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Commission Speeches and Public Statements Archive: 2002

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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2002 Speeches by the Chairman and Commissioners

Date Title Author
Fourth Quarter
Dec. 18, 2002 Remarks at the Commission Open Meeting, December 18, 2002, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
Dec. 11, 2002 Remarks at the Commission Open Meeting, December 11, 2002, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
Dec. 9, 2002 Remarks Before the Investment Company Institute 2002 Securities Law Developments Conference, by Commissioner Paul S. Atkins, Washington, D.C. Commissioner
Paul S. Atkins
Dec. 2, 2002 Post-Enron America: An SEC Perspective, The Third Annual A.A. Sommer, Jr. Corporate Securities & Financial Law Lecture, by Commissioner Harvey J. Goldschmid, Fordham University School of Law Commissioner
Harvey J. Goldschmid
Nov. 20, 2002 Comment & Analysis — Let Issuers Pay for Analysts' Research, by Commissioner Roel C. Campos, "Op-Ed" for the Financial Times, London Edition 1 Commissioner
Roel C. Campos
Nov. 19, 2002 Statement: Auditor Independence, by Commissioner Roel C. Campos, SEC Open Meeting, Washington, D.C. Commissioner
Roel C. Campos
Nov. 18, 2002 Noah Krieger Memorial Lecture, by Chairman Harvey L. Pitt, Brown University, Providence, R.I. Chairman
Harvey L. Pitt
Nov. 14, 2002 Remarks at the Federalist Society 20th Annual Convention, by Commissioner Paul S. Atkins, Washington, D.C.. Commissioner
Paul S. Atkins
Nov. 8, 2002 Remarks at the Securities Industry Association Annual Meeting , by Chairman Harvey L. Pitt, Boca Raton, Fla. Chairman
Harvey L. Pitt
Nov. 7, 2002 Chairman Harvey Pitt's Announced Resignation, Statement by Commissioner Roel C. Campos, SEC Headquarters, Washington, D.C. Commissioner
Roel C. Campos
Nov. 6, 2002 Statement by Commissioner Cynthia A. Glassman, SEC Headquarters, Washington, D.C. Commissioner
Cynthia A. Glassman
Nov. 5, 2002 Remarks at the Financial Executives International 2002 Conference, by Commissioner Cynthia A. Glassman, New York Hilton Hotel, New York, N.Y. Commissioner
Cynthia A. Glassman
Nov. 4, 2002 Welcoming Remarks at the International Institute for Enforcement and Market Oversight, by Commissioner Roel C. Campos, Washington, D.C. Commissioner
Roel C. Campos
Oct. 25, 2002 Statement on New Public Company Accounting Oversight Board,, by Commissioner Roel C. Campos at Open Commission Meeting, SEC Headquarters, Washington, D.C. Commissioner
Roel C. Campos
Oct. 25, 2002 Statement on New Public Company Accounting Oversight Board,, by Commissioner Harvey J. Goldschmid at Open Commission Meeting, SEC Headquarters, Washington, D.C. Commissioner
Harvey J. Goldschmid
Oct. 25, 2002 Statement on New Public Company Accounting Oversight Board,, by Commissioner Cynthia A. Glassman at Open Commission Meeting, SEC Headquarters, Washington, D.C. Commissioner
Cynthia A. Glassman
Oct. 24, 2002 Remarks at the Second Annual Wall Street Summit of the New American Alliance, by Comissioner Roel C. Campos, New York, N.Y. Comissioner
Roel C. Campos
Oct. 22, 2002 Remarks at the Directors' Education Institute, Duke University, by Chairman Harvey L. Pitt, Durham, N.C. Chairman
Harvey L. Pitt
Oct. 16, 2002 Remarks at the Commission Open Meeting, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
Oct. 16, 2002 Remarks at the Commission Open Meeting Regarding Corporate Ethical Behavior, by Comissioner Roel C. Campos, Washington, D.C. Comissioner
Roel C. Campos
Oct. 10, 2002 A Single Capital Market in Europe:Challenges for Global Companies – Remarks of Chairman Harvey L. Pitt at the Conference of the Institute of Chartered Accountants of England and Wales, in Brussels, Belgium. Chairman
Harvey L. Pitt
Oct. 8, 2002 Remarks at the Financial Times' Conference on Regulation & Integration of the International Capital Markets, by Chairman Harvey L. Pitt, London. Chairman
Harvey L. Pitt
Third Quarter
Sep. 27, 2002 Sarbanes-Oxley and the Idea of "Good" Governance – Remarks by Commissioner Cynthia A. Glassman, before the American Society of Corporate Secretaries, Washington, D.C. Commissioner
Cynthia A. Glassman
Sep. 26, 2002 Remarks at the Twenty-First Annual Government-Business Forum on Small Business Capital Formation, by Comissioner Roel C. Campos, New York, N.Y. Comissioner
Roel C. Campos
Sep. 26, 2002 Remarks before the U.S. Department of Justice Corporate Fraud Conference, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
Sep. 23, 2002 Remarks Before the Council of Institutional Investors' Fall Conference, by Chairman Harvey L. Pitt, New York, N.Y. Chairman
Harvey L. Pitt
Sep. 20, 2002 Remarks at the September Symposium on Corporate Governance and Accounting Reform, Women in Housing and Finance, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
Sep. 17, 2002 SEC Statement Regarding Arbitration Programs of Self-Regulatory Organizations  
Aug. 12, 2002 Remarks Before the Annual Meeting of the American Bar Association's Business Law Section, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
Jul. 24, 2002 Statement on Proposal of Regulation AC, by Chairman Harvey L. Pitt, SEC Headquarters Chairman
Harvey L. Pitt
Jul. 19, 2002 Remarks Before the National Press Club, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
Jul. 15, 2002 Statement on Passage of S. 2673, Public Company Accounting Reform and Investor Protection Act of 2002, by Chairman Harvey L. Pitt, SEC Headquarters Chairman
Harvey L. Pitt
Jul. 12, 2002 Statement on Fannie Mae/Freddie Mac, by Chairman Harvey L. Pitt, SEC Headquarters Chairman
Harvey L. Pitt
Second Quarter
Jun. 26, 2002 Remarks before the Economic Club of New York, by Chairman Harvey L. Pitt, New York, N.Y. Chairman
Harvey L. Pitt
Jun. 20, 2002 Remarks on the Proposed Framework for Enhancing the Quality of Financial Information through Improvement of Oversight of the Auditing Process – Statement by Commissioner Cynthia A. Glassman at SEC Headquarters, Washington, D.C. Commissioner
Cynthia A. Glassman
Jun. 20, 2002 Proposed Rules to Create a Framework for a Public Accountability Board – Statement by Chairman Harvey L. Pitt at SEC Headquarters, Washington, D.C. Chairman
Harvey L. Pitt
Jun. 13, 2002 Remarks before the New York Financial Writers Association, by Chairman Harvey L. Pitt, New York, N.Y. Chairman
Harvey L. Pitt
Jun. 4, 2002 Opening Remarks before the Symposium on Enhancing Financial Transparency, by Commissioner Cynthia A. Glassman, Washington, D.C. Commissioner
Cynthia A. Glassman
Jun. 2, 2002 Commencement Address at St. John's University School of Law, by Chairman Harvey L. Pitt, Queens, N.Y. Chairman
Harvey L. Pitt
May 24, 2002 Remarks Before the Investment Company Institute, 2002 General Membership Meeting, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
May 10, 2002 Remarks Before the Investor Summit, by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
Apr. 25, 2002 Remarks Before the Annual Meeting of the Bond Market Association, by Chairman Harvey L. Pitt, New York, N.Y. Chairman
Harvey L. Pitt
Apr. 6, 2002 Remarks Before the Committee on Federal Regulation of Securities, Section on Business Law, American Bar Association, by Commissioner Isaac C. Hunt, Jr., Boston, Massachusetts Commissioner
Isaac C. Hunt, Jr.
Apr. 4, 2002 Remarks at the Inaugural Lecture of the JD/MBA Lecture Series, by Chairman Harvey L. Pitt, Kellogg Graduate School of Management and Northwestern Law School, Chicago, Illinois Chairman
Harvey L. Pitt
First Quarter
Mar. 11, 2002 Remarks at SIA Compliance and Legal Division Seminar, by Chairman Harvey L. Pitt, Palm Desert, California Chairman
Harvey L. Pitt
Feb. 22, 2002 Remarks at "The SEC Speaks in 2002", by Commissioner Cynthia A. Glassman, Washington, D.C. Commissioner
Cynthia A. Glassman
Feb. 22, 2002 Remarks at "The SEC Speaks in 2002", by Commissioner Isaac C. Hunt, Jr., Washington, D.C. Commissioner
Isaac C. Hunt, Jr.
Feb. 22, 2002 Remarks at "The SEC Speaks in 2002", by Chairman Harvey L. Pitt, Washington, D.C. Chairman
Harvey L. Pitt
Feb. 19, 2002 Remarks at the Winter Bench and Bar Conference of the Federal Bar Council, by Chairman Harvey L. Pitt, Puerto Rico Chairman
Harvey L. Pitt
Jan. 23, 2002 Remarks at the 29th Annual Securities Regulation Institute, by Chairman Harvey L. Pitt, Coronado, California Chairman
Harvey L. Pitt
Jan. 17, 2002 Regulation of the Accounting Profession – Statement by Chairman Harvey L. Pitt at SEC Headquarters, Washington, D.C. Chairman
Harvey L. Pitt

2002 Speeches by Commission Staff

Date Title Author
Fourth Quarter
Dec. 20, 2002 Statement at the Announcement of Agreement in Principle on Research Analyst Issues, by Stephen M. Cutler, Director, Division of Enforcement Stephen M. Cutler, Director, Division of Enforcement
Dec. 13, 2002 International Developments: Convergence and You, Remarks before the AICPA SEC Developments Conference, by Jackson M. Day, Acting Chief Accountant Jackson M. Day, Acting Chief Accountant
Dec. 12, 2002 Changing the Future, Remarks before the AICPA SEC Current Issues Conference, Washington, D.C., by Jackson M. Day, Acting Chief Accountant Jackson M. Day, Acting Chief Accountant
Dec. 12, 2002 Remarks Before the American Institute of Certified Public Accountants, by Stephen M. Cutler, Director, Division of Enforcement, Washington, D.C. Stephen M. Cutler, Director, Division of Enforcement
Dec. 12, 2002 Priorities of the SEC Examination Program, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, at the 2002 Capital Markets Compliance Fundamentals Workshop, Financial Markets Association, Alexandria, Va. Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Dec. 9, 2002 Keynote Address at the Investment Company Institute 2002 Securities Law Developments Conference, by Paul F. Roye, Director, Division of Investment Management, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Nov. 22, 2002 Keynote Address at the Meeting of the Business Law Section of the American Bar Association, Committee on Federal Regulation of Securities, by Paul F. Roye, Director, Division of Investment Management, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Nov. 19, 2002 Opening Statement: Commission Open Meeting on Record Retention (§802) and Independence (Title II), by Jackson M. Day, Acting Chief Accountant, Washington, D.C. Jackson M. Day, Acting Chief Accountant
Nov. 14, 2002 Keynote Address at the Twentieth Annual Advanced ALI-ABA Conference on Life Insurance Company Products, by Paul F. Roye, Director, Division of Investment Management, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Nov. 1, 2002 Remarks at the University of Michigan Law School, by Stephen M. Cutler, Director, Division of Enforcement, Ann Arbor, Michigan Stephen M. Cutler, Director, Division of Enforcement,
Oct. 30, 2002 The Evolution of the SEC's Inspection Program for Advisers and Funds: Keeping Apace of a Changing Industry, Remarks at "Compliance and Inspection Issues for Investment Advisers and Investment Companies," New York, N.Y., by Lori A. Richards, Director, Office of Compliance Inspections and Examinations Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Oct. 17, 2002 Priorities in Investment Management Regulation – Remarks by Paul F. Roye, Director, Division of Investment Management, as the Keynote Address at the Eighth Annual Advanced ALI-ABA Course of Study: Investment Management Regulation, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Oct. 15, 2002 Remarks at the 2002 Internal Auditors Division Annual Conference, Securities Industry Association, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Tempe, Ariz. Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Third Quarter
Sep. 25, 2002 Remarks before the ICAA STP/T+1 Conference, by Larry Bergmann, Senior Associate Director, Division of Market Regulation Larry E. Bergmann, Senior Associate Director, Division of Market Regulation
Sep. 23, 2002 Compliance and Internal Controls — Key Priorities for US SEC Examination Program – Remarks by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, Keynote Address before the Fourth Annual Financial Institutions Regulatory Compliance Summit, Toronto, Canada Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Sep. 17, 2002 Key Issues in SEC Examinations of Broker-Dealers – Remarks by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, before the Legal and Compliance Division, Securities Industry Association, New York, N.Y. Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Jul. 16, 2002 Remarks before the American Society of Corporate Secretaries National Conference, by Alan L. Beller, Director, Division of Corporation Finance, Toronto, Ontario Alan L. Beller, Director, Division of Corporation Finance
Second Quarter
Jun. 24, 2002 Keynote Address before the National Association of Variable Annuities, 2002 Regulatory Affairs Conference by Paul F. Roye, Director, Division of Investment Management, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Jun. 20, 2002 Rule Proposal in Connection With the Establishment of a Framework of a Public Accountability Board – Statement by Robert K. Herdman, Chief Accountant, at SEC Headquarters, Washington, D.C. Robert K. Herdman, Chief Accountant
Jun. 6, 2002 Remarks before the Glasser LegalWorks' Investment Management Regulation Conference, by Paul F. Roye, Director, Division of Investment Management, New York, N.Y. Paul F. Roye, Director, Division of Investment Management
May 20, 2002 Remarks before the SIA Spring T+1 Conference, by Robert L. D. Colby, Deputy Director, Division of Market Regulation Robert L. D. Colby, Deputy Director, Division of Market Regulation
May 17, 2002 Remarks before the Rocky Mountain Securities Conference, by Alan L. Beller, Director, Division of Corporation Finance Alan L. Beller, Director, Division of Corporation Finance
May 9, 2002 Remarks before the Security Traders Association, Washington Congressional Conference, by Annette L. Nazareth, Director, Division of Market Regulation Annette L. Nazareth, Director, Division of Market Regulation
May 8, 2002 Analysts Conflicts of Interest: Taking Steps to Remove Bias, by Lori Richards, Director, Office of Compliance Inspections and Examinations, at theFinancial Women's Association, New York, N.Y.
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
May 3, 2002 Remarks Before the 2002 Options Industry Conference, by Annette L. Nazareth, Director, Division of Market Regulation Annette L. Nazareth, Director, Division of Market Regulation
May 2, 2002 Remarks at the Glasser LegalWorks SEC Disclosure, Accounting & Enforcement Conference, by David M. Becker, General Counsel, San Francisco, California David M. Becker; General Counsel
May 2, 2002 Money Laundering: Life After the Patriot Act – Remarks by Lori Richards, Director, Office of Compliance Inspections and Examinations, at theSecurities Industry Association Conference on Anti-Money Laundering Compliance for Broker-Dealers
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Apr. 19, 2002 Remarks at the Global Challenge in Investment Management Regulatory and Legal Issues, by Paul F. Roye, Director, Division of Investment Management, at the Suffolk University School of Law, Boston, Maine Paul F. Roye, Director, Division of Investment Management
Apr. 18, 2002 Moving Toward the Globalization of Accounting Standards – Remarks by Robert K. Herdman, Chief Accountant, at the Schmalenbach Institute for Business Administration Conference (Schmalenbach-Tagung), Cologne, Germany Robert K. Herdman, Chief Accountant
April 11, 2002 What Makes Compliance a Profession? – Remarks by John H. Walsh, Chief Counsel, Office of Compliance Inspections and Examinations, at the NRS Symposium on the Compliance Profession, Miami Beach, Florida John H. Walsh, Chief Counsel, Office of Compliance Inspections and Examinations
Apr. 11, 2002 Improving Standard Setting To Advance the Interests of Investors – Remarks by Robert K. Herdman, Chief Accountant, at the 22nd Annual Ray Garrett Jr. Corporate & Securities Law Institute, Northwestern University, Chicago, Illinois Robert K. Herdman, Chief Accountant
Apr. 8, 2002 Priorities in Investment Adviser Regulation – Remarks by Paul F. Roye, Director, Division of Investment Management, at the IA Compliance Summit and Best Practices Update, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Apr. 8, 2002 Keynote Address: Furthering Good Compliance — Current Areas of Focus in SEC Examinations, by Lori Richards, Director, Office of Compliance Inspections and Examinations, at the National Regulatory Services, 17th Annual Spring Compliance Conference
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
First Quarter
Mar. 25, 2002 Mutual Fund Management: Taking Responsibility, Maintaining Trust and Influencing Positive Change – Remarks by Paul F. Roye, Director, Division of Investment Management, at the 2002 Mutual Funds and Investment Management Conference, Orlando, Florida Paul F. Roye, Director, Division of Investment Management
Mar. 21, 2002 Remarks at "Meet the Regulators", by Lori Richards, Director, Office of Compliance Inspections and Examinations, at the Mid-Atlantic Securities Forum, Philadelphia, Pennsylvania
Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Mar. 7, 2002 Making Audit Committees More Effective – Remarks by Robert K. Herdman, Chief Accountant, Tulane Corporate Law Institute, New Orleans
Robert K. Herdman, Chief Accountant
Feb. 15, 2002 Remarks at the Glasser LegalWorks 20th Annual Federal Securities Institute, by Stephen M. Cutler, Director, Division of Enforcement, Hallandale, Florida Stephen M. Cutler, Director, Division of Enforcement,
Jan. 24, 2002 Critical Accounting and Critical Disclosures – Remarks of Robert K. Herdman, Chief Accountant, before the Financial Executives International – San Diego Chapter, Annual SEC Update, San Diego, California Robert K. Herdman, Chief Accountant
Jan. 14, 2002 Regulatory Issues Involving Exchange Traded Funds – Remarks of Paul F. Roye, Director, Division of Investment Management before the American Stock Exchange Symposium on Exchange Traded Funds, New York, N.Y. Paul F. Roye, Director, Division of Investment Management
Jan. 10, 2002 Keynote Address before the Practicing Law Institute, Understanding Securities Products of Insurance Companies, 2002 Conference, by Paul F. Roye, Director, Division of Investment Management Paul F. Roye, Director, Division of Investment Management
Jan. 8, 2002 Remarks Before the Bond Market Association Legal and Compliance Conference, by Annette L. Nazareth, Director, Division of Market Regulation Annette L. Nazareth, Director, Division of Market Regulation

 

http://www.sec.gov/news/speech/speecharchive/2002speech.shtml


Modified: 10/16/2014