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Commission Speeches and Public Statements Archive: 2007

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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2007 Speeches and Statements by the Chairman and Commissioners

Date Title Author
Fourth Quarter
Dec. 19, 2007 Keynote Address to the Columbia Law and Business Schools, Cross Border Securities Market Mergers Conference, New York, New York Chairman
Christopher Cox
Dec. 18, 2007 Remarks before the Commission Open Meeting Regarding Public Company Accounting Standards Board Annual Budget and Accounting Support Fees
Video of Chairman's Statement:
*  Windows Media Player (26 MB)
*  QuickTime (56 MB)
Chairman
Christopher Cox
Dec. 18, 2007 Statement at Open Meeting to Consider PCAOB's Proposed 2008 Budget, Washington, D.C. Commissioner
Paul S. Atkins
Dec. 11, 2007 Remarks before the Commission Open Meeting Regarding Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves
Video of Chairman's Statement:
*  Windows Media Player (7 MB)
*  QuickTime (10 MB)
Chairman
Christopher Cox
Dec. 11, 2007 Remarks before the Commission Open Meeting Regarding Electronic Filing and Revision of Form D
Video of Chairman's Statement:
*  Windows Media Player (12 MB)
*  QuickTime (17 MB)
Chairman
Christopher Cox
Dec. 11, 2007 Remarks before the Commission Open Meeting Regarding Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3
Video of Chairman's Statement:
*  Windows Media Player (14 MB)
*  QuickTime (20 MB)
Chairman
Christopher Cox
Dec. 10, 2007 Remarks at the 35th Annual AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Commissioner
Kathleen L. Casey
Dec. 5, 2007 The Rise of Sovereign Business: Gauer Distinguished Lecture in Law and Policy at the American Enterprise Institute Legal Center for the Public Interest, Washington, D.C. Chairman
Christopher Cox
Dec. 4, 2007 Remarks Introducing "The Hub", SEC Division of Enforcement Roundtable, Washington, D.C. Chairman
Christopher Cox
Dec. 3, 2007 Address to the 16th XBRL International Conference, Vancouver, British Columbia Chairman
Christopher Cox
Nov. 28, 2007 Remarks before the Independent Directors Council, San Francisco, California Commissioner
Paul S. Atkins
Nov. 28, 2007 Statement before the Open Meeting regarding Electronic Shareholder Forums, Washington, D.C. Commissioner
Paul S. Atkins
Nov. 28, 2007 Electronic Shareholder Forum Rules; Codification of Interpretation of Rule 14(a)(8)(i)(8), Commission Open Meeting, Washington, D.C.
Video of Chairman's Statement on Electronic Shareholder Forum Rules:
*  Windows Media Player (14 MB)
*  QuickTime (15 MB)
Video of Chairman's Statement on Shareholder Proposals on Election Procedures:
*  Windows Media Player (43 MB)
*  QuickTime (46 MB)
Chairman
Christopher Cox
Nov. 28, 2007 Opening Statement — Shareholder Proposals Relating to the Election of Directors, Open Meeting, Washington, D.C. Commissioner
Annette L. Nazareth
Nov. 27, 2007 Videotaped Introductory Remarks at the 2007 SBR/XBRL International Conference, Brisbane, Australia
Video:
*  Windows Media Player (9 MB)
*  QuickTime (10 MB)
Chairman
Christopher Cox
Nov. 20, 2007 Remarks Before EDHEC Alternative Investment Days 2007, London, England Commissioner
Paul S. Atkins
Nov. 15, 2007 Mutual Fund Prospectus Simplification; Financial Statements Using IFRS; Small Business Capital Formation, Simplified Reporting, and Disclosure Reforms, SEC Open Meeting, Washington, D.C. Chairman
Christopher Cox
Nov. 15, 2007 Statement on Fiscal 2007 Enforcement Results, Washington, D.C. Chairman
Christopher Cox
Nov. 15, 2007 Statement before the Open Meeting regarding Smaller Public Companies, Washington, D.C. Commissioner
Paul S. Atkins
Nov. 15, 2007 Open Meeting Statement on Acceptance from Foreign Private Issuers of Financial Statements Prepared in Accordance with IFRS, Washington, D.C. Commissioner
Paul S. Atkins
Nov. 15, 2007 Open Meeting Statement on Mutual Fund Prospectus Disclosure and Delivery, Washington, D.C. Commissioner
Paul S. Atkins
Nov. 14, 2007 Address to the 2007 CCOutreach National Seminar, Washington, D.C. Chairman
Christopher Cox
Nov. 13, 2007 Remarks Before the National Organization of Investment Professionals (NOIP), New York Commissioner
Paul S. Atkins
Nov. 9, 2007 Remarks Before the Securities Industry and Financial Markets Association Annual Meeting, Boca Raton, Florida Commissioner
Annette L. Nazareth
Nov. 8, 2007 'Learning from the Shogun — Toward IOSCO's Vision of A Global Market', International Organization of Securities Commissions Technical Committee Conference, Hotel Okura Tokyo, Tokyo, Japan Chairman
Christopher Cox
Nov. 1, 2007 Remarks at the Opening of the SEC Visitors Center Historic Exhibit, Washington, D.C. Chairman
Christopher Cox
Nov. 1, 2007 Remarks at the SEC Historical Society Symposium, ‘Keeping the Markets Open – Lessons Learned From the 1987 Market Break', Washington, D.C. Chairman
Christopher Cox
Oct. 29, 2007 Remarks Before the International Corporate Governance Network, New York, New York Commissioner
Annette L. Nazareth
Oct. 24, 2007 Address to the Institute for Legal Reform's Annual Legal Reform Summit, Washington, DC Commissioner
Kathleen L. Casey
Oct. 24, 2007 'The Role of Government in Markets': Keynote Address and Robert R. Glauber Lecture at the John F. Kennedy School of Government, Harvard University, Cambridge, Massachusetts Chairman
Christopher Cox
Oct. 22, 2007 Welcoming Address to the AICPA Governing Council 2007 Fall Meeting, Tampa, Florida Chairman
Christopher Cox
Oct. 19, 2007 Remarks Before the Los Angeles County Bar Association 40th Annual Securities Regulation Seminar, Los Angeles, California Commissioner
Annette L. Nazareth
Oct. 16, 2007 The SEC's Role in Globalization of the Capital Markets, Tokyo, Japan Commissioner
Paul S. Atkins
Oct. 15, 2007 American Society and the SEC's Mission, Tokyo, Japan Commissioner
Paul S. Atkins
Oct. 12, 2007 'Plain Language and Good Business': Keynote Address to the Center for Plain Language Symposium, Washington, DC Chairman
Christopher Cox
Oct. 9, 2007 Just Say 'No' to the Trial Lawyers — "Op-Ed" for the Wall Street Journal Commissioner
Paul S. Atkins
Oct. 9, 2007 Remarks at the Eighth Annual A. A. Sommer, Jr. Corporate, Securities and Financial Law Lecture, New York, New York Commissioner
Paul S. Atkins
Oct. 9, 2007 Remarks at the Institute of International Bankers Fall Membership Luncheon, New York, New York Commissioner
Kathleen L. Casey
Oct. 9, 2007 Keynote Address to the 2007 US-EU Corporate Governance Conference, Washington, DC Chairman
Christopher Cox
Oct. 8, 2007 How Technology Can Improve Life for Investors, Orlando, Florida
Video:
*  Windows Media Player (9 MB)
*  QuickTime (19 MB)
Chairman
Christopher Cox
Oct. 4, 2007 Remarks Before the Security Traders Association's 74th Annual Conference and Business Meeting, Boca Raton, Florida Commissioner
Annette L. Nazareth
Oct. 1, 2007 Address at the North American Securities Administrators Association Annual Conference, Seattle, Washington Commissioner
Kathleen L. Casey
Third Quarter
Sep. 28, 2007 Remarks Before the Global Financial Reporting Convergence Conference, New York, New York Commissioner
Kathleen L. Casey
Sep. 24, 2007 Welcoming Remarks to the SEC's Annual Forum on Small Business Capital Formation, Washington, D.C. Chairman
Christopher Cox
Sep. 20, 2007 Remarks to the Leadership Health Care Delegation to Wall Street, New York, New York Commissioner
Paul S. Atkins
Sep. 19, 2007 Adoption of Regulation R Final Rules; Temporary Rule Regarding Principal Trades with Investment Advisory Clients, Washington, D.C. Chairman
Christopher Cox
Sep. 19, 2007 Comments on Regulation R Final Rules, SEC Open Meeting, Washington, D.C. Commissioner
Paul S. Atkins
Sep. 13, 2007 Remarks Before the Security Traders Association of Boston, Boston, Massachusetts Commissioner
Paul S. Atkins
Sep. 10, 2007 Remarks at the Second Annual Seniors Summit, Washington, D.C. Chairman
Christopher Cox
Sep. 6, 2007 Address to the AARP National Convention, "Life at Fifty-Plus", Boston, Massachusetts Chairman
Christopher Cox
Sep. 5, 2007 Keynote Address at the Southwest Regional Enforcement Conference, Fort Worth, Texas Commissioner
Kathleen L. Casey
Aug. 2, 2007 Welcoming Remarks to the Advisory Committee on Improvements to Financial Reporting, Washington, D.C. Chairman
Christopher Cox
Aug. 2, 2007 Remarks Before the Federal Reserve Bank of Chicago Seventh Annual Private Equity Conference, Chicago, Illinois Commissioner
Paul S. Atkins
Jul. 25, 2007 Statement before the Open Meeting regarding Shareholder Proposals, Washington, D.C. Commissioner
Paul S. Atkins
Jul. 25, 2007 Opening Remarks at the SEC Open Meeting, Washington, D.C. Chairman
Christopher Cox
Jul. 25, 2007 Remarks at the SEC Open Meeting: Shareholder Proposals, Washington, D.C. Commissioner
Roel C. Campos
Jul. 25, 2007 Remarks at the SEC Open Meeting: Approval of Auditing Standard #5 and Significant Deficiency, Washington, D.C. Commissioner
Roel C. Campos
Jul. 25, 2007 Remarks at the Open Meeting: Concept Release on Allowing U.S. Issuers to Use IFRS, Washington, D.C. Commissioner
Roel C. Campos
Jul. 18, 2007 Integrity in the Municipal Market, Los Angeles, California Chairman
Christopher Cox
Jul. 11, 2007 Remarks at the SEC Open Meeting: An Antifraud Rule For Advisers To Pooled Investment Vehicles, Washington, D.C. Commissioner
Paul S. Atkins
Jul. 11, 2007 Remarks at the SEC Open Meeting: Antifraud Rule For Advisers To Pooled Investment Vehicles, Washington, D.C. Commissioner
Roel C. Campos
Jul. 6, 2007 Remarks at the International Corporate Governance Network, Cape Town, South Africa Commissioner
Roel C. Campos
Second Quarter
Jun. 27, 2007 Remarks before the SIFMA Risk Management Conference, New York, New York Commissioner
Annette L. Nazareth
Jun. 20, 2007 Remarks at the SEC Open Meeting: Shareholder Choice Regarding Proxy Materials, Washington, D.C. Commissioner
Roel C. Campos
Jun. 20, 2007 Remarks at the SEC Open Meeting: IFRS / U.S. GAAP Reconciliation, Washington, D.C. Commissioner
Roel C. Campos
Jun. 20, 2007 Remarks at the SEC Open Meeting: Extension of Interactive Data Voluntary Reporting Program on the EDGAR System to Include Mutual Fund Risk/Return Summary Information, Washington, D.C. Commissioner
Roel C. Campos
Jun. 20, 2007 Remarks at the SEC Open Meeting: Amendments to Rule 105 of Regulation M, Washington, D.C. Commissioner
Roel C. Campos
Jun. 14, 2007 Remarks to the New York Society of Security Analysts, Washington, D.C. Chairman
Christopher Cox
Jun. 14, 2007 Principles v. Rules, Luxembourg Fund Industry Association and the American Chamber of Commerce, Luxembourg Commissioner
Roel C. Campos
Jun. 13, 2007 Opening Statement at the Commission Open Meeting, Washington, D.C. Chairman
Christopher Cox
Jun. 7, 2007 Remarks at the Fund Governance Forum, New York City Commissioner
Paul S. Atkins
Jun. 6, 2007 Welcoming Remarks, SEC Historical Society's Commemoration of the Commission's Seventy-Third Year, Washington, D.C. Chairman
Christopher Cox
Jun. 6, 2007 Remarks Before the PLI Hedge Fund Conference, New York, New York Commissioner
Annette L. Nazareth
Jun. 4, 2007 Remarks at the 15th International XBRL Conference, Munich, Germany Commissioner
Kathleen L. Casey
Jun. 1, 2007 Remarks before the International Organization of Securities Commissions' Roundtable on the Quality of Public Company Audits, Paris, France Commissioner
Roel C. Campos
Jun. 1, 2007 Remarks to the Annual Meeting of the Association of Audit Committee Members, Washington, D.C. Chairman
Christopher Cox
May 31, 2007 Address to the National Italian-American Foundation, New York City Chairman
Christopher Cox
May 30, 2007 Remarks before AmCham Germany, Frankfurt, Germany Commissioner
Paul S. Atkins
May 29, 2007 Remarks Before the Association of Chartered Certified Accountants, Paris, France Commissioner
Paul S. Atkins
May 23, 2007 Remarks at the SEC Open Meeting: Final Rules regarding Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations, Washington, D.C. Commissioner
Kathleen L. Casey
May 23, 2007 Comments on Final Rules Regarding Oversight of Credit Rating Agencies as Nationally Recognized Statistical Rating Agencies, Washington, D.C. Commissioner
Paul S. Atkins
May 23, 2007 Remarks at the SEC Open Meeting: Proposed Rules regarding Smaller Companies, Washington, D.C. Commissioner
Roel C. Campos
May 23, 2007 Remarks at the SEC Open Meeting: Management Guidance on Internal Control over Financial Reporting, Washington, D.C. Commissioner
Roel C. Campos
May 18, 2007 Address to the Federal Reserve Bank of Chicago's 43rd Annual Conference on Bank Structure and Competition, Chicago, Illinois Chairman
Christopher Cox
May 18, 2007 Address to the Senior Investor Protection Symposium, The Federal Reserve Bank of Chicago, Chicago, Illinois Chairman
Christopher Cox
May 11, 2007 Address to the 39th Annual Rocky Mountain Securities Conference, Denver, Colorado Chairman
Christopher Cox
May 10, 2007 Address to the Investment Company Institute's 2007 General Membership Meeting, Washington, D.C. Chairman
Christopher Cox
May 10, 2007 Remarks Before the Financial Services Roundtable Lawyers Council 2007 Spring Meeting, Washington, D.C. Commissioner
Paul S. Atkins
May 10, 2007 The Challenge of MiFID in the United States, Amsterdam, Netherlands, via teleconference from Washington, D.C. Commissioner
Roel C. Campos
May 9, 2007 Address to the Security Traders Association 11th Annual Washington Conference, Washington, D.C. Chairman
Christopher Cox
May 8, 2007 Remarks Before the SEC/NASAA 19(d) Conference, Washington, D.C. Commissioner
Paul S. Atkins
May 8, 2007 Remarks Before the Asian Pacific American Heritage Month Program, Washington, D.C. Commissioner
Paul S. Atkins
May 7, 2007 Remarks before the SEC's Roundtable on the Federal Proxy Rules and State Corporation Law, Washington, D.C. Chairman
Christopher Cox
May 4, 2007 Remarks Before the ABA Section of International Law, Washington, D.C. Commissioner
Annette L. Nazareth
Apr. 30, 2007 Remarks Before the 34th Annual SIFMA Operations Conference, Kissimmee, Florida Commissioner
Paul S. Atkins
Apr. 28, 2007 Remarks Before the Brown Spring Forum: Economics, Entrepreneurship & Technology, Providence, RI Commissioner
Annette L. Nazareth
Apr. 27, 2007 Remarks Before the Investment Adviser Association, Austin, Texas Commissioner
Paul S. Atkins
Apr. 26, 2007 Address to the American Academy in Berlin and the American Chamber of Commerce in Germany, Berlin, Germany Chairman
Christopher Cox
Apr. 23, 2007 Remarks at the Operation Hope 15th Anniversary Bankers Bus Tour, Los Angeles, California Commissioner
Paul S. Atkins
Apr. 20, 2007 Is Excessive Regulation and Litigation Eroding U.S. Financial Competitiveness?, Conference co-sponsored by the American Enterprise Institute and the Brookings Institution, Washington, D.C. Commissioner
Paul S. Atkins
Apr. 19, 2007 Remarks Before the Security Traders Association of New York 71st Annual Conference, New York, New York Commissioner
Paul S. Atkins
Apr. 17, 2007 The Euro and the Dollar: Pillars in Global Finance, Conference organized by the Federal Reserve Bank of New York and the European Commission, New York, New York Commissioner
Kathleen L. Casey
Apr. 13, 2007 Remarks Before the Mutual Fund Directors Forum Seventh Annual Policy Conference, Washington, D.C. Chairman
Christopher Cox
Apr. 12, 2007 Remarks Before the IOSCO Annual Conference, Mumbai, India Commissioner
Roel C. Campos
Apr. 12, 2007 Remarks Before the Mutual Fund Directors Forum Seventh Annual Policy Conference, Washington, D.C. Commissioner
Annette L. Nazareth
Apr. 4, 2007 Opening Statement at the Commission Open Meeting, Washington, D.C. Chairman
Christopher Cox
First Quarter
Mar. 30, 2007 Remarks Before the North Carolina Banking Institute, Charlotte, North Carolina Commissioner
Paul S. Atkins
Mar. 27, 2007 Remarks at the Royal Society of Arts, London, England Commissioner
Paul S. Atkins
Mar. 26, 2007 Remarks Before the SIFMA Compliance and Legal Conference, Phoenix, Arizona Commissioner
Annette L. Nazareth
Mar. 26, 2007 Remarks at Finance Dublin, Dublin, Ireland Commissioner
Paul S. Atkins
Mar. 23, 2007 Closing Remarks to the Second Annual Corporate Governance Summit, Los Angeles, California Chairman
Christopher Cox
Mar. 22, 2007 Remarks Before the Governance for Owners Conference, London, England Commissioner
Roel C. Campos
Mar. 21, 2007 Remarks at the Open Meeting on Foreign Private Issuer Deregistration Rules, Washington, D.C. Commissioner
Kathleen L. Casey
Mar. 21, 2007 Opening Statement on Foreign Private Issuer Deregistration Final Rules, SEC Open Meeting, Washington, D.C. Commissioner
Annette L. Nazareth
Mar. 21, 2007 Remarks at the Open Meeting: Foreign Private Issuer Deregistration, Washington, D.C. Commissioner
Roel C. Campos
Mar. 21, 2007 Comments on Final Deregistration Rules at the SEC Open Meeting, Washington, D.C. Commissioner
Paul S. Atkins
Mar. 20, 2007 Remarks Before the Council of Institutional Investors, Washington, D.C. Commissioner
Annette L. Nazareth
Mar. 14, 2007 Address to Joint Meeting of the National Endowment for Democracy and the Foreign Policy Association, New York, New York Chairman
Christopher Cox
Mar. 14, 2007 Remarks to the U.S. Chamber of Commerce's First Annual Capital Markets Summit: Securing America's Competitiveness, Washington, D.C. Chairman
Christopher Cox
Mar. 13, 2007 Remarks Before the National Association for Business Economics, Arlington, Virginia Commissioner
Paul S. Atkins
Mar. 8, 2007 Remarks Before the Association Française des Entreprises Privées, Paris, France Commissioner
Roel C. Campos
Mar. 8, 2007 SEC Regulation Outside the United States, London, England Commissioner
Roel C. Campos
Mar. 8, 2007 Remarks at Press Conference on ‘Operation Spamalot’, Washington, D.C. Chairman
Christopher Cox
Mar. 8, 2007 Address to the 2007 Corporate Counsel Institute, Washington, D.C. Chairman
Christopher Cox
Mar. 6, 2007 Videotaped Address to the 2007 Australian Securities and Investment Commission Summer School, Sydney, Australia Chairman
Christopher Cox
Mar. 6, 2007 Chairman's Address to the SEC Roundtable on International Financial Reporting Standards, Washington, D.C. Chairman
Christopher Cox
Mar. 5, 2007 Remarks Before the Hedge Fund Institutional Forum Corporate Funds Roundtable, Washington, D.C. Commissioner
Roel C. Campos
Mar. 5, 2007 Remarks Before the Women's History Month Program, Washington, D.C. Chairman
Christopher Cox
Mar. 5, 2007 Remarks Before the Annual Washington Conference of the Institute of International Bankers, Washington, D.C. Commissioner
Paul S. Atkins
Feb. 28, 2007 Remarks Before the Mutual Fund Directors Forum First Annual Directors Institute, Coral Gables, Florida Commissioner
Roel C. Campos
Feb. 22, 2007 Opening Remarks at African American History Month Celebration, Washington, D.C. Chairman
Christopher Cox
Feb. 9, 2007 Remarks Before SEC Speaks, Washington, D.C. Commissioner
Kathleen L. Casey
Feb. 9, 2007 Remarks Before SEC Speaks, Washington, D.C. Commissioner
Annette L. Nazareth
Feb. 9, 2007 Opening Remarks to the Practising Law Institute's SEC Speaks Series, Washington, D.C. Chairman
Christopher Cox
Feb. 9, 2007 Remarks Before the SEC Speaks in 2007, Washington, D.C. Commissioner
Paul S. Atkins
Feb. 8, 2007 Remarks Before the CNMV Corporate Governance and Securities Markets Conference, Madrid, Spain Commissioner
Roel C. Campos
Feb. 8, 2007 Remarks Before the Conference of Business Economists, Washington, D.C. Commissioner
Annette L. Nazareth
Jan. 31, 2007 Comments on Proposed Rules Regarding Oversight of Credit Rating Agencies as Nationally Recognized Statistical Rating Agencies, Washington, D.C. Commissioner
Paul S. Atkins
Jan. 29, 2007 Remarks Before the 9th Annual Alternative Investment Roundup, Scottsdale, Arizona Commissioner
Paul S. Atkins
Jan. 24, 2007 Re-Thinking Regulation in the Era of Global Securities Markets, 34th Annual Securities Regulation Institute, Coronado, California Chairman
Christopher Cox
Jan. 23, 2007 Remarks Before the 2007 Summit on Executive Compensation, New York, New York Commissioner
Roel C. Campos
Jan. 22, 2007 Remarks at Northwestern University School of Law, Chicago, Illinois Chairman
Christopher Cox
Jan. 22, 2007 Remarks at the Corporate Directors Forum 2007, San Diego, California Commissioner
Paul S. Atkins
Jan. 11, 2007 Remarks at the ALI-ABA Course of Study, Broker Dealer Regulation, Washington, D.C. Commissioner
Annette L. Nazareth

2007 Speeches and Statements by Commission Staff

Date Title Author
Fourth Quarter
Dec. 12, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Janet Luallen, Associate Chief Accountant, Office of the Chief Accountant
Dec. 11, 2007 Opening Statement of the Division of Corporation Finance: Oil and Gas Concept Release, Commission Open Meeting, Washington, D.C. Mellissa Campbell Duru, Attorney-Adviser, Division of Corporation Finance
Dec. 11, 2007 Opening Statement of the Division of Corporation Finance Regarding Electronic Filing and Revision of Form D, Commission Open Meeting, Washington, D.C. Corey A. Jennings, Attorney-Adviser, Division of Corporation Finance
Dec. 11, 2007 Opening Statement of the Division of Corporation Finance Regarding Revisions to the Eligibility Requirements of Forms S-3 and F-3, Commission Open Meeting, Washington, D.C. Daniel Greenspan, Special Counsel, Division of Corporation Finance
Dec. 11, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C.
Slide presentation (PDF)
Todd E. Hardiman, Associate Chief Accountant, Division of Corporation Finance
Dec. 11, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C.
Slide presentation (PDF)
Stephanie L. Hunsaker, Associate Chief Accountant, Division of Corporation Finance
Dec. 11, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C.
Slide presentation (PDF)
Steven C. Jacobs, Associate Chief Accountant, Division of Corporation Finance
Dec. 11, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C.
Slide presentation (PDF)
Joel K. Levine, Associate Chief Accountant, Division of Corporation Finance
Dec. 11, 2007 Lessons Learned from San Diego, AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Linda Chatman Thomsen, Director, Division of Enforcement
Dec. 10, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant
Dec. 10, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Mark Barrysmith, Professional Accounting Fellow, Office of the Chief Accountant
Dec. 10, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Ashley W. Carpenter, Professional Accounting Fellow, Office of the Chief Accountant
Dec. 10, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Conrad W. Hewitt, Chief Accountant
Dec. 10, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Josh Jones, Professional Accounting Fellow, Office of the Chief Accountant
Dec. 10, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Len Jui, Associate Chief Accountant, Office of the Chief Accountant
Dec. 10, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Vassilios Karapanos, Associate Chief Accountant, Office of the Chief Accountant
Dec. 10, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Sandie E. Kim, Professional Accounting Fellow, Office of the Chief Accountant
Dec. 10, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Katrina A. Kimpel, Professional Accounting Fellow, Office of the Chief Accountant
Dec. 10, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. James L. Kroeker, Deputy Chief Accountant, Office of the Chief Accountant
Dec. 10, 2007 "Considering Audit Regulation under SOX", AICPA National Conference, Washington, D.C. Zoe-Vonna Palmrose, Deputy Chief Accountant for Professional Practice
Dec. 10, 2007 Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Eric C. West, Associate Chief Accountant, Office of the Chief Accountant
Dec. 6, 2007 Remarks Before the ICI 2007 Securities Law Developments Conference, Washington, D.C. Andrew J. Donohue, Director, Division of Investment Management
Nov. 28, 2007 "Risk Management for Broker-Dealers", 2007 AICPA/FMD National Conference on the Securities Industry, New York, NY Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Nov. 28, 2007 Division Statement Before the Commission Open Meeting Regarding Electronic Shareholder Forums, Washington, D.C. Tamara Brightwell, Senior Special Counsel to the Director, Division of Corporation Finance
Nov. 28, 2007 Division Statement Before the Commission Open Meeting Regarding Shareholder Proposals Relating to the Election of Directors, Washington, D.C. Lillian C. Brown, Senior Special Counsel to the Director, Division of Corporation Finance
Nov. 28, 2007 Keynote Address at the Investment Company Directors Conference, San Francisco, CA Andrew J. Donohue, Director, Division of Investment Management
Nov. 28, 2007 Remarks Before the AICPA/FMD National Conference on the Securities Industry, New York, N.Y. Erik R. Sirri, Director, Division of Trading and Markets
Nov. 15, 2007 Opening Remarks at the SEC Open Meeting, Washington, D.C. Michael D. Coco, Special Counsel, Office of International Corporate Finance, Division of Corporation Finance
Nov. 15, 2007 Opening Remarks at the SEC Open Meeting, Washington, D.C. Conrad Hewitt, Chief Accountant
Nov. 15, 2007 Opening Remarks at the SEC Open Meeting, Washington, D.C. Katrina A. Kimpel, Professional Accounting Fellow, Office of the Chief Accountant
Nov. 15, 2007 Opening Statement of the Division of Corporation Finance at the SEC Open Meeting, Washington, D.C. Johanna Vega Losert, Attorney-Advisor, Division of Corporation Finance
Nov. 15, 2007 Opening Remarks at the SEC Open Meeting, Washington, D.C. John W. White, Director, Division of Corporation Finance
Nov. 14, 2007 Welcome and Closing Remarks Before the CCOutreach National Seminar, Washington, D.C. Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Nov. 14, 2007 "Electric Money: Trading in the 21st Century", Financial Times Conference, New York, N.Y. Erik R. Sirri, Director, Division of Trading and Markets
Nov. 14, 2007 Opening Remarks Before the CCOutreach National Seminar, Washington, DC Andrew J. Donohue, Director, Division of Investment Management
Nov. 8, 2007 "If I Were a Director of a Fund Investing in Derivatives — Key Areas of Risk on Which I Would Focus," Mutual Fund Directors Forum Program, New York, New York Gene Gohlke, Associate Director, Office of Compliance Inspection and Examinations
Nov. 8, 2007 Remarks Before the 2007 ALI-ABA Life Insurance Company Products Conference, Washington, D.C. Linda Chatman Thomsen, Director, Division of Enforcement
Nov. 6, 2007 Keynote Address at the Investment Company Directors Conference, Washington, D.C. Andrew J. Donohue, Director, Division of Investment Management
Oct. 24, 2007 The Future of Securities Regulation, Philadelphia, Pennsylvania Brian G. Cartwright, General Counsel
Oct. 19, 2007 Keynote Address at the 2007 Managed Account Solutions Conference, New York, New York Andrew J. Donohue, Director, Division of Investment Management
Oct. 18, 2007 Remarks Before the Investment Company Institute 2007 Operations and Technology Conference, Washington, D.C. Andrew J. Donohue, Director, Division of Investment Management
Oct. 18, 2007 Working Towards a Culture of Compliance: Some Obstacles in the Path, Remarks Before the National Society of Compliance Professionals 2007 National Membership Meeting, Washington, D.C. Lori Richards, Director, Office of Compliance Inspections and Examinations
Oct. 16, 2007 Remarks Before the SIFMA Proxy Symposium, New York, NY Erik R. Sirri, Director, Division of Market Regulation
Oct. 15, 2007 Trading Places: Mobility and the New International Financial Regulation, Montreal, Quebec Ethiopis Tafara, Director, Office of International Affairs
Oct. 11, 2007 Luncheon Address at the 2007 ICI Closed End Fund Workshop, New York, New York Andrew J. Donohue, Director, Division of Investment Management
Oct. 10, 2007 Opening Remarks Before the 15th Annual NASPP Conference, San Francisco, California Linda Chatman Thomsen, Director, Division of Enforcement
Oct. 9, 2007 Where’s the Analysis?, Remarks Before the 2nd Annual Proxy Disclosure Conference, San Francisco, California John W. White, Director, Division of Corporation Finance
Oct. 1, 2007 Luncheon Address at IA Week's 7th Annual Fall Compliance Conference, Philadelphia, Pennsylvania Andrew J. Donohue, Director, Division of Investment Management
Third Quarter
Sep. 24, 2007 Implementation and Enforcement of IFRSs, London, England Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant
Sep. 20, 2007 Remarks Before the FIA and OIC New York Equity Options Conference, New York, New York Erik R. Sirri, Director, Division of Market Regulation
Sep. 19, 2007 Opening Remarks at SEC Open Meeting: Adoption of Regulation R — The Bank Broker Provisions of the Securities Exchange Act of 1934, Washington, D.C. Erik R. Sirri, Director, Division of Market Regulation
Sep. 11, 2007 "Perspectives on Public Transparency", Second Internal Control & Fraud Conference of the Association of Governmental Accountants, Atlanta, Georgia Martha Mahan Haines, Assistant Director, Office of Municipal Securities, Division of Market Regulation
Aug. 18, 2007 A Global View: Examining Cross-Border Financial Services, Whistler, BC, Canada Erik R. Sirri, Director, Division of Market Regulation
Aug. 14, 2007 Corporation Finance in 2007 — An Interim Report, San Francisco, California John W. White, Director, Division of Corporation Finance
Aug. 2, 2007 Opening Remarks Before the Initial Meeting of the SEC Advisory Committee on Improvements to Financial Reporting, Washington, D.C. Conrad W. Hewitt, Chief Accountant, Office of the Chief Accountant
Jul. 25, 2007 Opening Remarks at the SEC Open Meeting, Washington, D.C. Katrina Kimpel, Professional Accounting Fellow, Office of the Chief Accountant
Jul. 25, 2007 Opening Remarks at the SEC Open Meeting, Washington, D.C. Lillian C. Brown, Senior Special Counsel, Division of Corporation Finance
Jul. 25, 2007 Opening Remarks at the SEC Open Meeting, Washington, D.C. John W. White, Director, Division of Corporation Finance
Jul. 25, 2007 Opening Remarks at the SEC Open Meeting, Washington, D.C. Conrad Hewitt, Chief Accountant, Office of the Chief Accountant
Jul. 25, 2007 Opening Remarks at the SEC Open Meeting, Washington, D.C. Zoe-Vonna Palmrose, Deputy Chief Accountant, Office of the Chief Accountant
Second Quarter
Jun. 26, 2007 Remarks Before the Stanford Law School Directors' College 2007, Stanford, California Linda Chatman Thomsen, Director, Division of Enforcement
Jun. 25, 2007 Drilling for Disclosure: The Powerful Tool of Interactive Data, Washington, D.C.
Slide presentation (PDF)
John W. White, Director, Division of Corporation Finance
Jun. 25, 2007 Remarks Before the NAVA Compliance and Regulatory Affairs Conference, Washington, D.C. Andrew J. Donohue, Director, Division of Investment Management
Jun. 20, 2007 Remarks Before the SEC Open Meeting: Final Amendments to Rule 105 of Regulation M, Washington, D.C. Erik R. Sirri, Director, Division of Market Regulation
Jun. 20, 2007 Opening Remarks at the SEC Open Meeting, Washington, D.C. Michael D. Coco, Special Counsel, Office of International Corporate Finance, Division of Corporation Finance
Jun. 20, 2007 Opening Statement of the Division of Corporation Finance at the SEC Open Meeting, Washington, D.C. Raymond A. Be, Special Counsel, Office of Rulemaking, Division of Corporation Finance
Jun. 15, 2007 Tchaikovsky's Fourth or Monk's Mood: Improvisation and Harmony in Cross-Border Regulation, London, United Kingdom Ethiopis Tafara, Director, Office of International Affairs
Jun. 13, 2007 Opening Statement at the SEC Open Meeting re: Amendments to Rule 10a-1 and Regulation SHO, Washington, D.C. Erik R. Sirri, Director, Division of Market Regulation
Jun. 13, 2007 Opening Statement at the SEC Open Meeting re: Amendments to Regulation SHO, Washington, D.C. Erik R. Sirri, Director, Division of Market Regulation
Jun. 7, 2007 The Regulatory Focus on Broker-Dealer Legal and Compliance Issues, Chicago, Illinois Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Jun. 1, 2007 Increased Importance of Models: Disclosure, Fair Value and Accounting, Wharton School of the University of Pennsylvania, Philadelphia, Pennsylvania Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis
May 31, 2007 SEC and Financial Reporting Institute, Leventhal School of Accounting, Pasadena, California James L. Kroeker, Deputy Chief Accountant, Office of the Chief Accountant
May 24, 2007 Remarks for Financial Reporting Through XBRL Panel Discussion at FDIC Accounting Conference, Arlington, Virginia James Freeman, Investor Advocate, Office of Investor Education and Assistance
May 23, 2007 Remarks at IASC Foundation: IFRS Conference, Zurich, Switzerland Conrad Hewitt, Chief Accountant
May 23, 2007 Remarks Before the SEC Open Meeting: Final Rules Implementing the Credit Rating Agency Reform Act of 2006, Washington, D.C. Erik R. Sirri, Director, Division of Market Regulation
May 23, 2007 Remarks Before the 4th Annual Hedge Funds and Alternative Investments Conference, The Securities Industry and Financial Markets Association, New York, N.Y. Andrew J. Donohue, Director, Division of Investment Management
May 23, 2007 SEC's Proposed Interpretive Guidance to Management for Section 404 of Sarbanes-Oxley Act, SEC Open Meeting, Washington, D.C. John W. White, Director, Division of Corporation Finance
May 23, 2007 SEC's Proposed Interpretive Guidance to Management for Section 404 of Sarbanes-Oxley Act, SEC Open Meeting, Washington, D.C. Conrad Hewitt, Chief Accountant
May 23, 2007 SEC's Proposed Interpretive Guidance to Management for Section 404 of Sarbanes-Oxley Act, SEC Open Meeting, Washington, D.C. Zoe-Vonna Palmrose, Deputy Chief Accountant
May 23, 2007 Statement of the Division of Corporation Finance at the SEC Open Meeting, Washington, D.C. Kevin O'Neill, Anthony Barone and Katherine Hsu, Special Counsels, Division of Corporation Finance
May 14, 2007 Challenges to the Structure and Regulation of the Financial Markets, Paris, France Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis
May 8, 2007 Shared Responsibilities In Global Capital Markets, BritishAmerican Business Inc.'s Financial Services Forum, London, England Ethiopis Tafara, Director, Office of International Affairs
May 4, 2007 Remarks Before the 27th Annual Ray Garrett, Jr. Corporate and Securities Law Institute 2007, Chicago, Illinois Linda Chatman Thomsen, Director, Division of Enforcement
May 3, 2007 Keeping the Promises of Leadership and Teamwork: The 2007 Proxy Season and Executive Compensation Disclosures, 27th Annual Ray Garrett Jr. Corporate and Securities Law Institute, Chicago, IL John W. White, Director, Division of Corporation Finance
May 3, 2007 Remarks at Baruch College, New York, New York Conrad Hewitt, Chief Accountant
May 2, 2007 Corporation Finance and the Foreign Private Issuer Community in 2007, Practising Law Institute Conference, "Foreign Issuers & the U.S. Securities Laws 2007: Strategies for the Changing Regulatory Environment", New York, New York John W. White, Director, Division of Corporation Finance
Apr. 27, 2007 Remarks before the 2007 Options Industry Conference, San Antonio, Texas Elizabeth K. King, Associate Director, Division of Market Regulation
Apr. 20, 2007 Shareholder Voting and Corporate Governance: Economic Perspectives, Rutgers University Conference on "Improving Corporate Governance: Markets vs. Regulation", New York, New York Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis
Apr. 12, 2007 Public Plan Investment and the Role of Indexing, Harrisburg, Pennsylvania Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis
Apr. 12, 2007 Remarks Before the Mutual Fund Directors Forum 7th Annual Policy Conference, Washington, D.C. Linda Chatman Thomsen, Director, Division of Enforcement
Apr. 12, 2007 Keynote Address at the Practicing Law Institute Investment Management Institute 2007, New York, N.Y. Andrew J. Donohue, Director, Division of Investment Management
Apr. 4, 2007 Remarks before the 2007 Conference on Principles-Based Accounting and the Challenges of Implementation, New York, N.Y. James L. Kroeker, Deputy Chief Accountant, Office of the Chief Accountant
First Quarter
Mar. 26, 2007 Keynote Address at 2007 Mutual Funds and Investment Management Conference, Palm Desert, California Andrew J. Donohue, Director, Division of Investment Management
Mar. 26, 2007 Remarks at Press Conference, New York, New York Linda Chatman Thomsen, Director, Division of Enforcement
Mar. 23, 2007 SEC's Compliance Examinations in the Protection of Investors, 9th Annual IA Compliance Best Practices Summit 2007, IA Week and the Investment Adviser Association, Washington, D.C. Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Mar. 23, 2007 Seeing Down the Road: IFRS and the U.S. Capital Markets, NYSE/Brooklyn Law School Breakfast Roundtable, New York, New York John W. White, Director, Division of Corporation Finance
Mar. 22, 2007 Remarks before the 2007 USC Corporate Governance Summit, Los Angeles, California Zoe-Vonna Palmrose, Deputy Chief Accountant, Office of the Chief Accountant
Mar. 22, 2007 Short Sale Regulation: A Targeted Approach for Efficient Markets, Keynote Address at the MFA Seminar Series 2007, New York, New York James A. Brigagliano, Associate Director, Office of Trading Practices and Processing, Division of Market Regulation
Mar. 22, 2007 Remarks Before the IA Week and the Investment Adviser Association 9th Annual IA Compliance Best Practices Summit 2007, Washington, D.C. Linda Chatman Thomsen, Director, Division of Enforcement
Mar. 22, 2007 Remarks Before the IA Week and the Investment Adviser Association 9th Annual IA Compliance Best Practices Summit 2007, Washington, D.C. Andrew J. Donohue, Director, Division of Investment Management
Mar. 21, 2007 Opening Remarks at the SEC Open Meeting, Washington, D.C. Elliot Staffin, Special Counsel, Division of Corporation Finance
Mar. 16, 2007 Remarks Before the American Bar Association Section of Business Law Spring Meeting, Washington, D.C. Andrew J. Donohue, Director, Division of Investment Management
Mar. 15, 2007 Economic Analysis and Cost-Benefit Analysis: Substitutes or Complements?, Washington, D.C. Chester S. Spatt, Chief Economist and Director of the Office of Economic Analysis
Mar. 8, 2007 The Economics of FIN 48: Accounting for Uncertainty in Income Taxes, Washington, D.C. Chester S. Spatt, Chief Economist and Director of the Office of Economic Analysis
Mar. 8, 2007 Remarks at "Operation Spamalot" Press Conference, Washington, D.C. Mark K. Schonfeld, Director, New York Regional Office
Mar. 8, 2007 Remarks at the 2007 Corporate Counsel Institute, Washington, D.C. Linda Chatman Thomsen, Director, Division of Enforcement
Mar. 8, 2007 Remarks at "Operation Spamalot" Press Conference, Washington, D.C. Linda Chatman Thomsen, Director, Division of Enforcement
Mar. 1, 2007 Keynote Address at the Mutual Fund Directors Forum Institute, Coral Gables, Florida Andrew J. Donohue, Director, Division of Investment Management
Mar. 1, 2007 Trading Foreign Shares, Boston, Massachusetts Erik R. Sirri, Director, Division of Market Regulation
Mar. 1, 2007 Statement Concerning SEC v. Guttenberg, New, York, New York Linda Chatman Thomsen, Director, Division of Enforcement
Feb. 23, 2007 The Promise of Transparency — Corporation Finance in 2007, 29th Annual Conference on Securities Regulation and Business Law, Dallas, Texas John W. White, Director, Division of Corporation Finance
Feb. 9, 2007 Remarks to the Practising Law Institute’s SEC Speaks Series , Washington, D.C. Conrad Hewitt, Chief Accountant
Feb. 9, 2007 Management Reporting on Internal Control over Financial Reporting, SEC Speaks, Washington, D.C. Zoe-Vonna Palmrose, Deputy Chief Accountant for Professional Practice
Feb. 8–9, 2007 Remarks on UK and US Approaches to Corporate Governance and on the Market for Corporate Control, Madrid, Spain, and London, England Ethiopis Tafara, Director, Office of International Affairs
Jan. 31, 2007 Remarks before the SEC Open Meeting, Washington, D.C. Erik R. Sirri, Director, Division of Market Regulation
Jan. 26, 2007 Remarks before The California ’40 Acts Group, Los Angeles, California Erik R. Sirri, Director, Division of Market Regulation
Jan. 22, 2007 Remarks before the 2007 Foundation of Accounting Education SEC/FASB Conference, Washington, D.C. Conrad W. Hewitt, Chief Accountant
Jan. 19, 2007 Feedback from Individual Investors on Disclosure, Malvern, Pennsylvania Lori J. Schock, Acting Director, Office of Investor Education and Assistance
Jan. 15, 2007 Remarks before the Practising Law Institute Sixth Annual Institute on Securities Regulation in Europe, London, England John W. White, Director, Division of Corporation Finance
Jan. 6, 2007 Penalties and Sanctions for Securities Fraud, Chicago, Illinois Chester S. Spatt, Chief Economist

 

http://www.sec.gov/news/speech/speecharchive/2007speech.shtml


Modified: 10/16/2014