SEC.gov Updates: Speeches and Public Statements

SEC.gov Updates: Speeches and Public Statements http://www.sec.gov/news/speech.shtml The latest speeches and public statements from the Securities and Exchange Commission en-us Thu, 24 May 2012 00:00:01 EDT Thu, 24 May 2012 08:53:25 EDT Remarks Before the Financial Accounting Foundation's 2012 Annual Board of Trustees Dinner http://www.sec.gov/news/speech/2012/spch052212ebw.htm Commissioner Elisse B. Walter; Washington, D.C.; May 22, 2012. Thu, 24 May 2012 08:53:25 EDT Remarks at AICPA Council Spring Meeting http://www.sec.gov/news/speech/2012/spch051712tap.htm Commissioner Troy A. Paredes; Washington, D.C.; May 17, 2012. Fri, 18 May 2012 09:45:08 EDT Remarks at the 37th International Organization of Securities Commissions Annual Conference http://www.sec.gov/news/speech/2012/spch051612ebw.pdf Commissioner Elisse B. Walter; Beijing, China; May 16, 2012. Fri, 18 May 2012 09:45:08 EDT Summary of Remarks at a Meeting of OTC Derivatives Regulators http://www.sec.gov/news/speech/2012/spch050112mls.pdf Chairman Mary L. Schapiro; Toronto, Ontario; May 1, 2012. Wed, 16 May 2012 17:32:08 EDT What SEC Registration Means for Hedge Fund Advisers http://www.sec.gov/news/speech/2012/spch051112nc.htm Norm Champ, Deputy Director, Office of Compliance Inspections and Examinations, at the New York City Bar on May 11, 2012. Tue, 15 May 2012 11:36:30 EDT Remarks to the IFRS Taxonomy Annual Convention 2012 http://www.sec.gov/news/speech/2012/spch042512ms.htm Mike Starr, Deputy Chief Accountant, in London, England, on May 14, 2012. Tue, 15 May 2012 10:27:40 EDT Statement Regarding Commission Approval of MSRB Rule G-17 Interpretive Notice http://www.sec.gov/news/speech/2012/spch051412dmgtap.htm Statement by Commissioner Daniel M. Gallagher; Commissioner Troy A. Paredes; on May 14, 2012. Mon, 14 May 2012 17:30:45 EDT Statement concerning publication by IOSCO on April 27, 2012 of the "Consultation Report of the IOSCO Standing Committee 5 on Money Market Funds: Money Market Fund Systemic Risk Analysis and Reform Options" http://www.sec.gov/news/speech/2012/spch051112laatapdmg.pdf Statement by Commissioner Luis A. Aguilar; Commissioner Troy A. Paredes; and Commissioner Daniel M. Gallagher; on May 11, 2012. Fri, 11 May 2012 13:35:27 EDT Remarks before AusBiotech http://www.sec.gov/news/speech/2012/spch050112dmg.htm Commissioner Daniel M. Gallagher in Sydney, New South Wales, Australia, on May 1, 2012. Mon, 7 May 2012 16:06:51 EDT Remarks to the American Chamber of Commerce in Australia http://www.sec.gov/news/speech/2012/spch043012dmg.htm Commissioner Daniel M. Gallagher in Melbourne, Victoria, Australia, on April 30, 2012. Mon, 7 May 2012 16:06:51 EDT Advocating for Greater Federal and State Securities Regulatory Cooperation and Collaboration http://www.sec.gov/news/speech/2012/spch050712laa.htm Commissioner Luis A. Aguilar in Washington, D.C., on May 7, 2012. Mon, 7 May 2012 14:40:43 EDT Address at the Private Equity International Private Fund Compliance Forum http://www.sec.gov/news/speech/2012/spch050212cvd.htm Carlo V. di Florio in New York, NY, on May 2, 2012. Thu, 3 May 2012 10:20:06 EDT Defining Swaps-Related Terms http://www.sec.gov/news/speech/2012/spch041812ebw.htm Commissioner Elisse B. Walter at an SEC Open Meeting in Washington, D.C., on April 18, 2012. Thu, 19 Apr 2012 11:51:06 EDT Defining Swaps-Related Terms http://www.sec.gov/news/speech/2012/spch041812dmg.htm Commissioner Daniel M. Gallagher at an SEC Open Meeting in Washington, D.C., on April 18, 2012. Wed, 18 Apr 2012 12:29:59 EDT Defining Swaps-Related Terms http://www.sec.gov/news/speech/2012/spch041812mls.htm Chairman Mary Schapiro at an SEC Open Meeting in Washington, D.C., on April 18, 2012. Wed, 18 Apr 2012 12:29:59 EDT Defining Swaps-Related Terms http://www.sec.gov/news/speech/2012/spch041812tap.htm Commissioner Troy A. Paredes at an SEC Open Meeting in Washington, D.C., on April 18, 2012. Wed, 18 Apr 2012 11:37:25 EDT Defining Swaps-Related Terms http://www.sec.gov/news/speech/2012/spch041812laa.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on April 18, 2012. Wed, 18 Apr 2012 11:19:59 EDT Remarks at the 44th Annual Rocky Mountain Securities Conference http://www.sec.gov/news/speech/2012/spch041312dmg.htm Commissioner Daniel M. Gallagher in Denver, CO on April 13, 2012 Mon, 16 Apr 2012 09:34:26 EDT Defrauded Investors Deserve Their Day in Court http://www.sec.gov/news/speech/2012/spch041112laa.htm Commissioner Luis A. Aguilar on April 11, 2012. Wed, 11 Apr 2012 13:30:47 EDT Why Seniors Are More Vulnerable Now As Targets for Financial Abuse http://www.sec.gov/news/speech/2012/spch031512laa.htm Commissioner Luis A. Aguilar on March 15, 2012. Wed, 21 Mar 2012 10:16:47 EDT Remarks at the SIFMA C&L Conference http://www.sec.gov/news/speech/2012/spch032012mls.htm Chairman Mary Schapiro in Miami, FLorida, on March 20, 2012. Tue, 20 Mar 2012 09:41:24 EDT Remarks at the 2012 Mutual Funds and Investment Management Conference http://www.sec.gov/news/speech/2012/spch031912ebw.htm Commissioner Elisse B. Walter in Phoenix, AZ, on March 19, 2012. Mon, 19 Mar 2012 16:37:13 EDT Commission Credits Individual Under Cooperation Initiative http://www.sec.gov/news/speech/2012/spch031912rk.htm Robert Khuzami, Director of the SEC’s Division of Enforcement, in Washington, D.C., on March 19, 2012. Mon, 19 Mar 2012 13:02:26 EDT Investor Protection is Needed for True Capital Formation http://www.sec.gov/news/speech/2012/spch031612laa.htm Commissioner Luis A. Aguilar on March 16, 2012. Fri, 16 Mar 2012 17:59:47 EDT Remarks at the Society of American Business Editors and Writers (SABEW) Annual Convention http://www.sec.gov/news/speech/2012/spch031512mls.htm Chairman Mary Schapiro in Indianapolis, Indiana, on March 15, 2012. Thu, 15 Mar 2012 17:51:24 EDT Keynote Address at PLI - Eleventh Annual Institute on Securities Regulation in Europe http://www.sec.gov/news/speech/2012/spch030812mc.htm Meredith B. Cross in London, England on March 8, 2012 Mon, 12 Mar 2012 17:04:26 EDT Keynote Address - Investment Adviser Association Investment Adviser Compliance Conference/2012 http://www.sec.gov/news/speech/2012/spch030812dmg.htm Commissioner Daniel M. Gallagher in Arlington, VA on March 8, 2012 Thu, 8 Mar 2012 17:04:26 EST Ongoing Regulatory Reform in the Global Capital Markets http://www.sec.gov/news/speech/2012/spch030512dmg.htm Commissioner Daniel M. Gallagher in Washington, D.C. on March 5, 2012 Tue, 6 Mar 2012 12:04:26 EST “Broker-Dealer Anti-Money Laundering Compliance – Learning Lessons from the Past and Looking to the Future” http://www.sec.gov/news/speech/2012/spch022912dwb.htm David W. Blass, Chief Counsel, Division of Trading and Markets, at the SIFMA Anti-Money Laundering & Financial Crimes Conference on February 29, 2012. Wed, 29 Feb 2012 14:01:21 EST Remarks at The SEC Speaks in 2012 http://www.sec.gov/news/speech/2012/spch022412ebw.htm Commissioner Elisse B. Walter in Washington, D.C., on February 24, 2012. Fri, 24 Feb 2012 17:51:35 EST Remarks at “The SEC Speaks in 2012” http://www.sec.gov/news/speech/2012/spch022412dmg.htm Commissioner Daniel M. Gallagher in Washington, D.C., on February 24, 2012. Fri, 24 Feb 2012 16:45:41 EST Remarks at “The SEC Speaks in 2012” http://www.sec.gov/news/speech/2012/spch022412tap.htm Commissioner Troy A. Paredes in Washington, D.C., on February 24, 2012. Fri, 24 Feb 2012 14:39:41 EST Shining a Light on Expenditures of Shareholder Money http://www.sec.gov/news/speech/2012/spch022412laa.htm Commissioner Luis A. Aguilar in Washington, D.C., on February 24, 2012. Fri, 24 Feb 2012 12:56:21 EST Remarks at the Credit Suisse Global Equity Trading Forum http://www.sec.gov/news/speech/2012/spch021712dmg.htm Commissioner Daniel M. Gallagher in Miami Beach, FL, on February 17, 2012. Fri, 24 Feb 2012 11:09:16 EST Remarks at the Practising Law Institute’s SEC Speaks http://www.sec.gov/news/speech/2012/spch022412mls.htm Chairman Mary L. Schapiro in Washington D.C., on February 24, 2012. Fri, 24 Feb 2012 10:34:45 EST Remarks Before the PLI Investment Management Institute 2012 http://www.sec.gov/news/speech/2012/spch020912epr.htm Eileen Rominger, Director, Division of Investment Management, in New York, NY, on February 9, 2012. Tue, 14 Feb 2012 14:25:15 EST Slide Presentation (PDF): SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, PCAOB Forums on Auditing in the Small Business Environment http://www.sec.gov/news/speech/2012/spch020912co.pdf Slide Presentation by Craig Olinger, Deputy Chief Accountant, Division of Corporation Finance in Washington, D.C. in February 2012 Thu, 9 Feb 2012 17:19:02 EST Statement by SEC Commissioner Regarding New Appointment to the PCAOB Board http://www.sec.gov/news/speech/2012/spch020312laa.htm Commissioner Luis A. Aguilar in Washington, D.C., on February 3, 2012. Fri, 3 Feb 2012 16:13:26 EST Remarks on News Conference Call About Case Against Credit Suisse Investment Bankers http://www.sec.gov/news/speech/2012/spch020112rsk.htm Robert Khuzami, Director of the SEC’s Division of Enforcement, in Washington, D.C., on February 1, 2012. Thu, 2 Feb 2012 17:47:28 EST Remarks at the Compliance Outreach Program http://www.sec.gov/news/speech/2012/spch013112cvd.htm Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, in Washington, D.C., on January 31, 2012. Tue, 31 Jan 2012 11:45:16 EST Remarks at Joint News Conference to Announce RMBS Working Group http://www.sec.gov/news/speech/2012/spch012712rsk.htm Robert Khuzami, Director of the SEC’s Division of Enforcement, in Washington, D.C., on January 27, 2012. Fri, 27 Jan 2012 12:16:55 EST Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation http://www.sec.gov/news/speech/2011/spch111711ebw.htm Commissioner Elisse B. Walter, in Washington, D.C., on November 17, 2011. Thu, 26 Jan 2012 09:44:27 EST News Conference Remarks http://www.sec.gov/news/speech/2012/spch011812rsk.htm Robert Khuzami, Director of the SEC’s Division of Enforcement, in New York, N.Y., on January 18, 2012. Fri, 20 Jan 2012 14:44:27 EST Remarks at the SRO Outreach Conference http://www.sec.gov/news/speech/2012/spch011212dmg.htm Commissioner Daniel M. Gallagher in Washington, D.C., on January 12, 2012. Fri, 13 Jan 2012 11:09:01 EST Statement at an Open Meeting of the Commission to Consider the Public Company Accounting Oversight Board’s Proposed 2012 Budget and Accounting Support Fee http://www.sec.gov/news/speech/2012/spch011112dmg.htm Commissioner Daniel M. Gallagher in Washington, D.C., on January 11, 2012. Fri, 13 Jan 2012 11:09:01 EST Opening Statement at SEC Open Meeting: PCAOB Proposed Budget and Accounting Support Fee for 2012 http://www.sec.gov/news/speech/2012/spch011112mls.htm Chairman Mary Schapiro in Washington, D.C., on January 11, 2012. Wed, 11 Jan 2012 15:19:09 EST Statement at Open Meeting to Approve PCAOB Budget http://www.sec.gov/news/speech/2012/spch011112laa.htm Commissioner Luis A. Aguilar in Washington, D.C., on January 11, 2012. Wed, 11 Jan 2012 13:50:48 EST Statement Regarding Volcker Rule Comment Period http://www.sec.gov/news/speech/2011/spch122311dmg-tap.htm Commissioners Daniel M. Gallagher and Troy A. Paredes in Washington, D.C., on December 23, 2011. Fri, 23 Dec 2011 15:01:04 EST Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation http://www.sec.gov/news/speech/2011/spch111711mls.htm Chairman Mary Schapiro in Washington, D.C., on November 17, 2011. Wed, 21 Dec 2011 17:36:04 EST Slide Presentation (PDF): Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. http://www.sec.gov/news/speech/2011/spch120711gl.pdf Gerald Laporte in Washington, D.C., on December 7, 2011. Mon, 19 Dec 2011 10:27:55 EST Slide Presentation (PDF): Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. http://www.sec.gov/news/speech/2011/spch120711co.pdf Craig Olinger in Washington, D.C., on December 7, 2011. Mon, 19 Dec 2011 10:27:55 EST Slide Presentation (PDF): Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. http://www.sec.gov/news/speech/2011/spch120611nsco.pdf Nili Shah and Craig Olinger in Washington, D.C., on December 6, 2011. Mon, 19 Dec 2011 10:27:55 EST Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments http://www.sec.gov/news/speech/2011/spch120611hs.htm Howard Scheck in Washington, D.C., on December 6, 2011. Mon, 19 Dec 2011 10:27:55 EST Remarks at the Transatlantic Corporate Governance Dialogue http://www.sec.gov/news/speech/2011/spch121511mls.htm Chairman Mary Schapiro in Washington, D.C., on December 15, 2011. Fri, 16 Dec 2011 10:27:55 EST “SEC Reform After Dodd-Frank and the Financial Crisis” http://www.sec.gov/news/speech/2011/spch121411dmg.htm Commissioner Daniel M. Gallagher in Washington, DC, on December 14, 2011. Wed, 14 Dec 2011 17:57:37 EST Remarks Before the ICI 2011 Securities Law Developments Conference http://www.sec.gov/news/speech/2011/spch121311epr.htm Eileen Rominger, Director, Division of Investment Management, in Washington, DC, on December 13, 2011. Wed, 14 Dec 2011 09:39:10 EST Remarks Before the 2011 AICPA National Conference on Current SEC and PCAOB Developments http://www.sec.gov/news/speech/2011/spch120511pab.htm Paul A. Beswick, Deputy Chief Accountant in Washington, D.C., on December 5, 2011. Thu, 08 Dec 2011 10:36:53 EST Remarks Before the 2011 AICPA National Conference on Current SEC and PCAOB Developments http://www.sec.gov/news/speech/2011/spch120511cp.htm Christian Peo, Professional Accounting Fellow, Office of the Chief Accountant in Washington, D.C., on December 5, 2011. Mon, 05 Dec 2011 16:42:53 EST Remarks Before the 2011 AICPA National Conference on Current SEC and PCAOB Developments http://www.sec.gov/news/speech/2011/spch120511jkp.htm Jason K. Plourde, Professional Accounting Fellow, Office of the Chief Accountant in Washington, D.C., on December 5, 2011. Mon, 05 Dec 2011 16:42:53 EST Remarks Before the 2011 AICPA National Conference on Current SEC and PCAOB Developments http://www.sec.gov/news/speech/2011/spch120511jlk.htm James L. Kroeker, Chief Accountant, Office of the Chief Accountant in Washington, D.C., on December 5, 2011. Mon, 05 Dec 2011 14:38:05 EST Remarks Before the 2011 AICPA National Conference on Current SEC and PCAOB Developments — The Role of the Audit Performance Feedback Loop in Audit Policy Decision-Making http://www.sec.gov/news/speech/2011/spch120511btc.htm Brian T. Croteau, Deputy Chief Accountant, Office of the Chief Accountant in Washington, D.C., on December 5, 2011. Mon, 05 Dec 2011 13:44:19 EST Remarks Before the Consumer Federation of America's Financial Services Conference http://www.sec.gov/news/speech/2011/spch120111rk.htm Robert Khuzami, Director, Division of Enforcement in Washington, D.C., on December 1, 2011. Thu, 01 Dec 2011 15:01:35 EST Twelfth Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law http://www.sec.gov/news/speech/2011/spch102711tap.htm Commissioner Troy A. Paredes in New York, NY, on October 27, 2011. Tue, 29 Nov 2011 11:02:09 EST Court's Refusal to Approve Settlement in Citigroup Case http://www.sec.gov/news/speech/2011/spch112811rk.htm Robert Khuzami, Director, Division of Enforcement in Washington, D.C., on November 28, 2011. Mon, 28 Nov 2011 16:26:17 EST Remarks at the Closing of the International Institute for Securities Enforcement and Market Oversight http://www.sec.gov/news/speech/2011/spch111811ebw.htm Commissioner Elisse B. Walter in Washington, D.C., on November 18, 2011. Tue, 22 Nov 2011 11:50:48 EST Remarks Before the ICI 2011 Closed-End Fund Conference http://www.sec.gov/news/speech/2011/spch111711epr.htm Eileen Rominger, Director, Division of Investment Management, in New York, NY, on November 17, 2011. Mon, 21 Nov 2011 16:38:43 EST Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation http://www.sec.gov/news/speech/2011/spch111711dmg.htm Commissioner Daniel Gallagher in Washington, D.C., on November 17, 2011. Thu, 17 Nov 2011 14:30:33 EST Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation http://www.sec.gov/news/speech/2011/spch111711tap.htm Commissioner Troy A. Paredes in Washington, D.C., on November 17, 2011. Thu, 17 Nov 2011 14:06:39 EST Facilitating Small Business Capital Formation Does Not Need to Be at the Expense of Protecting Investors http://www.sec.gov/news/speech/2011/spch111711laa.htm Commissioner Luis A. Aguilar at the SEC Government-Business Forum on Small Business Capital Formation in Washington, D.C., on November 17, 2011. Thu, 17 Nov 2011 10:40:14 EST Remarks Before the FINRA Institute at Wharton Certified Regulatory and Compliance Professional (CRCP) Program http://www.sec.gov/news/speech/2011/spch110811ebw.htm Commissioner Elisse B. Walter at the University of Pennsylvania on November 8, 2011. Thu, 10 Nov 2011 15:21:55 EST Remarks to the CorporateCounsel.Net “Say-on-Pay Workshop Conference” http://www.sec.gov/news/speech/2011/spch110211mls.htm Video presentation by Chairman Mary Schapiro on November 2, 2011. Wed, 9 Nov 2011 17:45:46 EST Remarks to the CorporateCounsel.Net “Say-on-Pay Workshop Conference” http://www.sec.gov/news/speech/2011/spch110211mls.htm Video presentation by Chairman Mary Schapiro on November 2, 2011. Wed, 9 Nov 2011 17:45:46 EST Remarks at SIFMA’s 2011 Annual Meeting http://www.sec.gov/news/speech/2011/spch110711mls.htm Chairman Mary Schapiro in New York, New York, on November 7, 2011. Mon, 7 Nov 2011 14:50:56 EST Remarks at Stanford Center on Longevity - FINRA Investor Education Foundation Conference http://www.sec.gov/news/speech/2011/spch110311mls.htm Chairman Mary Schapiro in Washington, D.C., on November 3, 2011. Thu, 3 Nov 2011 13:38:29 EDT Remarks Before the ALI-ABA Conference on Life Insurance Company Products http://www.sec.gov/news/speech/2011/spch110311epr.htm Eileen Rominger, Director, Division of Investment Management, on November 3, 2011. Thu, 3 Nov 2011 13:14:15 EDT Remarks before the SIFMA Compliance and Legal Fall Seminar http://www.sec.gov/news/speech/2011/spch102511ebw.htm Commissioner Elisse B. Walter at the SIFMA Compliance & Legal Society in New York, New York, on October 25, 2011. Wed, 26 Oct 2011 14:49:39 EDT “Obtaining Reliable Information Regarding Private Fund Advisers” http://www.sec.gov/news/speech/2011/spch102611laa.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on October 26, 2011. Wed, 26 Oct 2011 13:03:16 EDT Statement at Open Meeting to Adopt Form PF http://www.sec.gov/news/speech/2011/spch102611tap.htm Commissioner Troy A. Paredes in Washington, D.C., on October 26, 2011. Wed, 26 Oct 2011 12:48:09 EDT Opening Statement at SEC Open Meeting: Private Fund Systemic Risk Reporting http://www.sec.gov/news/speech/2011/spch102611mls.htm Chairman Mary Schapiro in Washington, D.C., on October 26, 2011. Wed, 26 Oct 2011 12:35:54 EDT The Role of Compliance and Ethics in Risk Management http://www.sec.gov/news/speech/2011/spch101711cvd.htm Carlo V. di Florio at the NSCP National Meeting on October 17, 2011. Thu, 20 Oct 2011 14:55:22 EDT Opening Remarks Regarding the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (Proposed Rules 15Fb1-1 through 15Fb6-1) http://www.sec.gov/news/speech/2011/spch101211ebw-sbs.htm Commissioner Elisse B. Walter in Washington, D.C., on October 12, 2011. Wed, 12 Oct 2011 13:41:23 EDT Statement at Open Meeting to Propose Rules Regarding Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants http://www.sec.gov/news/speech/2011/spch101211tap-sbs.htm Commissioner Troy A. Paredes in Washington, D.C., on October 12, 2011. Wed, 12 Oct 2011 13:41:23 EDT Statement at Open Meeting to Propose Rules Regarding Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds (the "Volcker Rule") http://www.sec.gov/news/speech/2011/spch101211tap-pt.htm Commissioner Troy A. Paredes in Washington, D.C., on October 12, 2011. Wed, 12 Oct 2011 13:41:23 EDT Prohibitions and Restrictions on Proprietary Trading http://www.sec.gov/news/speech/2011/spch101211mls-pt.htm Chairman Mary Schapiro in Washington, D.C., on October 12, 2011. Wed, 12 Oct 2011 13:41:23 EDT Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants http://www.sec.gov/news/speech/2011/spch101211mls-sbs.htm Chairman Mary Schapiro in Washington, D.C., on October 12, 2011. Wed, 12 Oct 2011 13:41:23 EDT Protecting the Financial System and Aligning the Interests of Banks and their Customers http://www.sec.gov/news/speech/2011/spch101211laa-pt.htm Commissioner Luis A. Aguilar in Washington, D.C., on October 12, 2011 Wed, 12 Oct 2011 13:41:23 EDT Regulating Key Players in Security-Based Swaps http://www.sec.gov/news/speech/2011/spch101211laa-sbs.htm Commissioner Luis A. Aguilar in Washington, D.C., on October 12, 2011 Wed, 12 Oct 2011 13:41:23 EDT Market Structure: What we Know, and What We Need to Know http://www.sec.gov/news/speech/2011/spch092111geb.pdf Gregg E. Berman in New York, New York, on September 21, 2011. Fri, 30 Sep 2011 14:35:00 EDT Remarks at the BetterInvesting National Convention http://www.sec.gov/news/speech/2011/spch091711ljs.htm Lori Schock in Covington, Kentucky, on September 17, 2011. Thu, 29 Sep 2011 16:33:40 EDT Statement at Open Meeting to Propose Rule Amendments to Prohibit Conflicts of Interest in Certain Securitizations http://www.sec.gov/news/speech/2011/spch091911tap.htm Commissioner Troy A. Paredes in Washington, D.C., on September 19, 2011. Mon, 19 Sep 2011 12:09:40 EDT Statement at SEC Open Meeting: Prohibiting Firms from Designing Transactions to Fail http://www.sec.gov/news/speech/2011/spch091911laa.htm Commissioner Luis A. Aguilar in Washington, D.C., on September 19, 2011. Mon, 19 Sep 2011 12:09:40 EDT Opening Statement at SEC Open Meeting — Conflicts of Interest Relating to Certain Securitizations http://www.sec.gov/news/speech/2011/spch091911mls.htm Chairman Mary Schapiro in Washington, D.C., on September 19, 2011. Mon, 19 Sep 2011 11:23:43 EDT Statement of Commissioner Aguilar Regarding the Urgent Need to Re‑establish the Investor Advisory Committee http://www.sec.gov/news/speech/2011/spch091311laa.htm Commissioner Luis A. Aguilar in Washington, D.C. Wed, 14 Sep 2011 09:01:36 EDT Remarks before the Mutual Fund Directors Forum and the University of Maryland “Oversight of Derivatives” Conference http://www.sec.gov/news/speech/2011/spch090911epr.htm Eileen Rominger, Director, Division of Investment Management, on September 9, 2011. Fri, 9 Sep 2011 15:01:36 EDT Opening Statement at SEC Open Meeting: Item 2 – Asset-Backed Issuers and Mortgage-Related Pools http://www.sec.gov/news/speech/2011/spch083111mls-item2.htm Chairman Mary Schapiro in Washington, D.C., on August 31, 2011. Wed, 31 Aug 2011 12:08:42 EDT Opening Statement at SEC Open Meeting: Item 1 – Use of Derivatives by Funds http://www.sec.gov/news/speech/2011/spch083111mls-item1.htm Chairman Mary Schapiro in Washington, D.C., on August 31, 2011. Wed, 31 Aug 2011 12:08:42 EDT Remarks at Georgetown University http://www.sec.gov/news/speech/2011/spch081111sxm.htm Sean X. McKessy in Washington, D.C., on August 11, 2011. Thu, 11 Aug 2011 16:25:50 EDT Remarks before the Forum for Corporate Directors http://www.sec.gov/news/speech/2011/spch032211klc.htm Commissioner Kathleen L. Casey in San Diego, CA, on March 22, 2011. Mon, 1 Aug 2011 16:53:15 EDT Statement at SEC Field Hearing on the State of the Municipal Securities Market http://www.sec.gov/news/speech/2011/spch072911ebw.htm Commissioner Elisse B. Walter in Birmingham, AL, on July 29, 2011. Fri, 29 Jul 2011 15:18:39 EDT Statement at Open Commission Meeting - Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities and Other Additional Requests for Comment http://www.sec.gov/news/speech/2011/spch072611klc-item3.htm Commissioner Kathleen L. Casey in Washington, D.C., on July 26, 2011. Wed, 27 Jul 2011 17:26:02 EDT Statement at Open Commission Meeting - Adoption of Final Rules Relating to Security Ratings http://www.sec.gov/news/speech/2011/spch072611klc-item2.htm Commissioner Kathleen L. Casey in Washington, D.C., on July 26, 2011. Wed, 27 Jul 2011 17:26:02 EDT A Step Toward Enhanced Market Surveillance http://www.sec.gov/news/speech/2011/spch072611laa-item1.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on July 26, 2011. Wed, 27 Jul 2011 11:48:09 EDT Continued Efforts to Improve the Regulation of Asset-Backed Securities http://www.sec.gov/news/speech/2011/spch072611laa-item2.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on July 26, 2011. Wed, 27 Jul 2011 11:48:09 EDT Bringing Transparency and Fair Dealing to the Market for Security-Based Swaps http://www.sec.gov/news/speech/2011/spch072611laa-item3.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on July 26, 2011. Tue, 26 Jul 2011 15:03:55 EDT Statement at Open Meeting to Adopt a Final Rule Regarding Security Ratings for Forms S-3 and F-3 Eligibility http://www.sec.gov/news/speech/2011/spch072611tap-item2.htm Commissioner Troy A. Paredes in Washington, D.C., on July 26, 2011. Tue, 26 Jul 2011 14:07:47 EDT Opening Remarks Regarding the Adoption of Large Trader Reporting Requirements http://www.sec.gov/news/speech/2011/spch072611ebw-item1.htm Commissioner Elisse B. Walter in Washington, D.C., on July 26, 2011. Tue, 26 Jul 2011 14:07:47 EDT Statement at Open Meeting: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants http://www.sec.gov/news/speech/2011/spch062911klc.htm Commissioner Kathleen L. Casey in Washington, D.C., on June 29, 2011. Tue, 26 Jul 2011 12:29:25 EDT Opening Statement at SEC Open Meeting: Item 3 - Shelf-Eligibility Requirements for Asset-Backed Securities http://www.sec.gov/news/speech/2011/spch072611mls-item3.htm Chairman Mary L. Schapiro in Washington, D.C., on July 26, 2011. Tue, 26 Jul 2011 12:20:39 EDT Opening Statement at SEC Open Meeting: Item 2 - Security Ratings http://www.sec.gov/news/speech/2011/spch072611mls-item2.htm Chairman Mary L. Schapiro in Washington, D.C., on July 26, 2011. Tue, 26 Jul 2011 12:20:39 EDT Opening Statement at SEC Open Meeting: Item 1 - Large Trader Reporting http://www.sec.gov/news/speech/2011/spch072611mls-item1.htm Chairman Mary L. Schapiro in Washington, D.C., on July 26, 2011. Tue, 26 Jul 2011 12:20:39 EDT Statement Regarding Court of Appeals Decision on Proxy Access http://www.sec.gov/news/speech/2011/spch072211mc.htm Meredith Cross, Director, Division of Corporation Finance, in Washington, D.C., on July 22, 2011. Fri, 22 Jul 2011 15:50:19 EDT Remarks Before the Financial Stability Oversight Council Meeting http://www.sec.gov/news/speech/2011/spch071811mls.htm Chairman Mary L. Schapiro in Washington, D.C., on July 18, 2011. Thu, 21 Jul 2011 12:33:08 EDT Risk Taking -- Banks & Markets http://www.sec.gov/news/speech/2011/spch070711et.htm Ethiopis Tafara in Paris, France, on July 7, 2011. Fri, 15 Jul 2011 17:10:20 EDT Remarks Before the Women in Finance Symposium http://www.sec.gov/news/speech/2011/spch071211mls.htm Chairman Mary L. Schapiro in Washington, D.C., on July 12, 2011. Tue, 12 Jul 2011 15:09:20 EDT Keynote Address at the Insured Retirement Institute 2011 Government, Legal and Regulatory Conference http://www.sec.gov/news/speech/2011/spch062811epr.htm Eileen P. Rominger, Director, Division of Investment Management, in Washington, D.C., on June 28, 2011. Wed, 29 Jun 2011 16:16:54 EDT Keynote Address at the Society of Corporate Secretaries and Governance Professionals 65th Annual Conference http://www.sec.gov/news/speech/2011/spch062411klc.htm Commissioner Kathleen L. Casey in Colorado Springs, Colorado, on June 24, 2011. Wed, 29 Jun 2011 16:16:54 EDT Statement at Open Meeting to Propose Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants http://www.sec.gov/news/speech/2011/spch062911tap.htm Commissioner Troy A. Paredes in Washington, D.C., on June 29, 2011. Wed, 29 Jun 2011 12:14:44 EDT Bringing Transparency and Fair Dealing to the Market for Security-Based Swaps http://www.sec.gov/news/speech/2011/spch062911laa.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on June 29, 2011. Wed, 29 Jun 2011 11:52:08 EDT Opening Statement at SEC Open Meeting http://www.sec.gov/news/speech/2011/spch062911mls.htm Chairman Mary Schapiro in Washington, D.C., on June 22, 2011. Wed, 29 Jun 2011 11:20:47 EDT Opening Statement at SEC Open Meeting: (1) Rules Implementing Amendments to the Advisers Act of 1940 (Final Rules); (2) Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers (Final Rules) http://www.sec.gov/news/speech/2011/spch062211ebw-items-1-2.htm Commissioner Elisse B. Walter in Washington, D.C., on June 22, 2011. Thu, 23 Jun 2011 12:24:27 EDT Statement at Open Meeting to Adopt Final Rules Regarding Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers and Final Rules Implementing Amendments to the Investment Advisers Act of 1940 http://www.sec.gov/news/speech/2011/spch062211tap-items-1-2.htm Commissioner Troy A. Paredes in Washington, D.C., on June 22, 2011. Wed, 22 Jun 2011 14:55:00 EDT Statement at Open Meeting to Adopt a Final Rule Excluding a "Family Office" from the Definition of "Investment Adviser" http://www.sec.gov/news/speech/2011/spch062211tap-item-3.htm Commissioner Troy A. Paredes in Washington, D.C., on June 22, 2011. Wed, 22 Jun 2011 14:55:00 EDT "Moving from Proposal to Implementation: The Changing Adviser Landscape" http://www.sec.gov/news/speech/2011/spch062211laa-items-1-2.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on June 22, 2011. Wed, 22 Jun 2011 13:45:58 EDT Statement at SEC Open Meeting: Item #3 – Family Offices http://www.sec.gov/news/speech/2011/spch062211mls-item-3.htm Chairman Mary Schapiro in Washington, D.C., on June 22, 2011. Wed, 22 Jun 2011 13:45:58 EDT Opening Statement at SEC Open Meeting: Dodd-Frank Act Amendments to the Investment Advisers Act http://www.sec.gov/news/speech/2011/spch062211mls-items-1-2.htm Chairman Mary Schapiro in Washington, D.C., on June 22, 2011. Wed, 22 Jun 2011 13:45:58 EDT Statement at SEC Open Meeting: Items 1 and 2 - Rules Implementing Amendments to the Investment Advisers Act of 1940; Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers http://www.sec.gov/news/speech/2011/spch062211klc-items1-2.htm Commissioner Kathleen L. Casey at an SEC Open Meeting in Washington, D.C., on June 22, 2011. Wed, 22 Jun 2011 13:19:13 EDT Remarks Before the American Securitization Forum 2011 Annual Meeting http://www.sec.gov/news/speech/2011/spch062211mls.htm Chairman Mary L. Schapiro in Washington, D.C., on June 22, 2011. Wed, 22 Jun 2011 09:26:43 EDT An Inflection Point: The SEC and the Current Financial Reform Landscape http://www.sec.gov/news/speech/2011/spch061011laa.htm Commissioner Luis A. Aguilar in Washington, D.C., on June 10, 2011. Thu, 16 Jun 2011 17:53:02 EDT Statement at Open Meeting to Propose Rule Amendments Regarding Broker-Dealer Reports http://www.sec.gov/news/speech/2011/spch061511tap.htm Commissioner Troy A. Paredes in Washington, D.C., on June 15, 2011. Wed, 15 Jun 2011 14:48:58 EDT Protecting Investors and Their Assets http://www.sec.gov/news/speech/2011/spch061511laa.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on June 15, 2011. Wed, 15 Jun 2011 11:38:02 EDT Opening Statement at SEC Open Meeting: Proposals to Amend Rule 17a-5 http://www.sec.gov/news/speech/2011/spch061511mls.htm Chairman Mary L. Schapiro in Washington, D.C., on June 15, 2011. Wed, 15 Jun 2011 10:41:07 EDT Remarks Before the Bennett S. LeBow College of Business at Drexel University http://www.sec.gov/news/speech/2011/spch061111mls.htm Chairman Mary L. Schapiro in Philadelphia, Pennsylvania, on June 11, 2011. Sat, 11 Jun 2011 09:00:00 EDT Private Equity International's Private Fund Compliance http://www.sec.gov/news/speech/2011/spch050311cvd.htm Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, in New York, New York, on May 3, 2011. Fri, 10 Jun 2011 15:25:27 EDT Remarks at the University of Southern California SEC and Financial Reporting Institute Conference http://www.sec.gov/news/speech/2011/spch060511jlk.htm James L. Kroeker, Chief Accountant, in Pasadena, California, on June 5, 2011. Fri, 10 Jun 2011 12:02:15 EDT Remarks at the Symposium on "Hedge Fund Regulation and Current Developments" http://www.sec.gov/news/speech/2011/spch060811tap.htm Commissioner Troy A. Paredes in New York, New York, on June 8, 2011. Wed, 8 Jun 2011 15:51:44 EDT Remarks to Criminal Law Group of the UJA-Federation of New York http://www.sec.gov/news/speech/2011/spch060111rk.htm Robert Khuzami, Director, Division of Enforcement in New York City, on June 1, 2011. Tue, 7 Jun 2011 11:09:54 EDT Remarks at Open Meeting - Whistleblower Program http://www.sec.gov/news/speech/2011/spch052511rk.htm Robert Khuzami, Director, Division of Enforcement at an SEC Open Meeting in Washington, D.C., on May 25, 2011. Fri, 27 May 2011 16:31:46 EDT Statement at Open Commission Meeting: Disqualification of Felons and Other “Bad Actors” from Rule 506 Offerings http://www.sec.gov/news/speech/2011/spch052511klc-item1.htm Commissioner Kathleen L. Casey at an SEC Open Meeting in Washington, D.C., on May 25, 2011. Fri, 27 May 2011 12:22:31 EDT Adoption of Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 http://www.sec.gov/news/speech/2011/spch052511klc-item2.htm Commissioner Kathleen L. Casey at an SEC Open Meeting in Washington, D.C., on May 25, 2011. Fri, 27 May 2011 10:17:51 EDT Remarks at the 43rd Annual Rocky Mountain Securities Conference http://www.sec.gov/news/speech/2011/spch050611tap.htm Commissioner Troy A. Paredes in Denver, Colorado, on May 6, 2011. Thu, 26 May 2011 17:39:26 EDT Opening Statement - May 25, 2011 Open Meeting - Final Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 http://www.sec.gov/news/speech/2011/spch052511ebw-item2.htm Commissioner Elisse B. Walter in Washington, D.C., on May 25, 2011. Wed, 25 May 2011 15:48:39 EDT Remarks Before the Financial Accounting Foundation's 2011 Annual Board of Trustees Dinner http://www.sec.gov/news/speech/2011/spch052411mls.htm Chairman Mary Schapiro in Washington D.C., on May 24, 2011. Wed, 25 May 2011 13:58:26 EDT Statement at Open Meeting to Adopt Final Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 http://www.sec.gov/news/speech/2011/spch052511tap-item2.htm Commissioner Troy A. Paredes in Washington D.C., on May 25, 2011. Wed, 25 May 2011 13:40:53 EDT Statement at Open Meeting to Propose Rules Regarding Disqualification of Felons and Other "Bad Actors" from Rule 506 Offerings http://www.sec.gov/news/speech/2011/spch052511tap-item1.htm Commissioner Troy A. Paredes in Washington D.C., on May 25, 2011. Wed, 25 May 2011 13:40:53 EDT Incentivizing Whistleblowers to Bring Fraud to Light http://www.sec.gov/news/speech/2011/spch052511laa-item2.htm Commissioner Luis A. Aguilar in Washington D.C., on May 25, 2011. Wed, 25 May 2011 12:48:02 EDT Excluding Established Wrongdoers from Engaging in Rule 506 Transactions http://www.sec.gov/news/speech/2011/spch052511laa-item1.htm Commissioner Luis A. Aguilar in Washington D.C., on May 25, 2011. Wed, 25 May 2011 12:48:02 EDT Statement at SEC Open Meeting - Whistleblower Program http://www.sec.gov/news/speech/2011/spch052511mls-item2.htm Chairman Mary Schapiro in Washington D.C., on May 25, 2011. Wed, 25 May 2011 10:47:32 EDT Statement at SEC Open Meeting - Felons and Bad Actors http://www.sec.gov/news/speech/2011/spch052511mls-item1.htm Chairman Mary Schapiro in Washington D.C., on May 25, 2011. Wed, 25 May 2011 10:47:32 EDT Proposed Rules for Nationally Recognized Statistical Rating Organizations http://www.sec.gov/news/speech/2011/spch051811klc.htm Commissioner Kathleen L. Casey at an SEC Open Meeting in Washington, D.C., on May 18, 2011. Thu, 19 May 2011 11:24:55 EDT Remarks at InvestEd Investor Education Conference http://www.sec.gov/news/speech/2011/spch051511ljs.htm Lori J. Schock, Director, Office of Investor Education and Advocacy, in San Diego, CA, on May 15, 2011. Wed, 18 May 2011 16:15:51 EDT Opening Statement at SEC Open Meeting http://www.sec.gov/news/speech/2011/spch051811mls.htm Chairman Mary Schapiro in Washington D.C., on May 18, 2011. Wed, 18 May 2011 12:10:52 EDT Continuing to Improve the Quality, Transparency, and Reliability of Credit Ratings http://www.sec.gov/news/speech/2011/spch051811laa.htm Commissioner Luis A. Aguilar at a Commission Open Meeting in Washington D.C., on May 18, 2011. Wed, 18 May 2011 11:09:42 EDT Remarks Before the Money Market Funds and Systemic Risk Roundtable http://www.sec.gov/news/speech/2011/spch051011mls.htm Chairman Mary L. Schapiro in Washington D.C., on May 10, 2011. Tue, 10 May 2011 16:30:28 EDT Remarks Before the Investment Company Institute's General Membership Meeting http://www.sec.gov/news/speech/2011/spch050611mls.htm Chairman Mary L. Schapiro in Washington D.C., on May 6, 2011. Fri, 6 May 2011 10:52:40 EDT Keynote Address at the National Federation of Municipal Analysts (NFMA) Twenty-Eighth Annual Conference http://www.sec.gov/news/speech/2011/spch050411ebw.htm Commissioner Elisse B. Walter in Charleston, S.C., on May 4, 2011. Wed, 4 May 2011 11:04:06 EDT The Abysmal Lack of Diversity in Corporate Boardrooms is Growing Worse http://www.sec.gov/news/speech/2011/spch050211laa.htm Commissioner Luis A. Aguilar in Washington, D.C., on May 2, 2011. Mon, 2 May 2011 17:32:43 EDT An Update on Diversity and Financial Literacy http://www.sec.gov/news/speech/2011/spch043011laa.htm Commissioner Luis A. Aguilar in Washington, D.C., on April 30, 2011. Mon, 2 May 2011 14:08:55 EDT Statement at Open Meeting to Propose Rule Amendments Regarding Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 http://www.sec.gov/news/speech/2011/spch042711tap-item2.htm Commissioner Troy A. Paredes in Washington, D.C., on April 27, 2011. Thu, 28 Apr 2011 10:35:42 EDT Product Definitions and Regulation of Mixed Swaps http://www.sec.gov/news/speech/2011/spch042711klc-item1.htm Commissioner Kathleen L. Casey at an SEC Open Meeting in Washington, D.C., on April 27, 2011. Thu, 28 Apr 2011 08:38:21 EDT Opening Remarks Regarding Proposed Removal of Certain References to Credit Ratings under the Securities Exchange Act of 1934 http://www.sec.gov/news/speech/2011/spch042711ebw-item2.htm Commissioner Elisse B. Walter at an SEC Open Meeting in Washington, D.C., on April 27, 2011. Wed, 27 Apr 2011 17:44:32 EDT Removal of Credit Rating References From Exchange Act Rules http://www.sec.gov/news/speech/2011/spch042711klc-item2.htm Commissioner Kathleen L. Casey at an SEC Open Meeting in Washington, D.C., on April 27, 2011. Wed, 27 Apr 2011 17:44:32 EDT Opening Statement at SEC Open Meeting: Item 2 - Ratings Removals http://www.sec.gov/news/speech/2011/spch042711mls-item2.htm Chairman Mary L. Schapiro at an SEC Open Meeting in Washington, D.C., on April 27, 2011. Wed, 27 Apr 2011 12:23:17 EDT Opening Statement at SEC Open Meeting: Item 1 - Product Definitions http://www.sec.gov/news/speech/2011/spch042711mls-item1.htm Chairman Mary L. Schapiro at an SEC Open Meeting in Washington, D.C., on April 27, 2011. Wed, 27 Apr 2011 12:23:17 EDT Danger Ahead – Reducing Protections in our Net Capital Rule http://www.sec.gov/news/speech/2011/spch042711laa-item2.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on April 27, 2011. Wed, 27 Apr 2011 10:58:14 EDT Defining the Perimeter of Swap Regulation to Ensure Effective Oversight http://www.sec.gov/news/speech/2011/spch042711laa-item1.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on April 27, 2011. Wed, 27 Apr 2011 10:58:14 EDT Keynote Speech: Still Fighting for Inclusion and Equal Opportunity http://www.sec.gov/news/speech/2011/spch040411laa.htm Commissioner Luis A. Aguilar at Latin American Association's 22nd Annual Compañeros Award Luncheon, Atlanta, Georgia Fri, 22 Apr 2011 09:49:31 EDT Remarks before the Society of American Business Editors and Writers http://www.sec.gov/news/speech/2011/spch040811mls.htm Chairman Mary L. Schapiro before the Society of American Business Editors and Writers in Dallas, Texas, on April 8, 2011. Fri, 8 Apr 2011 12:52:07 EDT Facilitating Real Capital Formation http://www.sec.gov/news/speech/2011/spch040411laa.htm Commissioner Luis A. Aguilar at the Council of Institutional Investors Spring Meeting in Washington, D.C., on April 4, 2011. Mon, 4 Apr 2011 14:49:34 EDT Credit Risk Retention and Listing Standards for Compensation Committees http://www.sec.gov/news/speech/2011/spch033011klc.htm Commissioner Kathleen L. Casey at an SEC Open Meeting in Washington, D.C., on March 30, 2011. Wed, 30 Mar 2011 15:42:43 EDT Improving Executive Compensation Decision Making http://www.sec.gov/news/speech/2011/spch033011laa-item-2.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on March 30, 2011. Wed, 30 Mar 2011 15:03:34 EDT Realigning Incentives in the Securitization Market http://www.sec.gov/news/speech/2011/spch033011laa-item-1.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on March 30, 2011. Wed, 30 Mar 2011 15:03:34 EDT Statement Regarding Compensation Consultants and Compensation Committee Listing Standards http://www.sec.gov/news/speech/2011/spch033011mls-item-2.htm Chairman Mary L. Schapiro at an SEC Open Meeting in Washington, D.C., on March 30, 2011. Wed, 30 Mar 2011 13:00:54 EDT Statement Regarding Credit Risk Retention http://www.sec.gov/news/speech/2011/spch033011mls-item-1.htm Chairman Mary L. Schapiro at an SEC Open Meeting in Washington, D.C., on March 30, 2011. Wed, 30 Mar 2011 13:00:54 EDT Statement at Open Meeting to Propose Amendments Regarding Listing Standards for Compensation Committees http://www.sec.gov/news/speech/2011/spch033011tap-item-2.htm Commissioner Troy A. Paredes in Washington, D.C., on March 30, 2011. Wed, 30 Mar 2011 11:20:51 EDT Statement at Open Meeting to Propose Rule Amendments Regarding Credit Risk Retention in Asset Securitizations http://www.sec.gov/news/speech/2011/spch033011tap-item-1.htm Commissioner Troy A. Paredes in Washington, D.C., on March 30, 2011. Wed, 30 Mar 2011 11:20:51 EDT Exemplifying Fundamentals - Back to Basics http://www.sec.gov/news/speech/2011/spch032811laa.htm Commissioner Luis A. Aguilar in Washington, D.C., on March 28, 2011. Mon, 28 Mar 2011 15:51:18 EDT Remarks at SIFMA’s Compliance and Legal Society Annual Seminar http://www.sec.gov/news/speech/2011/spch032311rk.htm Robert Khuzami, Director, Division of Enforcement, by video presentation on March 23, 2011. Wed, 23 Mar 2011 11:15:07 EDT Remarks at SIFMA’s Compliance and Legal Society Annual Seminar http://www.sec.gov/news/speech/2011/spch032311mls.htm Chairman Mary L. Schapiro by video presentation on March 23, 2011. Wed, 23 Mar 2011 11:15:07 EDT Remarks at the IA Watch Annual IA Compliance Best Practices Seminar http://www.sec.gov/news/speech/2011/spch032111cvd.htm Carlo V. di Florio at the Omni Shoreham Hotel in Washington, D.C., on March 21, 2011. Mon, 21 Mar 2011 17:36:38 EDT Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 http://www.sec.gov/news/speech/2010/spch110310klc-whistleblowers.htm Commissioner Kathleen L. Casey at an SEC Open Meeting in Washington, D.C., on November 3, 2010. Tue, 15 Mar 2011 15:47:24 EDT Remarks Before the 2011 Investment Adviser Compliance Conference http://www.sec.gov/news/speech/2011/spch031011tap.htm Commissioner Troy A. Paredes in Arlington, Virginia, on March 10, 2011 Thu, 10 Mar 2011 17:14:50 EDT Remarks Before the 27th Annual NABE Economic Policy Conference http://www.sec.gov/news/speech/2011/spch030811tap.htm Commissioner Troy A. Paredes in Arlington, Virginia, on March 8, 2011 Thu, 10 Mar 2011 17:14:50 EDT Remarks at News Conference on the Case Against Francisco Illarramendi http://www.sec.gov/news/speech/2011/spch030711db.htm David Bergers, Regional Director, Boston Regional Office, in New Haven, Connecticut, on March 7, 2011 Fri, 4 Mar 2011 17:53:57 EDT Keynote address at the SIFMA Anti-Money Laundering Seminar http://www.sec.gov/news/speech/2011/spch030311cvd.htm Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, in New York, N.Y., on March 3, 2011 Fri, 4 Mar 2011 16:59:51 EDT Statement at Open Meeting to Propose Rules Regarding Clearing Agency Standards for Operation and Governance http://www.sec.gov/news/speech/2011/spch030211klc-agencies.htm Commissioner Kathleen L. Casey in Washington, D.C., on March 2, 2011. Wed, 2 Mar 2011 17:21:39 EST Statement at Open Meeting to Propose Rules Regarding Incentive-Based Compensation Arrangements http://www.sec.gov/news/speech/2011/spch030211ebw-icomp.htm Commissioner Kathleen L. Casey in Washington, D.C., on March 2, 2011. Wed, 2 Mar 2011 15:36:35 EST Statement at Open Meeting to Propose Rules Regarding Incentive-Based Compensation Arrangements http://www.sec.gov/news/speech/2011/spch030211ebw-icomp.htm Commissioner Elisse B. Walter in Washington, D.C., on March 2, 2011. Wed, 2 Mar 2011 14:20:56 EST Statement at Open Meeting to Propose Rules Regarding References to Credit Ratings in Certain Investment Company Act Rules and Forms http://www.sec.gov/news/speech/2011/spch030211laa-ratings.htm Commissioner Luis A. Aguilar in Washington, D.C., on March 2, 2011. Wed, 2 Mar 2011 14:03:53 EST Statement at Open Meeting to Propose Rules Regarding References to Credit Ratings in Certain Investment Company Act Rules and Forms http://www.sec.gov/news/speech/2011/spch030211tap-ratings.htm Commissioner Troy A. Paredes in Washington, D.C., on March 2, 2011. Wed, 2 Mar 2011 13:17:12 EST Statement at Open Meeting to Propose Rules Regarding Clearing Agency Standards for Operation and Governance http://www.sec.gov/news/speech/2011/spch030211tap-agencies.htm Commissioner Troy A. Paredes in Washington, D.C., on March 2, 2011. Wed, 2 Mar 2011 13:17:12 EST Statement at Open Meeting to Propose Rules Regarding Incentive-Based Compensation Arrangements http://www.sec.gov/news/speech/2011/spch030211tap-icomp.htm Commissioner Troy A. Paredes in Washington, D.C., on March 2, 2011. Wed, 2 Mar 2011 13:17:12 EST Opening Statement - SEC Open Meeting: Proposal to Remove Credit Rating References from Investment Company Act Rules and Forms http://www.sec.gov/news/speech/2011/spch030211mls-ratings.htm Chairman Mary L. Schapiro in Washington, D.C., on March 2, 2011. Wed, 2 Mar 2011 11:37:30 EST Opening Statement - SEC Open Meeting: Proposed Rules for Operation and Governance of Clearing Agencies http://www.sec.gov/news/speech/2011/spch030211mls-agencies.htm Chairman Mary L. Schapiro in Washington, D.C., on March 2, 2011. Wed, 2 Mar 2011 11:08:35 EST Opening Statement - SEC Open Meeting: Proposed Rules on Incentive-Based Compensation http://www.sec.gov/news/speech/2011/spch030211mls-icomp.htm Chairman Mary L. Schapiro in Washington, D.C., on March 2, 2011. Wed, 2 Mar 2011 11:08:35 EST Remarks at the DirectWomen Board Institute http://www.sec.gov/news/speech/2011/spch021011ebw-2.htm Commissioner Elisse B. Walter in New York, N.Y., on February 10, 2011. Fri, 18 Feb 2011 11:29:09 EST Remarks at the CCOutreach National Seminar http://www.sec.gov/news/speech/2011/spch020811cvd.htm Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, in Washington, D.C., on February 8, 2011 Mon, 14 Feb 2011 16:14:22 EDT Remarks at SIFMA Compliance and Legal Society December Monthly Luncheon, December 2010 http://www.sec.gov/news/speech/2010/spch122110cvd.htm Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, in Washington, D.C., on December 21, 2010 Mon, 14 Feb 2011 16:14:22 EDT Remarks at the 2010 NSCP National Meeting http://www.sec.gov/news/speech/2010/spch110110cvd.htm Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, in Washington, D.C., on November 1, 2010 Mon, 14 Feb 2011 16:14:22 EDT A Tale of Two Studies: Investment Management Institute Keynote Remarks http://www.sec.gov/news/speech/2011/spch021011ebw.htm Commissioner Elisse B. Walter in New York, N.Y., on February 10, 2011. Fri, 11 Feb 2011 10:05:05 EST Statement at SEC Open Meeting Regarding Proposing Release on Security Ratings http://www.sec.gov/news/speech/2011/spch020911klc.htm Commissioner Kathleen L. Casey in Washington, D.C., on February 9, 2011. Wed, 9 Feb 2011 12:33:15 EST Opening Statement — SEC Open Meeting http://www.sec.gov/news/speech/2011/spch020911mls.htm Chairman Mary L. Schapiro in Washington, D.C., on February 9, 2011. Wed, 9 Feb 2011 11:25:09 EST “The Search for an Appropriate Substitute to Credit Ratings” http://www.sec.gov/news/speech/2011/spch020911laa.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on February 9, 2011. Wed, 9 Feb 2011 11:25:09 EST Statement at Open Meeting to Propose Rules Regarding Security Ratings http://www.sec.gov/news/speech/2011/spch020911tap.htm Commissioner Troy A. Paredes in Washington, D.C., on February 9, 2011. Wed, 9 Feb 2011 11:25:09 EST Remarks at the CCOutreach National Seminar http://www.sec.gov/news/speech/2011/spch020811mls.htm Chairman Mary L. Schapiro in Washington, D.C., on February 8, 2011. Tue, 8 Feb 2011 16:42:04 EST News Conference Remarks http://www.sec.gov/news/speech/2011/spch020811rk.htm Robert S. Khuzami, Director, Division of Enforcement, in New York, NY, on February 8, 2011. Tue, 8 Feb 2011 12:15:00 EST Remarks at “The SEC Speaks in 2011” http://www.sec.gov/news/speech/2011/spch020411ebw.htm Commissioner Elisse B. Walter in Washington, D.C., on February 4, 2011. Mon, 7 Feb 2011 17:34:36 EST “The Regulatory Implementation and Implications of Dodd-Frank” http://www.sec.gov/news/speech/2011/spch012311klc.htm Commissioner Kathleen L. Casey at the Directors’ Forum 2011 at the University of San Diego in San Diego, California, on January 23, 2011. Fri, 4 Feb 2011 17:56:45 EST Remarks at The SEC Speaks in 2011 http://www.sec.gov/news/speech/2011/spch020411tap.htm Commissioner Troy A. Paredes in Washington, D.C., on February 4, 2011. Fri, 4 Feb 2011 16:20:22 EST Address to Practising Law Institute's SEC Speaks in 2011 Program http://www.sec.gov/news/speech/2011/spch020411klc.htm Commissioner Kathleen L. Casey in Washington, D.C., on February 4, 2011. Fri, 4 Feb 2011 15:57:27 EST Setting Forth Aspirations for 2011: Address to Practising Law Institute's SEC Speaks in 2011 Program, Washington, D.C. http://www.sec.gov/news/speech/2011/spch020411laa.htm Commissioner Luis A. Aguilar in Washington, D.C., on February 4, 2011. Fri, 4 Feb 2011 15:04:33 EST Remarks before the 2010 AICPA National Conference on Current SEC and PCAOB Developments http://www.sec.gov/news/speech/2010/spch120610hs.htm Howard Scheck, Chief Accountant, Division of Enforcement in Washington, D.C., on December 6, 2010. Fri, 4 Feb 2011 12:48:19 EST Evolving to Meet the Needs of Investors: Address to Practising Law Institute's SEC Speaks in 2011 Program, Washington, D.C. http://www.sec.gov/news/speech/2011/spch020411mls.htm Chairman Mary L. Schapiro in Washington, D.C., on February 4, 2011. Fri, 4 Feb 2011 10:06:34 EST Remarks at the Practising Law Institute's Ninth Annual Institute on Securities Regulation in Europe http://www.sec.gov/news/speech/2011/spch012511dmb.htm SEC General Counsel David M. Becker in London, England, on January 25, 2011. Wed, 2 Feb 2011 18:01:43 EST Opening Statement — SEC Open Meeting http://www.sec.gov/news/speech/2011/spch020211mls.htm Chairman Mary L. Schapiro in Washington, D.C., on February 2, 2011. Wed, 2 Feb 2011 12:12:16 EST Bringing Trading in Security-Based Swaps Under Regulatory Oversight http://www.sec.gov/news/speech/2011/spch020211laa.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on February 2, 2011. Wed, 2 Feb 2011 11:27:46 EST Statement at Open Meeting to Propose Rules Regarding the Registration and Regulation of Security-Based Swap Execution Facilities (Regulation SB SEF) http://www.sec.gov/news/speech/2011/spch020211tap.htm Commissioner Troy A. Paredes in Washington, D.C., on February 2, 2011. Wed, 2 Feb 2011 11:27:46 EST Remarks at SEC's International Institute for Securities Enforcement and Market Oversight http://www.sec.gov/news/speech/2010/spch110510tap.htm Commissioner Troy A. Paredes in Washington, D.C., on November 5, 2010. Mon, 31 Jan 2011 15:53:05 EST Opening Statement — SEC Open Meeting: Say-On-Pay and Golden Parachute Compensation http://www.sec.gov/news/speech/2011/spch012511tap-3.htm Commissioner Troy A. Paredes at an SEC Open Meeting in Washington, D.C., on January 25, 2011. Tue, 25 Jan 2011 14:10:30 EST Opening Statement — SEC Open Meeting: Net Worth Standard for Accredited Investors http://www.sec.gov/news/speech/2011/spch012511tap-2.htm Commissioner Troy A. Paredes at an SEC Open Meeting in Washington, D.C., on January 25, 2011. Tue, 25 Jan 2011 14:10:30 EST Statement at SEC Open Meeting: Net Worth Standard for Accredited Investors and Say-On-Pay and Golden Parachute Compensation http://www.sec.gov/news/speech/2011/spch012511klc-2-3.htm Commissioner Kathleen L. Casey at an SEC Open Meeting in Washington, D.C., on January 25, 2011. Tue, 25 Jan 2011 12:51:02 EST Opening Statement — SEC Open Meeting: Private Fund Systemic Risk Reporting http://www.sec.gov/news/speech/2011/spch012511klc-1.htm Commissioner Kathleen L. Casey at an SEC Open Meeting in Washington, D.C., on January 25, 2011. Tue, 25 Jan 2011 11:57:35 EST Opening Statement — SEC Open Meeting: Say-On-Pay and Golden Parachute Compensation http://www.sec.gov/news/speech/2011/spch012511mls-3.htm Chairman Mary L. Schapiro at an SEC Open Meeting in Washington, D.C., on January 25, 2011. Tue, 25 Jan 2011 11:37:57 EST Opening Statement — SEC Open Meeting: Net Worth Standard for Accredited Investors http://www.sec.gov/news/speech/2011/spch012511mls-2.htm Chairman Mary L. Schapiro at an SEC Open Meeting in Washington, D.C., on January 25, 2011. Tue, 25 Jan 2011 11:37:57 EST Opening Statement — SEC Open Meeting: Private Fund Systemic Risk Reporting http://www.sec.gov/news/speech/2011/spch012511mls-1.htm Chairman Mary L. Schapiro at an SEC Open Meeting in Washington, D.C., on January 25, 2011. Tue, 25 Jan 2011 11:37:57 EST Statement Regarding Study On Investment Advisers And Broker-Dealers http://www.sec.gov/news/speech/2011/spch012211klctap.htm Commissioners Kathleen L. Casey and Troy A. Paredes, on January 21, 2011. Sat, 22 Jan 2011 09:00:31 EST Statement Regarding Issuer Review of Assets in Offerings of Asset-Backed Securities http://www.sec.gov/news/speech/2011/spch012011tap-item2.htm Commissioner Troy A. Paredes at an SEC Open Meeting in Washington, D.C., on January 20, 2011. Thu, 20 Jan 2011 11:59:31 EST Opening Statement at SEC Open Meeting http://www.sec.gov/news/speech/2011/spch012011mls.htm Chairman Mary L. Schapiro at an SEC Open Meeting in Washington, D.C., on January 20, 2011. Thu, 20 Jan 2011 11:44:44 EST Effecting Real Due Diligence in the Asset-Backed Securities Markets http://www.sec.gov/news/speech/2011/spch012011laa.htm Commissioner Luis A. Aguilar at an SEC Open Meeting in Washington, D.C., on January 20, 2011. Thu, 20 Jan 2011 11:44:44 EST Statement Regarding Adopting Releases on Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Act and Issuer Review of Assets in Offerings of Asset-Backed Securities http://www.sec.gov/news/speech/2011/spch012011klc.htm Commissioner Kathleen L. Casey at an SEC Open Meeting in Washington, D.C., on January 20, 2011. Thu, 20 Jan 2011 11:24:51 EST Statement on Study Enhancing Investment Adviser Examinations http://www.sec.gov/news/speech/2011/spch011911ebw.pdf Commissioner Elise Walter's Statement on Study Enhancing Investment Adviser Examinations (Required by Section 914 of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act) on January 19, 2011. Wed, 19 Jan 2011 18:38:00 EST The Evolving Relationship Between the SEC and State Corporate Law http://www.sec.gov/news/speech/2010/spch120110klc.htm Commissioner Kathleen L. Casey at the Annual Meeting of the American College of Business Court Judges in Fairfax, Virginia, on December 1, 2010. Tue, 18 Jan 2011 12:59:37 EST Security Based Swap Data Repository Registration, Duties and Core Principles and Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information http://www.sec.gov/news/speech/2010/spch111910klc-items3-4.htm Commissioner Kathleen L. Casey at an SEC Open Meeting in Washington, D.C., on November 19, 2010. Tue, 11 Jan 2011 10:01:11 EST Risk Management Controls for Brokers or Dealers With Market Access http://www.sec.gov/news/speech/2010/spch110310klc-marketaccess.htm Commissioner Kathleen L. Casey at an SEC Open Meeting in Washington, D.C., on November 3, 2010. Tue, 11 Jan 2011 10:01:11 EST