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U.S. Securities and Exchange Commission

Upcoming Events

This page provides a schedule of the upcoming events including open and closed meetings of the Commission, public appearances of senior SEC officials, including the Chair, Commissioners, and senior staff members, and other occasions. For additional information on events, please call the contact numbers listed. Please note that events are subject to change.

SEC Meetings and Other Events

All SEC open meetings and many other public events are webcast. Captioning is provided for these webcasts. Reasonable accommodations for persons with disabilities attending an event in person can be arranged by submitting a request to DisabilityProgramOfficer@SEC.gov at least three business days in advance.

SEC closed meetings are not open to the public.

October 2014

When:   Wednesday, October 29, 1:30 p.m.
Who:   The Commission
What:   Closed Meeting
Sunshine Act Notice
Where:   SEC Headquarters, 100 F Street, NE, Washington, DC
Contact:   Office of the Secretary, (202) 551-5400

Public Appearances by Officials

October 2014


Friday, October 24, 2014, 8:00 a.m. – 5:00 p.m. PT

Who: Keith Higgins
Commissioner Kara Stein
Jeffrey Berger
Andrew Ceresney
Michele Wein Layne
Commissioner Daniel Gallagher
Karol Pollock
Lorraine Echavarria
Sean McKessy
What: 47th Annual Securities Regulation Seminar
Where: Millennium Biltmore Hotel, 506 South Grand Avenue, Los Angeles
Media Contact: 213-896-6560


October 28, 2014, 12:40 p.m. ET, 9:40 a.m. ET

Who: Michele Wein Layne, Director, Los Angeles Regional Office
What: Panelist at NRS 29th Annual Fall Investment Advisor and Broker Dealer Compliance Conference
Where: 7500 E. Doubletree Ranch Rd, Scottsdale, Ariz.
Contact: Caroline Kirk, +44 208 652 4328, caroline.kirk@rbi.co.uk


October 30, 2014, 9:50 a.m. ET.

Who: Stephen Luparello, Director, Trading and Markets
What: Panelist at AICPA-SIFMA Annual Financial Management Conference
Where: New York Law School, 185 W. Broadway, New York
Contact: Katrina Cavelli, kcavelli@sifma.org

November 2014


Tuesday, November 4, 2014, 8:15 a.m. ET

Who: Igor Rozenblit
Erozan Kurtas
Ken Joseph
Eun Ah Choi
What: Regulatory Compliance Association's 2014 Compliance, Risk and Enforcement Symposium
Where: Pierre Hotel, 2 E 61st St., New York
Media Contact: Terri Hays, thays@rcaonline.org

Public Hearings in Administrative Proceedings

To obtain a sign language interpreter contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.

October 2014

When:   Monday, October 27–Friday, November 14, 2014, 9:30 a.m. Central Daylight Time
Who:   Administrative Law Judge Jason S. Patil
What:   Hearing in the matter of Thomas R. Delaney II, and Charles W. Yancey, Administrative Proceeding File No. 3-15873
Where:   US District Court for the Northern District of Texas
1100 Commerce Street
Courtroom 1351
Dallas, Texas 75242
Contact:   Office of Administrative Law Judges, (202) 551-6030

November 2014

When:   Monday, November 3–Friday, November 7, 2014, 9:30 a.m. Eastern Standard Time
Who:   Administrative Law Judge James E. Grimes
What:   Hearing in the matter of David J. Montanino, Administrative Proceeding File No. 3-15943
Where:   Jacob K. Javits Building
26 Federal Plaza
Room 238
New York, New York
Contact:   Office of Administrative Law Judges, (202) 551-6030

When:   Monday, November 17–Friday, November 21, 2014, 9:30 a.m. Mountain Standard Time
Who:   Administrative Law Judge Carol Fox Foelak
What:   Hearing in the matter of Lawrence M. Labine, Administrative Proceeding File No. 3-15967
Where:   Sandra Day O'Connor Federal Courthouse
401 West Washington Street
Tax Courtroom 406
Phoenix, Arizona
Contact:   Office of Administrative Law Judges, (202) 551-6030



Modified: 10/24/2014