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Financial Reporting Information Center:
Recent Speeches, Public Statements and Testimony

This index lists recent speeches, public statements and testimony by the SEC Chairman and the Commissioners and Commission staff concerning financial reporting topics. These files will be updated on a periodic basis.

Speeches by the Chairman and Commissioners

Date Title Author
Mar. 27, 2003 Remarks Before the Council of Institutional Investors by Commissioner Paul S. Atkins, Washington, D.C. Commissioner
Paul S. Atkins
Mar. 25, 2003 The Sarbanes-Oxley Act of 2002: Goals, Content, and Status of Implementation, Remarks before the International Financial Law Review, by Commissioner Paul S. Atkins Commissioner
Paul S. Atkins
Mar. 24, 2003 Remarks at the 2003 Washington Economic Policy Conference, National Association for Business Economics, Washington, D.C., by Chairman William H. Donaldson, Washington, D.C. Chairman
William H. Donaldson
Mar. 12, 2003 Remarks at the Government Affairs Conference of America's Community Bankers, by Commissioner Cynthia A. Glassman, Washington, D.C. Commissioner
Cynthia A. Glassman
Feb. 28, 2003 Remarks at the Practising Law Institute — SEC Speaks, by Commissioner Cynthia A. Glassman, Washington, D.C. Commissioner
Cynthia A. Glassman
Feb. 5, 2003 The Sarbanes-Oxley Act of 2002: Goals, Content, and Status of Implementation, by Commissioner Paul S. Atkins, University of Cologne, Germany
German version
Commissioner
Paul S. Atkins
Feb. 4, 2003 Liabilities of German Companies and the Members of their Executive Boards under the Sarbanes-Oxley Act of 2002, by Commissioner Paul S. Atkins, Deutsches Aktieninstitut
German version
Commissioner
Paul S. Atkins
Feb. 4, 2003 Remarks at Commission Open Meeting, February 4, 2003, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
Jan. 23, 2003 Remarks at Commission Open Meeting, January 23, 2003, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
Jan. 15, 2003 Remarks at Commission Open Meeting, January 15, 2003, by Commissioner Paul S. Atkins, Washington, D.C. Commissioner
Paul S. Atkins
Jan. 9, 2003 Remarks at Advanced ALI-ABA Course of Study, by Commissioner Paul S. Atkins, Washington, D.C. Commissioner
Paul S. Atkins
Jan. 8, 2003 Remarks at the Commission Open Meeting, January 8, 2003, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
Jan. 8, 2003 Remarks at Mutual Fund Directors Forum, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
Presented in 2002
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
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. 14, 2002 Remarks at the Federalist Society 20th Annual Convention, by Commissioner Paul S. Atkins, Washington, D.C.. Commissioner
Paul S. Atkins
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 Harvey J. Goldschmid at Open Commission Meeting, SEC Headquarters, Washington, D.C. Commissioner
Harvey J. Goldschmid
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. 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
Sept. 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
Sept. 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
Sept. 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
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. 19, 2002 Remarks Before the National Press Club, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
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, New York 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
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.
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
Jan. 17, 2002 Regulation of the Accounting Profession – Statement by Chairman Harvey L. Pitt at SEC Headquarters, Washington, D.C. Chairman
Harvey L. Pitt
Presented in 2001
Dec. 11, 2001 How to Prevent Future Enrons – "Op-Ed" by Chairman Harvey L. Pitt for the Wall Street Journal Chairman
Harvey L. Pitt
Nov. 16, 2001 Remarks at the Fall Meeting of the ABA's Committee on Federal Regulation of Securities by Chairman Harvey L. Pitt, J.W. Marriott Hotel, Washington, D.C. Chairman
Harvey L. Pitt
 

Speeches by Commission Staff

Date Title Author
Mar. 24, 2003 Remarks at Books and Records Compliance Countdown, by Mary Ann Gadziala, Associate Director, Securities and Exchange Commission, Washington, D.C. Mary Ann Gadziala, Associate Director, Securities and Exchange Commission
Jan. 28, 2003 Remarks before the New York State Society of Certified Public Accountants, by Jackson M. Day, Acting Chief Accountant Jackson M. Day, Acting Chief Accountant
Presented in 2002
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. 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. 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
Jul. 11, 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
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
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
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
Mar. 7, 2002 Making Audit Committees More Effective – Remarks by Robert K. Herdman, Chief Accountant, Tulane Corporate Law Institute, New Orleans
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
Presented in 2001
Dec. 7, 2001 Remarks before the Annual AICPA Conference, Washington, D.C., by Charles Niemeier, Chief Accountant, Division of Enforcement and Chief Counsel of the Financial Fraud Task Force Charles Niemeier, Chief Accountant, Division of Enforcement
Dec. 6, 2001 Remarks before the Investment Company Institute, Securities Law Developments Conference, Washington, D.C., by Stephen M. Cutler, Director, Division of Enforcement Stephen M. Cutler, Director, Division of Enforcement
Sept. 18, 2001 Debits and Credits in the New Economy – Remarks by Robert Bayless, Chief Accountant, before the Silicon Valley Chapter of Financial Executives International Robert Bayless, Chief Accountant, Division of Corporation Finance
 

Testimony by the Chairman, Commissioners and Commission Staff

Date Description
Mar. 13, 2003 Chairman William H. Donaldson, Before the Subcommittee on Commerce, Justice, State, and the Judiciary, Committee on Appropriations, United States House of Representatives, re: Appropriations for Fiscal 2004
Mar. 6, 2003 James M. McConnell, Executive Director, Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the House Committee on Financial Services, re: H.R. 658, the "Accountant, Compliance, and Enforcement Staffing Act of 2003"
Feb. 26, 2003 Stephen M. Cutler, Director, Division of Enforcement, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Returning Funds to Defrauded Investors
Presented in 2002
Dec. 11, 2002 Annette L. Nazareth, Director, Division of Market Regulation, Before the Senate Permanent Subcommittee on Investigations, Committee on Governmental Affairs, re:Transparent Financial Reporting for Structured Finance Transactions
Sep. 17, 2002 Alan L. Beller, Director, Division of Corporate Finance, Before the Senate Committee on Banking, Housing and Urban Affairs, re: the Application of Federal Securities Law Disclosure and Reporting Requirements to the Tennessee Valley Authority
May 24, 2002 Written Statement of the Commission, Before the Subcommittee on Government Efficiency, Financial Management and Intergovernmental Relations, Committee on Government Reform, U.S. House of Representatives, re: H.R. 4685, the "Accountability of Tax Dollars Act of 2002"
May 22, 2002 Annette L. Nazareth, Director, Division of Market Regulation, Before the House Committee on Financial Services, re: Certain Pending Proposalsby the European Commission
May 14, 2002 Robert K. Herdman, Chief Accountant, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: The Roles of the SEC and the FASB in Establishing GAAP
Apr. 23, 2002 James M. McConnell, Executive Director, Before the Senate Subcommittee on Oversight of Government Management, Restructuring and the District of Columbia, Committee on Governmental Affairs, re:Critical Resource and Staffing Issues Facing the SEC
Apr. 17, 2002 Chairman Harvey L. Pitt, Before the House Subcommittee on Commerce, Justice, State, and the Judiciary, Committee on Appropriations, re: Appropriations for Fiscal 2003
Mar. 21, 2002 John M. Morrissey, Deputy Chief Accountant, Before the Subcommittee on Oversight and Investigations of the House Committee on Financial Services re: Telecommunications Accounting Issues
Mar. 21, 2002 Oral testimony of Chairman Harvey L. Pitt, Before the Senate Committee on Banking, Housing, and Urban Affairs re: Accounting and Investor Protection Issues Raised by Enron and Other Public Companies
Mar. 21, 2002 Written testimony of Chairman Harvey L. Pitt, Before the Senate Committee on Banking, Housing, and Urban Affairs re: Accounting and Investor Protection Issues Raised by Enron and Other Public Companies
Mar. 20, 2002 Chairman Harvey L. Pitt, Before the House Committee on Financial Services re: The Corporate and Auditing Accountability, Responsibility, and Transparency Act
Feb. 14, 2002 Robert K. Herdman, Chief Accountant, Before the House Subcommittee on Commerce, Trade and Consumer Protection, Committee on Energy and Commerce re: Are Current Financial Accounting Standards Protecting Investors?
Feb. 4, 2002 Chairman Harvey L. Pitt, Before the House Subcommittee on Capital Markets, Insurance and Government Suponsored Enterprises re: Legislative Solutions to Problems Raised by Events Relating to Enron Corporation
Presented in 2001
Dec. 12, 2001 Robert K. Herdman, Chief Accountant, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises and The House Subcommittee on Oversight and Investigations, Committee on Financial Services re: Recent Events Relating to Enron Corporation
 

 

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Modified: 04/10/2003