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SEC Congressional Testimony: 2011

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Date Testimony Speaker
Fourth Quarter
Dec. 6, 2011 Testimony on “Continued Oversight of the Implementation of the Wall Street Reform Act”, Before the United States Senate Committee on Banking, Housing, and Urban Affairs Chairman Mary L. Schapiro
Dec. 6, 2011 Testimony on “H.R. 1148, the Stop Trading on Congressional Knowledge Act”, Before the Committee on Financial Services of the U.S. House of Representatives Robert Khuzami, Director, Division of Enforcement
Dec. 1, 2011 Statement on the Application of Insider Trading Law to Trading by Members of Congress and Their Staffs, Before the United States Senate Committee on Homeland Security and Governmental Affairs Robert Khuzami, Director, Division of Enforcement
Dec. 1, 2011 Testimony on Dodd-Frank Act Implementation, Before the United States Senate Committee on Agriculture, Nutrition and Forestry Chairman Mary L. Schapiro
Dec. 1, 2011 Testimony on “Spurring Job Growth Through Capital Formation While Protecting Investors”, Before the Committee on Banking, Housing and Urban Affairs Meredith B. Cross, Director, Division of Corporation Finance, and Lona Nallengara, Deputy Director, Division of Corporation Finance
Nov. 16, 2011 Testimony on "Management and Structural Reforms at the SEC: A Progress Report" , Before the Subcommittee on Securities, Insurance, and Investment, United States Senate Committee on Banking, Housing and Urban Affairs Robert Khuzami, Director, Division of Enforcement
Meredith B. Cross, Director, Division of Corporation Finance
Robert Cook, Director, Division of Trading and Markets
Carlo di Florio, Director, Office of Compliance Inspections and Examinations
Eileen Rominger, Director, Division of Investment Management
Craig Lewis, Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation
Oct. 19, 2011 Testimony on Market Micro-Structure: An Examination of ETFs, Before the Subcommittee on Securities, Insurance, and Investment, Committee on Banking, Housing and Urban Affairs, United States Senate Eileen Rominger, Director, Division of Investment Management
Third Quarter
Sep. 22, 2011 Testimony Concerning “Potential Conflicts of Interest at the SEC: The Becker Case”, Before the Subcommittee on Oversight and Investigations of the U.S. House of Representatives Committee on Financial Services and the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs of the U.S. House of Representatives Committee on Oversight and Government Reform Chairman Mary L. Schapiro
Sep. 21, 2011 Testimony on “Legislative Proposals to Facilitate Small Business Capital Formation and Job Creation”, Before the Subcommittee on Capital Markets and Government Sponsored Enterprises, U.S. House of Representatives, Committee on Financial Services Meredith B. Cross, Director, Division of Corporation Finance, and Lona Nallengara, Deputy Director, Division of Corporation Finance
Sep. 15, 2011 Testimony on “Fixing the Watchdog: Legislative Proposals to Improve and Enhance the Securities and Exchange Commission”, Before the U.S. House of Representatives Committee on Financial Services Chairman Mary L. Schapiro
Sep. 15, 2011 Testimony on Crowdfunding and Capital Formation, Before the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs of the U.S. House of Representatives, Committee on Oversight and Government Reform Meredith B. Cross, Director, Division of Corporation Finance
Aug. 4, 2011 Testimony on “Federal Leased Property: Are Federal Agencies Getting a Bad Deal?”, Before the Senate Committee on Homeland Security and Governmental Affairs Subcommittee of Federal Financial Management, Government Information, Federal Services and International Security Jeffrey Heslop, Chief Operating Officer
Jul. 27, 2011 Testimony Concerning Oversight of the Credit Rating Agencies Post-Dodd-Frank, Before the Subcommittee on Oversight and Investigations of the United States House of Representatives, Committee on Financial Services John Ramsay, Deputy Director, Division of Trading and Markets
Jul. 21, 2011 Testimony on “Enhanced Oversight After the Financial Crisis: The Wall Street Reform Act at One Year”, Before the United States Senate Committee on Banking, Housing and Urban Affairs Chairman Mary L. Schapiro
Jul. 6, 2011 Testimony on the Lease of Constitution Center, Before the Committee on Transportation and Infrastructure, Subcommittee on Economic Development, Public Buildings, and Emergency Management, U.S. House of Representatives Chairman Mary L. Schapiro
Second Quarter
Jun. 16, 2011 Testimony Concerning the Lease of Constitution Center, Before the Committee on Transportation and Infrastructure, Subcommittee on Economic Development, Public Buildings, and Emergency Management, U.S. House of Representatives Jeffery Heslop, Chief Operating Officer
Jun. 16, 2011 Testimony on Financial Regulatory Reform: The International Context , Before the Committee on Financial Services, U.S. House of Representatives Chairman Mary L. Schapiro
May 13, 2011 “The Stanford Ponzi Scheme: Lessons for Protecting Investors from the Next Securities Fraud”, Before the Subcommittee on Oversight and Investigations, Committee on Financial Services, U.S. House of Representatives Julie Preuitt, Fort Worth Regional Office
May 13, 2011 “The Stanford Ponzi Scheme: Lessons for Protecting Investors from the Next Securities Fraud”, Before the Subcommittee on Oversight and Investigations, Committee on Financial Services, U.S. House of Representatives Robert Khuzami, Director, Division of Enforcement and Carlo di Florio, Director, Office of Compliance Inspections and Examinations
May 12, 2011 Testimony on Monitoring Systemic Risk and Promoting Financial Stability, Before the United States Senate Committee on Banking, Housing and Urban Affairs Chairman Mary L. Schapiro
May 10, 2011 Testimony on the Future of Capital Formation, Before the U.S. House of Representatives Committee on Oversight and Government Reform Chairman Mary L. Schapiro
May 4, 2011 Testimony on the President's FY 2012 Budget Request for the SEC, Before the United States Senate Subcommittee on Financial Services and General Government, Committee on Appropriations Chairman Mary L. Schapiro
Apr. 14, 2011 Testimony on Understanding the Implications and Consequences of the Proposed Rule on Risk Retention, Before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the United States House of Representatives, Committee on Financial Services Meredith Cross, Director, Division of Corporation Finance
Apr. 14, 2011 Testimony on the Financial Stability Oversight Council, Before the United States House of Representatives Committee on Financial Services Subcommittee on Oversight and Investigations Robert Cook, Director, Division of Trading and Markets, on behalf of Chairman Mary L. Schapiro
Apr. 12, 2011 Testimony on “Building the New Derivatives Regulatory Framework: Oversight of Title VII of the Dodd-Frank Act” by the U.S. Securities and Exchange Commission, Before the United States Senate Committee on Banking, Housing, and Urban Affairs Chairman Mary L. Schapiro
Apr. 12, 2011 Testimony Concerning Financial Literacy: Empowering Americans to Make Informed Financial Decisions, Before the Subcommittee on Oversight of Government Management, the Federal Workforce, and the District of Columbia of the Senate Committee on Homeland Security and Governmental Affairs Lori J. Schock, Director, Office of Investor Education and Advocacy
Apr. 6, 2011 Testimony Concerning the Role of the Accounting Profession in Preventing Another Financial Crisis, Before the Subcommittee on Securities, Insurance, and Investment of the Senate Committee on Banking, Housing, and Urban Affairs James L. Kroeker, Chief Accountant
First Quarter
Mar. 15, 2011 Testimony Before the Subcommittee on Financial Services and General Government, Committee on Appropriations, U.S. House of Representatives Chairman Mary L. Schapiro
Mar. 10, 2011 Testimony on the Financial Management, Work Force Management and Internal Operations of the U.S. Securities and Exchange Commission, Before the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs and the Subcommittee on Government Organization, Efficiency and Financial Management of the U.S. House of Representatives Committee on Oversight and Government Reform Chairman Mary L. Schapiro
Mar. 10, 2011 Testimony on Budget and Management of the U.S. Securities and Exchange Commission , Before the United States House of Representatives Committee on Financial Services, United States House of Representatives Committee on Financial Services
[PDF version]
Robert Khuzami, Director, Division of Enforcement
Meredith Cross, Director, Division of Corporation Finance
Robert Cook, Director, Division of Trading and Markets
Carlo di Florio, Director, Office of Compliance Inspections and Examinations
Eileen Rominger, Director, Division of Investment Management
Mar. 10, 2011 Testimony Before the Subcommittee on Securities, Insurance, and Investment, Committee on Banking, Housing, and Urban Affairs, United States Senate Chairman Mary L. Schapiro
Mar. 3, 2011 Testimony on Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act by the U.S. Securities and Exchange Commission, Before the United States Senate Committee on Agriculture, Nutrition and Forestry Chairman Mary L. Schapiro
Feb. 17, 2011 Testimony on Implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act by the U.S. Securities and Exchange Commission, Before the United States Senate Committee on Banking, Housing, and Urban Affairs Chairman Mary L. Schapiro
Feb. 15, 2011 Testimony on Implementation of Titles VII and VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act by the U.S. Securities and Exchange, Before the United States House Financial Services Committee Chairman Mary L. Schapiro
Feb. 10, 2011 Testimony Before the Subcommittee on Financial Services and General Government, Committee on Appropriations, U.S. House of Representatives H. David Kotz
Inspector General

 

http://www.sec.gov/news/testimony/testarchive/2011test.shtml


Modified: 10/16/2014