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


Commission Speeches and Public Statements Archive: 1940

This index lists speeches and other public statements by the Chairman, Commissioners, and Staff of the SEC, which cover a wide range of topics concerning the state of the markets and the Commission's regulatory agenda.

Speeches and Statements by:

Additional Archives

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

1940 Speeches by the Chairman and Commissioners

Date Title Author
Dec. 12, 1940 Opening Statement, Committee of Corporate Finance, 1940 Annual Convention, National Association of Railroad and Utilities Commissioners, Miami, Florida Commissioner
Robert E. Healy
Oct. 22, 1940 Statement, Washington, D.C. Chairman
Jerome N. Frank
Oct. 18, 1940 The Sin of Perfectionism, Annual Meeting of American Institute of Accountants, Memphis, Tennessee Chairman
Jerome N. Frank
Sep. 20, 1940 Address, Maine Investment Dealers Association, Portland, Maine Commissioner
Sumner T. Pike
Sep. 10, 1940 Section 11 of the Public Utility Holding Company Act, Section of Public Utility Law at the Convention of the American Bar Association, Philadelphia, Pennsylvania Commissioner
Robert E. Healy
Aug. 29, 1940 SEC Respects State Jurisdiction: A critical analysis of a recent suggestion that the SEC is seeking to undermine regulatory authority of the states over local utility securities, Reprinted in the Public Utilities Fortnightly, Vol. XXVI; No. 5 Chairman
Jerome N. Frank
Jun. 6, 1940 Integration And Utility Investors Chairman
Jerome N. Frank
Apr. 25, 1940 Regional Financing, Kiwanis Club of Cleveland, Cleveland, Ohio Chairman
Jerome N. Frank
Apr. 8, 1940 In Time of War Prepare for Peace, The Army Industrial College, Washington, D.C. Chairman
Jerome N. Frank
Apr. 2, 1940 Statement, Subcommittee of Committee on Banking and Currency on Wagner-Lea Act., S. 3580, to regulate investment trusts and investment companies, Washington, D.C. , Commissioner
Robert E. Healy
Mar. 27, 1940 Fairness and Feasibility, Association of the Bar of the City of New York Chairman
Jerome N. Frank
Feb. 12, 1940 Statement, Temporary National Economic Committee at the resumption of the hearings on the insurance business. Commissioner
Leon Henderson
Jan. 25, 1940 Corporation Management and the SEC, American Management Association, New York, New York Chairman
Jerome N. Frank

1940 Speeches and Statements by Commission Staff

Date Title Author
Oct. 14, 1940 Section 11 of the Holding Company Act: Some Legal and Administrative Problems, Practising Law Institute, New York City, New York Joseph L. Weiner, Director, Public Utilities Division
Oct. 8, 1940 The Joint Responsibility of the Federal and State Commissions in the Prevention of Securities Fraud, National Association of Securities Commissioners, Dallas, Texas Robert E. Kline, Jr., Assistant General Counsel
Sep. 16, 1940 The Government's Responsibility for the Regulation of Accounting Reports, Accounting Symposium, Bicentennial Conference of the University of Philadelphia, Philadelphia, Pennsylvania William W. Werntz, Chief Accountant
Jun. 13, 1940 Accounting Requirements of the Securities and Exchange Commission, Texas Society of Certified Public Accountants, Dallas, Texas William W. Werntz, Chief Accountant
Jun. 7, 1940 Independence and Cooperation, Regional Conference of the Controllers Institute of America, Swampscott, Massachusetts William W. Werntz, Chief Accountant
May 2, 1940 Wanted: A New Banking System for Small Business, Kiwanis Club of Newark, Newark, New Jersey Peter R. Nememkis, Jr., Special Cousel, Investment Banking Section
Mar. 28, 1940 Paper, First Session of a Symposium on Constitutional Law, George Washington University and the Federal Bar Association, Washington, D.C. Lawrence S. Lesser
Mar. 20, 1940 Address, District of Columbia Control, Comptrollers Institute of America, Washington, D.C. M. Quinn Shaughnessy, Assistant Director, Registration Division

http://www.sec.gov/news/speech/speecharchive/1940speech.shtml


Modified: 10/16/2014