SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News/Statements


  Litigation

  ALJ

  Information for...

  Divisions


2011 Speeches and Public Statements: Alphabetically by Speaker

By Speaker

Commissioners         Commission Staff

Mary L. Schapiro, Chairman
Luis A. Aguilar
Kathleen L. Casey
Daniel M. Gallagher
Troy A. Paredes
Elisse B. Walter

       

Becker, David M.
Bergers, David
Berman, Gregg E.
Beswick, Paul A.
Cross, Meredith
Croteau, Brian T.
di Florio, Carlo V.
Khuzami, Robert S.
Kroeker, James L.
Laporte, Gerald
McKessy, Sean X.
Olinger, Craig
Peo, Christian
Plourde, Jason K.
Rominger, Eileen P.
Schock, Lori J.
Tafara, Ethiopis
Shah, Nilima
Scheck, Howard

By Date

2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1994 | 1993 | 1992 | 1991 | 1990 | 1989 | 1988 | 1987 | 1986 | 1985 | 1984 | 1983 | 1982 | 1981 | 1980 | 1979 | 1978 | 1977 | 1976 | 1975 | 1974 | 1973 | 1972 | 1971 | 1970 | 1969 | 1968 | 1967 | 1966 | 1965 | 1964 | 1963 | 1962 | 1961 | 1960 | 1959 | 1958 | 1957 | 1956 | 1955 | 1954 | 1953 | 1952 | 1951 | 1950 | 1949 | 1948 | 1947 | 1946 | 1945 | 1944 | 1943 | 1942 | 1941 | 1940 | 1939 | 1938 | 1937 | 1936 | 1935 | 1934 | 1929-1933

RSS Feed  SEC Speeches and Public Statements RSS Feed


Commissioners

Date Title Author

Chairman Mary L. Schapiro

Dec. 15, 2011 Remarks at the Transatlantic Corporate Governance Dialogue, Washington, D.C. Chairman
Mary L. Schapiro
Nov. 17, 2011 Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. Chairman
Mary L. Schapiro
Nov. 7, 2011 Remarks at SIFMA’s 2011 Annual Meeting, New York, New York Chairman
Mary L. Schapiro
Nov. 3, 2011 Remarks at Stanford Center on Longevity — FINRA Investor Education Foundation Conference, Washington, D.C. Chairman
Mary L. Schapiro
Nov. 2, 2011 Remarks to TheCorporateCounsel.Net "Say-on-Pay Workshop Conference", San Francisco (video presentation) Chairman
Mary L. Schapiro
Oct. 26, 2011
Text of Chairman's Remarks:
Opening Statement at SEC Open Meeting: Private Fund Systemic Risk Reporting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Oct. 12, 2011
Text of Chairman's Remarks:
Opening Statement at SEC Open Meeting — Prohibitions and Restrictions on Proprietary Trading, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Oct. 12, 2011
Text of Chairman's Remarks:
Opening Statement at SEC Open Meeting — Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Sep. 19, 2011
Text of Chairman's Remarks:
Opening Statement at SEC Open Meeting — Conflicts of Interest Relating to Certain Securitizations, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Aug. 31, 2011
Text of Chairman's Remarks:
Opening Statement at SEC Open Meeting: Item 2 — Asset-Backed Issuers and Mortgage-Related Pools, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Aug. 31, 2011
Text of Chairman's Remarks:
Opening Statement at SEC Open Meeting: Item 1 — Use of Derivatives by Funds, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jul. 26, 2011
Text of Chairman's Remarks:
Opening Statement at SEC Open Meeting: Item 3 — Shelf-Eligibility Requirements for Asset-Backed Securities, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jul. 26, 2011
Text of Chairman's Remarks:
Opening Statement at SEC Open Meeting: Item 2 — Security Ratings, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jul. 26, 2011
Text of Chairman's Remarks:
Opening Statement at SEC Open Meeting: Item 1 — Large Trader Reporting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jul. 18, 2011 Remarks Before the Financial Stability Oversight Council Meeting, Washington, D.C. Chairman
Mary L. Schapiro
Jul. 12, 2011 Remarks Before the Women in Finance Symposium, Washington, D.C. Chairman
Mary L. Schapiro
Jun. 29, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jun. 22, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting: Family Offices, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jun. 22, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting: Rules Implementing Amendments to the Investment Advisers Act of 1940 and Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jun. 22, 2011 Remarks Before the American Securitization Forum 2011 Annual Meeting, Washington, D.C. Chairman
Mary L. Schapiro
Jun. 15, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting: Proposals to Amend Rule 17a-5, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jun. 11, 2011 Remarks Before the Bennett S. LeBow College of Business at Drexel University, Philadelphia, Pennsylvania Chairman
Mary L. Schapiro
May 25, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting: Item 2 — Whistleblower Program, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
May 25, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting: Item 1 — Felons and Bad Actors, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
May 24, 2011 Remarks Before the Financial Accounting Foundation’s 2011 Annual Board of Trustees Dinner, Washington, D.C. Chairman
Mary Schapiro
May 18, 2011 Statement at SEC Open Meeting: Proposed Rules for Nationally Recognized Statistical Rating Organizations, Washington, D.C. Chairman
Mary Schapiro
May 10, 2011 Remarks Before the Money Market Funds and Systemic Risk Roundtable, Washington, D.C. Chairman
Mary L. Schapiro
May 6, 2011 Remarks Before the Investment Company Institute's General Membership Meeting, Washington D.C. Chairman
Mary L. Schapiro
Apr. 27, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Apr. 27, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting: Product Definitions Contained in Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Apr. 8, 2011 Remarks before the Society of American Business Editors and Writers, Dallas, Texas Chairman
Mary L. Schapiro
Mar. 30, 2011 Statement at SEC Open Meeting: Listing Standards for Compensation Committees, Washington, D.C. Chairman
Mary L. Schapiro
Mar. 30, 2011 Statement at SEC Open Meeting: Credit Risk Retention, Washington, D.C. Chairman
Mary L. Schapiro
Mar. 23, 2011 Remarks at SIFMA’s Compliance and Legal Society Annual Seminar, Phoenix, Arizona (Video Presentation) Chairman
Mary L. Schapiro
Mar. 2, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting: Proposal to Remove Credit Rating References from Investment Company Act Rules and Forms, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Mar. 2, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting: Proposed Rules for Operation and Governance of Clearing Agencies, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Mar. 2, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting: Proposed Rules on Incentive-Based Compensation, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Feb. 9, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Feb. 8, 2011 Remarks at the CCOutreach National Seminar, Washington, D.C. Chairman
Mary L. Schapiro
Feb. 4, 2011 Evolving to Meet the Needs of Investors: Address to Practising Law Institute’s SEC Speaks in 2011 Program, Washington, D.C. Chairman
Mary L. Schapiro
Feb. 2, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jan. 25, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting: Say-On-Pay and Golden Parachute Compensation, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jan. 25, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting: Net Worth Standard for Accredited Investors, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jan. 25, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting: Private Fund Systemic Risk Reporting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jan. 20, 2011
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro

Commissioner Luis A. Aguilar

Nov. 17, 2011 Facilitating Small Business Capital Formation Does Not Need to Be at the Expense of Protecting Investors, SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. Commissioner
Luis A. Aguilar
Nov. 3, 2011 Improving the Quality and Outcomes of Retirement Planning, The American Retirement Summit, Washington, D.C. Commissioner
Luis A. Aguilar
Oct. 26, 2011 Opening Statement at SEC Open Meeting: “Obtaining Reliable Information Regarding Private Fund Advisers”, Washington, D.C. Commissioner
Luis A. Aguilar
Oct. 12, 2011 Protecting the Financial System and Aligning the Interests of Banks and their Customers, Washington, D.C. Commissioner
Luis A. Aguilar
Oct. 12, 2011 Statement at SEC Open Meeting — Regulating Key Players in Security-Based Swaps, Washington, D.C. Commissioner
Luis A. Aguilar
Sep. 19, 2011 Prohibiting Firms from Designing Transactions to Fail, Washington, D.C. Commissioner
Luis A. Aguilar
Sep. 13, 2011 Statement Regarding the Urgent Need to Re-establish the Investor Advisory Committee, Washington, D.C. Commissioner
Luis A. Aguilar
Jul. 26, 2011 Statement at SEC Open Meeting: Item 1 — Large Trader Reporting, Washington, D.C. Commissioner
Luis A. Aguilar
Jul. 26, 2011 Statement at SEC Open Meeting: Item 2 — Security Ratings, Washington, D.C. Commissioner
Luis A. Aguilar
Jul. 26, 2011 Opening Statement at SEC Open Meeting: Item 3 — Shelf-Eligibility Requirements for Asset-Backed Securities, Washington, D.C. Commissioner
Luis A. Aguilar
Jun. 29, 2011 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Jun. 22, 2011 Statement at SEC Open Meeting: Rules Implementing Amendments to the Investment Advisers Act of 1940 and Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers, Washington, D.C. Commissioner
Luis A. Aguilar
Jun. 15, 2011 Statement at SEC Open Meeting: Proposals to Amend Rule 17a-5, Washington, D.C. Commissioner
Luis A. Aguilar
Jun. 10, 2011 An Inflection Point: The SEC and the Current Financial Reform Landscape, Washington, D.C. Commissioner
Luis A. Aguilar
May 25, 2011 Statement at SEC Open Meeting: Item 2 — Whistleblower Program, Washington, D.C. Commissioner
Luis A. Aguilar
May 25, 2011 Statement at SEC Open Meeting: Item 1 — Felons and Bad Actors, Washington, D.C. Commissioner
Luis A. Aguilar
May 18, 2011 Statement at SEC Open Meeting: Proposed Rules for Nationally Recognized Statistical Rating Organizations, Washington, D.C. Commissioner
Luis A. Aguilar
May 2, 2011 The Abysmal Lack of Diversity in Corporate Boardrooms is Growing Worse, Washington, D.C. Commissioner
Luis A. Aguilar
Apr. 30, 2011 An Update on Diversity and Financial Literacy, Keynote Speech at 2011 Hispanic Association of Corporate Responsibility — Corporate Directors Summit, Washington, D.C. Commissioner
Luis A. Aguilar
Apr. 27, 2011 Statement at SEC Open Meeting: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934, Washington, D.C. Commissioner
Luis A. Aguilar
Apr. 27, 2011 Statement at SEC Open Meeting: Product Definitions Contained in Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Washington, D.C. Commissioner
Luis A. Aguilar
Apr. 21, 2011 Still Fighting for Inclusion and Equal Opportunity, Keynote Speech at Latin American Association’s 22nd Annual Compañeros Award Luncheon, Atlanta, Georgia Commissioner
Luis A. Aguilar
Apr. 4, 2011 Facilitating Real Capital Formation, Council of Institutional Investors Spring Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Mar. 30, 2011 Statement at SEC Open Meeting: Listing Standards for Compensation Committees, Washington, D.C. Commissioner
Luis A. Aguilar
Mar. 30, 2011 Statement at SEC Open Meeting: Credit Risk Retention, Washington, D.C. Commissioner
Luis A. Aguilar
Mar. 28, 2011 Exemplifying Fundamentals — Back to Basics, Washington, D.C. Commissioner
Luis A. Aguilar
Mar. 2, 2011 Statement at SEC Open Meeting: Proposal to Remove Credit Rating References from Investment Company Act Rules and Forms, Washington, D.C. Commissioner
Luis A. Aguilar
Feb. 9, 2011 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Feb. 4, 2011 Setting Forth Aspirations for 2011: Address to Practising Law Institute’s SEC Speaks in 2011 Program, Washington, D.C. Commissioner
Luis A. Aguilar
Feb. 2, 2011 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Jan. 20, 2011 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar

Commissioner Kathleen L. Casey

Jul. 26, 2011 Statement at SEC Open Meeting: Item 2 — Security Ratings, Washington, D.C. Commissioner
Kathleen L. Casey
Jul. 26, 2011 Statement at SEC Open Meeting: Item 3 — Shelf-Eligibility Requirements for Asset-Backed Securities, Washington, D.C. Commissioner
Kathleen L. Casey
Jun. 29, 2011 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Kathleen L. Casey
Jun. 24, 2011 Keynote Address at the Society of Corporate Secretaries and Governance Professionals 65th Annual Conference, Colorado Springs, Colorado Commissioner
Kathleen L. Casey
Jun. 22, 2011 Statement at SEC Open Meeting: Rules Implementing Amendments to the Investment Advisers Act of 1940 and Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers, Washington, D.C. Commissioner
Kathleen L. Casey
May 25, 2011 Statement at SEC Open Meeting: Item 1 — Felons and Bad Actors, Washington, D.C. Commissioner
Kathleen L. Casey
May 25, 2011 Statement at SEC Open Meeting: Item 2 — Whistleblower Program, Washington, D.C. Commissioner
Kathleen L. Casey
May 18, 2011 Statement at SEC Open Meeting: Proposed Rules for Nationally Recognized Statistical Rating Organizations, Washington, D.C. Commissioner
Kathleen L. Casey
Apr. 27, 2011 Statement at SEC Open Meeting: Product Definitions and Regulation of Mixed Swaps, Washington, D.C. Commissioner
Kathleen L. Casey
Apr. 27, 2011 Statement at SEC Open Meeting: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934, Washington, D.C. Commissioner
Kathleen L. Casey
Mar. 30, 2011 Statements at SEC Open Meeting: Credit Risk Retention and Listing Standards for Compensation Committees, Washington, D.C. Commissioner
Kathleen L. Casey
Mar. 22, 2011 Remarks before the Forum for Corporate Directors, San Diego, California Commissioner
Kathleen L. Casey
Mar. 2, 2011 Statement at SEC Open Meeting: Proposed Rules for Operation and Governance of Clearing Agencies, Washington, D.C. Commissioner
Kathleen L. Casey
Mar. 2, 2011 Statement at SEC Open Meeting: Proposed Rules on Incentive-Based Compensation, Washington, D.C. Commissioner
Kathleen L. Casey
Feb. 9, 2011 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Kathleen L. Casey
Feb. 4, 2011 Address to Practising Law Institute's SEC Speaks in 2011 Program, Washington, D.C. Commissioner
Kathleen L. Casey
Jan. 25, 2011 Statement at SEC Open Meeting: Net Worth Standard for Accredited Investors and Say-On-Pay and Golden Parachute Compensation, Washington, D.C. Commissioner
Kathleen L. Casey
Jan. 25, 2011 Statement at SEC Open Meeting: Private Fund Systemic Risk Reporting, Washington, D.C. Commissioner
Kathleen L. Casey
Jan. 23, 2011 “The Regulatory Implementation and Implications of Dodd-Frank”, Directors’ Forum 2011, University of San Diego, San Diego, California Commissioner
Kathleen L. Casey
Jan. 21, 2011 Statement Regarding Study On Investment Advisers And Broker-Dealers, Washington, D.C.
See Also:  Study
Commissioners
Kathleen L. Casey
and Troy A. Paredes
Jan. 20, 2011 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Kathleen L. Casey

Commissioner Daniel M. Gallagher

Dec. 14, 2011 “SEC Reform After Dodd-Frank and the Financial Crisis”, Washington, D.C. Commissioner
Daniel M. Gallagher
Nov. 17, 2011 Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. Commissioner
Daniel Gallagher

Commissioner Troy A. Paredes

Nov. 17, 2011 Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. Commissioner
Troy A. Paredes
Oct. 27, 2011 Twelfth Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law, New York, NY Commissioner
Troy A. Paredes
Oct. 26, 2011 Statement at Open Meeting to Adopt Form PF, Washington, D.C. Commissioner
Troy A. Paredes
Oct. 12, 2011 Statement at SEC Open Meeting — Proprietary Trading, Washington, D.C. Commissioner
Troy A. Paredes
Oct. 12, 2011 Statement at SEC Open Meeting — Security-Based Swap Registration, Washington, D.C. Commissioner
Troy A. Paredes
Sep. 19, 2011 Opening Statement at SEC Open Meeting — Conflicts of Interest Relating to Certain Securitizations, Washington, D.C. Commissioner
Troy A. Paredes
Jul. 26, 2011 Statement at SEC Open Meeting: Item 2 — Security Ratings, Washington, D.C. Commissioner
Troy A. Paredes
Jun. 29, 2011 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Troy A. Paredes
Jun. 22, 2011 Statement at SEC Open Meeting: Rules Implementing Amendments to the Investment Advisers Act of 1940 and Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers, Washington, D.C. Commissioner
Troy A. Paredes
Jun. 22, 2011 Statement at SEC Open Meeting: Family Offices, Washington, D.C. Commissioner
Troy A. Paredes
Jun. 15, 2011 Statement at SEC Open Meeting: Proposals to Amend Rule 17a-5, Washington, D.C. Commissioner
Troy A. Paredes
Jun. 8, 2011 Remarks at the Symposium on “Hedge Fund Regulation and Current Developments,” New York, NY Commissioner
Troy A. Paredes
May 25, 2011 Statement at SEC Open Meeting: Item 2 — Whistleblower Program, Washington, D.C. Commissioner
Troy A. Paredes
May 25, 2011 Statement at SEC Open Meeting: Item 1 — Felons and Bad Actors, Washington, D.C. Commissioner
Troy A. Paredes
May 6, 2011 Remarks at the 43rd Annual Rocky Mountain Securities Conference, Denver, Colorado Commissioner
Troy A. Paredes
Apr. 27, 2011 Statement at SEC Open Meeting: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934, Washington, D.C. Commissioner
Troy A. Paredes
Mar. 30, 2011 Statement at SEC Open Meeting: Listing Standards for Compensation Committees, Washington, D.C. Commissioner
Troy A. Paredes
Mar. 30, 2011 Statement at SEC Open Meeting: Credit Risk Retention, Washington, D.C. Commissioner
Troy A. Paredes
Mar. 10, 2011 Remarks Before the 2011 Investment Adviser Compliance Conference, Arlington, Virginia Commissioner
Troy A. Paredes
Mar. 8, 2011 Remarks Before the 27th Annual NABE Economic Policy Conference, Arlington, Virginia Commissioner
Troy A. Paredes
Mar. 2, 2011 Statement at SEC Open Meeting: Proposal to Remove Credit Rating References from Investment Company Act Rules and Forms, Washington, D.C. Commissioner
Troy A. Paredes
Mar. 2, 2011 Statement at SEC Open Meeting: Proposed Rules for Operation and Governance of Clearing Agencies, Washington, D.C. Commissioner
Troy A. Paredes
Mar. 2, 2011 Statement at SEC Open Meeting: Proposed Rules on Incentive-Based Compensation, Washington, D.C. Commissioner
Troy A. Paredes
Feb. 9, 2011 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Troy A. Paredes
Feb. 4, 2011 Remarks at The SEC Speaks in 2011, Washington, D.C. Commissioner
Troy A. Paredes
Feb. 2, 2011 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Troy A. Paredes
Jan. 25, 2011 Statement at SEC Open Meeting: Say-On-Pay and Golden Parachute Compensation Commissioner
Troy A. Paredes
Jan. 25, 2011 Statement at SEC Open Meeting: Net Worth Standard for Accredited Investors Commissioner
Troy A. Paredes
Jan. 21, 2011 Statement Regarding Study On Investment Advisers And Broker-Dealers, Washington, D.C.
See Also:  Study
Commissioners
Kathleen L. Casey
and Troy A. Paredes
Jan. 20, 2011 Statement at SEC Open Meeting Commissioner
Troy A. Paredes

Commissioner Elisse B. Walter

Nov. 18, 2011 Remarks at the Closing of the International Institute for Securities Enforcement and Market Oversight, Washington, D.C. Commissioner
Elisse B. Walter
Nov. 17, 2011 Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. Commissioner
Elisse B. Walter
Nov. 8, 2011 Remarks Before the FINRA Institute at Wharton Certified Regulatory and Compliance Professional (CRCP) Program, University of Pennsylvania Commissioner
Elisse B. Walter
Oct. 25, 2011 Remarks before the SIFMA Compliance and Legal Fall Seminar, New York, New York Commissioner
Elisse B. Walter
Oct. 12, 2011 Opening Remarks Regarding the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (Proposed Rules 15Fb1-1 through 15Fb6-1), Washington, D.C. Commissioner
Elisse B. Walter
Sep. 12, 2011 Remarks Before the North American Securities Administrators Association 2011 Annual Conference, Wichita, Kansas Commissioner
Elisse B. Walter
Jul. 29, 2011 Statement at SEC Field Hearing on the State of the Municipal Securities Market, Birmingham, AL Commissioner
Elisse B. Walter
Jul. 26, 2011 Statement at SEC Open Meeting: Item 1 — Large Trader Reporting, Washington, D.C. Commissioner
Elisse B. Walter
Jun. 22, 2011 Statement at SEC Open Meeting: Rules Implementing Amendments to the Investment Advisers Act of 1940 and Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers, Washington, D.C. Commissioner
Elisse B. Walter
May 25, 2011 Statement at SEC Open Meeting: Item 2 — Whistleblower Program, Washington, D.C. Commissioner
Elisse B. Walter
May 4, 2011 Keynote Address at the National Federation of Municipal Analysts (NFMA) Twenty-Eighth Annual Conference, Charleston, S.C. Commissioner
Elisse B. Walter
Apr. 27, 2011 Statement at SEC Open Meeting: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934, Washington, D.C. Commissioner
Elisse B. Walter
Mar. 2, 2011 Statement at SEC Open Meeting: Proposed Rules on Incentive-Based Compensation, Washington, D.C. Commissioner
Elisse B. Walter
Feb. 10, 2011 Remarks at the DirectWomen Board Institute, New York, N.Y. Commissioner
Elisse B. Walter
Feb. 10, 2011 A Tale of Two Studies: Investment Management Institute Keynote Remarks, New York, N.Y. Commissioner
Elisse B. Walter
Feb. 4, 2011 Remarks at The SEC Speaks in 2011, Washington, D.C. Commissioner
Elisse B. Walter
Jan. 19, 2011 Statement on Study Enhancing Investment Adviser Examinations, Washington, D.C.
See Also:  Study
Commissioner
Elisse B. Walter


Commission Staff

Date Title Author

David M. Becker, General Counsel

Jan. 25, 2011 Remarks at the Practising Law Institute's Ninth Annual Institute on Securities Regulation in Europe, London, England David M. Becker
General Counsel

David Bergers, Regional Director, Boston Regional Office

Mar. 7, 2011 Remarks at News Conference on the Case Against Francisco Illarramendi, New Haven, Connecticut David Bergers
Regional Director, Boston Regional Office

Gregg E. Berman, Senior Advisor to the Director, Division of Trading and Markets

Sep. 21, 2011 Market Structure: What we Know, and What We Need to Know, New York, New York Gregg E. Berman
Senior Advisor to the Director, Division of Trading and Markets

Paul A. Beswick, Deputy Chief Accountant

Dec. 5, 2011 Prepared Remarks for the 2011 AICPA National Conference on Current SEC and PCAOB Developments Paul A. Beswick
Deputy Chief Accountant

Meredith Cross, Director, Division of Corporation Finance

Jul. 22, 2011 Statement Regarding Court of Appeals Decision on Proxy Access, Washington, D.C. Meredith Cross
Director, Division of Corporation Finance

Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations

Oct. 17, 2011 The Role of Compliance and Ethics in Risk Management, NSCP National Meeting Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations
May 3, 2011 Private Equity International's Private Fund Compliance, New York, New York Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations
Mar. 21, 2011 Remarks at the IA Watch Annual IA Compliance Best Practices Seminar, Omni Shoreham Hotel, Washington, D.C. Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations
Mar. 3, 2011 Keynote address at the SIFMA Anti-Money Laundering Seminar Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations
Feb. 8, 2011 Remarks at the CCOutreach National Seminar, Washington, D.C. Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations

Brian T. Croteau, Deputy Chief Accountant, Office of the Chief Accountant

Dec. 5, 2011 Remarks Before the 2011 AICPA National Conference on Current SEC and PCAOB Developments — The Role of the Audit Performance Feedback Loop in Audit Policy Decision-Making Brian T. Croteau
Deputy Chief Accountant, Office of the Chief Accountant

Robert S. Khuzami, Director, Division of Enforcement

Dec. 1, 2011 Remarks Before the Consumer Federation of America's Financial Services Conference Robert Khuzami
Director, Division of Enforcement
Nov. 28, 2011 Statement on Court's Refusal to Approve Settlement in Citigroup Case Robert Khuzami
Director, Division of Enforcement
Jun. 1, 2011 Remarks to Criminal Law Group of the UJA-Federation of New York Robert Khuzami
Director, Division of Enforcement
May 25, 2011 Remarks at Open Meeting — Whistleblower Program Robert Khuzami
Director, Division of Enforcement
Mar. 23, 2011 Remarks at SIFMA’s Compliance and Legal Society Annual Seminar, Phoenix, Arizona (Video Presentation) Robert Khuzami
Director, Division of Enforcement
Feb. 8, 2011 Remarks at News Conference Announcing Expert Networks Insider Trading Charges, New York, New York Robert S. Khuzami
Director, Division of Enforcement

James L. Kroeker, Chief Accountant

Dec. 5, 2011 Remarks Before the 2011 AICPA National Conference on Current SEC and PCAOB Developments James L. Kroeker
Chief Accountant, Office of the Chief Accountant
Jun. 5, 2011 Remarks at the University of Southern California SEC and Financial Reporting Institute Conference, Pasadena, California James L. Kroeker
Chief Accountant

Gerald Laporte, Chief, Office of Small Business Policy, Division of Corporation Finance

Dec. 7, 2011 Slide Presentation (PDF): Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Gerald Laporte
Chief, Office of Small Business Policy, Division of Corporation Finance

Sean X. McKessy, Chief, Office of the Whistleblower

Aug. 11, 2011 Remarks at Georgetown University, Washington, D.C. Sean X. McKessy
Chief, Office of the Whistleblower

Craig Olinger, Deputy Chief Accountant, Division of Corporation Finance

Dec. 7, 2011 Slide Presentation (PDF): Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Craig Olinger
Deputy Chief Accountant, Division of Corporation Finance
Dec. 6, 2011 Slide Presentation (PDF): Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Nili Shah and Craig Olinger
Deputy Chief Accountants, Division of Corporation Finance
Dec. 2011 Slide Presentation (PDF): SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, PCAOB Forums on Auditing in the Small Business Environment Craig Olinger, Deputy Chief Accountant, Division of Corporation Finance

Christian Peo, Professional Accounting Fellow, Office of the Chief Accountant

Dec. 5, 2011 Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments Christian Peo
Professional Accounting Fellow, Office of the Chief Accountant

Jason K. Plourde, Professional Accounting Fellow, Office of the Chief Accountant

Dec. 5, 2011 Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments
Professional Accounting Fellow, Office of the Chief Accountant

Eileen P. Rominger, Director, Division of Investment Management

Dec. 13, 2011 Remarks Before the ICI 2011 Securities Law Developments Conference, Washington, D.C. Eileen Rominger
Director, Division of Investment Management
Nov. 17, 2011 Remarks Before the ICI 2011 Closed-End Fund Conference, New York, NY Eileen Rominger
Director, Division of Investment Management
Nov. 3, 2011 Remarks Before the ALI-ABA Conference on Life Insurance Company Products, Washington, D.C. Eileen P. Rominger
Director, Division of Investment Management
Sep. 9, 2011 Remarks before the Mutual Fund Directors Forum and the University of Maryland “Oversight of Derivatives” Conference, Washington, D.C. Eileen P. Rominger
Director, Division of Investment Management
Jun. 24, 2011 Keynote Address at the Insured Retirement Institute 2011 Government, Legal & Regulatory Conference, Washington, D.C. Eileen P. Rominger
Director, Division of Investment Management

Howard Scheck, Chief Accountant, Division of Enforcement

Dec. 6, 2011 Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments Howard Scheck
Chief Accountant, Division of Enforcement

Lori J. Schock, Director, Office of Investor Education and Advocacy

Sep. 17, 2011 Remarks at the BetterInvesting National Convention, Covington, Kentucky Lori J. Schock
Director, Office of Investor Education and Advocacy
May 15, 2011 Remarks at InvestEd Investor Education Conference, San Diego, California Lori J. Schock
Director, Office of Investor Education and Advocacy

Nilimi Shah, Deputy Chief Accountant, Division of Corporation Finance

Dec. 6, 2011 Slide Presentation (PDF): Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Nili Shah and Craig Olinger
Deputy Chief Accountants, Division of Corporation Finance

Ethiopis Tafara, Director, Office of International Affairs

Jul. 7, 2011 G-20 Financial Landscape Workshop, Organization for Economic Cooperation & Development, Paris, France Ethiopis Tafara
Director, Office of International Affairs

 

http://www.sec.gov/news/2011speechalpha.shtml


Modified: 07/09/2014