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U.S. Securities and Exchange Commission

Upcoming Events

This page provides a schedule of the upcoming events including open and closed meetings of the Commission, public appearances of senior SEC officials, including the Chairman, Commissioners, and senior staff members, and other occasions. For additional information on events, please call the contact numbers listed. Please note that events are subject to change.


SEC Meetings and Other Events

All SEC open meetings and many other public events are webcast. Captioning is provided for these webcasts. Reasonable accommodations for persons with disabilities attending an event in person can be arranged by submitting a request to DisabilityProgramOfficer@SEC.gov at least three business days in advance.

SEC closed meetings are not open to the public.

April 2014

When:   April 24, 2014, 2:00 p.m.
Who:   The Commission
What:   Closed Meeting
Sunshine Act Notice
Where:   SEC Headquarters, 100 F Street, NE, Washington, DC
Contact:   Office of the Secretary, (202) 551-5400

Public Appearances by Officials

April 2014

When:  

April 25, 2014, 9:00 a.m. - 5:00 p.m.

Who:  

Andrew Ceresney, Director, Division of Enforcement
Stephen Cohen, Associate Director, Division of Enforcement
Michael Conley, Deputy General Counsel, Office of the General Counsel
Michael Osnato, Chief of the Complex Financial Instruments Unit, Division of Enforcement
David Woodcock, Regional Director- Fort Worth Regional Office and Chair of the Financial Reporting and Audit Task Force

What:   Practicing Law Institute's Enforcement 2014: Perspectives from Government Agencies Conference
Where:   New York, NY
Contact:   Jennifer Pinzari, jpinzari@pli.edu

May 2014

When:  

May 1, 2014

Who:  

James Burns, Deputy Director, Trading and Markets (9:30 a.m. 10:20 a.m.)
Drew Bowden, Director, Office of Compliance Inspections and Examinations (3:35 p.m. – 4:25 p.m.)
Andrew Calamari, Regional Director, New York Regional Office (11:40 a.m. 12:30 p.m.)
Norm Champ, Director, Division of Investment Management (8:30 a.m.– 9:25 a.m.)
Erozan Kurtas, Assistant Director, Quantitative Analytics Unit, Office of Compliance Inspections and Examinations (4:30 p.m. 5:20 p.m.)

What:   Regulatory Compliance Association
Where:   The Pierre Hotel, New York, NY
Contact:   Terri Hays, thays@rcaonline.org or 646-415-3717

When:  

May 6, 2014, 10:00 a.m. – 10:45 a.m.

Who:  

Drew Bowden, Director, Office of Compliance Inspections and Examinations

What:   Keynote Speaker at Private Equity International
Where:   Convene Conference Center, 730 Third Avenue (At the TIAA-CREF building, between 45th & 46th Street), New York, NY 10017
Contact:   Shrena Fraser shrena.f@peimedia.com

When:  

May 8, 2014, 8:00 a.m. - 11:00 a.m.

Who:  

SFRO Regional Director, Jina L. Choi, Speaker
LARO Regional Director, Michele Wein Layne, Speaker

What:   The West Coast SEC Directors Roundtable
Where:   The Fairmont, San Francisco, CA
Contact:   Bruce Carton, events@securitiesdocket.com, 703-999-6612

When:  

May 9, 2014, 7:50 a.m. - 5:05 p.m.

Who:  

Andrew Bowden, Director, Office of Compliance Inspections and Examinations
Mary Brady, Assistant Regional Director, Denver Regional Office
Andrew Ceresney, Director Division of Enforcement
Kevin Goodman, Assistant Director, Office of Broker-Dealer Examinations
Thomas Krysa, Regional Trial Counsel, Denver Regional Office
Julie Lutz, Regional Director, Denver Regional Office
Laura Metcalfe, Assistant Director, Complex Financial Instruments Unit
Shelley Parratt, Deputy Director, Division of Corporation Finance
Jay Scoggins, Assistant Regional Director, Market Abuse Unit

What:   46th Annual Rocky Mountain Securities Conference
Where:   Grand Hyatt Denver Downtown, Denver, CO
Contact:   Gary Abrams, garbrams@cobar.org

When:   May 14, 2014
Who:   Commissioner Michael Piwowar (8:45 a.m. - 9:15 a.m.)
Stephen Luparello, Director, Division of Trading & Markets (9:15 a.m. - 10:30 a.m.)
Greg Berman, Associate Director, Office of Analytics and Research (1:45 p.m. - 2:45 p.m.)
James Burns, Deputy Director, Division of Trading and Markets (3:00 p.m. - 4:00 p.m.)
What:   SIFMA Market Structure
Where:   New York Marriott Downtown, New York, NY
Contact:   Lisette Rios, lrios@sifma.org

When:   May 15, 2014, 8:30 a.m. - 5:00 p.m.
Who:   Commissioner Michael Piwowar
Greg Berman, Associate Director, Office of Analytics and Research, Division of Trading and Markets
James Burns, Deputy Director, Division of Trading and Markets
Stephen Luparello, Director, Division of Trading & Markets
What:   SIFMA Market Structure Conference
Where:   New York, NY
Contact:   Rachel Jackson, (212) 313-1191 or rjackson@sifma.org

June 2014

When:  

June 17, 2014, 11:00 a.m. - 12:00 p.m.

Who:  

Gregg Berman, Associate Director of the Office of Analytics and Research

What:   SIFMA Tech 2014
Where:   Hilton 1335 Avenue of the Americas, New York, NY
Contact:   Liz Pierce, lpierce@sifma.org

Public Hearings in Administrative Proceedings

To obtain a sign language interpreter contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.

April 2014

When:   Monday, April 21 - Friday April 25, 2014, 9:00 a.m. Eastern Daylight Time
Who:   Administrative Law Judge Cameron Elliot
What:   Continued Hearing in the matter of Harding Advisory LLC and Wing F. Chau, Administrative Proceeding File No. 3-15574
Where:   SEC Headquarters, 100 F Street, N.E., Hearing Room 2, Washington, DC 20549
Contact:   Office of Administrative Law Judges, (202) 551-6030

When:   This hearing has been postponed. Monday, April 28 - Friday May 2, 2014, 9:30 a.m. Central Daylight Time
Who:   Administrative Law Judge Carol Fox Foelak
What:   Hearing in the matter of Parallax Investments, LLC, et al. , Administrative Proceeding File No. 3-15626
Where:   U.S. Tax Court, Casey U. S. Courthouse, Room 7006, 515 Rusk St., Houston, Texas
Contact:   Office of Administrative Law Judges, (202) 551-6030

May 2014

When:   Monday, May 5 – Friday, May 9, 2014, 9:30 am Eastern Daylight Time
Who:   Administrative Law Judge Cameron Elliot
What:   Hearing in the matter of Ambassador Capital Management, LLC and Derek H. Oglesby, Administrative Proceeding File No. 3-15625
Where:   SEC Headquarters, 100 F Street, N.E., Hearing Room 2, Washington, DC 20549
Contact:   Office of Administrative Law Judges, (202) 551-6030

 

http://www.sec.gov/about/upcoming-events.htm


Modified: 04/18/2014