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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.

September 2014

When:   September 4, 2014, 2:00 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

September 2014


Thursday, September 18, 2014, 11:30 a.m.-12:00 p.m.

Who: Owen Donley, Chief Counsel, Office of Investor Education and Advocacy
What: SMAC (Social Media and Compliance for Financial Services) 2014
Where: 32 Old Slip, New York, New York
Media Contact: Katie Flanagan, Katie.flanagan@ftfnews.com


Friday, September 19, 2014, 10:30 a.m.

Who: Drew Bowden
What: GIPS Conference
Where: Boston, MA
Media Contact: Jonathan Boersma, jonathan.boersma@cfainstitute.org


Monday, September 22, 2014, 9:00 a.m.

Who: Drew Bowden
What: IA Watch 14th Annual IA Compliance Fall Conference 2014
Where: Philadelphia, PA
Media Contact: Carl Ayers, cayers@ucg.com


September 22, 2014 3:55 p.m. - 4:55 p.m.

Who: Sharon Binger, Regional Director, Philadelphia
What: Meet Your Regulator Commitment to Compliance
Where: The Loews Philadelphia, Philadelphia, PA
Media Contact: Carl Ayers, 301-287-2435 or cayers@iawatch.com


September 23, 2014 8:45 a.m.- 9:45 a.m.

Who: Michael Dicke, Associate Regional Director, Enforcement
What: ACI’s 7th FCPA Boot Camp
Where:  International Mark Hopkins Hotel in San Francisco, CA
Media Contact: Adina Schwartz, 310-295-9789 or a.schwartz@americanconference.com

October 2014


Wednesday, October 1, 2014, 8:30-9:30 a.m.

Who: Drew Bowden
What: 8th Annual Hedge Fund General Counsel and Compliance Officer
Where: New York, NY
Media Contact: Deborah Bernbaum, DBernbaum@alm.com


Tuesday, October 21, 2014

Who: Drew Bowden
What: NSCP Compliance Conference
Where: Washington, D.C. (Gaylord National Harbor)
Media Contact: Kim McNutt, kim@nscp.org

November 2014


Tuesday, November 4, 2014

Who: Igor Rozenblit
Erozan Kurtas
Ken Joseph
Eun Ah Choi
Jim Burns
What: Regulatory Compliance Association's 2014 Compliance, Risk and Enforcement Symposium
Where: Pierre Hotel NYC
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.

September 2014

When:   Tuesday, September 2 – September 5, 2014, 9:30 a.m. Mountain Daylight Time
Who:   Chief Administrative Law Judge Brenda P. Murray
What:   Hearing in the matter of Julieanne Palmer Martin, Administrative Proceeding File No. 3-15613
Where:   U.S. Tax Court, Wallace F. Bennett Federal Building, 125 S. State Street, Courtroom 5223, Salt Lake City, Utah
Contact:   Office of Administrative Law Judges, (202) 551-6030

When:   Monday, September 22 – September 26, 2014, 9:30 a.m. Central Daylight Time
Who:   Administrative Law Judge James E. Grimes
What:   Hearing in the matter of Stanley Jonathan Fortenberry, Administrative Proceeding File No. 3-15858
Where:   O.C. Fisher Federal Building, 33 E. Twohig Avenue, Room 216, San Angelo, Texas
Contact:   Office of Administrative Law Judges, (202) 551-6030



Modified: 08/28/2014