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Commission Speeches and Public Statements Archive: 1992

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:

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1992 Speeches by the Chairman and Commissioners

Date Title Author
Fourth Quarter
Dec. 7, 1992 Failure to Supervise Liability for Legal and Compliance Personnel, Securities Law Committee of the Federal Bar Association, Washington, D.C. Commissioner
Richard Y. Roberts
Dec. 3, 1992 Remarks, Securities Industry Association, Boca Raton, Florida Chairman
Richard C. Breeden
Dec. 1, 1992 The Future of the OTC Derivatives Market: Where Do We Go From Here, Risk Magazine/C.ATS Software Symposiusm, London, England Commissioner
J. Carter Beese, Jr.
Nov. 24, 1992 Opening Remarks To Consider the Adoption of Amendments to the Net Capital Rule, SEC Open Meeting, Washington, D.C. Chairman
Richard C. Breeden
Nov. 20, 1992 Securities Litigation Reform and Multiplicity of Securities Regulatory Schemes, The Committee on Federal Regulation of the American Bar Association, Washington, D.C. Commissioner
Richard Y. Roberts
Nov. 13, 1992 Securities Market: Source of Capital for the 1990s and Beyond, Bocconi University, Milan, Italy Chairman
Richard C. Breeden
Nov. 13, 1992 Promoting Small Business Capital Formation: The Role of the SEC, Inter-American Investment Corporation's Capital Markets Roundtable, Washington, D.C. Commissioner
Mary L. Schapiro
Nov. 9, 1992 Pension Plans, Off-the-Page Sales, and Chinese Walls, Bank Securities Association 1992 National Mutual Fund Conference, San Francisco, California Commissioner
Richard Y. Roberts
Nov. 6, 1992 Remarks Before the National Investor Relations Institute's Fall Conference, New York, New York Commissioner
Mary L. Schapiro
Nov. 5, 1992 Bank Securities Activities: Tie Me Up, Tie Me Down, Tie Me Not, Financial Markets Association 1992 Legal Issues Conference, Washington, D.C. Commissioner
Richard Y. Roberts
Nov. 4, 1992 Remarks, American Stock Exchange Perspectives Conference, Washington, D.C. Chairman
Richard C. Breeden
Oct. 27, 1992 Remarks, Opening of the XVII IOSCO Annual Conference, Queen Elizabeth Conference Centre II Chairman
Richard C. Breeden
Oct. 23, 1992 Shareholder Voting Rights and Transparency, New York Stock Exchange Legal Advisory Committee, New York, New York Commissioner
Richard Y. Roberts
Oct. 22, 1992 Preserve Integrity of Municipal Securities Market, The 1992 Bond Buyer Municipal Finance Conference, New York, New York Commissioner
Richard Y. Roberts
Oct. 19, 1992 Jeeps in China: Strategies for Economic Growth, Detroit Economic Club, Detroit, Michigan Chairman
Richard C. Breeden
Oct. 18, 1992 Current Issues in Trading and Markets, Security Traders Association, Boca Raton, Florida Commissioner
Richard Y. Roberts
Oct. 15, 1992 Shareholder Communications and Executive Compensation, SEC Open Meeting, Washington, D.C. Chairman
Richard C. Breeden
Oct. 14, 1992 Recent Trends Concerning Environmental Disclosure, Environmental Group of Organization Resources Counselors, Washington, D.C. Commissioner
Richard Y. Roberts
Oct. 9, 1992 Investor Protection: The Role of the SEC, the SROs, and the Industry in Preventing Sales Practice Abuses, Twenty-Fifth Annual Rocky Mountain State-Federal-Provincial Securities Conference, Denver, Colorado Commissioner
Mary L. Schapiro
Oct. 5, 1992 Bank Tying: Current Rules, Current Authority, and Current Solutions, Securities Industry Association Investment Banking Committee, Washington, D.C. Commissioner
Richard Y. Roberts
Third Quarter
Sep. 29, 1992 Mexico and the United States: Cross Border Financing and Access to Financial Services, El Financiero, Latinfinance, Annual Mexico Capital Markets Workshop, Mexico, D.F. Commissioner
Mary L. Schapiro
Sep. 28, 1992 Corporate Policies on Troublesome Subjects, Sonat Legal Conference, Tuscaloosa, Alabama Commissioner
Richard Y. Roberts
Sep. 17, 1992 Financial Markets at the Crossroads, Securities Industry Association & Futures Industry Institute Conference, Washington, D.C. Chairman
Richard C. Breeden
Sep. 14, 1992 Securities Regulatory Reform Initiatives, National Association of Manufacturers, Hershey, Pennsylvania Commissioner
Richard Y. Roberts
Aug. 24, 1992 Public Finance and Tax-Exempt Market Concerns, Midwest State Treasurers' Conference, Minneapolis, Minnesota Commissioner
Richard Y. Roberts
Aug. 6, 1992 Accessing the US Capital Markets by Latin American Companies, Buenos Aires, Argentina Commissioner
Mary L. Schapiro
Jul. 29, 1992 Opening Statement, SEC Public Meeting, Washington, D.C. Chairman
Richard C. Breeden
Jul. 28, 1992 Opening Statement, SEC Public Meeting, Washington, D.C. Chairman
Richard C. Breeden
Jul. 16, 1992 Opening Statement, SEC Open Meeting, Washington, D.C. Chairman
Richard C. Breeden
Second Quarter
Jun. 30, 1992 Corporate Governance and Compensation, American Society of Corporate Secretaries, The Greenbrier, West Virginia Chairman
Richard C. Breeden
Jun. 23, 1992 Proxy Rules and Executive Compensation, SEC Public Meeting, Washington, D.C. Chairman
Richard C. Breeden
Jun. 17, 1992 Corporate Governance and Compensation, Town Hall of California, Los Angeles, California Chairman
Richard C. Breeden
Jun. 17, 1992 Remarks to the Investment Company Institute Training Conference, Washington, D.C. Commissioner
J. Carter Beese, Jr.
Jun. 13, 1992 Proposals to Improve the Integrity of the Municipal Securities Market, The Bond Club of Virginia, Irvington, Virginia Commissioner
Richard Y. Roberts
Jun. 12, 1992 Remarks to the New England Securities Conference, Boston, Massachusetts Commissioner
J. Carter Beese, Jr.
Jun. 3, 1992 Remarks, The Comision Nacional de Valores, Mexico City, Mexico Commissioner
J. Carter Beese, Jr.
May 28, 1992 Recent Developments Concerning Environmental Disclosure, Dallas Bar Association, Dallas, Texas Commissioner
Richard Y. Roberts
May 27, 1992 Remarks, Institute of International Bankers, New York, New York Chairman
Richard C. Breeden
May 21, 1992 Protecting Investors: A Half Century of Investment Company Regulation, The Investment Company Institute, Washington, D.C. Chairman
Richard C. Breeden
May 21, 1992 Challenges and Opportunities for the 1990s, National Association of Securities Dealers, Orlando, Florida Commissioner
J. Carter Beese, Jr.
May 20, 1992 Executive Compensation: The Stock Option Dilemma, WESFACCA Afternoon with the SEC, Old Greenwich, Connecticut Commissioner
Richard Y. Roberts
May 12, 1992 Remarks Before the National Small Business United and the National Association of Women Business Owners, Washington, D.C. Commissioner
J. Carter Beese, Jr.
Apr. 24, 1992 Growth of the Investment Adviser Industry and the Regulatory Response Thereto, Investment Counsel Association of America Annual Membership Conference, Washington, D.C. Commissioner
Richard Y. Roberts
Apr. 17, 1992 Concerning Recent Market Developments in Japan, Committee on Banking, Housing, and Urban Affairs, United States Senate, Washington, D.C. Chairman
Richard C. Breeden
Apr. 9, 1992 Formal Regulatory Handle Needed for NRSRO Designation: Part II, PSA Regional Compliance Seminar, Dallas, Texas Commissioner
Richard Y. Roberts
Apr. 9, 1992 Remarks Before the Council of Institutional Investors, Washington, D.C. Commissioner
Mary L. Schapiro
Apr. 6, 1992 Formal Regulatory Handle Needed for NRSRO Designation: Part I, SIA Compliance & Legal Seminar, Scottsdale, Arizona Commissioner
Richard Y. Roberts
First Quarter
Mar. 30, 1992 Continue Successful State/Federal Regulatory Partnership, SEC/NASAA Annual 19(c) Conference, Washington, D.C. Commissioner
Richard Y. Roberts
Mar. 25, 1992 Dear Mr. President: ..., Securities Law Luncheon Group, New York, New York Commissioner
Edward H. Fleischman
Mar. 23, 1992 Investment Company Industry Developments, Trends and Challenges, FBA/CCH Mutual Funds & Investment Management Conference, Tucson, Arizona Commissioner
Richard Y. Roberts
Mar. 18, 1992 Remarks, Opening of the American Stock Exchange's Emerging Company Marketplace, New York, New York Chairman
Richard C. Breeden
Mar. 11, 1992 Small Business Proposals, SEC Public Meeting, Washington, D.C. Chairman
Richard C. Breeden
Mar. 9, 1992 Perspective on Market Value Accounting, 1992 American Bankers Association National Fiduciary & Securities Operations Conference, Washington, D.C. Commissioner
Richard Y. Roberts
Feb. 29, 1992 Regulatory Issues in the Municipal Securities Area, Municipal Division Executive Committee of the Public Securities Association, Phoenix, Arizona Commissioner
Richard Y. Roberts
Feb. 20, 1992 (c)(5) and (c)(7): Now You (c) It, Now You Don't, New York Chapter of the American Society of Corporate Secretaries, New York, New York Commissioner
Mary L. Schapiro
Feb. 18, 1992 Financing America's Growth, National Press Club, Washington, D.C. Chairman
Richard C. Breeden
Feb. 14, 1992 Investment Adviser Reform, Midwest/Midsouth Securities Law Conference, Louisville, Kentucky Commissioner
Richard Y. Roberts
Jan. 29, 1992 Joint Statement by Richard C. Breeden, Chairman, International Organization of Securities Commissions and E. Gerald Corrigan, Chairman, Basle Committee on Banking Supervision Chairman
Richard C. Breeden

1992 Speeches and Statements by Commission Staff

Date Title Author
Fourth Quarter
Nov. 6, 1992 Current Accounting Issues and Related Developments Affecting the Division of Corporation Finance (as of October 16, 1992), The Third Annual Conference on Financial Reporting, University of California at Berkeley Robert A. Bayless, Division of Corporation Finance
Third Quarter
Aug. 12, 1992 Relevance and Credibility in Financial Accounting and Reporting, American Accounting Association Walter P. Schuetze, Chief Accountant
Second Quarter
May 21, 1992 Current Accounting Issues and Related Developments Affecting the Division of Corporation Finance (as of May 2, 1992), SEC and Financial Reporting Institute at the University of Southern California Robert A. Bayless, Division of Corporation Finance
May 12, 1992 Market Transparency, Financial Times Conference on International Securities Markets: Limiting Market Risk, London, England Brandon Becker, Deputy Director, Division of Market Regulation
First Quarter
Feb. 11, 1992 The Securities and Exchange Commission and Internationalized Markets, International Financial Corporation Special Conference on Uniting the Markets of the Americas: New Business & Financial Strategies for a More Competitive Latin America, New York, New York James R. Doty, General Counsel

http://www.sec.gov/news/speech/speecharchive/1992speech.shtml


Modified: 10/16/2014