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2009 Speeches and Public Statements: Alphabetically by Speaker
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Date | Title | Author | ||||
Chairman Mary L. Schapiro | ||||||
Dec. 16, 2009 |
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Chairman Mary L. Schapiro | ||||
Dec. 16, 2009 |
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Chairman Mary L. Schapiro | ||||
Dec. 3, 2009 | "The Consumer in the Financial Services Revolution", Washington, D.C. | Chairman Mary L. Schapiro | ||||
Nov. 5, 2009 | Applying the Lessons, Cambridge, Massachusetts | Chairman Mary L. Schapiro | ||||
Nov. 4, 2009 | Address to the Practising Law Institute's 41st Annual Institute on Securities Regulation, New York, New York | Chairman Mary L. Schapiro | ||||
Oct. 27, 2009 | "The Road to Investor Confidence", SIFMA Annual Conference, New York, New York | Chairman Mary L. Schapiro | ||||
Oct. 22, 2009 | Address before the Solutions Forum on Fraud, Washington, D.C. | Chairman Mary L. Schapiro | ||||
Oct. 21, 2009 |
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Chairman Mary L. Schapiro | ||||
Oct. 16, 2009 | Remarks Concerning Regulatory Harmonization Report, Washington, D.C. | Chairman Mary L. Schapiro | ||||
Oct. 10, 2009 | Remarks at the University of Rochester’s Presidential Symposium on the Future of Financial Regulation, Rochester, New York | Chairman Mary L. Schapiro | ||||
Oct. 8, 2009 | Remarks at IOSCO Technical Committee Conference, Basel, Switzerland | Chairman Mary L. Schapiro | ||||
Sep. 30, 2009 |
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Chairman Mary L. Schapiro | ||||
Sep. 29, 2009 |
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Chairman Mary L. Schapiro | ||||
Sep. 24, 2009 | Address to Financial Services Roundtable — 2009 Fall Conference, Washington D.C. | Chairman Mary L. Schapiro | ||||
Sep. 18, 2009 | Address to Conference on "The Future of Global Finance", Washington, D.C. | Chairman Mary L. Schapiro | ||||
Sep. 17, 2009 |
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Chairman Mary L. Schapiro | ||||
Sep. 17, 2009 |
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Chairman Mary L. Schapiro | ||||
Sep. 17, 2009 | Address to Transatlantic Corporate Governance Dialogue — 2009 Conference, Washington D.C. | Chairman Mary L. Schapiro | ||||
Sep. 4, 2009 | Statement on the Inspector General's Report Regarding the Bernard Madoff Fraud, Washington, D.C. | Chairman Mary L. Schapiro | ||||
Sep. 3, 2009 | Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. | Chairman Mary L. Schapiro | ||||
Sep. 2, 2009 | Statement on the Release of the Executive Summary of the Inspector General's Report regarding the Bernard Madoff Fraud, Washington, D.C. | Chairman Mary L. Schapiro | ||||
Sep. 2, 2009 | Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. | Chairman Mary L. Schapiro | ||||
Jul. 22, 2009 |
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Chairman Mary L. Schapiro | ||||
Jul. 15, 2009 |
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Chairman Mary L. Schapiro | ||||
Jul. 1, 2009 |
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Chairman Mary L. Schapiro | ||||
Jun. 24, 2009 |
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Chairman Mary L. Schapiro | ||||
Jun. 18, 2009 | Address before the New York Financial Writers’ Association Annual Awards Dinner, New York, N.Y. | Chairman Mary L. Schapiro | ||||
Jun. 18, 2009 | Statement at SEC-DOL Hearing on Target Date Funds, Department of Labor, Washington, D.C. | Chairman Mary L. Schapiro | ||||
Jun. 11, 2009 |
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Chairman Mary L. Schapiro | ||||
May 20, 2009 |
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Chairman Mary L. Schapiro | ||||
May 14, 2009 |
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Chairman Mary L. Schapiro | ||||
May 8, 2009 | "Building a Stable and Efficient Financial System", Address to the Investment Company Institute, Washington, D.C. | Chairman Mary L. Schapiro | ||||
May 5, 2009 |
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Chairman Mary L. Schapiro | ||||
May 4, 2009 | Address to Mutual Fund Directors Forum Ninth Annual Policy Conference: Critical Issues for Investment Company Directors, Washington, D.C. | Chairman Mary L. Schapiro | ||||
Apr. 27, 2009 | Address to the Society of American Business Editors and Writers, Denver, Colorado | Chairman Mary L. Schapiro | ||||
Apr. 15, 2009 |
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Chairman Mary L. Schapiro | ||||
Apr. 8, 2009 | Opening Statement Before the Commission Open Meeting, Washington, D.C. | Chairman Mary L. Schapiro | ||||
Apr. 6, 2009 | Address to the Council of Institutional Investors, Washington, D.C. | Chairman Mary L. Schapiro | ||||
Mar. 19, 2009 | Remarks at News Teleconference Announcing Enforcement Action Against Former N.Y. State Official and Top Political Advisor | Chairman Mary L. Schapiro | ||||
Mar. 10, 2009 | Remarks at the 2nd Annual CCOutreach BD National Seminar, SEC Headquarters, Washington, D.C. | Chairman Mary L. Schapiro | ||||
Feb. 6, 2009 | Address to Practising Law Institute's "SEC Speaks in 2009" Program, Washington, D.C. | Chairman Mary L. Schapiro | ||||
Commissioner Luis A. Aguilar | ||||||
Dec. 16, 2009 | Statement at SEC Open Meeting — Custody Rules for Investment Advisers, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Dec. 16, 2009 | Statement at SEC Open Meeting — Proxy Enhancements, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Nov. 6, 2009 | Investors Deserve Sustainable Reform — Not More of the Same, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Oct. 29, 2009 | "The Power of the Shareholder & the Rise of Corporate Democracy", New York, New York | Commissioner Luis A. Aguilar | ||||
Oct. 21, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Oct. 9, 2009 | Creating Reform That Is Sustainable for Investors, Remarks before the Hofstra Investment Management Conference, Hempstead, New York | Commissioner Luis A. Aguilar | ||||
Oct. 2, 2009 | Statement of Commissioner Luis A. Aguilar Regarding His Commitment to Implementation of Sarbanes-Oxley Section 404(b), Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Sep. 17, 2009 | Statement at SEC Open Meeting — NRSROs, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Sep. 10, 2009 | Diversity in the Boardroom Yields Dividends, Stanford Law School, Palo Alto, California | Commissioner Luis A. Aguilar | ||||
Sep. 2, 2009 | Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Jul. 27, 2009 | Restoring Investors' Voices — The Launch of the Investor Advisory Committee, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Jul. 22, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Jul. 15, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Jul. 1, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Jun. 24, 2009 | Strengthening the Money Market Framework with Investors in Mind, Open Meeting, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Jun. 23, 2009 | "The Globalization of Investment Advisers — How Will Regulators Respond?", International Institute for the Regulation and Inspection of Investment Advisers, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Jun. 18, 2009 | Hedge Fund Regulation on the Horizon — Don’t Shoot the Messenger, Spring 2009 Hedgeworld Fund Services Conference, New York, New York | Commissioner Luis A. Aguilar | ||||
Jun. 3, 2009 | Reversing Course — Putting Investors First in Regulatory Reform, Compliance Week Annual Conference, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
May 28, 2009 | "Combating Securities Fraud at Home and Abroad", Third Annual Fraud and Forensic Accounting Education Conference, Atlanta, Georgia | Commissioner Luis A. Aguilar | ||||
May 20, 2009 | Statement at SEC Open Meeting on Facilitating Shareholder Director Nominations, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
May 7, 2009 | SEC's Oversight of the Adviser Industry Bolsters Investor Protection, Investment Advisers Association Annual Conference, San Diego, California | Commissioner Luis A. Aguilar | ||||
Apr. 28, 2009 | NASAA Members and the SEC — United in the Public Interest and Making Investors a Priority, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Apr. 27, 2009 | "Equalizing Opportunities for All Americans to Participate in Financial Services", New York, New York | Commissioner Luis A. Aguilar | ||||
Apr. 17, 2009 | "Making Investors a Priority in Regulatory Reform", Boston, Massachusetts | Commissioner Luis A. Aguilar | ||||
Apr. 8, 2009 | Statement Before the Commission Open Meeting, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Mar. 18, 2009 | "Reinvigorating the Enforcement Program to Restore Investor Confidence" — Introductory Remarks before the District of Columbia Bar, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Feb. 6, 2009 | "Increasing Accountability and Transparency to Investors", Remarks at "The SEC Speaks in 2009," Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Jan. 26, 2009 | Remarks at the Investment Company Institute’s Board of Governor’s Winter Meeting, Washington, D.C. | Commissioner Luis A. Aguilar | ||||
Jan. 10, 2009 | Empowering the Markets Watchdog to Effect Real Results, North American Securities Administrators Association's Winter Enforcement Conference, San Diego, California | Commissioner Luis A. Aguilar | ||||
Commissioner Kathleen L. Casey | ||||||
Dec. 16, 2009 | Statement at SEC Open Meeting — Custody Rules for Investment Advisers, Washington, D.C. | Commissioner Kathleen L. Casey | ||||
Dec. 16, 2009 | Statement at SEC Open Meeting — Proxy Enhancements, Washington, D.C. | Commissioner Kathleen L. Casey | ||||
Nov. 17, 2009 | Lessons from the Financial Crisis for Financial Reporting, Standard Setting and Rule Making, New York, New York | Commissioner Kathleen L. Casey | ||||
Oct. 21, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Kathleen L. Casey | ||||
Sep. 17, 2009 | Statement at SEC Open Meeting — NRSROs, Washington, D.C. | Commissioner Kathleen L. Casey | ||||
Sep. 2, 2009 | Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. | Commissioner Kathleen L. Casey | ||||
Jul. 22, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Kathleen L. Casey | ||||
Jul. 1, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Kathleen L. Casey | ||||
Jun. 24, 2009 | Statement at SEC Open Meeting Regarding Money Market Fund Reform, Washington, D.C. | Commissioner Kathleen L. Casey | ||||
Jun. 10, 2009 | Welcoming Remarks Before the 34th IOSCO Annual Conference, Tel Aviv, Israel | Commissioner Kathleen L. Casey | ||||
May 20, 2009 | Statement at Open Meeting to Propose Amendments Regarding Facilitating Shareholder Director Nominations, Washington, D.C. | Commissioner Kathleen L. Casey | ||||
May 14, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Kathleen L. Casey | ||||
Apr. 8, 2009 | Statement Before the Commission Open Meeting, Washington, D.C. | Commissioner Kathleen L. Casey | ||||
Feb. 6, 2009 | "In Search of Transparency, Accountability, and Competition: The Regulation of Credit Rating Agencies", Remarks at "The SEC Speaks in 2009," Washington, D.C. | Commissioner Kathleen L. Casey | ||||
Jan. 14, 2009 | Remarks Before the Exchequer Club, Washington, D.C. | Commissioner Kathleen L. Casey | ||||
Commissioner Troy A. Paredes | ||||||
Dec. 16, 2009 | Statement at SEC Open Meeting — Proxy Enhancements, Washington, D.C., Washington, D.C. | Commissioner Troy A. Paredes | ||||
Dec. 16, 2009 | Statement at SEC Open Meeting — Custody Rules for Investment Advisers, Washington, D.C. | Commissioner Troy A. Paredes | ||||
Nov. 19, 2009 | Remarks at 2009 SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. | Commissioner Troy A. Paredes | ||||
Nov. 13, 2009 | Remarks at Independent Directors Council's 2009 Investment Company Directors Conference, Amelia Island, Florida | Commissioner Troy A. Paredes | ||||
Oct. 21, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Troy A. Paredes | ||||
Oct. 16, 2009 | Remarks before the Symposium on "The Past, Present, and Future of the SEC", Pittsburgh, Pennsylvania | Commissioner Troy A. Paredes | ||||
Sep. 24, 2009 | Remarks Before the Investment Company Institute's Annual Capital Markets Conference, New York, New York | Commissioner Troy A. Paredes | ||||
Sep. 24, 2009 | Remarks Before SIFMA's 14th Annual Fixed Income Legal & Compliance Conference, New York, New York | Commissioner Troy A. Paredes | ||||
Sep. 17, 2009 | Statement at SEC Open Meeting — Flash Orders, Washington, D.C. | Commissioner Troy A. Paredes | ||||
Sep. 17, 2009 | Statement at SEC Open Meeting — NRSROs, Washington, D.C. | Commissioner Troy A. Paredes | ||||
Sep. 2, 2009 | Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. | Commissioner Troy A. Paredes | ||||
Jul. 22, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Troy A. Paredes | ||||
Jul. 13, 2009 | Remarks at Corporate Directors Forum, San Diego, California | Commissioner Troy A. Paredes | ||||
Jul. 1, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Troy A. Paredes | ||||
Jun. 24, 2009 | Remarks at the Open Meeting of the U.S. Securities & Exchange Commission Regarding Money Market Fund Reform, Washington, D.C. | Commissioner Troy A. Paredes | ||||
Jun. 23, 2009 | Remarks at Conference on "Shareholder Rights, the 2009 Proxy Season, and the Impact of Shareholder Activism", Washington, D.C. | Commissioner Troy A. Paredes | ||||
May 20, 2009 | Statement at Open Meeting to Propose Amendments Regarding Facilitating Shareholder Director Nominations, Washington, D.C. | Commissioner Troy A. Paredes | ||||
May 14, 2009 | Remarks at SEC Open Meeting, Washington, D.C. | Commissioner Troy A. Paredes | ||||
May 6, 2009 | Remarks at the Security Traders Association 13th Annual Washington Conference, Washington, D.C. | Commissioner Troy A. Paredes | ||||
May 4, 2009 | Remarks Before the Mutual Fund Directors Forum Ninth Annual Policy Conference, Washington, D.C. | Commissioner Troy A. Paredes | ||||
Apr. 8, 2009 | Statement Before the Commission Open Meeting, Washington, D.C. | Commissioner Troy A. Paredes | ||||
Mar. 19, 2009 | Remarks at the 2009 Southeastern Securities Conference, Atlanta, Georgia | Commissioner Troy A. Paredes | ||||
Mar. 10, 2009 | Remarks at the CCOutreach BD National Seminar, SEC Headquarters, Washington, D.C. | Commissioner Troy A. Paredes | ||||
Feb. 6, 2009 | Remarks at "The SEC Speaks in 2009", Washington, D.C. | Commissioner Troy A. Paredes | ||||
Commissioner Elisse B. Walter | ||||||
Dec. 16, 2009 | Opening Statement at SEC Open Meeting — Proxy Disclosure Enhancements, Washington, D.C. | Commissioner Elisse B. Walter | ||||
Dec. 16, 2009 | Statement at SEC Open Meeting — Custody Rules for Investment Advisers, Washington, D.C. | Commissioner Elisse B. Walter | ||||
Dec. 9, 2009 | Remarks Before the AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Commissioner Elisse B. Walter | ||||
Nov. 6, 2009 | Remarks at the Closing of the International Institute for Enforcement and Market Oversight, Washington, D.C. | Commissioner Elisse B. Walter | ||||
Oct. 28, 2009 | Regulation of the Municipal Securities Market: Investors Are Not Second-Class Citizens, New York, New York | Commissioner Elisse B. Walter | ||||
Oct. 28, 2009 | Regulation of the Municipal Securities Market: Investors Are Not Second-Class Citizens (Version as Delivered), New York, New York | Commissioner Elisse B. Walter | ||||
Oct. 21, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Elisse B. Walter | ||||
Oct. 9, 2009 | Remarks at the Center for the Study of International Business Law at Brooklyn Law School Breakfast Roundtable, New York, New York | Commissioner Elisse B. Walter | ||||
Oct. 2, 2009 | "SEC Rulemaking - 'Advancing the Law' to Protect Investors", Chicago, Illinois | Commissioner Elisse B. Walter | ||||
Sep. 17, 2009 | Statement at SEC Open Meeting — Flash Orders, Washington, D.C. | Commissioner Elisse B. Walter | ||||
Sep. 17, 2009 | Statement at SEC Open Meeting — NRSROs, Washington, D.C. | Commissioner Elisse B. Walter | ||||
Sep. 2, 2009 | Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. | Commissioner Elisse B. Walter | ||||
Jul. 15, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Elisse B. Walter | ||||
Jul. 1, 2009 | Statement at SEC Open Meeting, Washington, D.C. | Commissioner Elisse B. Walter | ||||
Jun. 27, 2009 | "The American Corporation and its Shareholders: Dooryard Visits Disallowed", Society of Corporate Secretaries and Governance Professionals, San Diego, California | Commissioner Elisse B. Walter | ||||
Jun. 24, 2009 | Opening Statement at Open Meeting on Money Market Fund Reform, Washington, D.C. | Commissioner Elisse B. Walter | ||||
May 20, 2009 | Statement at SEC Open Meeting on Facilitating Shareholder Director Nominations, Washington, D.C. | Commissioner Elisse B. Walter | ||||
May 5, 2009 | Regulating Broker-Dealers and Investment Advisers: Demarcation or Harmonization?, Washington, D.C. | Commissioner Elisse B. Walter | ||||
Mar. 2, 2009 | "Principles to Help Guide Financial Regulatory Reform" — Remarks Before the Institute of International Bankers, Washington, D.C. | Commissioner Elisse B. Walter | ||||
Feb. 18, 2009 | "Restoring Investor Trust through Corporate Governance" — Remarks Before the Practicing Law Institute, New York, New York | Commissioner Elisse B. Walter | ||||
Feb. 6, 2009 | Remarks at "The SEC Speaks in 2009", Washington, D.C. | Commissioner Elisse B. Walter |
Date | Title | Author |
David M. Becker, General Counsel and Senior Policy Director | ||
Nov. 20, 2009 | Remarks before the Committee on Federal Regulation of Securites; Section of Business Law; American Bar Association, Washington, D.C. | David M. Becker, General Counsel and Senior Policy Director |
Doug Besch, Professional Accounting Fellow, Office of the Chief Accountant | ||
Dec. 7, 2009 | Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Doug Besch, Professional Accounting Fellow, Office of the Chief Accountant |
Paul A. Beswick, Deputy Chief Accountant, Office of the Chief Accountant | ||
Dec. 7, 2009 | Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Paul A. Beswick, Deputy Chief Accountant, Office of the Chief Accountant |
James A. Brigagliano, Co-Acting Director, Division of Trading and Markets | ||
Oct. 8, 2009 | Remarks at the Trader Forum 2009 Fall Workshop: Securities Markets and Regulatory Reform, Boston, Massachusetts | James A. Brigagliano, Co-Acting Director, Division of Trading and Markets |
May 20, 2009 | Keynote Address to the 2009 SIFMA Market Structure Conference, New York, New York | James A. Brigagliano, Co-Acting Director, Division of Trading and Markets |
May 5, 2009 | The Road Ahead: Short Sale Regulation for Today’s Markets, New York, New York | James A. Brigagliano, Co-Acting Director, Division of Trading and Markets |
Lillian Brown, Senior Special Counsel, Division of Corporation Finance | ||
May 20, 2009 | Opening Remarks at the SEC Open Meeting, Washington, D.C. | Lillian Brown, Senior Special Counsel, Division of Corporation Finance |
Wayne Carnall, Chief Accountant, Division of Corporation Finance | ||
Dec. 8, 2009 | Slide Presentation (PDF): Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Wayne Carnall, Chief Accountant, Division of Corporation Finance |
Dec. 7, 2009 | Slide Presentation (PDF): Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Wayne Carnall, Chief Accountant, Division of Corporation Finance |
Dec. 2009 | Slide Presentation (PDF): SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, PCAOB Forums on Auditing in the Small Business Environment | Wayne Carnall, Chief Accountant, Division of Corporation Finance |
Angela Crane, Associate Chief Accountant, and Michael Stehlik, Staff Accountant, Division of Corporation Finance | ||
Dec. 6, 2009 | Slide Presentation (PDF): Best Practices for Working with SEC Staff, 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Angela Crane, Associate Chief Accountant, and Michael Stehlik, Staff Accountant, Division of Corporation Finance |
Andrew J. Donohue, Director, Division of Investment Management | ||
Dec. 9, 2009 | Remarks Before the ICI 2009 Securities Law Developments Conference, Washington, D.C. | Andrew J. Donohue, Director, Division of Investment Management |
Nov. 12, 2009 | Keynote Address at the Independent Directors Council Investment Company Directors Conference, Amelia Island, Florida | Andrew J. Donohue, Director, Division of Investment Management |
Nov. 6, 2009 | Remarks Before the ALI-ABA (American Law Institute/American Bar Association) Conference on Life Insurance Company Products, Washington, D.C. | Andrew J. Donohue, Director, Division of Investment Management |
Oct. 9, 2009 | Remarks Before the Hofstra Journal of International Business Law Conference on Investment Management Law, Hempstead, New York | Andrew J. Donohue, Director, Division of Investment Management |
Sep. 21, 2009 | Luncheon Address at IA Week/IA Watch's 9th Annual IA Compliance Fall Conference 2009, Philadelphia, Pennsylvania | Andrew J. Donohue, Director, Division of Investment Management |
Apr. 17, 2009 | Investment Company Act of 1940: Regulatory Gap between Paradigm and Reality?, Vancouver, Canada | Andrew J. Donohue, Director, Division of Investment Management |
Apr. 2, 2009 | Keynote Address at the Practising Law Institute's Investment Management Institute 2009, New York, New York | Andrew J. Donohue, Director, Division of Investment Management |
Mar. 23, 2009 | Keynote Address, Investment Company Institute, 2009 Mutual Funds and Investment Management Conference, Washington, D.C. | Andrew J. Donohue, Director, Division of Investment Management |
Jan. 13, 2009 | Address at the Mutual Fund Directors Forum Third Annual Directors' Institute, Fort Myers, Florida | Andrew J. Donohue, Director, Division of Investment Management |
Brian W. Fields, Professional Accounting Fellow, Office of the Chief Accountant | ||
Dec. 7, 2009 | Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Brian W. Fields, Professional Accounting Fellow, Office of the Chief Accountant |
Jason S. Flemmons, Associate Chief Accountant, Division of Enforcement | ||
Dec. 8, 2009 | Remarks Before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Jason S. Flemmons, Associate Chief Accountant, Division of Enforcement |
Joshua S. Forgione, Associate Chief Accountant, Office of the Chief Accountant | ||
Dec. 7, 2009 | Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Joshua S. Forgione, Associate Chief Accountant, Office of the Chief Accountant |
Daniel M. Gallagher, Jr., Co-Acting Director, Division of Trading and Markets | ||
Nov. 12, 2009 | Remarks before Catholic Law School Annual Securities Alumni Luncheon, Washington, D.C. | Daniel M. Gallagher, Jr., Co-Acting Director, Division of Trading and Markets |
Oct. 28, 2009 | Luncheon Address at Practicing Law Institute: Strengthening Supervision, New York, New York | Daniel M. Gallagher, Jr., Co-Acting Director, Division of Trading and Markets |
May 19, 2009 | Remarks before Fintel's 2nd Annual Global Financial Services Centers Conference: "Reshaping the World's International Financial Services Centers", Dublin, Ireland | Daniel M. Gallagher, Jr., Co-Acting Director, Division of Trading and Markets |
John Harrington, Attorney-Adviser, Division of Corporation Finance | ||
Jul. 1, 2009 | Division Statement before the Commission Open Meeting: Shareholder Approval of Executive Compensation of TARP Recipients, Washington, D.C. | John Harrington, Attorney-Adviser, Division of Corporation Finance |
Sean Harrison, Special Counsel, Division of Corporation Finance | ||
Jul. 1, 2009 | Division Statement before the Commission Open Meeting: Proxy Disclosure and Solicitation Enhancements, Washington, D.C. | Sean Harrison, Special Counsel, Division of Corporation Finance |
Stephanie L. Hunsaker, Associate Chief Accountant, Division of Corporation Finance | ||
Dec. 2009 | Slide Presentation (PDF): Areas of Frequent Staff Comment — Financial Institutions | Stephanie L. Hunsaker, Associate Chief Accountant, Division of Corporation Finance |
Robert Khuzami, Director, Division of Enforcement | ||
Dec. 8, 2009 | Remarks at AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Robert S. Khuzami, Director, Division of Enforcement |
Nov. 17, 2009 | Remarks at Department of Justice Press Conference, Washington, D.C. | Robert S. Khuzami, Director, Division of Enforcement |
Nov. 5, 2009 | Remarks at Press Conference, New York, New York | Robert Khuzami Director, Division of Enforcement |
Oct. 16, 2009 | Remarks at Press Conference, New York, New York | Robert Khuzami Director, Division of Enforcement |
Aug. 5, 2009 | Remarks Before the New York City Bar: My First 100 Days as Director of Enforcement, New York, New York | Robert Khuzami Director, Division of Enforcement |
Jun. 19, 2009 | Statement at News Conference Announcing Additional Charges in Stanford Ponzi Scheme Case, Washington, D.C. | Robert Khuzami, Director, Division of Enforcement |
Jun. 4, 2009 | Statement at News Conference Announcing Fraud Charges Against Former Countrywide Executives, Washington, D.C. | Robert Khuzami, Director, Division of Enforcement |
Elizabeth K. King, Associate Director, Division of Trading & Markets | ||
Jan. 23, 2009 | Remarks at the Security Traders Association of Chicago |
Elizabeth K. King, Associate Director, Division of Trading & Markets |
James L. Kroeker, Chief Accountant, Office of the Chief Accountant | ||
Dec. 7, 2009 | Remarks Before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | James L. Kroeker, Chief Accountant, Office of the Chief Accountant |
Joel K. Levine, Assistant Director, Office of Interactive Disclosure | ||
Dec. 8, 2009 | Slide Presentation (PDF): Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Joel K. Levine, Assistant Director, Office of Interactive Disclosure |
William Lutz, Director, 21st Century Disclosure Initiative | ||
Jan. 15, 2009 | The Future of Financial Reporting, National Investors Relations Institute — New York Chapter, New York, New York Slide presentation (PDF) |
William Lutz, Director, 21st Century Disclosure Initiative |
Douglas T. Parker, Professional Accounting Fellow, Office of the Chief Accountant | ||
Dec. 7, 2009 | Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Douglas T. Parker, Professional Accounting Fellow, Office of the Chief Accountant |
Shelley Parratt, Deputy Director, Division of Corporation Finance | ||
Nov. 9, 2009 | Executive Compensation Disclosure: Observations on the 2009 Proxy Season and Expectations for 2010, 4th Annual Proxy Disclosure Conference, San Francisco, California | Shelley Parratt, Deputy Director, Division of Corporation Finance |
Allison M. Patti, Professional Accounting Fellow, Office of the Chief Accountant | ||
Dec. 7, 2009 | Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Allison M. Patti, Professional Accounting Fellow, Office of the Chief Accountant |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations | ||
Jun. 17, 2009 | Strengthening Examination Oversight: Changes to Regulatory Examinations, Remarks before the SIFMA Compliance and Legal Division, St. Louis Regional Seminar, The New World of Compliance and Legal, St. Louis, Missouri | Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Mar. 12, 2009 | "Compliance in Today's Environment: Step Up to the Challenge" — Remarks Before the IA Compliance Best Practices Summit 2009, Washington, D.C. | Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Erik R. Sirri, Director, Division of Trading and Markets | ||
Apr. 9, 2009 | Remarks at the National Economists Club: Securities Markets and Regulatory Reform, Washington, D.C. | Erik R. Sirri, Director, Division of Trading and Markets |
Evan Sussholz, Professional Accounting Fellow, Office of the Chief Accountant | ||
Dec. 7, 2009 | Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Evan Sussholz, Professional Accounting Fellow, Office of the Chief Accountant |
Ethiopis Tafara, Director, Office of International Affairs | ||
Jul. 14, 2009 and Aug. 2, 2009 |
The New Financial Landscape: Lesson of the Financial Crisis, Sydney, Australia, and Chicago, Illinois | Ethiopis Tafara Director, Office of International Affairs |
Feb. 23, 2009 | A Few Observations Based On International Regulatory Conversations, Before the CESR Conference, Paris, France | Ethiopis Tafara, Director, Office of International Affairs |
John H. Walsh, Acting Director, Office of Compliance Inspections and Examinations | ||
Oct. 5, 2009 | Remarks at the 2009 NSCP National Meeting, Philadelphia, Pennsylvania | John H. Walsh, Acting Director, Office of Compliance Inspections and Examinations |
Arie S. Wilgenburg, Professional Accounting Fellow, Office of the Chief Accountant | ||
Dec. 7, 2009 | Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. | Arie S. Wilgenburg, Professional Accounting Fellow, Office of the Chief Accountant |
Combined Staff Statements at SEC Open Meeting | ||
Sep. 17, 2009 | Staff Statements at SEC Open Meeting — NRSROs, Washington, D.C. | Dan Gallagher, Randall Roy, Penelope Saltzman, Michael Gaw and Blair Petrillo |
http://www.sec.gov/news/2009speechalpha.shtml
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