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Commission Speeches and Public Statements Archive: 1997

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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1997 Speeches by the Chairman and Commissioners

Date Title Author
Fourth Quarter
Dec. 9, 1997 "A Securities Regulator's Top Accounting and Auditing Priorities for 1998" – Remarks of Commissioner Isaac C. Hunt, Jr., at the American Institute of Certified Public Accountants 1997 National Conference on Current SEC Developments, Washington, D.C. Commissioner Isaac C. Hunt, Jr.
Nov. 7, 1997 Remarks of Chairman Arthur Levitt to the Securities Industry Association, Boca Raton, Fla. Chairman Arthur Levitt
Nov. 6, 1997 "A Renewed Precedent: The Securities Bar and the SEC" – Remarks of Chairman Arthur Levitt to the Practicing Law Institute, 29th Annual Institute on Securities Regulation Chairman Arthur Levitt
Oct. 14, 1997 Welcoming Remarks of Chairman Arthur Levitt to SEC's Consumer Affairs Advisory Committee, Washington, D.C. Chairman Arthur Levitt
Oct. 13, 1997 "The Risks and Rewards of Technology" – Remarks of Chairman Arthur Levitt to the International Federation of Stock Exchanges, New York, N.Y. Chairman Arthur Levitt
Oct. 9, 1997 "Recent Initiatives Related to Supervisory Practices" – Remarks of Commissioner Isaac C. Hunt, Jr., at the 1997 NSCP National Membership Meeting, National Society of Compliance Professionals, Washington, D.C. Commissioner Isaac C. Hunt, Jr.
Oct. 8, 1997 "A Declaration of (Accounting) Independence" – Remarks of Chairman Arthur Levitt to The Conference Board, New York, N.Y. Chairman Arthur Levitt
Third Quarter
Sep. 29, 1997 "The Importance of High Quality Accounting Standards" – Remarks of Chairman Arthur Levitt at the Inter-American Development Bank, Washington, D.C. Chairman Arthur Levitt
Sep. 23, 1997 "Auditor Independence and Related Issues" – Remarks of Commissioner Isaac C. Hunt, Jr., to the National Association of State Boards of Accountancy, Maui, Hawaii Commissioner Isaac C. Hunt, Jr.
Aug. 6, 1997 Remarks (concerning "pay-to-play") by Chairman Arthur Levitt to the American Bar Association, House of Delegates, San Francisco, Calif. Chairman Arthur Levitt
Aug. 4, 1997 "Investing Wisely: Tips From an SEC Insider" – Remarks of Chairman Arthur Levitt at the Investors' Town Meeting, Union Performing Arts Center – Tulsa, Okla. Chairman Arthur Levitt
Jul. 23, 1997 "Fulfilling the Promise of Disclosure" – Remarks of Chairman Arthur Levitt at the American Savings Education Council, New York Chairman Arthur Levitt
Jul. 17, 1997 "Plain English and the U.S. Securities Markets" – Remarks of Commissioner Isaac C. Hunt, Jr., at the The Plain English Campaign's 5th International Conference, London, England Commissioner Isaac C. Hunt, Jr.
Second Quarter
Jun. 26, 1997 "Lawyers And Ethics: The Problem of Pay-to-Play" – Remarks of Chairman Arthur Levitt at the Fixed Income Daily Conference on Municipal Finance, Philadelphia, Pa. Chairman Arthur Levitt
Jun. 6, 1997 "Advertising Fund Performance: Public Policy Considerations" – Remarks of Commissioner Isaac C. Hunt, Jr., at the 1997 Investment Adviser Conference, Investment Company Institute, Washington, D.C. Commissioner Isaac C. Hunt, Jr.
Jun. 3, 1997 "The 1935 Act: Where Do We Go From Here?" – Remarks of Commissioner Isaac C. Hunt, Jr., at The Energy Daily's 2nd Annual Finance Forum: Securitization, M&A Restructuring Commissioner Isaac C. Hunt, Jr.
May 26, 1997 "Investor Education Policies and Programs" – Remarks of Commissioner Isaac C. Hunt, Jr., to the Financial Services Board of South Africa, Johannesburg, South Africa Commissioner Isaac C. Hunt, Jr.
May 23, 1997 "Concept Release on Exchange Regulation and Foreign Market Access to the United States" – Opening Statement by Chairman Arthur Levitt at the Open Meeting of the SEC, Washington, D.C. Chairman Arthur Levitt
May 19, 1997 "Securities in the U.S. and Russian Stock Markets" – Remarks of Commissioner Isaac C. Hunt, Jr., at the Bank of New York/CTEC Program, New York Commissioner Isaac C. Hunt, Jr.
May 19, 1997 "CPAs and CEOs: A Relationship at Risk" – Remarks of Chairman Arthur Levitt at the Economic Club Of Detroit, Detroit, Mich. Chairman Arthur Levitt
May 6, 1997 "A Good Year for the Markets, A Busy Year for the SEC" – Remarks of Chairman Arthur Levitt to the SIA Regional Firms Committee, Chicago, Ill. Chairman Arthur Levitt
May 5, 1997 Remarks of Commissioner Norman S. Johnson to the National Organization of Investment Professionals, Washington, D.C. Commissioner Norman S. Johnson
May 5, 1997 "Mutual Fund Regulation: Developments At Home and Abroad" – Remarks of Commissioner Isaac C. Hunt, Jr., at the 8th Annual Seminar on the Globalisation of Mutual Funds, Bermuda. Commissioner Isaac C. Hunt, Jr.
Apr. 28, 1997 "Implementing the Investment Advisers Supervision Coordination Act" – Remarks of Commissioner Isaac C. Hunt, Jr., at the SEC/NASAA 19(c) Conference, Washington, D.C. Commissioner Isaac C. Hunt, Jr.
Apr. 21, 1997 "Small Business Makes a Large Contribution" – Remarks of Chairman Arthur Levitt at the Small Business Town Meeting, Richmond, Virginia Chairman Arthur Levitt
Apr. 18, 1997 "Underwriting: The Year that Was, Trends, and Comments" – Remarks of Commissioner Isaac C. Hunt, Jr., at the RIBA Mid-Atlantic States Capital Conference, Pentagon City, Va. Commissioner Isaac C. Hunt, Jr.
Apr. 10, 1997 "Implementing the National Securities Markets Improvement Act" – Remarks of Commissioner Isaac C. Hunt, Jr., at the National Regulatory Services Annual Compliance Conference for Investment Advisers and Broker-Dealers, Puerto Rico Commissioner Isaac C. Hunt, Jr.
First Quarter
Mar. 21, 1997 "Preserving Muncipal Market Trust – The Road Ahead" – Remarks of Chairman Arthur Levitt at the New York State Government Finance Officers Assn., Albany, New York Chairman Arthur Levitt
Mar. 18, 1997 "Values Add Value" – Remarks of Chairman Arthur Levitt at the Trinity Church Tercentenary, New York, N.Y. Chairman Arthur Levitt
Mar. 14, 1997 "Current Developments in Securities Law and Corporate Governance" – Remarks of Commissioner Norman S. Johnson at the 16th Annual Institute for Corporate Counsel, Los Angeles, Calif. Commissioner Norman S. Johnson
Mar. 6, 1997 "Mutual Funds and the International Marketplace: A Regulatory Challenge" – Remarks of Commissioner Isaac C. Hunt, Jr., at the Sixth Annual Conference on International Issues, The University of Tulsa, Tulsa, Okla. Commissioner Isaac C. Hunt, Jr.
Feb. 25, 1997 "Taking the Mystery Out of Mutual Funds" – Remarks of Chairman Arthur Levitt at the Boston Citizens Seminar, Boston, Mass. Chairman Arthur Levitt
Feb. 13, 1997 "Concerning H.R. 268, The Depository Institution Affiliation and Thrift Charter Conversion Act" – Oral Statement by Chairman Arthur Levitt before the House of Representatives Chairman Arthur Levitt
Feb. 6, 1997 "Plain English: A Work in Progress" – Remarks of Commissioner Isaac C. Hunt, Jr., at the First Annual Institute on Mergers and Acquisition: Corporate, Tax, Securities and Related Aspects, Key Biscayne, Fla. Commissioner Isaac C. Hunt, Jr.
Jan. 30, 1997 "The Options Markets: A Cornerstone of U.S. Capital Markets Today" – Remarks of Chairman Arthur Levitt at the 13th Annual Risk Management Conference,Tucson, Arizona Chairman Arthur Levitt
Jan. 23, 1997 "Corporate Finance in the Information Age" – Remarks of Chairman Arthur Levitt at the Securities Regulation Institute, San Diego, Calif. Chairman Arthur Levitt

1997 Speeches by Commission Staff

Date Title Author
Fourth Quarter
Dec. 10, 1997 Jane B. Adams, Deputy Chief Accountant Current Accounting Projects, Office of the Chief Accountant, at the American Institute of Certified Public Accountants 1997 National Conference on Current SEC Developments, Washington, D.C.
(NOTE! Text revised 12-24-97)
Jane B. Adams, Deputy Chief Accountant, Office of the Chief Accountant
Dec. 10, 1997 Remarks of Walter R. Teets, Academic Accounting Fellow, Current Accounting Projects, Office of the Chief Accountant, at the American Institute of Certified Public Accountants 1997 National Conference on Current SEC Developments, Washington, D.C. Walter R. Teets, Academic Accounting Fellow, Current Accounting Projects, Office of the Chief Accountant
Dec. 9, 1997 Remarks of Donna L. Coallier, Professional Accounting Fellow, Current Accounting Projects, Office of the Chief Accountant, at the American Institute of Certified Public Accountants 1997 National Conference on Current SEC Developments, Washington, D.C. Donna L. Coallier, Professional Accounting Fellow, Current Accounting Projects, Office of the Chief Accountant
Dec. 9, 1997 Remarks of William R. McLucas, Director, Division of Enforcement, at the American Institute of Certified Public Accountants 1997 National Conference on Current SEC Developments, Washington, D.C. William R. McLucas, Director, Division of Enforcement
Dec. 9, 1997 "Current Developments in Financial Reporting: Perspectives from the SEC" – Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the American Institute of Certified Public Accountants 1997 National Conference on Current SEC Developments, Washington, D.C. Michael H. Sutton, Chief Accountant of the Commission
Dec. 4, 1997 "Remembering the Past: Mutual Funds and the Lessons of the Wonder Years" – Remarks of Barry P. Barbash, Director of the Division of Investment Management, 1997 ICI Securities Law Procedures Conference, Washington, D.C. Barry P. Barbash, Director of the Division of Investment Management
Nov. 11, 1997 "Current Developments in Financial Reporting: Challenges and Opportunities" – Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the Financial Executives Institute Current Financial Reporting Issues Conference, New York, N.Y. Michael H. Sutton, Chief Accountant of the Commission
Nov. 10, 1997 "International Accounting Standards: Progress and Challenges" – Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the Financial Executives Institute Current Financial Reporting Issues Conference, New York, N.Y. Michael H. Sutton, Chief Accountant of the Commission
Nov. 7, 1997 "Current Developments in Financial Reporting: Perspectives from the SEC" – Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the American Institute of Certified Public Accountants 1997 National Conference on Banks and Savings Institutions, Washington, D.C. Michael H. Sutton, Chief Accountant of the Commission
Oct. 22, 1997 "Insurance Products: The Responsibilities of a Growing Industry" – Remarks of Barry P. Barbash, Director of the Division of Investment Management, at the 15th Annual Advanced ALI-ABA Conference on Life Insurance Company Products, Washington, D.C. Barry P. Barbash, Director of the Division of Investment Management
Oct. 20, 1997 "Financial Reporting and Investor Protection" – The Emanuel Saxe Distinguished Lecture in Accounting, by Michael H. Sutton, Chief Accountant of the Commission, at the Department of Accountancy, Baruch College, New York, N.Y. Michael H. Sutton, Chief Accountant of the Commission
Oct. 1, 1997 "Capital Market Standards for Financial Reporting: Perspective from the Securities and Exchange Commission" – Remarks of Mary B. Tokar, Senior Associate Chief Accountant for the Office of the Chief Accountant, at the Institut Der Wirtschaftsprufer, Hannover, Germany Mary B. Tokar, Senior Associate Chief Accountant–International, Office of the Chief Accountant
Third Quarter
Aug. 17, 1997 "Dangerous Ideas: A Sequel" – Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the 1997 Annual Meeting of the American Accounting Association, Dallas, Texas Michael H. Sutton, Chief Accountant of the Commission
Aug. 17, 1997 "International Harmonization of Accounting Standards: Perspectives From the Securities and Exchange Commission" – Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the 1997 Annual Meeting of the American Accounting Association, Dallas, Texas Michael H. Sutton, Chief Accountant of the Commission
Second Quarter
May 29, 1997 "Current Financial Reporting Issues" – Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the University of Southern California School of Business Administration's 16th Annual SEC and Financial Reporting Institute, Pasadena, California Michael H. Sutton, Chief Accountant of the Commission
May 16, 1997 "Mutual Funds in the New Millennium: The Opportunity To Invent Their Future" – Remarks of Barry P. Barbash, Director of the Division of Investment Management, at the 1997 ICI General Membership Meeting, Washington, D.C. Barry P. Barbash, Director of the Division of Investment Management
First Quarter
Mar. 23, 1997 "Concept Release on Exchange Regulation and Foreign Market Access to the United States" – Opening Statement by Richard Lindsey, Director, Division of Market Regulation, at the Open Meeting of the SEC, Washington, D.C. Richard Lindsey, Director, Division of Market Regulation
Feb. 4, 1997 "Whither PUHCA?" – Remarks of Barry P. Barbash, Director of the Division of Investment Management, before the Tenth Annual Utility M&A Symposium, New York, N.Y. Barry P. Barbash, Director of the Division of Investment Management

http://www.sec.gov/news/speech/speecharchive/1997speech.shtml


Modified: 04/23/2003