, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Jun. 2, 2002 |
Commencement Address at St. John's University School of Law, by Chairman Harvey L. Pitt, Queens, N.Y. |
Chairman
Harvey L. Pitt |
May 24, 2002 |
Remarks Before the Investment Company Institute, 2002 General Membership Meeting, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
May 10, 2002 |
Remarks Before the Investor Summit, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
Apr. 25, 2002 |
Remarks Before the Annual Meeting of the Bond Market Association, by Chairman Harvey L. Pitt, New York, N.Y. |
Chairman
Harvey L. Pitt |
Apr. 6, 2002 |
Remarks Before the Committee on Federal Regulation of Securities, Section on Business Law, American Bar Association, by Commissioner Isaac C. Hunt, Jr., Boston, Massachusetts |
Commissioner
Isaac C. Hunt, Jr. |
Apr. 4, 2002 |
Remarks at the Inaugural Lecture of the JD/MBA Lecture Series, by Chairman Harvey L. Pitt, Kellogg Graduate School of Management and Northwestern Law School, Chicago, Illinois |
Chairman
Harvey L. Pitt |
First Quarter |
Mar. 11, 2002 |
Remarks at SIA Compliance and Legal Division Seminar, by Chairman Harvey L. Pitt, Palm Desert, California |
Chairman
Harvey L. Pitt |
Feb. 22, 2002 |
Remarks at "The SEC Speaks in 2002", by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
Feb. 22, 2002 |
Remarks at "The SEC Speaks in 2002", by Commissioner Isaac C. Hunt, Jr., Washington, D.C. |
Commissioner
Isaac C. Hunt, Jr. |
Feb. 22, 2002 |
Remarks at "The SEC Speaks in 2002", by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
Feb. 19, 2002 |
Remarks at the Winter Bench and Bar Conference of the Federal Bar Council, by Chairman Harvey L. Pitt, Puerto Rico |
Chairman
Harvey L. Pitt |
Jan. 23, 2002 |
Remarks at the 29th Annual Securities Regulation Institute, by Chairman Harvey L. Pitt, Coronado, California |
Chairman
Harvey L. Pitt |
Jan. 17, 2002 |
Regulation of the Accounting Profession Statement by Chairman Harvey L. Pitt at SEC Headquarters, Washington, D.C. |
Chairman
Harvey L. Pitt |
2002 Speeches by Commission Staff
Date |
Title |
Author |
Fourth Quarter |
Dec. 20, 2002 |
Statement at the Announcement of Agreement in Principle on Research Analyst Issues, by Stephen M. Cutler, Director, Division of Enforcement |
Stephen M. Cutler, Director, Division of Enforcement |
Dec. 13, 2002 |
International Developments: Convergence and You, Remarks before the AICPA SEC Developments Conference, by Jackson M. Day, Acting Chief Accountant |
Jackson M. Day, Acting Chief Accountant |
Dec. 12, 2002 |
Changing the Future, Remarks before the AICPA SEC Current Issues Conference, Washington, D.C., by Jackson M. Day, Acting Chief Accountant |
Jackson M. Day, Acting Chief Accountant |
Dec. 12, 2002 |
Remarks Before the American Institute of Certified Public Accountants, by Stephen M. Cutler, Director, Division of Enforcement, Washington, D.C. |
Stephen M. Cutler, Director, Division of Enforcement |
Dec. 12, 2002 |
Priorities of the SEC Examination Program, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, at the 2002 Capital Markets Compliance Fundamentals Workshop, Financial Markets Association, Alexandria, Va. |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Dec. 9, 2002 |
Keynote Address at the Investment Company Institute 2002 Securities Law Developments Conference, by Paul F. Roye, Director, Division of Investment Management, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
Nov. 22, 2002 |
Keynote Address at the Meeting of the Business Law Section of the American Bar Association, Committee on Federal Regulation of Securities, by Paul F. Roye, Director, Division of Investment Management, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
Nov. 19, 2002 |
Opening Statement: Commission Open Meeting on Record Retention (§802) and Independence (Title II), by Jackson M. Day, Acting Chief Accountant, Washington, D.C. |
Jackson M. Day, Acting Chief Accountant |
Nov. 14, 2002 |
Keynote Address at the Twentieth Annual Advanced ALI-ABA Conference on Life Insurance Company Products, by Paul F. Roye, Director, Division of Investment Management, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
Nov. 1, 2002 |
Remarks at the University of Michigan Law School, by Stephen M. Cutler, Director, Division of Enforcement, Ann Arbor, Michigan |
Stephen M. Cutler, Director, Division of Enforcement, |
Oct. 30, 2002 |
The Evolution of the SEC's Inspection Program for Advisers and Funds: Keeping Apace of a Changing Industry, Remarks at "Compliance and Inspection Issues for Investment Advisers and Investment Companies," New York, N.Y., by Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Oct. 17, 2002 |
Priorities in Investment Management Regulation Remarks by Paul F. Roye, Director, Division of Investment Management, as the Keynote Address at the Eighth Annual Advanced ALI-ABA Course of Study: Investment Management Regulation, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
Oct. 15, 2002 |
Remarks at the 2002 Internal Auditors Division Annual Conference, Securities Industry Association, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Tempe, Ariz. |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Third Quarter |
Sep. 25, 2002 |
Remarks before the ICAA STP/T+1 Conference, by Larry Bergmann, Senior Associate Director, Division of Market Regulation |
Larry E. Bergmann, Senior Associate Director, Division of Market Regulation |
Sep. 23, 2002 |
Compliance and Internal Controls Key Priorities for US SEC Examination Program Remarks by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, Keynote Address before the Fourth Annual Financial Institutions Regulatory Compliance Summit, Toronto, Canada |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Sep. 17, 2002 |
Key Issues in SEC Examinations of Broker-Dealers Remarks by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, before the Legal and Compliance Division, Securities Industry Association, New York, N.Y. |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Jul. 16, 2002 |
Remarks before the American Society of Corporate Secretaries National Conference, by Alan L. Beller, Director, Division of Corporation Finance, Toronto, Ontario |
Alan L. Beller, Director, Division of Corporation Finance |
Second Quarter |
Jun. 24, 2002 |
Keynote Address before the National Association of Variable Annuities, 2002 Regulatory Affairs Conference by Paul F. Roye, Director, Division of Investment Management, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
Jun. 20, 2002 |
Rule Proposal in Connection With the Establishment of a Framework of a Public Accountability Board Statement by Robert K. Herdman, Chief Accountant, at SEC Headquarters, Washington, D.C. |
Robert K. Herdman, Chief Accountant |
Jun. 6, 2002 |
Remarks before the Glasser LegalWorks' Investment Management Regulation Conference, by Paul F. Roye, Director, Division of Investment Management, New York, N.Y. |
Paul F. Roye, Director, Division of Investment Management |
May 20, 2002 |
Remarks before the SIA Spring T+1 Conference, by Robert L. D. Colby, Deputy Director, Division of Market Regulation |
Robert L. D. Colby, Deputy Director, Division of Market Regulation |
May 17, 2002 |
Remarks before the Rocky Mountain Securities Conference, by Alan L. Beller, Director, Division of Corporation Finance |
Alan L. Beller, Director, Division of Corporation Finance |
May 9, 2002 |
Remarks before the Security Traders Association, Washington Congressional Conference, by Annette L. Nazareth, Director, Division of Market Regulation |
Annette L. Nazareth, Director, Division of Market Regulation |
May 8, 2002 |
Analysts Conflicts of Interest: Taking Steps to Remove Bias, by Lori Richards, Director, Office of Compliance Inspections and Examinations, at theFinancial Women's Association, New York, N.Y.
|
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
May 3, 2002 |
Remarks Before the 2002 Options Industry Conference, by Annette L. Nazareth, Director, Division of Market Regulation |
Annette L. Nazareth, Director, Division of Market Regulation |
May 2, 2002 |
Remarks at the Glasser LegalWorks SEC Disclosure, Accounting & Enforcement Conference, by David M. Becker, General Counsel, San Francisco, California |
David M. Becker; General Counsel |
May 2, 2002 |
Money Laundering: Life After the Patriot Act Remarks by Lori Richards, Director, Office of Compliance Inspections and Examinations, at theSecurities Industry Association Conference on Anti-Money Laundering Compliance for Broker-Dealers
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Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Apr. 19, 2002 |
Remarks at the Global Challenge in Investment Management Regulatory and Legal Issues, by Paul F. Roye, Director, Division of Investment Management, at the Suffolk University School of Law, Boston, Maine |
Paul F. Roye, Director, Division of Investment Management |
Apr. 18, 2002 |
Moving Toward the Globalization of Accounting Standards Remarks by Robert K. Herdman, Chief Accountant, at the Schmalenbach Institute for Business Administration Conference (Schmalenbach-Tagung), Cologne, Germany |
Robert K. Herdman, Chief Accountant |
April 11, 2002 |
What Makes Compliance a Profession? Remarks by John H. Walsh, Chief Counsel, Office of Compliance Inspections and Examinations, at the NRS Symposium on the Compliance Profession, Miami Beach, Florida |
John H. Walsh, Chief Counsel, Office of Compliance Inspections and Examinations |
Apr. 11, 2002 |
Improving Standard Setting To Advance the Interests of Investors Remarks by Robert K. Herdman, Chief Accountant, at the 22nd Annual Ray Garrett Jr. Corporate & Securities Law Institute, Northwestern University, Chicago, Illinois |
Robert K. Herdman, Chief Accountant |
Apr. 8, 2002 |
Priorities in Investment Adviser Regulation Remarks by Paul F. Roye, Director, Division of Investment Management, at the IA Compliance Summit and Best Practices Update, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
Apr. 8, 2002 |
Keynote Address: Furthering Good Compliance Current Areas of Focus in SEC Examinations, by Lori Richards, Director, Office of Compliance Inspections and Examinations, at the National Regulatory Services, 17th Annual Spring Compliance Conference
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Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
First Quarter |
Mar. 25, 2002 |
Mutual Fund Management: Taking Responsibility, Maintaining Trust and Influencing Positive Change Remarks by Paul F. Roye, Director, Division of Investment Management, at the 2002 Mutual Funds and Investment Management Conference, Orlando, Florida |
Paul F. Roye, Director, Division of Investment Management |
Mar. 21, 2002 |
Remarks at "Meet the Regulators", by Lori Richards, Director, Office of Compliance Inspections and Examinations, at the Mid-Atlantic Securities Forum, Philadelphia, Pennsylvania
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Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Mar. 7, 2002 |
Making Audit Committees More Effective Remarks by Robert K. Herdman, Chief Accountant, Tulane Corporate Law Institute, New Orleans
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Robert K. Herdman, Chief Accountant |
Feb. 15, 2002 |
Remarks at the Glasser LegalWorks 20th Annual Federal Securities Institute, by Stephen M. Cutler, Director, Division of Enforcement, Hallandale, Florida |
Stephen M. Cutler, Director, Division of Enforcement, |
Jan. 24, 2002 |
Critical Accounting and Critical Disclosures Remarks of Robert K. Herdman, Chief Accountant, before the Financial Executives International San Diego Chapter, Annual SEC Update, San Diego, California |
Robert K. Herdman, Chief Accountant |
Jan. 14, 2002 |
Regulatory Issues Involving Exchange Traded Funds Remarks of Paul F. Roye, Director, Division of Investment Management before the American Stock Exchange Symposium on Exchange Traded Funds, New York, N.Y. |
Paul F. Roye, Director, Division of Investment Management |
Jan. 10, 2002 |
Keynote Address before the Practicing Law Institute, Understanding Securities Products of Insurance Companies, 2002 Conference, by Paul F. Roye, Director, Division of Investment Management |
Paul F. Roye, Director, Division of Investment Management |
Jan. 8, 2002 |
Remarks Before the Bond Market Association Legal and Compliance Conference, by Annette L. Nazareth, Director, Division of Market Regulation |
Annette L. Nazareth, Director, Division of Market Regulation |
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