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Commission Speeches and Public Statements Archive: 2005

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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2005 Speeches and Statements by the Chairman and Commissioners

Date Title Author
Fourth Quarter
Dec. 14, 2005 Opening Remarks at Open Meeting, by Chairman Christopher Cox, New York, NY Chairman
Christopher Cox
Dec. 12, 2005 Remarks Before the Economic Club, by Chairman Christopher Cox, New York, NY Chairman
Christopher Cox
Dec. 6, 2005 Remarks at "Beyond the Myth of Anglo-American Corporate Governance"; Institute of Chartered Accountants in England & Wales, by Commissioner Cynthia A. Glassman, Washington, D.C. Commissioner
Cynthia A. Glassman
Dec. 5, 2005 Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Chairman Christopher Cox, Washington, D.C.
Video:
* Windows Media Streaming (12 Mb)
* Windows Media Player (30 Mb)
* MPG format (140 Mb)
Chairman
Christopher Cox
Dec. 5, 2005 Remarks Before the American Institute of Certified Public Accountants, by Commissioner Paul S. Atkins, Washington, D.C. Commissioner
Paul S. Atkins
Nov. 29, 2005 Opening Statement at SEC Open Meeting, by Chairman Christopher Cox, Washington, D.C. Chairman
Christopher Cox
Nov. 17, 2005 Remarks Before the 2005 Mutual Fund Directors Forum, Investment Industry Trading Practices and Best Execution Workshop, by Commissioner Annette L. Nazareth, New York, NY Commissioner Annette L. Nazareth
Nov. 17, 2005 Remarks Before the Conference on Listed Companies and Legislators in Dialogue Danish Ministry of Economic and Business Affairs, by Commissioner Cynthia A. Glassman, Copenhagen, Denmark Commissioner
Cynthia A. Glassman
Nov. 11, 2005 Board Diversity: The 21st Century Challenge; "The New Regulatory Climate and Impact on Board Composition", Remarks Before the 2005 Colloquium for Women Directors, by Commissioner Cynthia A. Glassman, New York, New York Commissioner
Cynthia A. Glassman
Nov. 11, 2005 Remarks Before the Securities Industry Association, by Chairman Christopher Cox, Boca Raton, Florida Chairman
Christopher Cox
Nov. 11, 2005 Remarks Before the American Bar Association Legislative and Regulatory Subcommittee of the Committee on Banking Law, by Commissioner Paul S. Atkins, Richmond, VA Commissioner
Paul S. Atkins
Nov. 9, 2005 Remarks Before the SIA Compliance and Legal Division Fall Compliance Seminar, by Commissioner Paul S. Atkins, New York, NY Commissioner
Paul S. Atkins
Nov. 8, 2005 Opening Message Before the CCOutreach National Seminar, by Chairman Christopher Cox, Washington, D.C.
Video:
* Windows Media Streaming (13 Mb)
* Windows Media Player (20 Mb)
* AVI format (50 Mb)
Chairman
Christopher Cox
Nov. 7, 2005 Remarks at the 12th XBRL International Conference, by Chairman Christopher Cox, Tokyo, Japan
Video:
* Windows Media Streaming (25.5 Mb)
* Windows Media Player (64 Mb)
Chairman
Christopher Cox
Nov. 4, 2005 Remarks at the Plain Language Association International's Fifth International Conference, by Commissioner Cynthia A. Glassman, Washington, D.C. Commissioner
Cynthia A. Glassman
Nov. 2, 2005 Statement Regarding the CCOutreach National Seminar, by Chairman Christopher Cox, Washington, D.C. Chairman
Christopher Cox
Oct. 26, 2005 Remarks Before the European Parliamentary Financial Services Forum, by Commissioner Paul S. Atkins, Strasbourg, France Commissioner
Paul S. Atkins
Oct. 21, 2005 XIX Annual Meeting: International Investment Funds Association, by Commissioner Roel C. Campos, Washington, D.C. Commissioner
Roel C. Campos
Oct. 18, 2005 Remarks Before the Securities Industries Association/Tsinghua University Conference, by Chairman Christopher Cox, Beijing, China Chairman
Christopher Cox
Oct. 16, 2005 Remarks Before the US - China Joint Economic Committee, by Chairman Christopher Cox, Hebei, China Chairman
Christopher Cox
Oct. 7, 2005 Remarks Before the STA Annual Conference, by Commissioner Annette L. Nazareth, Boca Raton, FL Commissioner Annette L. Nazareth
Oct. 7, 2005 Remarks Before the Center for the Study of International Business Law Breakfast Roundtable Series, by Commissioner Cynthia A. Glassman, New York, NY Commissioner
Cynthia A. Glassman
Oct. 7, 2005 Elimination of Investment Adviser Fees a ‘Happy Day’, by Chairman Christopher Cox, Washington, D.C. Chairman
Christopher Cox
Oct. 6, 2005 Remarks at the Video/Tele Conference on International Securities Regulatory and Accounting Issues of the American Bar Association, by Chairman Christopher Cox, Washington, D.C. (3MB mp3 audio file) Chairman
Christopher Cox
Oct. 6, 2005 Remarks on the Occasion of the Visit Of President George W. Bush to the National Endowment for Democracy, by Chairman Christopher Cox, Washington, D.C. Chairman
Christopher Cox
Third Quarter
Sep. 29, 2005 Remarks Before the Managed Funds Association, by Commissioner Paul S. Atkins, New York, NY Commissioner
Paul S. Atkins
Sep. 22, 2005 Remarks Before the ICI Equity Markets Conference, by Commissioner Annette L. Nazareth, New York City, NY Commissioner Annette L. Nazareth
Sep. 21, 2005 Statement at the Commission Open Meeting Regarding the Proposed Soft Dollar Interpretive Release, by Chairman Christopher Cox, Washington, D.C. Chairman
Christopher Cox
Sep. 21, 2005 Statement at Open Meeting Regarding Extension of Section 404 Compliance Date for Smaller Companies and Amendments to Accelerated Filing Requirements, by Chairman Christopher Cox, Washington, D.C. Chairman
Christopher Cox
Sep. 20, 2005 Remarks Before the National Association of State Treasurers, by Commissioner Paul S. Atkins, Incline Village, Nevada Commissioner
Paul S. Atkins
Sep. 19, 2005 Remarks Before the Joint Meeting of SEC Government-Business Forum on Small Business Capital Formation Forum and the SEC Advisory Committee on Smaller Public Companies, by Commissioner Paul S. Atkins, San Francisco Commissioner
Paul S. Atkins
Sep. 15, 2005 Keynote Address Before the 30th Bond Attorney's Workshop of the National Association of Bond Lawyers, by Commissioner Roel C. Campos, Chicago, IL Commissioner
Roel C. Campos
Sep. 14, 2005 Remarks Before the SIA-Hedge Fund Conference, by Commissioner Roel C. Campos, New York, NY Commissioner
Roel C. Campos
Aug. 4, 2005 Statement to SEC Staff, by SEC Chairman Christopher Cox, Washington, D.C.
See also: Webcast Archive
Chairman
Christopher Cox
Jul. 26, 2005 Remarks Before the Committee on Banking, Housing, and Urban Affairs United States Senate, by Commissioner Roel C. Campos, Washington, D.C. Commissioner
Roel C. Campos
Jul. 12, 2005 Remarks Before the Managed Funds Association, by Commissioner Roel C. Campos, London, England Commissioner
Roel C. Campos
Second Quarter
Jun. 29, 2005 Farewell Remarks to SEC Staff, by SEC Chairman William H. Donaldson, Washington, D.C. Chairman
William H. Donaldson
Jun. 29, 2005 Amendments to Investment Company Act of 1940 - Concurring Views: Remarks Before the SEC Open Meeting, by Commissioner Harvey J. Goldschmid, Washington, D.C. Commissioner
Harvey J. Goldschmid
Jun. 29, 2005 Mutual Fund Governance - Response to the Remand: Remarks Before the SEC Open Meeting, by Commissioner Roel C. Campos, Washington, D.C. Commissioner
Roel C. Campos
Jun. 29, 2005 Remarks Before the SEC Open Meeting, by Commissioner Paul S. Atkins, Washington, D.C. Commissioner
Paul S. Atkins
Jun. 29, 2005 Investment Company Governance Remand: Remarks Before the SEC Open Meeting, by Commissioner Cynthia A. Glassman, Washington, D.C. Commissioner
Cynthia A. Glassman
Jun. 29, 2005 Consideration of Issues Remanded to the Commission by the Court of Appeals: Opening Statement Before the SEC Open Meeting, by SEC Chairman William H. Donaldson, Washington, D.C. Chairman
William H. Donaldson
Jun. 29, 2005 Shell Company Rules: Opening Statement Before the SEC Open Meeting, by SEC Chairman William H. Donaldson, Washington, D.C. Chairman
William H. Donaldson
Jun. 29, 2005 Securities Offering Reform: Opening Statement Before the SEC Open Meeting, by SEC Chairman William H. Donaldson, Washington, D.C. Chairman
William H. Donaldson
Jun. 28, 2005 Remarks Before the National Association for Variable Annuities, by Commissioner Paul S. Atkins, Washington, D.C. Commissioner
Paul S. Atkins
Jun. 23, 2005 Remarks Before the European Institute of the University of Gent, by Commissioner Paul S. Atkins, Brussels, Belgium Commissioner
Paul S. Atkins
Jun. 21, 2005 Developing Bond Markets in APEC: Key Lessons from the U.S. Experience: Remarks Before the ABAC/ADBI/PECC Conference, by Commissioner Roel C. Campos, Toyko, Japan Commissioner
Roel C. Campos
Jun. 21, 2005 Remarks at Nippon Keidanren (Japan Federation of Economic Organizations), by Commissioner Roel C. Campos, Toyko, Japan Commissioner
Roel C. Campos
Jun. 15, 2005 SEC in Transition: What We've Done and What's Ahead, by Commissioner Cynthia A. Glassman, Washington, D.C. Commissioner
Cynthia A. Glassman
Jun. 13, 2005 Remarks Before the American Academy in Berlin, by Commissioner Roel C. Campos, Berlin, Germany Commissioner
Roel C. Campos
June 8, 2005 Remarks Before the SIA Industry Leadership Luncheon, by Commissioner Paul S. Atkins, San Francisco, CA Commissioner
Paul S. Atkins
May 19, 2005 Remarks Before the the Council on Foreign Relations, by SEC Chairman William H. Donaldson, New York, NY Chairman
William H. Donaldson
May 12, 2005 Remarks Before the Foundation Financial Officers Group Spring Meeting, by SEC Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
May 8, 2005 2005 CFA Institute Annual Conference, by SEC Chairman William H. Donaldson, Philadelphia, Pennsylvania Chairman
William H. Donaldson
May 2, 2005 Letter from Commissioners Glassman and Atkins re: Staff Report on the Exemptive Rule Amendments of 2004: The Independent Chair Condition, by Commissioners Cynthia A. Glassman and Paul S. Atkins
See also: Adopting Release, IC-26520
Commissioners
Cynthia A. Glassman,
Paul S. Atkins
Apr. 27, 2005 Remarks Before the California '40 Acts Institute, by Commissioner Paul S. Atkins, San Francisco, CA Commissioner
Paul S. Atkins
Apr. 20, 2005 Remarks Before the Bond Market Association, by SEC Chairman William H. Donaldson, New York, NY Chairman
William H. Donaldson
Apr. 13, 2005 Closing Remarks Before the Roundtable on the Implementation of Internal Control Reporting Provisions, by SEC Chairman William H. Donaldson, Washington, D.C. Chairman
William H. Donaldson
Apr. 13, 2005 Opening Remarks Before the Roundtable on the Implementation of Internal Control Reporting Provisions, by SEC Chairman William H. Donaldson, Washington, D.C. Chairman
William H. Donaldson
Apr. 11, 2005 Remarks Before the Council of Institutional Investors 2005 Spring Conference Critical SEC Issues for 2005 - 2006, by Commissioner Harvey J. Goldschmid, Washington, D.C. Commissioner
Harvey J. Goldschmid
Apr. 6, 2005 Enhancement and Modernization of the National Market System, by Commissioner Paul S. Atkins, Washington, D.C. Commissioner
Paul S. Atkins
Apr. 6, 2005 Remarks Before the open meeting regarding the IA/BD Rule, by Commissioner Cynthia A. Glassman, Washington, D.C. Commissioner
Cynthia A. Glassman
Apr. 6, 2005 Remarks Before the Open Meeting regarding Regulation NMS, by Commissioner Cynthia A. Glassman, Washington, D.C. Commissioner
Cynthia A. Glassman
Apr. 6, 2005 Opening Statement at Commission Open Meeting of April 6, 2005, re: Regulation NMS, by SEC Chairman William H. Donaldson, Washington, D.C. Chairman
William H. Donaldson
Apr. 6, 2005 Opening Statement at Commission Open Meeting of April 6, 2005, re: Broker-Dealer Rule, by SEC Chairman William H. Donaldson, Washington, D.C. Chairman
William H. Donaldson
Apr. 4, 2005 Charles Hamilton Houston Lecture, by Commissioner Paul S. Atkins, Washington, D.C. Commissioner
Paul S. Atkins
Apr. 1, 2005 Remarks Before the Financial Services Roundtable, by SEC Chairman William H. Donaldson, Palm Beach, Florida Chairman
William H. Donaldson
First Quarter
Mar. 30, 2005 Remarks Before the Redefining Investment Strategy Education ("RISE") Symposium Corporate Governance Panel, by Commissioner Cynthia A. Glassman, Dayton, OH Commissioner
Cynthia A. Glassman
Mar. 16, 2005 Remarks Before the Directors Education Institute, by SEC Chairman William H. Donaldson, Duke University, Durham, North Carolina Chairman
William H. Donaldson
Mar. 14, 2005 EU-U.S. Dialogue on Financial Market Regulation — A U.S. Perspective, Remarks Before the Annual Washington Conference of the Institute of International Bankers, by Commissioner Cynthia A. Glassman, Washington, D.C. Commissioner
Cynthia A. Glassman
Mar. 14, 2005 Remarks Before the Mutual Fund and Investment Management Conference, by SEC Chairman William H. Donaldson, Washington, D.C. Chairman
William H. Donaldson
Mar. 9, 2005 Remarks Before the Boston Securities Traders Association by Commissioner Paul S. Atkins, Boston, MA. Commissioner
Paul S. Atkins
Mar. 4, 2005 Remarks before SEC Speaks in 2005 by Commissioner Paul S. Atkins, Washignton, D.C. Commissioner
Paul S. Atkins
Mar. 4, 2005 Remarks Before the SEC Speaks Conference, by Commissioner Cynthia A. Glassman, Washington, D.C. Commissioner
Cynthia A. Glassman
Mar. 4, 2005 Remarks before SEC Speaks Conference, by SEC Chairman William H. Donaldson, Washington, D.C. Chairman
William H. Donaldson
Mar. 3, 2005 Statement Before the Open Meeting regarding Mutual Fund Redemption Fees by Commissioner Paul S. Atkins, Washington, D.C. Commissioner
Paul S. Atkins
Mar. 3, 2005 Statement Before the Open Meeting regarding NRSRO Proposing Release by Commissioner Paul S. Atkins, Washington, D.C. Commissioner
Paul S. Atkins
Mar. 3, 2005 Statement Before the Open Meeting regarding PCAOB and FASB Budget Review by Commissioner Paul S. Atkins, Washington, D.C.
* Response of Financial Accounting Foundation to Commissioner Atkin's Questions
* Response of the Public Company Accounting Oversight Board to Commissioner Atkin's Questions
Commissioner
Paul S. Atkins
Mar. 3, 2005 Statement at Open Meeting Regarding NRSRO Rule Proposal, by Commissioner Harvey J. Goldschmid, Washington, D.C. Commissioner
Harvey J. Goldschmid
Mar. 3, 2005 Statement at March 3, 2005 Open Meeting, by SEC Chairman William H. Donaldson, Washington, D.C. Chairman
William H. Donaldson
Mar. 3, 2005 Statement regarding the NRSRO Proposal Before the Open Meeting, by Commissioner Cynthia A. Glassman, Washington, D.C. Commissioner
Cynthia A. Glassman
Mar. 2, 2005 Remarks Before the European Corporate Governance Summit: An SEC Commissioner's View: The Post-Sarbanes-Oxley Environment for Foreign Issuers, by Commissioner Cynthia A. Glassman, London, England Commissioner
Cynthia A. Glassman
Feb. 24, 2005 Remarks Before the Ninth Annual Conference on SEC Regulation Outside the United States, by Commissioner Cynthia A. Glassman, London, England Commissioner
Cynthia A. Glassman
Feb. 23, 2005 Remarks Before the Atlanta Chapter of the National Association of Corporate Directors by Commissioner Paul S. Atkins, Atlanta, Georgia Commissioner
Paul S. Atkins
Feb. 22, 2005 Remarks Before the Association for Corporate Growth of the National Capital Region 11th Annual Mid-Atlantic Region M&A Conference and Capital Forum, by Commissioner Cynthia A. Glassman, McClean, VA Commissioner
Cynthia A. Glassman
Feb. 16, 2005 Remarks Before the Mutual Fund Directors Forum, by SEC Chairman William H. Donaldson, Washington, D.C. Chairman
William H. Donaldson
Feb. 16, 2005 Remarks Before the Economic Club of Memphis by Commissioner Paul S. Atkins, Memphis, Tennessee Commissioner
Paul S. Atkins
Feb. 11, 2005 Remarks Before the SIEPR Economic Summit: Assessment of the Sarbanes-Oxley Act Critical Issue Session, by Commissioner Cynthia A. Glassman, Stanford, CA Commissioner
Cynthia A. Glassman
Feb. 1, 2005 Remarks Before the Bond Market Association 2005 Legal & Compliance Conference by Commissioner Paul S. Atkins, New York, NY Commissioner
Paul S. Atkins
Jan. 27, 2005 Remarks Before the Deutsches Aktieninstitut New Year's Reception by Commissioner Paul S. Atkins, Brussels, Belgium Commissioner
Paul S. Atkins
Jan. 25, 2005 U.S. Capital Markets in the Post-Sarbanes-Oxley World: Why Our Markets Should Matter to Foreign Issuers, Remarks Before the London School of Economics, by SEC Chairman William H. Donaldson, London, England Chairman
William H. Donaldson
Jan. 10, 2005 The SEC's Shareholder Access Proposal by Commissioner Roel C. Campos, New York, NY Commissioner
Roel C. Campos

2005 Speeches and Statements by Commission Staff

Date Title Author
Fourth Quarter
Dec. 8, 2005 The Growth of Derivative Securities, by Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis, New York, New York Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis
Dec. 6, 2005 Remarks before the 2005 Thirty-Third AICPA National Conference on Current SEC and PCAOB Developments, by Joel Levine, Associate Chief Accountant, Division of Corporation Finance, Washington, DC
See also: PowerPoint presentation
Joel Levine, Associate Chief Accountant, Division of Corporation Finance
Dec. 5, 2005 Remarks before the Practising Law Institute; Fifth Annual Institute on Securities Regulation in Europe, by Alan L. Beller, Director, Division of Corporation Finance, London, England Alan L. Beller, Director, Division of Corporation Finance
Dec. 5, 2005 Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Carol A. Stacey, Chief Accountant, Division of Corporation Finance, Washington, DC Carol A. Stacey, Chief Accountant, Division of Corporation Finance
Dec. 5, 2005 Conflicts of Interest in Pension Consulting: An Update on the SEC’s Examinations, by Lori Richards, Director, Office of Compliance Inspections and Examinations, San Francisco, California Lori Richards, Director, Office of Compliance Inspections and Examinations
Dec. 5, 2005 Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Mark Northan, Professional Accounting Fellow, Washington, DC Mark Northan,
Professional Accounting Fellow
Dec. 5, 2005 Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Alison Spivey, Associate Chief Accountant, Washington, DC Alison Spivey,
Associate Chief Accountant
Dec. 5, 2005 Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Pamela Schlosser, Professional Accounting Fellow, Washington, DC, December 5, 2005 Pamela Schlosser,
Professional Accounting Fellow
Dec. 5, 2005 Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Brian K. Roberson, Professional Accounting Fellow, Washington, DC Brian K. Roberson,
Professional Accounting Fellow
Dec. 5, 2005 Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Brian Croteau, Associate Chief Accountant, Washington, DC Brian Croteau,
Associate Chief Accountant
Dec. 5, 2005 Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Jennifer M. Burns, Professional Accounting Fellow, Washington, DC Jennifer M. Burns,
Professional Accounting Fellow
Dec. 5, 2005 Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Shan Benedict, Professional Accounting Fellow, Washington, DC Shan Benedict,
Professional Accounting Fellow
Dec. 5, 2005 Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Scott A. Taub, Acting Chief Accountant, Washington, D.C. Scott A. Taub, Acting Chief Accountant
Dec. 5, 2005 Remarks Before the 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Edmund W. Bailey, Senior Associate Chief Accountant, Office of the Chief Accountant, Washington, D.C. Edmund W. Bailey, Senior Associate Chief Accountant, Office of the Chief Accountant
Dec. 5, 2005 Remarks Before 2005 AICPA National Conference on Current SEC and PCAOB Developments, by Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant, Washington, D.C. Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant
Dec. 1, 2005 International Financial Reporting Standards and the US Capital Market, Remarks Before the Federation of European Accountants, by Ethiopis Tafara, Director, Office of International Affairs, Brussels Ethiopis Tafara, Director, Office of International Affairs
Nov. 30, 2005 Integrating Audit and Compliance Disciplines within the Risk Management Framework, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, New York Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Nov. 18, 2005 Remarks Before the Fall CLE Conference of the Section of Business Law of The American Bar Association, by Giovanni P. Prezioso, General Counsel, Washington, DC Giovanni P. Prezioso, General Counsel
Nov. 16, 2005 Why Private Pensions Matter to the Public Capital Markets, Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Washington, DC Chester Spatt, Chief Economist and Director, Office of Economic Analysis
Nov. 14, 2005 Remarks Before the Fund of Funds Forum, by Gene Gohlke, Associate Director Office of Compliance Inspection and Examinations, New York, NY Gene Gohlke, Associate Director Office of Compliance Inspection and Examinations
Oct. 27, 2005 Remarks Before the Institute of International Bankers' Annual Regulatory Examination and Compliance Seminar, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, New York, NY. Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Oct. 26, 2005 Remarks Before the National Society of Compliance Professionals National Membership Meeting, by Lori Richards, Director, Office of Compliance Inspections and Examinations, Washington, D.C. Lori Richards, Director, Office of Compliance Inspections and Examinations
Oct. 19, 2005 Remarks Before the SIA Compliance and Legal Division Regional Seminar, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, Washington, D.C. Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Oct. 19, 2005 Remarks Before the 2005 China Capital Markets Conference, by Ethiopis Tafara, Director, Office of International Affairs, Beijing, China Ethiopis Tafara, Director, Office of International Affairs
Oct 18, 2005 Remarks Before the Securities Industry Association, Internal Auditors Division 2005 Annual Conference, by Lori Richards, Director, Office of Compliance Inspections and Examinations, Key Biscayne, FL Lori Richards, Director, Office of Compliance Inspections and Examinations
Third Quarter
Sep. 22, 2005 Remarks Before the: Greater Cincinnati Mutual Fund Association Directors' Workshop, by Lori Richards, Director, Office of Compliance Inspections and Examinations, Cincinnati, OH Lori Richards, Director, Office of Compliance Inspections and Examinations
Sep. 13, 2005 Remarks for Promethee: Transatlantic Dialogue and Regulatory Convergence: Panel on Financial Markets: Which Balance Between Market Discipline, Supervision and Regulation? How to Make Compatible Regulatory Initiatives on the Two Sides of the Atlantic?, by Ethiopis Tafara, Director, Office of International Affairs, Paris, France Ethiopis Tafara, Director, Office of International Affairs
Sep. 13, 2005 Remarks for Promethee: Transatlantic Dialogue and Regulatory Convergence: Panel on the Transatlantic Economic Relationship: What Comes Next and How the Debate Evolves?, by Ethiopis Tafara, Director, Office of International Affairs, Paris, France Ethiopis Tafara, Director, Office of International Affairs
Sep. 9, 2005 Statement Regarding Use of Market Instruments in Valuing Employee Stock Options, by Donald T. Nicolaisen, Chief Accountant, Washington, D.C. Donald T. Nicolaisen, Chief Accountant
Aug. 29, 2005 Governance, the Board, and Compensation, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Stockholm, Sweeden Chester Spatt, Chief Economist and Director, Office of Economic Analysis
Jul. 26, 2005 Economic Aspects of Hedge Funds, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Washington, D.C. Chester Spatt, Chief Economist and Director, Office of Economic Analysis
Jul. 21, 2005 Remarks Before the SIA Compliance and Legal Division Member Luncheon, by Annette L. Nazareth, Director, Division of Market Regulation, New York City, NY Annette L. Nazareth, Director, Division of Market Regulation
Second Quarter
Jun. 29, 2005 Opening Statement Before the SEC Open Meeting, by Senior Special Counsel, Division of Corporation Finance, Washington, D.C. Senior Special Counsel, Division of Corporation Finance
Jun. 24, 2005 Remarks Before Convergence: The Future of International Financial Reporting Worldwide Conference, by Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant, London, England Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant
Jun. 23, 2005 Rebuilding Ethics and Compliance in the Securities Industry:, Remarks Before the NYSE Regulation First Annual Securities Conference, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, New York, NY Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Jun. 21, 2005 Covering the Bases, Remarks Before the Directors' College, by Linda C. Thomsen, Director, Division of Enforcement, Stanford University Linda C. Thomsen, Director, Division of Enforcement
Jun. 21, 2005 Remarks Before the NYSE Regulation First Annual Securities Conference, by Annette L. Nazareth, Director, Division of Market Regulation, New York City, NY Annette L. Nazareth, Director, Division of Market Regulation
Jun. 17, 2005 Putting Investors First: Remarks Before the ALI-ABA Course of Study SEC/NASD Compliance, by Linda C. Thomsen, Director, Division of Enforcement, Washington, D.C. Linda C. Thomsen, Director, Division of Enforcement
Jun. 9, 2005 Governance, the Board and Compensation, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Pittsburgh, PA Chester Spatt, Chief Economist and Director, Office of Economic Analysis
Jun. 2, 2005 Remarks Before the USC Leventhal School of Accounting: SEC Financial Reporting Institute Conference, by Donald T. Nicolaisen, Chief Accountant, Pasadena, CA Donald T. Nicolaisen, Chief Accountant
May 20, 2005 Remarks Before the SIA Market Structure Conference, by Annette L. Nazareth, Director, Division of Market Regulation, New York City, NY Annette L. Nazareth, Director, Division of Market Regulation
May 13, 2005 Remarks Before the 2003 0ptions Industry Conference, by Elizabeth King, Associate Director, Division of Market Regulation, Bonita Springs, FL Elizabeth King, Associate Director, Division of Market Regulation
May 12, 2005 Conflicts of Interest in Asset Management, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, New York City, NY Chester Spatt, Chief Economist and Director, Office of Economic Analysis
May 6, 2005 Broad Themes in Market Microstructure, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Cambridge, MA Chester Spatt, Chief Economist and Director, Office of Economic Analysis
May 5, 2005 Managed Funds Association Educational Seminar Series 2005: Practical Guidance for Hedge Fund CCOs Under the SEC's New Regulatory Framework, by Gene Gohlke, Associate Director Office of Compliance Inspection and Examinations, New York, NY Gene Gohlke, Associate Director Office of Compliance Inspection and Examinations
April 28, 2005 Remarks Before the Spring Meeting of the Association of General Counsel, by Giovanni P. Prezioso, General Counsel, Pebble Beach, CA Giovanni P. Prezioso, General Counsel
April 27, 2005 Remarks before Transatlantic Financial Market Symposium Panel, "The Road to Regulatory Convergence: Where are We and Where are We Going?", by Ethiopis Tafara, Director, Office of International Affairs, Luxembourg Ethiopis Tafara, Director, Office of International Affairs
April 26, 2005 Remarks for the 11th XBRL International Conference, by Peter Derby, Managing Executive for Operations & Management, Office of the Chairman, Boston, Massachusetts Peter Derby, Managing Executive for Operations & Management, Office of the Chairman
April 2005 A Securities Regulator Looks at Convergence by Donald T. Nicolaisen, Chief Accountant, Northwestern University Journal of International Law and Business Donald T. Nicolaisen, Chief Accountant
April 20, 2005 Compliance: Some Core Principles, by Lori Richards, Director, Office of Compliance Inspections and Examinations, National Regulatory Services' Twentieth Annual Spring Compliance/Risk Management Conference, Scottsdale, AZ Lori Richards, Director, Office of Compliance Inspections and Examinations
April 18, 2005 Opening Remarks Before the International Institute for Securities Market Development, by Ethiopis Tafara, Director, Office of International Affairs, Washington, D.C. Ethiopis Tafara, Director, Office of International Affairs
April 12, 2005 Certain Specialist Trading - New York Stock Exchange, Inc., by Mark K. Schonfeld, Director, Northeast Regional Office, New York, NY Mark K. Schonfeld, Director, Northeast Regional Office
April 6, 2005 Remarks for the International Organization of Securities Commissions Annual Conference Panel on the Regulation of Credit Rating Agencies, by Ethiopis Tafara, Director, Office of International Affairs, Colombo, Sri Lanka Ethiopis Tafara, Director, Office of International Affairs
Apr. 6, 2005 Opening Statement Before the Open Meeting regarding Regulation NMS, Annette L. Nazareth, Director, Division of Market Regulation, Washington, D.C. Annette L. Nazareth, Director, Division of Market Regulation
April 1, 2005 Regulatory Issues and Economic Principles, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, College Park, MD Chester Spatt, Chief Economist and Director, Office of Economic Analysis
First Quarter
Mar. 18, 2005 Remarks Before the Directorsí Education Institute at Duke University: Staying the Course, by Stephen M. Cutler, Director, Division of Enforcement, Durham, NC Stephen M. Cutler, Director, Division of Enforcement
Mar. 3, 2005 NRSRO Proposal Opening Statement at March 3, 2005 Open Commission Meeting, Annette L. Nazareth, Director, Division of Market Regulation, Washington, D.C. Annette L. Nazareth, Director, Division of Market Regulation
Mar. 3, 2005 Redemption Fees for Redeemable Securities, Opening Statment at March 3, 2005 Open Meeting, Paul F. Roye, Director, Division of Investment Management, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Feb. 28, 2005 Remarks Before the Investment Adviser Compliance Best Practices Summit: Compliance Programs: Our Shared Mission, Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Washington, D.C. Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Feb. 28, 2005 Guest Speech at IA Compliance Best Practices Summit, Paul F. Roye, Director, Division of Investment Management, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Feb. 17, 2005 Remarks Before the Mutual Fund Directors Forum Fifth Annual Policy Conference: Critical Issues for Investment Company Directors, Paul F. Roye, Director, Division of Investment Management, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Feb. 9, 2005 Remarks Before the Managed Funds Association Educational Seminar Series 2005 Guidance on the SEC's New Regulatory Framework for Hedge Fund Advisers, Paul F. Roye, Director, Division of Investment Management, Key Biscayne, FL Paul F. Roye, Director, Division of Investment Management
Feb. 4, 2005 Remarks at the University of South Florida Program: Understanding the Financial Infrastructure for Globalization, Susan Koski-Grafer, Senior Associate Chief Accountant, Tampa, FL Susan Koski-Grafer, Senior Associate Chief Accountant
Jan. 28, 2005 Remarks Before the ALI-ABA Course of Study Investment Adviser Regulation, by Paul F. Roye, Director, Division of Investment Management, Washington, DC Paul F. Roye, Director, Division of Investment Management
Jan. 13, 2005 Statement regarding Royal Ahold and its U.S. Foodservice Subsidiary, by Linda Chatman Thomsen, Deputy Director, Division of Enforcement, Washington, DC Linda Chatman Thomsen, Deputy Director, Division of Enforcement
Jan. 12, 2005 Investors, the Stock Market, and Sarbanes-Oxley's New Section 404 Requirements, by Alan L. Beller, Director, Division of Corporation Finance, New York, NY Alan L. Beller, Director, Division of Corporation Finance
Jan. 12, 2005 Remarks Before the Managed Funds Association Educational Seminar Series 2005: Guidance on the SEC's New Regulatory Framework for Hedge Fund Advisers, by Paul F. Roye, Director, Division of Investment Management, New York, NY Paul F. Roye, Director, Division of Investment Management
Jan. 7, 2005 Remarks Before the the Presentation of the Paul A. Samuelson Award for Publication on Lifetime Financial Security by TIAA-CREF, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Philadelphia, PA Chester Spatt, Chief Economist and Director, Office of Economic Analysis

 

http://www.sec.gov/news/speech/speecharchive/2005speech.shtml


Modified: 10/10/2007