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2010 Speeches and Public Statements: Alphabetically by Speaker

By Speaker

Commissioners         Commission Staff

Mary L. Schapiro, Chairman
Luis A. Aguilar
Kathleen L. Casey
Troy A. Paredes
Elisse B. Walter

       

Berman, Gregg E.
Beswick, Paul A.
Bricker, Wesley R.
Brigagliano, James A.
Carnall, Wayne
Cross, Meredith
Croteau, Brian T.
di Florio, Carlo V.
Donohue, Andrew J.
Greenberg, Elaine
Hawke, Daniel
Hunsaker, Stephanie L.
Kaplan, Robert
Karpati, Bruce
Khuzami, Robert S.
Kroeker, James L.
Lench, Kenneth
Levine, Joel K.
Offenbacher, John F.
Olinger, Craig
Reisner, Lorin L.
Scarboro, Cheryl
Scheck, Howard
Schock, Lori J.
Shah, Nilima
Sporkin, Thomas
Teotia, Sagar S.
Watson, Lisa D.

By Date

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Commissioners

Date Title Author

Chairman Mary L. Schapiro

Dec. 15, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Part 2, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Dec. 15, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Part 1, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Dec. 6, 2010 "The Important Role You Play", AICPA Annual Conference, Washington, D.C. Chairman
Mary L. Schapiro
Dec. 3, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Nov. 19, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Proposed Regulation SBSR, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Nov. 19, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Security-Based Swap Data Repository Registration, Duties, and Core Principles, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Nov. 19, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Meeting Proposals to Implement Investment Adviser Provisions of the Dodd-Frank Act, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Nov. 18, 2010 Remarks to the SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. Chairman
Mary L. Schapiro
Nov. 9, 2010 Brodsky Family Lecture at Northwestern University School of Law, Chicago, IL Chairman
Mary L. Schapiro
Nov. 3, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Proposed Rules for Implementing the Whistleblower Provisions of Secton 21F of the Securities Exchange Act of 1934, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Nov. 3, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Nov. 3, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Risk Management Controls for Brokers or Dealers with Market Access, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Oct. 19, 2010 Remarks at the NACD Annual Corporate Governance Conference, Washington, D.C. Chairman
Mary L. Schapiro
Oct. 13, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Issuer Review of Assets Underlying Asset-Backed Securities, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Oct. 13, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Mitigate Conflicts of Interest Under Section 765 of the Dodd-Frank Act, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Oct. 13, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Interim Final Temporary Rule 13Aa-2T, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Sep. 22, 2010 Remarks Before the Security Traders Association, Washington, D.C. Chairman
Mary L. Schapiro
Sep. 17, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Sep. 7, 2010 "Strengthening Our Equity Market Structure", Economic Club of New York, New York, New York Chairman
Mary L. Schapiro
Aug. 25, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Aug. 11, 2010 Opening Statement at CFTC-SEC Joint Advisory Committee Meeting, Washington, D.C. Chairman
Mary L. Schapiro
Jul. 27, 2010 Moving Forward: The Next Phase in Financial Regulatory Reform, Washington, D.C. Chairman
Mary L. Schapiro
Jul. 21, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting—Form ADV Amendments, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jul. 21, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting—12b-1 Fees, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jul. 14, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jul. 9, 2010 Remarks at the National Conference of the Society of Corporate Secretaries and Governance Professionals, Chicago, Illinois Chairman
Mary L. Schapiro
Jun. 30, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jun. 20, 2010 Remarks at the Stanford University Law School Directors College, Stanford, California Chairman
Mary L. Schapiro
Jun. 16, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jun. 8, 2010 Remarks at CEO Quarterly Meeting of The Business Roundtable, Washington, D.C. Chairman
Mary L. Schapiro
Jun. 2, 2010 Opening Statement at SEC Market Structure Roundtable, Washington, D.C. Chairman
Mary L. Schapiro
May 26, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Municipal Securities Disclosure, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
May 26, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Consolidated Audit Trail, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
May 18, 2010 Remarks at CFA Institute 2010 Annual Conference, Boston, Massachusetts Chairman
Mary L. Schapiro
May 7, 2010 Remarks at Investment Company Institute 2010 General Membership Meeting, Washington, D.C. Chairman
Mary L. Schapiro
as delivered by
Andrew J. Donohue
May 6, 2010 Keynote Address at the 2010 Annual Seminar of the Compliance and Legal Society of the Securities Industry and Financial Markets Association, Harbor Place, Maryland Chairman
Mary L. Schapiro
Apr. 21, 2010 Statement on the Independence of the Securities and Exchange Commission, Washington, D.C. Chairman
Mary L. Schapiro
Apr. 15, 2010 Statement Concerning Agency Self-Funding, News Conference Call, Washington, D.C. Chairman
Mary L. Schapiro
Apr. 14, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Access to Listed Options, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Apr. 14, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Large Trader Reporting System, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Apr. 7, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Feb. 24, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Global Accounting Standards, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Feb. 24, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Short Sale Restrictions, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Feb. 5, 2010 "Looking Ahead and Moving Forward", SEC Speaks, Washington, D.C. Chairman
Mary L. Schapiro
Jan. 27, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Disclosure Related to Issue of Climate Change, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jan. 27, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Money Market Funds, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jan. 26, 2010 Remarks at the CCOutreach National Seminar, Washington, D.C. Chairman
Mary L. Schapiro
Jan. 20, 2010 Embracing the Change, Coronado, California Chairman
Mary L. Schapiro
Jan. 13, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Market Structure Concept Release, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jan. 13, 2010
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Market Access, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro

Commissioner Luis A. Aguilar

Dec. 15, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Dec. 3, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Nov. 19, 2010 Statement at SEC Open Meeting — Security-Based Swap Data Repository Registration, Duties, and Core Principles, and Proposed Regulation SBSR, Washington, D.C. Commissioner
Luis A. Aguilar
Nov. 19, 2010 Statement at SEC Open Meeting — Meeting Proposals to Implement Investment Adviser Provisions of the Dodd-Frank Act, Washington, D.C. Commissioner
Luis A. Aguilar
Nov. 18, 2010 The SEC and Corporate Governance — An Overview in the Wake of Dodd-Frank, Washington, D.C. Commissioner
Luis A. Aguilar
Nov. 4, 2010 Board Diversity: Why It Matters and How to Improve It, New York, NY Commissioner
Luis A. Aguilar
Nov. 3, 2010 Statement at SEC Open Meeting — Proposed Rules for Implementing the Whistleblower Provisions of Secton 21F of the Securities Exchange Act of 1934, Washington, D.C. Commissioner
Luis A. Aguilar
Nov. 3, 2010 Statement at SEC Open Meeting — Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps, Washington, D.C. Commissioner
Luis A. Aguilar
Nov. 3, 2010 Statement at SEC Open Meeting — Risk Management Controls for Brokers or Dealers with Market Access, Washington, D.C. Commissioner
Luis A. Aguilar
Oct. 15, 2010 An Insider’s View of the SEC: Principles to Guide Reform, Berkeley, California Commissioner
Luis A. Aguilar
Oct. 14, 2010 The Mandate for Fair Inclusion and Opportunity for All, Oakland, California Commissioner
Luis A. Aguilar
Oct. 13, 2010 Statement at SEC Open Meeting — Issuer Review of Assets Underlying Asset-Backed Securities, Washington, D.C. Commissioner
Luis A. Aguilar
Oct. 13, 2010 Statement at SEC Open Meeting — Mitigate Conflicts of Interest Under Section 765 of the Dodd-Frank Act, Washington, D.C. Commissioner
Luis A. Aguilar
Oct. 13, 2010 Statement at SEC Open Meeting — Interim Final Temporary Rule 13Aa-2T, Washington, D.C. Commissioner
Luis A. Aguilar
Oct. 4, 2010 Changing the Dialogue on Diversity to Achieve Results, National Harbor, Maryland Commissioner
Luis A. Aguilar
Sep. 28, 2010 Furthering Opportunity and Diversity at the SEC: A Positive-Sum Game, Washington, D.C. Commissioner
Luis A. Aguilar
Sep. 21, 2010 Financial Regulatory Reform: The SEC Moving Forward, Los Angeles, California Commissioner
Luis A. Aguilar
Sep. 17, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Sep. 16, 2010 Diversity in the Boardroom is Important and, Unfortunately, Still Rare, SAIS Center for Transatlantic Relations, Washington, D.C. Commissioner
Luis A. Aguilar
Aug. 25, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Jul. 21, 2010 Statement at SEC Open Meeting—Form ADV, Washington, D.C. Commissioner
Luis A. Aguilar
Jul. 21, 2010 Statement at SEC Open Meeting—12b-1 Fees, Washington, D.C. Commissioner
Luis A. Aguilar
Jul. 14, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Jun. 30, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Jun. 16, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Jun. 2, 2010 Statement at SEC Market Structure Roundtable, Washington, D.C. Commissioner
Luis A. Aguilar
May 26, 2010 Statement at SEC Open Meeting — Municipal Securities Disclosure, Washington, D.C. Commissioner
Luis A. Aguilar
May 26, 2010 Statement at SEC Open Meeting — Consolidated Audit Trail, Washington, D.C. Commissioner
Luis A. Aguilar
May 24, 2010 Market Upheaval and Investor Harm Should Not be the New Normal, Compliance Week 2010, Washington, D.C. Commissioner
Luis A. Aguilar
May 24, 2010 Analysis of Regulatory Issues and Market Reforms Should Be Focused on Enhancing Productive Capital Allocation, Meeting of the Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues, Washington, D.C. Commissioner
Luis A. Aguilar
May 17, 2010 Amplifying the Voices of Investors: The Work of the Investor Advisory Committee, Investor Advisory Committee Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
May 11, 2010 Statement in Support of Extending a Fiduciary Duty to Broker-Dealers who Provide Investment Advice, Washington, D.C. Commissioner
Luis A. Aguilar
May 3, 2010 Recruiting the Best and the Brightest Means Striving for a Diverse Applicant Pool, Washington, D.C. Commissioner
Luis A. Aguilar
Apr. 29, 2010 Protecting Investors by Requiring that Advice-Givers Stay True to the Fiduciary Framework, Chicago, Illinois Commissioner
Luis A. Aguilar
Apr. 16, 2010 Regulatory Reform That Optimizes the Regulation of Systemic Risk, ABA Systemic Risk Panel, New York City, New York Commissioner
Luis A. Aguilar
Apr. 14, 2010 Statement at SEC Open Meeting — Large Trader Reporting System, Washington, D.C. Commissioner
Luis A. Aguilar
Apr. 14, 2010 Statement at SEC Open Meeting — Access to Listed Options, Washington, D.C. Commissioner
Luis A. Aguilar
Apr. 7, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Mar. 26, 2010 A Shared Responsibility: Preserving the Fiduciary Standard, IA Compliance Best Practices Summit 2010, Washington, D.C. Commissioner
Luis A. Aguilar
Mar. 15, 2010 Making Sure Investors Benefit from Money Market Fund Reform, Phoenix, Arizona Commissioner
Luis A. Aguilar
Feb. 24, 2010 Statement at SEC Open Meeting — Global Accounting Standards, Washington, D.C. Commissioner
Luis A. Aguilar
Feb. 24, 2010 Statement at SEC Open Meeting — Short Sale Restrictions, Washington, D.C. Commissioner
Luis A. Aguilar
Feb. 22, 2010 Answering the Call to Public Service on Behalf of Investors, Investor Advisory Committee Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Feb. 5, 2010 Sustainable Reform Prioritizing Long-Term Investors Requires the Right Orientation, SEC Speaks, Washington, D.C. Commissioner
Luis A. Aguilar
Jan. 27, 2010 Statement at SEC Open Meeting — Disclosure Related to Issue of Climate Change, Washington, D.C. Commissioner
Luis A. Aguilar
Jan. 27, 2010 Statement at SEC Open Meeting — Money Market Funds, Washington, D.C. Commissioner
Luis A. Aguilar
Jan. 13, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar

Commissioner Kathleen L. Casey

Dec. 1, 2010 The Evolving Relationship Between the SEC and State Corporate Law, Annual Meeting of the American College of Business Court Judges, Fairfax, Virginia Commissioner
Kathleen L. Casey
Nov. 19, 2010 Statement at SEC Open Meeting — Security-Based Swap Data Repository Registration, Duties, and Core Principles, and Proposed Regulation SBSR, Washington, D.C. Commissioner
Kathleen L. Casey
Nov. 19, 2010 Statement at SEC Open Meeting — Meeting Proposals to Implement Investment Adviser Provisions of the Dodd-Frank Act, Washington, D.C. Commissioner
Kathleen L. Casey
Nov. 3, 2010 Statement at SEC Open Meeting — Proposed Rules for Implementing the Whistleblower Provisions of Secton 21F of the Securities Exchange Act of 1934, Washington, D.C. Commissioner
Kathleen L. Casey
Nov. 3, 2010 Statement at SEC Open Meeting — Risk Management Controls for Brokers or Dealers with Market Access, Washington, D.C. Commissioner
Kathleen L. Casey
Oct. 13, 2010 Statement at SEC Open Meeting — Issuer Review of Assets Underlying Asset-Backed Securities, Washington, D.C. Commissioner
Kathleen L. Casey
Oct. 13, 2010 Statement at SEC Open Meeting — Mitigate Conflicts of Interest Under Section 765 of the Dodd-Frank Act, Washington, D.C. Commissioner
Kathleen L. Casey
Sep. 17, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Kathleen L. Casey
Aug. 25, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Kathleen L. Casey
Jul. 21, 2010 Statement at SEC Open Meeting—12b-1 Fees, Washington, D.C. Commissioner
Kathleen L. Casey
Jul. 14, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Kathleen L. Casey
Jun. 12, 2010 "The Role of International Regulatory Cooperation and Coordination in Promoting Efficient Capital Markets", Milan, Italy Commissioner
Kathleen L. Casey
Apr. 7, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Kathleen L. Casey
Feb. 24, 2010 Statement at SEC Open Meeting — Short Sale Restrictions, Washington, D.C. Commissioner
Kathleen L. Casey
Feb. 24, 2010 Statement at SEC Open Meeting — Global Accounting Standards, Washington, D.C. Commissioner
Kathleen L. Casey
Feb. 5, 2010 Remarks at SEC Speaks, Washington, D.C. Commissioner
Kathleen L. Casey
Jan. 27, 2010 Statement at SEC Open Meeting — Disclosure Related to Issue of Climate Change, Washington, D.C. Commissioner
Kathleen L. Casey
Jan. 27, 2010 Statement at SEC Open Meeting — Money Market Funds, Washington, D.C. Commissioner
Kathleen L. Casey
Jan. 13, 2010 Statement at SEC Open Meeting — Market Structure Concept Release, Washington, D.C. Commissioner
Kathleen L. Casey
Jan. 13, 2010 Statement at SEC Open Meeting — Market Access, Washington, D.C. Commissioner
Kathleen L. Casey

Commissioner Troy A. Paredes

Dec. 3, 2010 Statement at SEC Open Meeting — Proposed Regulation SBSR, Washington, D.C. Commissioner
Troy A. Paredes
Nov. 19, 2010 Statement at SEC Open Meeting — Proposed Regulation SBSR, Washington, D.C. Commissioner
Troy A. Paredes
Nov. 19, 2010 Statement at SEC Open Meeting — Security-Based Swap Data Repository Registration, Duties, and Core Principles, Washington, D.C. Commissioner
Troy A. Paredes
Nov. 19, 2010 Statement at SEC Open Meeting — Meeting Proposals to Implement Investment Adviser Provisions of the Dodd-Frank Act, Washington, D.C. Commissioner
Troy A. Paredes
Nov. 18, 2010 Remarks at the 2010 SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. Commissioner
Troy A. Paredes
Nov. 5, 2010 Remarks at SEC's International Institute for Securities Enforcement and Market Oversight, Washington, D.C. Commissioner
Troy A. Paredes
Nov. 3, 2010 Statement at SEC Open Meeting — Proposed Rules for Implementing the Whistleblower Provisions of Secton 21F of the Securities Exchange Act of 1934, Washington, D.C. Commissioner
Troy A. Paredes
Oct. 25, 2010 “Corporate Governance and the New Financial Regulation: Complements or Substitutes?”, Transatlantic Corporate Governance Dialogue, Brussels, Belgium Commissioner
Troy A. Paredes
Oct. 13, 2010 Statement at SEC Open Meeting — Mitigate Conflicts of Interest Under Section 765 of the Dodd-Frank Act, Washington, D.C. Commissioner
Troy A. Paredes
Sep. 24, 2010 Remarks at the Security Traders Association 77th Annual Conference and Business Meeting, Washington, D.C. Commissioner
Troy A. Paredes
Sep. 17, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Troy A. Paredes
Aug. 25, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Troy A. Paredes
Jul. 21, 2010 Statement at SEC Open Meeting—Form ADV, Washington, D.C. Commissioner
Troy A. Paredes
Jul. 21, 2010 Statement at SEC Open Meeting—12b-1 Fees, Washington, D.C. Commissioner
Troy A. Paredes
Jun. 30, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Troy A. Paredes
Jun. 16, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Troy A. Paredes
May 26, 2010 Statement at SEC Open Meeting — Municipal Securities Disclosure, Washington, D.C. Commissioner
Troy A. Paredes
May 26, 2010 Statement at SEC Open Meeting — Consolidated Audit Trail, Washington, D.C. Commissioner
Troy A. Paredes
Apr. 15, 2010 Remarks at the 22nd Annual Tulane Corporate Law Institute, New Orleans, Louisiana Commissioner
Troy A. Paredes
Apr. 14, 2010 Statement at SEC Open Meeting — Access to Listed Options, Washington, D.C. Commissioner
Troy A. Paredes
Apr. 14, 2010 Statement at SEC Open Meeting — Large Trader Reporting System, Washington, D.C. Commissioner
Troy A. Paredes
Apr. 7, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Troy A. Paredes
Mar. 24, 2010 Remarks at Midwest SIFMA & St. Louis Regional Chamber and Growth Association Luncheon, St. Louis, Missouri Commissioner Troy A. Paredes
Feb. 24, 2010 Statement at SEC Open Meeting — Global Accounting Standards, Washington, D.C. Commissioner
Troy A. Paredes
Feb. 24, 2010 Statement at SEC Open Meeting — Short Sale Restrictions, Washington, D.C. Commissioner
Troy A. Paredes
Feb. 5, 2010 Remarks at SEC Speaks, Washington, D.C. Commissioner
Troy A. Paredes
Jan. 27, 2010 Statement at SEC Open Meeting — Disclosure Related to Issue of Climate Change, Washington, D.C. Commissioner
Troy A. Paredes
Jan. 27, 2010 Statement at SEC Open Meeting — Money Market Funds, Washington, D.C. Commissioner
Troy A. Paredes
Jan. 13, 2010 Statement at SEC Open Meeting — Market Structure Concept Release, Washington, D.C. Commissioner
Troy A. Paredes
Jan. 13, 2010 Statement at SEC Open Meeting — Market Access, Washington, D.C. Commissioner
Troy A. Paredes

Commissioner Elisse B. Walter

Dec. 7, 2010 Statement at SEC Field Hearing on the State of the Municipal Securities Market, Washington, D.C. Commissioner
Elisse B. Walter
Nov. 19, 2010 Statement at SEC Open Meeting — Meeting Proposals to Implement Investment Adviser Provisions of the Dodd-Frank Act, Washington, D.C. Commissioner
Elisse B. Walter
Nov. 10, 2010 Remarks Before the PLI 42nd Annual Institute on Securities Regulation, New York, NY Commissioner
Elisse B. Walter
Nov. 3, 2010 Statement at SEC Open Meeting — Proposed Rules for Implementing the Whistleblower Provisions of Secton 21F of the Securities Exchange Act of 1934, Washington, D.C. Commissioner
Elisse B. Walter
Nov. 3, 2010 Statement at SEC Open Meeting — Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps, Washington, D.C. Commissioner
Elisse B. Walter
Oct. 29, 2010 Remarks before the 43rd Annual Securities Regulation Seminar, Los Angeles, California Commissioner
Elisse B. Walter
Oct. 28, 2010 Key Note Address at the National Association of Bond Lawyers (NABL) 35th Bond Attorneys’ Workshop, San Antonio, Texas Commissioner
Elisse B. Walter
Oct. 13, 2010 Statement at SEC Open Meeting — Issuer Review of Assets Underlying Asset-Backed Securities, Washington, D.C. Commissioner
Elisse B. Walter
Sep. 29, 2010 Keynote Address at the Eurofi Financial Forum 2010, Brussels, Belgium Commissioner
Elisse B. Walter
Sep. 21, 2010 Statement at SEC Field Hearing on the State of the Municipal Securities Market, San Francisco, California Commissioner
Elisse B. Walter
Sep. 20, 2010 "What's Next?": Remarks Before The 2010 Fall Meeting of the Council of Institutional Investors, San Diego, California Commissioner
Elisse B. Walter
Aug. 25, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Elisse B. Walter
Jul. 21, 2010 Statement at SEC Open Meeting—Form ADV, Washington, D.C. Commissioner
Elisse B. Walter
Jul. 21, 2010 Statement at SEC Open Meeting—12b-1 Fees, Washington, D.C. Commissioner
Elisse B. Walter
Jul. 6, 2010 Supervisory Cooperation: The Next Frontier for International Securities Regulation, Washington, D.C. Commissioner
Elisse B. Walter
Jun. 30, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Elisse B. Walter
Jun. 10, 2010 Remarks at the 14th Annual SEC Regulation Outside the United States Conference, London, United Kingdom Commissioner
Elisse B. Walter
May 26, 2010 Statement at SEC Open Meeting — Municipal Securities Disclosure, Washington, D.C. Commissioner
Elisse B. Walter
May 26, 2010 Statement at SEC Open Meeting — Consolidated Audit Trail, Washington, D.C. Commissioner
Elisse B. Walter
May 7, 2010 Remarks at 42nd Annual Rocky Mountain Securities Conference, Denver, Colorado Commissioner
Elisse B. Walter
Apr. 23, 2010 "Plans and Prospects for Financial Regulatory Reform", San Diego, California Commissioner
Elisse B. Walter
Apr. 14, 2010 Statement at SEC Open Meeting — Access to Listed Options, Washington, D.C. Commissioner
Elisse B. Walter
Apr. 14, 2010 Statement at SEC Open Meeting — Large Trader Reporting System, Washington, D.C. Commissioner
Elisse B. Walter
Apr. 7, 2010 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Elisse B. Walter
Mar. 5, 2010 Let the Story Shine Through, Remarks Before WESFACCA, Darien, Connecticut Commissioner
Elisse B. Walter
Feb. 26, 2010 Remarks at 2010 Investment Adviser Compliance Forum, Arlington, Virginia Commissioner
Elisse B. Walter
Feb. 24, 2010 Statement at SEC Open Meeting — Statement in Support of Convergence and Global Accounting Standards, Washington, D.C. Commissioner
Elisse B. Walter
Feb. 24, 2010 Statement at SEC Open Meeting — Short Sale Restrictions, Washington, D.C. Commissioner
Elisse B. Walter
Feb. 5, 2010 Remarks at "The SEC Speaks in 2010", Washington, D.C. Commissioner
Elisse B. Walter
Jan. 27, 2010 Statement at SEC Open Meeting — Money Market Fund Reform, Washington, D.C. Commissioner
Elisse B. Walter
Jan. 27, 2010 Statement at SEC Open Meeting — Disclosure Related to Issue of Climate Change, Washington, D.C. Commissioner
Elisse B. Walter
Jan. 13, 2010 Statement at SEC Open Meeting — Market Structure Concept Release, Washington, D.C. Commissioner
Elisse B. Walter
Jan. 13, 2010 Statement at SEC Open Meeting — Market Access, Washington, D.C. Commissioner
Elisse B. Walter


Commission Staff

Date Title Author

Gregg E. Berman, Senior Advisor to the Director, Division of Trading and Markets

Oct. 13, 2010 Market Participants and the May 6 Flash Crash, New York, New York Gregg E. Berman
Senior Advisor to the Director, Division of Trading and Markets

Paul A. Beswick, Deputy Chief Accountant, Office of the Chief Accountant

Dec. 6. 2010 Remarks before the 2010 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Paul A. Beswick, Deputy Chief Accountant
Jun. 3, 2010 Remarks at the 29th Annual SEC and Financial Reporting Institute Conference, Pasadena, California Paul A. Beswick
Deputy Chief Accountant, Office of the Chief Accountant

Wesley R. Bricker, Professional Accounting Fellow, Office of the Chief Accountant

Dec. 6. 2010 Remarks before the 2010 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Wesley R. Bricker, Professional Accounting Fellow, Office of the Chief Accountant

James A. Brigagliano, Deputy Director, Division of Trading and Markets

Apr. 19, 2010 Keynote Speech to the National Organization of Investment Professionals, Washington, D.C. James A. Brigagliano,
Deputy Director, Division of Trading and Markets
Jan. 21, 2010 Keynote Speech of the SIFMA Dark Pool Symposium, New York, New York James A. Brigagliano
Deputy Director, Division of Trading and Markets

Wayne Carnall, Chief Accountant, Division of Corporation Finance

Dec. 7, 2010 Slide Presentation (PDF): Remarks before the 2010 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Wayne Carnall, Chief Accountant, Division of Corporation Finance
Dec. 6, 2010 Slide Presentation (PDF): Remarks before the 2010 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Wayne Carnall, Chief Accountant, Division of Corporation Finance
Dec. 2010 Slide Presentation (PDF): SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, PCAOB Forums on Auditing in the Small Business Environment Wayne Carnall, Chief Accountant, Division of Corporation Finance

Meredith Cross, Director, Division of Corporation Finance

Oct. 22, 2010 Remarks at the ABA Business Law Section, Delaware Business Law Forum, Wilmington, Delaware Meredith B. Cross
Director, Division of Corporation Finance
Jul. 22, 2010 Statement Regarding the Registered Asset-Backed Securities Market Meredith Cross
Director, Division of Corporation Finance

Brian T. Croteau, Deputy Chief Accountant, Office of the Chief Accountant

Dec. 6. 2010 Remarks before the 2010 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Brian T. Croteau, Deputy Chief Accountant, Office of the Chief Accountant

Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations

Dec. 21, 2010 Remarks at SIFMA Compliance and Legal Society December Monthly Luncheon, December 2010, Washington, D.C. Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations
Nov. 1, 2010 Remarks at the 2010 NSCP National Meeting, Washington, D.C. Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations
Jan. 26, 2010 Remarks at the CCOutreach National Seminar, Washington, D.C. Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations

Andrew J. Donohue, Director, Division of Investment Management

Oct. 28, 2010 Remarks at the 2010 ALI-ABA Conference on Life Insurance Company Products, Washington, D.C. Andrew J. Donohue
Director, Division of Investment Management
Oct. 6, 2010 Luncheon and Keynote Address at NICSA East Coast Regional Meeting, Boston, Massachusetts Andrew J. Donohue
Director, Division of Investment Management
Oct. 4, 2010 Keynote Speech at 2010 Retirement Income Industry Association Awards Dinner, Boston, Massachusetts Andrew J. Donohue
Director, Division of Investment Management
Jun. 3, 2010 Keynote Address at the ALI-ABA Compliance Conference, Washington, D.C. Andrew J. Donohue
Director, Division of Investment Management
May 26, 2010 Keynote Address Before the Annual Policy Seminar of the European Fund and Asset Management Association, Brussels, Belgium Andrew J. Donohue
Director, Division of Investment Management
May 11, 2010 Keynote Address Before the Massachusetts Society of CPAs Investment Company InfoShare Program, Boston, Massachusetts Andrew J. Donohue
Director, Division of Investment Management
Apr. 24, 2010 Luncheon Address Before a Meeting of the Business Law Section of the American Bar Association Committee on Federal Regulation of Securities, Denver, Colorado Andrew J. Donohue
Director, Division of Investment Management
Apr. 8, 2010 Remarks Before the Practising Law Institute's Investment Management Institute 2010, New York, New York Andrew J. Donohue,
Director, Division of Investment Management
Feb. 25, 2010 Keynote Address at IAA/ACA Insight's Investment Adviser Compliance Forum 2010, Arlington, Virginia Andrew J. Donohue
Director, Division of Investment Management
Feb. 19, 2010 Regulating Hedge Funds and Other Private Investment Pools, New York, New York Andrew J. Donohue
Director, Division of Investment Management

Elaine Greenberg, Chief of the Municipal Securities and Public Pension Unit

Jan. 13, 2010 Remarks at News Conference Announcing New SEC Leaders in Enforcement Division, Washington, D.C. Elaine Greenberg, Chief of the Municipal Securities and Public Pension Unit

Daniel Hawke, Chief of the Market Abuse Unit

Jan. 13, 2010 Remarks at News Conference Announcing New SEC Leaders in Enforcement Division, Washington, D.C. Daniel Hawke, Chief of the Market Abuse Unit

Stephanie L. Hunsaker, Associate Chief Accountant, Division of Corporation Finance

Dec. 2010 Slide Presentation (PDF): Areas of Frequent Staff Comment Financial Institutions Stephanie L. Hunsaker, Associate Chief Accountant, Division of Corporation Finance

Robert Kaplan, Co-Chief of the Asset Management Unit

Jan. 13, 2010 Remarks at News Conference Announcing New SEC Leaders in Enforcement Division, Washington, D.C. Robert Kaplan, Co-Chief of the Asset Management Unit

Bruce Karpati, Co-Chief of the Asset Management Unit

Jan. 13, 2010 Remarks at News Conference Announcing New SEC Leaders in Enforcement Division, Washington, D.C. Bruce Karpati, Co-Chief of the Asset Management Unit

James L. Kroeker, Chief Accountant, Office of the Chief Accountant

Dec. 6. 2010 Remarks before the 2010 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. James L. Kroeker, Chief Accountant, Office of the Chief Accountant

Robert S. Khuzami, Director, Division of Enforcement

Jul. 15, 2010 Remarks at News Conference Announcing Landmark $550 Million Goldman Sachs Settlement, Washington, D.C. Robert S. Khuzami and Lorin L. Reisner
Division of Enforcement
May 21, 2010 Statement at News Conference Announcing Virginia Financial and Securities Fraud Task Force, Richmond, Virginia Robert S. Khuzami,
Director, Division of Enforcement
Mar. 19, 2010 Speech to the Society of American Business Editors and Writers (SABEW), Phoenix, Arizona Robert S. Khuzami,
Director, Division of Enforcement
Jan. 13, 2010 Remarks at News Conference Announcing Enforcement Cooperation Initiative and New Senior Leaders, Washington, D.C. Robert S. Khuzami,
Director, Division of Enforcement

Kenneth Lench, Chief of the Structured and New Products Unit

Jan. 13, 2010 Remarks at News Conference Announcing New SEC Leaders in Enforcement Division, Washington, D.C. Kenneth Lench, Chief of the Structured and New Products Unit

Joel K. Levine, Associate Chief Accountant - Interactive Data, Director's Office, Division of Corporation Finance

May 28, 2010 Slide Presentation: Remarks at the 25th Midyear SEC Institute Conference, Washington, D.C. Joel K. Levine
Associate Chief Accountant - Interactive Data, Director's Office, Division of Corporation Finance

John F. Offenbacher, Senior Associate Chief Accountant, Office of the Chief Accountant

Dec. 6. 2010 Remarks before the 2010 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. John F. Offenbacher, Senior Associate Chief Accountant, Office of the Chief Accountant

Craig Olinger, Deputy Chief Accountant, Division of Corporation Finance

Dec. 8, 2010 Slide Presentation (PDF): Remarks before the 2010 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Craig Olinger, Deputy Chief Accountant, Division of Corporation Finance

Lorin L. Reisner, Deputy Director, Division of Enforcement

Jul. 15, 2010 Remarks at News Conference Announcing Landmark $550 Million Goldman Sachs Settlement, Washington, D.C. Robert S. Khuzami and Lorin L. Reisner
Division of Enforcement
Jun. 16, 2010 Remarks at Joint News Conference, U.S. Department of Justice, Washington, D.C. Lorin L. Reisner
Deputy Director, Division of Enforcement

Cheryl Scarboro, Chief of the Foreign Corrupt Practices Act Unit

Jan. 13, 2010 Remarks at News Conference Announcing New SEC Leaders in Enforcement Division, Washington, D.C. Cheryl Scarboro, Chief of the Foreign Corrupt Practices Act Unit

Howard Scheck, Chief Accountant, Division of Enforcement

Dec. 6, 2010 Remarks before the 2010 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Howard Scheck, Chief Accountant, Division of Enforcement

Lori J. Schock, Director, Office of Investor Education and Advocacy

Oct. 19, 2010 Remarks at Money Smart Week: A Financial Literacy and Education Summit, Charleston, West Virginia Lori J. Schock
Director, Office of Investor Education and Advocacy

Nilima Shah, Associate Chief Accountant, Office of the Chief Accountant

Dec. 6, 2010 Remarks before the 2010 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Nilima Shah, Associate Chief Accountant, Office of the Chief Accountant

Thomas Sporkin, Chief of the Office of Market Intelligence

Jan. 13, 2010 Remarks at News Conference Announcing New SEC Leaders in Enforcement Division, Washington, D.C. Thomas Sporkin, Chief of the Office of Market Intelligence

Sagar S. Teotia, Professional Accounting Fellow

Dec. 6, 2010 Remarks before the 2010 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Sagar S. Teotia, Professional Accounting Fellow, Office of the Chief Accountant

Lisa D. Watson, Professional Accounting Fellow, Office of the Chief Accountant

Dec. 6. 2010 Remarks before the 2010 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Lisa D. Watson, Professional Accounting Fellow, Office of the Chief Accountant

 

http://www.sec.gov/news/2010speechalpha.shtml


Modified: 03/15/2011