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SEC Congressional Testimony: 2011
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Date |
Testimony |
Speaker |
Fourth Quarter |
Dec. 6, 2011 |
Testimony on “Continued Oversight of the Implementation of the Wall Street Reform Act”, Before the United States Senate Committee on Banking, Housing, and Urban Affairs |
Chairman Mary L. Schapiro |
Dec. 6, 2011 |
Testimony on “H.R. 1148, the Stop Trading on Congressional Knowledge Act”, Before the Committee on Financial Services of the U.S. House of Representatives |
Robert Khuzami, Director, Division of Enforcement |
Dec. 1, 2011 |
Statement on the Application of Insider Trading Law to Trading by Members of Congress and Their Staffs, Before the United States Senate Committee on Homeland Security and Governmental Affairs |
Robert Khuzami, Director, Division of Enforcement |
Dec. 1, 2011 |
Testimony on Dodd-Frank Act Implementation, Before the United States Senate Committee on Agriculture, Nutrition and Forestry |
Chairman Mary L. Schapiro |
Dec. 1, 2011 |
Testimony on “Spurring Job Growth Through Capital Formation While Protecting Investors”, Before the Committee on Banking, Housing and Urban Affairs |
Meredith B. Cross, Director, Division of Corporation Finance, and Lona Nallengara, Deputy Director, Division of Corporation Finance |
Nov. 16, 2011 |
Testimony on "Management and Structural Reforms at the SEC: A Progress Report" , Before the Subcommittee on Securities, Insurance, and Investment, United States Senate Committee on Banking, Housing and Urban Affairs |
Robert Khuzami, Director, Division of Enforcement Meredith B. Cross, Director, Division of Corporation Finance Robert Cook, Director, Division of Trading and Markets Carlo di Florio, Director, Office of Compliance Inspections and Examinations Eileen Rominger, Director, Division of Investment Management Craig Lewis, Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation |
Oct. 19, 2011 |
Testimony on Market Micro-Structure: An Examination of ETFs, Before the Subcommittee on Securities, Insurance, and Investment, Committee on Banking, Housing and Urban Affairs, United States Senate |
Eileen Rominger, Director, Division of Investment Management |
Third Quarter |
Sep. 22, 2011 |
Testimony Concerning “Potential Conflicts of Interest at the SEC: The Becker Case”, Before the Subcommittee on Oversight and Investigations of the U.S. House of Representatives Committee on Financial Services and the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs of the U.S. House of Representatives Committee on Oversight and Government Reform |
Chairman Mary L. Schapiro |
Sep. 21, 2011 |
Testimony on “Legislative Proposals to Facilitate Small Business Capital Formation and Job Creation”, Before the Subcommittee on Capital Markets and Government Sponsored Enterprises, U.S. House of Representatives, Committee on Financial Services |
Meredith B. Cross, Director, Division of Corporation Finance, and Lona Nallengara, Deputy Director, Division of Corporation Finance |
Sep. 15, 2011 |
Testimony on “Fixing the Watchdog: Legislative Proposals to Improve and Enhance the Securities and Exchange Commission”, Before the U.S. House of Representatives Committee on Financial Services |
Chairman Mary L. Schapiro |
Sep. 15, 2011 |
Testimony on Crowdfunding and Capital Formation, Before the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs of the U.S. House of Representatives, Committee on Oversight and Government Reform |
Meredith B. Cross, Director, Division of Corporation Finance |
Aug. 4, 2011 |
Testimony on “Federal Leased Property: Are Federal Agencies Getting a Bad Deal?”, Before the Senate Committee on Homeland Security and Governmental Affairs Subcommittee of Federal Financial Management, Government Information, Federal Services and International Security |
Jeffrey Heslop, Chief Operating Officer |
Jul. 27, 2011 |
Testimony Concerning Oversight of the Credit Rating Agencies Post-Dodd-Frank, Before the Subcommittee on Oversight and Investigations of the United States House of Representatives, Committee on Financial Services |
John Ramsay, Deputy Director, Division of Trading and Markets
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Jul. 21, 2011 |
Testimony on “Enhanced Oversight After the Financial Crisis: The Wall Street Reform Act at One Year”, Before the United States Senate Committee on Banking, Housing and Urban Affairs |
Chairman Mary L. Schapiro |
Jul. 6, 2011 |
Testimony on the Lease of Constitution Center, Before the Committee on Transportation and Infrastructure, Subcommittee on Economic Development, Public Buildings, and Emergency Management, U.S. House of Representatives |
Chairman Mary L. Schapiro |
Second Quarter |
Jun. 16, 2011 |
Testimony Concerning the Lease of Constitution Center, Before the Committee on Transportation and Infrastructure, Subcommittee on Economic Development, Public Buildings, and Emergency Management, U.S. House of Representatives |
Jeffery Heslop, Chief Operating Officer |
Jun. 16, 2011 |
Testimony on Financial Regulatory Reform: The International Context
, Before the Committee on Financial Services, U.S. House of Representatives |
Chairman Mary L. Schapiro |
May 13, 2011 |
“The Stanford Ponzi Scheme: Lessons for Protecting Investors from the Next Securities Fraud”, Before the Subcommittee on Oversight and Investigations, Committee on Financial Services, U.S. House of Representatives |
Julie Preuitt, Fort Worth Regional Office |
May 13, 2011 |
“The Stanford Ponzi Scheme: Lessons for Protecting Investors from the Next Securities Fraud”, Before the Subcommittee on Oversight and Investigations, Committee on Financial Services, U.S. House of Representatives |
Robert Khuzami, Director, Division of Enforcement and Carlo di Florio, Director, Office of Compliance Inspections and Examinations |
May 12, 2011 |
Testimony on Monitoring Systemic Risk and Promoting Financial Stability, Before the United States Senate Committee on Banking, Housing and Urban Affairs |
Chairman Mary L. Schapiro |
May 10, 2011 |
Testimony on the Future of Capital Formation, Before the U.S. House of Representatives Committee on Oversight and Government Reform |
Chairman Mary L. Schapiro |
May 4, 2011 |
Testimony on the President's FY 2012 Budget Request for the SEC, Before the United States Senate Subcommittee on Financial Services and General Government, Committee on Appropriations |
Chairman Mary L. Schapiro |
Apr. 14, 2011 |
Testimony on Understanding the Implications and Consequences of the Proposed Rule on Risk Retention, Before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the United States House of Representatives, Committee on Financial Services |
Meredith Cross, Director, Division of Corporation Finance |
Apr. 14, 2011 |
Testimony on the Financial Stability Oversight Council, Before the United States House of Representatives Committee on Financial Services Subcommittee on Oversight and Investigations |
Robert Cook, Director, Division of Trading and Markets, on behalf of Chairman Mary L. Schapiro |
Apr. 12, 2011 |
Testimony on “Building the New Derivatives Regulatory Framework: Oversight of Title VII of the Dodd-Frank Act” by the U.S. Securities and Exchange Commission, Before the United States Senate Committee on Banking, Housing, and Urban Affairs |
Chairman Mary L. Schapiro |
Apr. 12, 2011 |
Testimony Concerning Financial Literacy: Empowering Americans to Make Informed Financial Decisions, Before the Subcommittee on Oversight of Government Management, the Federal Workforce, and the District of Columbia of the Senate Committee on Homeland Security and Governmental Affairs |
Lori J. Schock, Director, Office of Investor Education and Advocacy |
Apr. 6, 2011 |
Testimony Concerning the Role of the Accounting Profession in Preventing Another Financial Crisis, Before the Subcommittee on Securities, Insurance, and Investment of the Senate Committee on Banking, Housing, and Urban Affairs |
James L. Kroeker, Chief Accountant |
First Quarter |
Mar. 15, 2011 |
Testimony Before the Subcommittee on Financial Services and General Government, Committee on Appropriations, U.S. House of Representatives |
Chairman Mary L. Schapiro |
Mar. 10, 2011 |
Testimony on the Financial Management, Work Force Management and Internal Operations of the U.S. Securities and Exchange Commission, Before the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs and the Subcommittee on Government Organization, Efficiency and Financial Management of the U.S. House of Representatives Committee on Oversight and Government Reform |
Chairman Mary L. Schapiro |
Mar. 10, 2011 |
Testimony on Budget and Management of the U.S. Securities and Exchange Commission , Before the United States House of Representatives Committee on Financial Services, United States House of Representatives Committee on Financial Services
[PDF version] |
Robert Khuzami, Director, Division of Enforcement
Meredith Cross, Director, Division of Corporation Finance
Robert Cook, Director, Division of Trading and Markets
Carlo di Florio, Director, Office of Compliance Inspections and Examinations
Eileen Rominger, Director, Division of Investment Management
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Mar. 10, 2011 |
Testimony Before the Subcommittee on Securities, Insurance, and Investment, Committee on Banking, Housing, and Urban Affairs, United States Senate |
Chairman Mary L. Schapiro |
Mar. 3, 2011 |
Testimony on Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act by the U.S. Securities and Exchange Commission, Before the United States Senate Committee on Agriculture, Nutrition and Forestry |
Chairman Mary L. Schapiro |
Feb. 17, 2011 |
Testimony on Implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act by the U.S. Securities and Exchange Commission, Before the United States Senate Committee on Banking, Housing, and Urban Affairs |
Chairman Mary L. Schapiro |
Feb. 15, 2011 |
Testimony on Implementation of Titles VII and VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act by the U.S. Securities and Exchange, Before the United States House Financial Services Committee |
Chairman Mary L. Schapiro |
Feb. 10, 2011 |
Testimony Before the Subcommittee on Financial Services and General Government, Committee on Appropriations, U.S. House of Representatives |
H. David Kotz
Inspector General |
http://www.sec.gov/news/testimony/testarchive/2011test.shtml
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