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SEC Congressional Statements and Testimony Archive: 2003

This collection of files contains Congressional testimony given by members of the SEC. The following material is currently available:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

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Date Testimony
Fourth Quarter
Nov. 20, 2003 Stephen M. Cutler, Before the Senate Committee on Banking, Housing, and Urban Affairs, re: Recent Commission Activity To Combat Misconduct Relating to Mutual Funds
Nov. 20, 2003 Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing, and Urban Affairs, re: Improving the Governance of the New York Stock Exchange
Nov. 18, 2003 Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, re: Regulatory Reforms To Protect Our Nation's Mutual Fund Investors
Nov. 4, 2003 Stephen M. Cutler, Director, Division of Enforcement, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, re: Recent Commission Activity to Combat Misconduct Relating to Mutual Funds
Nov. 3, 2003 Stephen M. Cutler, Director, Division of Enforcement, Oral Testimony Before the Senate Subcommittee on Financial Management, the Budget, and International Security, Committee on Governmental Affairs, re: Recent Commission Activity to Combat Misconduct Relating to Mutual Funds
Nov. 3, 2003 Stephen M. Cutler, Director, Division of Enforcement, Before the Senate Subcommittee on Financial Management, the Budget, and International Security, Committee on Governmental Affairs, re: Recent Commission Activity to Combat Misconduct Relating to Mutual Funds
Nov. 3, 2003 Paul F. Roye, Director, Division of Investment Management, Oral Testimony Before the Senate Subcommittee on Financial Management, the Budget and International Security, Committee on Governmental Affairs, re: Initiatives to Address Concerns in the Mutual Fund Industry
Nov. 3, 2003 Paul F. Roye, Director, Division of Investment Management, Before the Senate Subcommittee on Financial Management, the Budget and International Security, Committee on Governmental Affairs, re: Initiatives to Address Concerns in the Mutual Fund Industry
Oct. 30, 2003 Chairman William H. Donaldson, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises re: Market Structure Issues
Oct. 20, 2003 Written Statement of the Commission, Before the Subcommittee on Oversight and Investigations, Committee on Financial Services, United States House of Representatives re: Performance of the Securities Markets During the Northeast Power Outage and Hurricane Isabel
Oct. 15, 2003 Chairman William H. Donaldson, Before the Subcommittee on Securities and Investment of the Senate Committee on Banking, Housing, and Urban Affairs, re: Market Structure Issues
Third Quarter
Sep. 30, 2003 Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, re: Recent Commission Activity To Enhance Investor Protections
Sep. 17, 2003 Chairman William H. Donaldson, Before the House Committee on Financial Services, re: The Commission's Efforts to Strengthen the Accounting Profession
Sep. 9, 2003 Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, re: Implementation of the Sarbanes-Oxley Act of 2002
Jul. 23, 2003 Peter Derby, Managing Executive for Operations (accompanied by James M. McConnell, Executive Director), Before the House Subcommittee on Government Efficiency and Financial Management, Committee on Government Reform, re: Strategic Planning and Operational Effectiveness
Second Quarter
Jun. 18, 2003 Paul F. Roye, Director, Division of Investment Management, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, re: the Mutual Funds Integrity and Fee Transparency Act of 2003, H.R. 2420
Jun. 5, 2003 Stephen M. Cutler, Director, Division of Enforcement, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, re: The Securities Fraud Deterrence and Investor Restitution Act, H.R. 2179
May 22, 2003 Chairman William H. Donaldson, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises Committee on Financial Services, re: The Long and Short of Hedge Funds: Effects of Strategies for Managing Market Risk
May 7, 2003 Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, re: Global Research Analyst Settlement
May 6, 2003 Chairman William H. Donaldson, Before the House Committee on Government Reform, re: H.R. 1836, the "Civil Service and National Security Personnel Improvement Act"
Apr. 10, 2003 Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, on April 10, 2003, Concerning Investor Protection Implications of Hedge Funds
Apr. 8, 2003 Chairman William H. Donaldson, Before the Senate Subcommittee on Commerce, Justice, State and the Judiciary, Committee on Appropriations, on April 8, 2003, Concerning Appropriations for Fiscal 2004
Apr. 2, 2003 Annette L. Nazareth, Director, Division of Market Regulation, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Rating the Rating Agencies: The State of Transparency and Competition
First Quarter
Mar. 13, 2003 Chairman William H. Donaldson, Before the Subcommittee on Commerce, Justice, State, and the Judiciary, Committee on Appropriations, United States House of Representatives, re: Appropriations for Fiscal 2004
Mar. 6, 2003 James M. McConnell, Executive Director, Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the House Committee on Financial Services, re: H.R. 658, the "Accountant, Compliance, and Enforcement Staffing Act of 2003"
Feb. 26, 2003 Stephen M. Cutler, Director, Division of Enforcement, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Returning Funds to Defrauded Investors
Feb. 12, 2003 Robert L. D. Colby, Deputy Director, Division of Market Regulation, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Recovery and Renewal: Protecting the Capital Markets Against Terrorism Post 9/11

 

http://www.sec.gov/news/testimony/testarchive/2003test.shtml


Modified: 10/16/2014