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SEC Webcasts

June 3, 2021

Past Webcasts — Select Meeting Type












2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002

2023 Webcasts

Investor Advisory Committee

Thursday, September 21, 2023, 10:00 a.m.

Open Meeting

Wednesday, September 20, 2023, 10:00 a.m.

Small Business Capital Formation Advisory Committee Meeting

Tuesday, September 19, 2023, 10:00 a.m. ET

Open Meeting

Wednesday, September 6, 2023, 10:00 a.m.

Open Meeting

Wednesday, August 23, 2023, 10:00 a.m.

Open Meeting

Wednesday, July 26, 2023, 10:00 a.m.

Open Meeting

Wednesday, July 12, 2023, 10:00 a.m.

Investor Advocacy Committee

Thursday, June 22, 2023, 10:00 a.m. ET

Small Business Capital Formation Advisory Committee Meeting

Wednesday, June 14, 2023, 10:00 a.m. ET

Open Meeting

Wednesday, June 7, 2023, 10:00 a.m. ET

Conference On Emerging Trends In Asset Management

Friday, May 19, 2023, 10:00 a.m. ET

Open Meeting

Wednesday, May 17, 2023, 10:00 a.m. ET

Municipal Securities Disclosure Conference

Wednesday, May 10, 2023, 9:30 a.m. ET

Open Meeting

Wednesday, May 3, 2023, 10:00 a.m. ET

Compliance Outreach Regional Seminar For IA/IC Senior Officers

Wednesday, April 26, 2023, 12:00 p.m.

Open Meeting

Wednesday, April 14, 2023, 10:00 a.m.

2023 SEC Investor Advocacy Clinic

Wednesday, March 29, 2023, 11:00 a.m.

Open Meeting

Wednesday, March 22, 2023, 10:00 a.m.

Open Meeting

Wednesday, March 15, 2023, 10:00 a.m.

Investor Advisory Committee

Thursday, March 2, 2023, 10:00 a.m.

Open Meeting

Wednesday, February 15, 2023, 10:00 a.m.

Small Business Capital Formation Advisory Committee Meeting

Tuesday, February 7, 2023, 10:00 a.m.

Open Meeting

Wednesday, January 25, 2023, 10:00 a.m.

2022 Webcasts

Open Meeting

Wednesday, December 14, 2022, 11:00 a.m.

Investor Advisory Committee

Thursday, December 8, 2022, 10:00 a.m.

The Registration Statement of American CryptoFed DAO LLC

Thursday, December 1, 2022, 10:00 a.m.
Friday, December 2, 2022, 10:00 a.m.
Tuesday, December 6, 2022, 11:00 a.m.
Wednesday, January 18, 2023, 10:00 a.m.
Thursday, January 19, 2023, 10:00 a.m.

2022 Compliance Outreach Regional Program for Investment Advisers and Investment Companies

Tuesday, November 15, 2022, 8:30 a.m.

Open Meeting

Wednesday, November 2, 2022, 10:00 a.m.

Open Meeting

Wednesday, October 26, 2022, 10:00 a.m.

Small Business Capital Formation Advisory Committee Meeting

Thursday, October 13, 2022, 10:00 a.m.

Open Meeting

Wednesday, October 12, 2022, 10:00 a.m.

Investor Advisory Committee

Wednesday, September 21, 2022, 10:00 a.m.

Open Meeting

Wednesday, September 14, 2022, 10:00 a.m.

Open Meeting

Wednesday, August 10, 2022, 10:00 a.m.

Small Business Capital Formation Advisory Committee Meeting

Tuesday, August 2, 2022, 10:00 a.m.

Open Meeting

Wednesday, July 13, 2022, 10:00 a.m.

Investor Advisory Committee

Thursday, June 9, 2022, 10:00 a.m.

Open Meeting

Wednesday, May 25, 2022, 1:00 p.m.

Ninth Annual Conference on Financial Market Regulation

Friday, May 6, 2022, 9:00 a.m.

Small Business Capital Formation Advisory Committee Meeting

Friday, May 6, 2022, 10:00 a.m.

Older Investor Roundtable

Thursday, April 28, 2022, 10:00 a.m.

Open Meeting

Wednesday, April 6, 2022, 10:00 a.m.

2022 SEC Investor Advocacy Clinic Summit: Virtual Outreach Event

Thursday, March 31, 2022, 10:00 a.m.

Open Meeting

Wednesday, March 30, 2022, 11:30 a.m.

Open Meeting

Monday, March 21, 2022, 11:00 a.m.

Investor Advisory Committee Meeting

Thursday, March 10, 2022, 10:00 a.m.

Open Meeting

Wednesday, March 9, 2022, 10:00 a.m.

Small Business Capital Formation Advisory Committee Meeting

Thursday, February 10, 2022, 10:00 a.m.

Open Meeting

Wednesday, February 9, 2022, 10:00 a.m.

Open Meeting

Wednesday, January 26, 2022, 10:00 a.m.

2021 Webcasts

Open Meeting

Wednesday, December 15, 2021, 10:00 a.m.

Investor Advisory Committee Meeting

Thursday, December 2, 2021

Open Meeting

Wednesday, November 17, 2021, 11:00 a.m.

Small Business Capital Formation Advisory Committee Meeting

Tuesday, November 16, 2021

AAC Attorney Panel

Wednesday, November 10, 2021

Division of Enforcement Director Gubir Grewal at the 53rd Annual Institute on Securities Regulation

Friday, November 5, 2021

Asset Management Advisory Committee

Wednesday, November 3, 2021

Asset Management Advisory Committee

Thursday, October 28, 2021

SEC Focus

Friday, October 15, 2021

Chair Gensler Remarks at the U.S. House Committee on Financial Services

Tuesday, October 5, 2021

Open Meeting

Wednesday, September 29, 2021

Small Business Capital Formation Advisory Committee

Monday, September 27, 2021

Asset Management Advisory Committee

Monday, September 27, 2021

Chair Gensler Senate Hearing

Tuesday, September 14, 2021

Investor Advisory Committee Meeting

Thursday, September 9, 2021

Virtual Outreach

Wednesday, August 25, 2021

HBCU Sustainability Panel

Thursday, August 19, 2021

Asset Management Advisory Committee

Wednesday, July 7, 2021

Investor Advisory Committee Meeting

Thursday, June 10, 2021

Eighth Annual Conference on Financial Market Regulation

Thursday & Friday, May 13-14, 2021

Protecting Older Americans From Financial Fraud

Wednesday, May 12, 2021

Small Business Capital Formation Advisory Committee

Friday, April 30, 2021

Join The Conversation: Raising Capital as a Tech Entrepreneur of Color

Tuesday, April 27, 2021

Financial Literacy and Career Day Program

Wednesday April 21, 2021

Pride in the Federal Workplace

Monday, March 22, 2021

Asset Management Advisory Committee

Friday, March 19, 2021

Investor Advisory Committee Meeting

Thursday, March 11, 2021

Small Business Capital Formation Advisory Committee

Friday, January 29, 2021

2020 Webcasts

Open Meeting

Monday, December 21, 2020 (CANCELLED)

Open Meeting

Wednesday, December 16, 2020

Open Meeting

Wednesday, December 9, 2020

Investor Advisory Committee Meeting

Thursday, December 3, 2020

Asset Management Advisory Committee

Tuesday, December 1, 2020

Compliance Outreach Program National Seminar 2020

Thursday, November 19, 2020, 12:00 pm ET

Small Business Capital Formation Advisory Committee

Monday, November 9, 2020

Asset Management Advisory Committee

Thursday, November 5, 2020

Open Meeting

Wednesday, November 4, 2020, 2:00 p.m. (CANCELLED)

Open Meeting

Monday, November 2, 2020

Virtual Panel Discussion with Dalia Blass and Market Participants

Thursday, October 29, 2020

Open Meeting

Wednesday, October 28, 2020

Roundtable on Regulation Best Interest and Form CRS

Monday, October 26, 2020

Joint Open Meeting: SEC and CFTC

Thursday, October 22, 2020

Protecting Older Americans from Financial Fraud

Thursday, October 15, 2020

Roundtable on Interconnectedness and Risk in U.S. Credit Markets

Wednesday, October 14, 2020

Open Meeting

Wednesday, October 7, 2020

Your TSP Account – What to Think About When Nearing Retirement or Considering Leaving the Government

Tuesday, October 6, 2010

How to Spot Financial Fraud: World Investor Week Educational Event

Tuesday, October 6, 2020

Fixed Income Market Structure Advisory Committee Meeting

Monday, October 5, 2020

Open Meeting (Cancelled)

Wednesday, September 30, 2020

Investor Advisory Committee Meeting

Thursday, September 24, 2020, 10:00 a.m. ET

Open Meeting

Wednesday, September 23, 2020

Seventh Annual Conference on Financial Market Regulation

Thursday-Friday, September 17-18, 2020

Asset Management Advisory Committee

Wednesday, September 16, 2020

Postponed - Open Meeting

Wednesday, September 2, 2020

Open Meeting

Wednesday, August 26, 2020

Contract Standard and Good Faith Effort Reviews Webinar

Thursday, August 13, 2020

Open Meeting

Wednesday, August 5, 2020

SEC Small Business Capital Formation Advisory Committee Meeting

Tuesday, August 4, 2020

Open Meeting

Wednesday, July 22, 2020

Asset Management Advisory Committee

Thursday, July 16, 2020

Emerging Markets Virtual Roundtable

Thursday, July 9, 2020

Virtual Discussion - Temporary Conditional Exemptive Order For Municipal Advisor Activities

Tuesday, July 7, 2020

Virtual Roundtable On Q2 Reporting: A Discussion Of COVID-19 Related Disclosure Considerations

Tuesday, June 30, 2020

New York Regional Office Educational Call on COVID-Related Fraud

Tuesday, June 23, 2020

Market Structure Discussion

Monday, June 22, 2020

SEC’s Virtual Small Business Forum

Thursday, June 18, 2020

Spotlight on Transparency: A Discussion of Secondary Market Municipal Securities Disclosure Practices

Tuesday, June 16, 2020

Fixed Income Market Structure Advisory Committee Meeting

Monday, June 1, 2020

Securities and Exchange Commission Asset Management Advisory Committee

Wednesday, May 27, 2020

Investor Advisory Committee Meeting

Thursday, May 21, 2020

SEC Small Business Capital Formation Advisory Committee Meeting

Friday, May 8, 2020

Open Meeting

Wednesday, May 6, 2020

Investor Advisory Committee Meeting

Monday, May 4, 2020

Open Meeting

Wednesday, April 8, 2020

Investor Advisory Committee Meeting

Thursday, April 2, 2020

SEC Small Business Capital Formation Advisory Committee Meeting

Thursday, April 2, 2020

Diversity Assessment Report for Entities Regulated by the SEC

Thursday, March 19, 2020

Open Meeting (CANCELED)

Wednesday, March 11, 2020

Spotlight on Transparency: A Discussion of Secondary Market Municipal Securities Disclosure Practices (CANCELED)

Tuesday, March 10, 2020

Open Meeting — CANCELED

Wednesday, March 4, 2020

1. Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets

Investor Advisory Committee Meeting

Thursday, February 27, 2020

Fixed Income Market Structure Advisory Committee Meeting

Monday, February 10, 2020

SEC Small Business Capital Formation Advisory Committee Meeting

Tuesday, February 4, 2020

Investor Advisory Committee Telephonic Meeting

Friday, January 24, 2020

Office of the Advocate for Small Business Capital Formation Capital Call

Thursday, January 23, 2020

Securities and Exchange Commission Asset Management Advisory Committee

Tuesday, January 14, 2020

Open Meeting

Wednesday, January 8, 2020

1. Notice of Proposed Order Directing the Exchanges and the Financial Industry Regulatory Authority to Submit a New National Market System Plan Regarding Consolidated Equity Market Data

2019 Webcasts

Open Meeting

Wednesday, December 18, 2019

1. Risk Mitigation Techniques for Uncleared Security-Based Swaps
2. Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements
3. Order Designating Certain Jurisdictions as "Listed Jurisdictions" for Purposes of Rule Amendments Addressing Cross-Border Application of Certain Security-Based Swap Requirements
4. Disclosure of Payments by Resource Extraction Issuers
5. Amending the "Accredited Investor" Definition
6. Public Company Accounting Oversight Board 2020 Budget and Accounting Support Fee

SEC Small Business Capital Formation Advisory Committee Telephone Meeting

Wednesday, December 11, 2019

State of Our Securities Markets Conference

Wednesday, December 4, 2019

SEC Small Business Capital Formation Advisory Committee

Tuesday, November 12, 2019

A Conversation on Financial Readiness with SEC Chairman Jay Clayton and COL James J. Tuite, IV (US Army)

Tuesday, November 12, 2019

Investor Advisory Committee Meeting

Thursday, November 7, 2019

Open Meeting

Tuesday, November 5, 2019

1. Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice
2. Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8
3. Investment Adviser Advertisements; Compensation for Solicitations

Fixed Income Market Structure Advisory Committee Meeting

Monday, November 4, 2019

Open Meeting

Wednesday, October 23, 2019 (CANCELLED)

1. Amendments to the Rules Implementing the Commission's Whistleblower Program

Building Financial and Personal Independence

Tuesday, October 22, 2019

Roundtable on Combating Elder Investor Fraud

Thursday, October 3, 2019

Open Meeting

Wednesday, September 25, 2019, 10:00 a.m. ET (CANCELLED)

Investor Advisory Committee Meeting

Thursday, September 19, 2019

Open Meeting: Oral Argument

Wednesday, September 18, 2019

Investor Advisory Committee Telephonic Meeting

Thursday, September 5, 2019

Open Meeting

Wednesday, August 21, 2019

1. Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
2. Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice

38th Annual Government-Business Forum

Wednesday, August 14, 2019

SEC Small Business Capital Formation Advisory Committee

Tuesday, August 13, 2019

Open Meeting

Thursday, August 8, 2019 -- CANCELLED

1. Modernization of Disclosures Regarding Description of Business, Legal Proceedings and Risk Factors

Fixed Income Market Structure Advisory Committee Meeting

Monday, July 29, 2019

Investor Advisory Committee Meeting

Thursday, July 25, 2019

Roundtable on Short-Term / Long-Term Management of Public Companies

Thursday, July 18, 2019

2019 National Compliance Outreach Program for Broker-Dealers

Thursday, June 27, 2019

2019 Compliance Outreach Regional Program for Investment Advisers and Investment Companies

Tuesday, June 25, 2019

World Elder Abuse Awareness Day Fifth Global Summit

Tuesday, June 11, 2019

Fixed Income Market Structure Advisory Committee Telephone Meeting

Tuesday, June 11, 2019

2019 Compliance Outreach Program Regional Seminar for Investment Adviser and Investment Company Senior Officers - New York Regional Office

Tuesday, June 6, 2019

Open Meeting

Wednesday, June 5, 2019

1. Regulation Best Interest — Standard of Conduct for Broker-Dealers
2. Form CRS Relationship Summary
3. Standard of Conduct for Investment Advisers
4. Interpretation of "Solely Incidental"

Fintech Forum: Distributed Ledger Technology and Digital Assets

Friday, May 31, 2019

2019 Compliance Outreach Program for Municipal Advisors

Tuesday, May 21, 2019

Sixth Annual Conference on Financial Market Regulation

Thursday, May 9, 2019, 1:45 p.m. - 5:15 p.m. ET
Friday, May 9, 2019, 8:40 a.m. - 5:45 p.m. ET

Open Meeting

Thursday, May 9, 2019

1. Amendments to the Accelerated Filer and Large Accelerated Flier Definitions

SEC Small Business Roundtable

Monday, May 6, 2019

SEC Small Business Capital Formation Advisory Committee

Monday, May 6, 2019

Fixed Income Market Structure Advisory Committee Meeting

Monday, April 15, 2019

Investor Advisory Committee Meeting

Thursday, March 28, 2019

2018 Webcasts

Open Meeting

Wednesday, December 19, 2018

1. Public Company Accounting Oversight Board 2019 Budget and Accounting Support Fee
2. Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or be Involved in Effecting Security-Based Swaps (“Rule of Practice 194”)
3. Risk Mitigation Techniques for Uncleared Security-Based Swaps
4. Rule and Amendments to Allow Fund of Funds Arrangements

Investor Advisory Committee Meeting

Thursday, December 13, 2018

SEC Government-Business Forum on Small Business Capital Formation

Wednesday, December 12, 2018

Municipal Securities Disclosure Conference

Thursday, December 6, 2018

Open Meeting

Wednesday, December 5, 2018

1. Request for Comment on Earnings Releases and Quarterly Reports
2. Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or be Involved in Effecting Security-Based Swaps ("Rule of Practice 194")
3. Risk Mitigation Techniques for Uncleared Security-Based Swaps

Roundtable on the Proxy Process

Thursday, November 15, 2018

Investor Advisory Committee
Public Telephonic Meeting

Wednesday, November 7, 2018

Open Meeting

Wednesday, October 31, 2018

1. Amendments to Modernize the Property Disclosure Requirements for Mining Registrants

Fixed Income Market Structure Advisory Committee Meeting

Monday, October 29, 2018

Roundtable On Market Data And Market Access

Thursday, October 25, 2018 and Friday, October 26, 2018

Integrated And Professional Acquisitions Support Service (IPASS) Industry Day

Monday, October 15, 2018

  • The event objectives are as follows:
    • Share the vision/ concept for the Integrated and Professional Acquisitions Support Services (IPASS) contract vehicle;
    • Engage in meaningful discussion with Industry about the market;
    • Foster exchange of ideas and best practices in order to get the best possible solution to meet the Government contractual requirements; and
    • Discuss solicitation rollout.

Open Meeting

Thursday, October 11, 2018

1. Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers

RISE of California: Retirement Investment Summit on Education

Thursday, October 4, 2018

SEC Press Conference

Thursday, September 27, 2018

Retail Investor Fraud Roundtable

Wednesday, September 26, 2018

SEC-NYU Dialogue on Securities Market Regulation — High-Frequency Trading and Liquidity Resiliency

Friday, September 21, 2018

Investor Advisory Committee Meeting

Thursday, September 13, 2018, 9:00 a.m. ET

Open Meeting

Wednesday, July 18, 2018

1. Securities Act Rule 701
2. Securities Act Rule 701 and Securities Act Form S-8
3. NMS Stock Alternative Trading Systems

Fixed Income Market Structure Advisory Committee

Monday, July 16, 2018

Open Meeting

Thursday, June 28, 2018

1. Amendments to Smaller Reporting Company Definition
2. Inline XBRL Filing of Tagged Data
3. Exchange-Traded Funds
4. Investment Company Liquidity Disclosure
5. Amendments to the Commission's Whistleblower Program Rules

Investor Advisory Committee

Thursday, June 14, 2018

Investing in America: Atlanta Town Hall Meeting

Wednesday, June 13, 2018

World Elder Abuse Awareness Day (WEAAD) Conference

Tuesday, June 5, 2018

Elder Justice Coordinating Council (EJCC) Meeting

Tuesday, June 5, 2018

Open Meeting

Tuesday, June 5, 2018

1. Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds

Roundtable on Market Structure for Thinly-Traded Securities

Monday, April 23, 2018

Open Meeting

Wednesday, April 18, 2018

1. Regulation Best Interest — Standard of Conduct for Broker-Dealers
2. Form CRS Relationship Summary; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles
3. Standard of Conduct for Investment Advisers

National Compliance Outreach Seminar for Investment Companies and Investment Advisers

Thursday, April 12, 2018

Fixed Income Market Structure Advisory Committee

Monday, April 9, 2018

Open Meeting

Wednesday, March 14, 2018

1. Transaction Fee Pilot
2. Investment Company Liquidity Disclosure

Securities and Exchange Commission Evidence Summit

Friday, March 10, 2017

Investor Advisory Committee

Thursday, March 8, 2018

Open Meeting

Wednesday, February 21, 2018

SEC-NYU Dialogue On Securities Markets – Shareholder Engagement

Friday, January 19, 2018, 9:10 a.m. ET

Fixed Income Market Structure Advisory Committee

Thursday, January 11, 2018

2017 Webcasts

Investor Advisory Committee

Thursday, December 7, 2017

36th Annual Government-Business Forum on Small Business Capital Formation

Thursday, November 30, 2017

2017 Compliance Outreach Program for Municipal Advisors

Wednesday, November 8, 2017

Investor Advisory Committee

Thursday, October 12, 2017

Open Meeting

Wednesday, October 11, 2017

1. FAST Act Modernization and Simplification of Regulation S-K

Advisory Committee on Small and Emerging Companies

Wednesday, September 13, 2017

SEC-NYU Dialogue on Securities Markets – Exchange-Traded Products (ETPs)

Friday, September 8, 2017

Open Meeting

Wednesday, August 15, 2017
Oral Argument in the Matter of Donald J. Anthony, Jr., Frank H. Chiappone, Richard D. Feldmann, William P. Gamello, Andrew G. Guzzetti, William F. Lex, Thomas E. Livingston, Brian T. Mayer, Philip S. Rabinovich, and Ryan C. Rogers

2017 National Compliance Outreach Program for Broker-Dealers

Thursday, July 27, 2017

Investor Advisory Committee Meeting

Thursday, June 22, 2017

Compliance Outreach Program Seminar for Investment Company and Investment Adviser Senior Officers (Chicago Seminar)

Tuesday, June 13, 2017

SEC-NYU Dialogue on Securities Markets: Reviving the U.S. IPO Market

Wednesday, May 10, 2017

Advisory Committee on Small and Emerging Companies

Wednesday, May 10, 2017

Equity Market Structure Advisory Committee

Wednesday, April 5, 2017

Open Meeting

Wednesday, March 22, 2017

1. Amendment to Rule 15c6-1

Investor Advisory Committee Meeting

Thursday, March 9, 2017

Open Meeting

Wednesday, March 1, 2017

1. Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies)
2. Exhibit Hyperlinks and HTML Format
3. Inline XBRL Filing of Tagged Data
4. Proposed Amendments to Exchange Act Rule 15c2-12

SEC-NYU Dialogue on Securities Markets – Securities Crowdfunding in the U.S.

Tuesday, February 28, 2017

Advisory Committee on Small and Emerging Companies

Wednesday, February 15, 2017

2016 Webcasts

Open Meeting

Wednesday, December 14, 2016

Item: Public Company Accounting Oversight Board 2017 Budget and Accounting Support Fee

Investor Advisory Committee

Thursday, December 8, 2016

Advisory Committee on Small and Emerging Companies Telephone Meeting

Wednesday, December 7, 2016

Equity Market Structure Advisory Committee

Tuesday, November 29, 2016

SEC Government-Business Forum on Small Business Capital Formation

Thursday, November 17, 2016

Open Meeting

Tuesday, November 15, 2016

1. The Consolidated Audit Trail National Market System Plan

Fintech Forum

Monday, November 14, 2016

2016 Compliance Outreach Program for Municipal Advisors

Thursday, November 10, 2016

Open Meeting

Wednesday, October 26, 2016

1. Universal Proxy
2. Exemptions to Facilitate Intrastate and Regional Securities Offerings

Open Meeting

Thursday, October 13, 2016

1. Investment Company Reporting Modernization
2. Investment Company Liquidity Risk Management Programs
3. Investment Company Swing Pricing

Advisory Committee on Small and Emerging Companies

Wednesday, October 5, 2016

Open Meeting

Wednesday, September 28, 2016,

1. Standards for Covered Clearing Agencies
2. Amendment to Definition of "Covered Clearing Agency" in Rule 17Ad-22
3. Amendment to Rule 15c6-1

Open Meeting

Wednesday, August 17, 2016

Oral Argument in the Matter of Larry C. Grossman

Open Meeting

Wednesday, August 3, 2016

Oral Argument in the Matter of Harding Advisory LLC and Wing F. Chau

Equity Market Structure Advisory Committee

Tuesday, August 2, 2016

Open Meeting

Friday, July 22, 2016

Oral Argument in the Matter of Thomas C. Gonnella

Advisory Committee on Small and Emerging Companies

Tuesday, July 19, 2016

Investor Advisory Committee

Thursday, July 14, 2016

Open Meeting

Wednesday, July 13, 2016

Summary Agenda

1. Amendments to the Commission's Rules of Practice

Discussion Agenda

1. Regulation SBSR — Reporting and Dissemination of Security-Based Swap Information; Consideration of Amendments to Regulation SBSR
2. Disclosure of Order Handling Information; Consideration of Amendments to Regulation NMS under the Securities Exchange Act of 1934
3. Disclosure Update and Simplification

Open Meeting

Tuesday, July 12, 2016

Oral Argument in the Matter of John J. Aesoph, CPA and Darren M. Bennett, CPA

Equity Market Structure Advisory Committee
Public Telephone Meeting

Friday, July 8, 2016

Advisory Committee on Small and Emerging Companies Meeting

Wednesday, May 18, 2016

Open Meeting

Wednesday, April 27, 2016

Consolidated Audit Trail (Rule 613)

Equity Market Structure Advisory Committee

Tuesday, April 26, 2016

Compliance Outreach Program National Seminar

Tuesday, April 19, 2016

Investor Advisory Committee Meeting

Thursday, April 14, 2016

Open Meeting

Wednesday, April 13, 2016

1. Concept Release on Regulation S-K
2. Business Conduct Standards for Security-Based Swap Dealers and MajorSecurity-Based Swap Participants

Open Meeting

Monday, March 21, 2016

Oral Argument in the Matter of Edgar R. Page and PageOne Financial, Inc.

Open Meeting

Wednesday, March 16, 2016

Oral Argument in the Matter of Mohammed Riad and Kevin Timothy Swanson

Open Meeting

Monday, March 14, 2016, 10:00 a.m.

Public Company Accounting Oversight Board 2016 Budget and Accounting Support Fee

Open Meeting

Monday, March 7, 2016

Oral Argument in the Matter of J.S. Oliver Capital Management, L.P., and Ian O. Mausner

Advisory Committee on Small and Emerging Companies Meeting

Thursday, February 25, 2016

Open Meeting

Wednesday, February 10, 2016

Application of the Title VII Security-Based Swap Dealer De Minimis Counting Requirements to Activity in the United States

Open Meeting

Monday, February 8, 2016

Oral Argument in the Matter of Bernie Young

Compliance Outreach Program for Municipal Advisors 2016

Wednesday, February 3, 2016

Equity Market Structure Advisory Committee

Tuesday, February 2, 2016

Investor Advisory Committee Meeting

Thursday, January 21, 2016

Open Meeting

Friday, January 15, 2016

Oral Argument in the Matter of OptionsXpress, INC., and Jonathan I. Feldman

2015 Webcasts

Open Meeting

Friday, December 11, 2015

1. Use of Derivatives by Registered Investment Companies and Business Development Companies
2. Disclosure of Payments by Resource Extraction Issuers

SEC Government-Business Forum on Small Business Capital Formation

Thursday, November 19, 2015

Open Meeting

Wednesday, November 18, 2015

Regulation of NMS Stock Alternative Trading Systems

Open Meeting

Friday, October 30, 2015

1. Regulation Crowdfunding
2. Amendments to Rule 147 and Rule 504

Equity Market Structure Advisory Committee Meeting

Tuesday, October 27, 2015

Open Meeting

Monday, October 26, 2015

Oral Argument in the Matter of ZPR Investment Management, Inc. and Max E. Zavanelli

Investor Advisory Committee Meeting

Thursday, October 15, 2015

75th Anniversary: Investment Company Act and the Investment Advisers Act

Tuesday, September 29, 2015

Equity Market Structure Advisory Committee Meeting

Thursday, September 24, 2015, 10:00 a.m. EDT

The meeting has been postponed. Updated information will be posted once a new meeting date is confirmed.

Advisory Committee on Small and Emerging Companies Meeting

Wednesday, September 23, 2015

Open Meeting

Tuesday, September 22, 2015

Open-End Fund Liquidity Risk Management Programs

Open Meeting

Wednesday, August 5, 2015

1. Registration of Security-Based Swap Dealers and Registered Security-Based Swap Participants
2. Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps
3. Pay Ratio Disclosure

Open Meeting

Friday, July 31, 2015

Oral Argument in the Matter of Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr.

Investor Advisory Committee Quarterly Meeting

Thursday, July 16, 2015

Advisory Committee on Small and Emerging Companies Telephone Meeting

Wednesday, July 15, 2015

2015 National Compliance Outreach Program for Broker-Dealers

Tuesday, July 14, 2015

Open Meeting

Wednesday, July 1, 2015

Listing Standards for Recovery of Erroneously Awarded Compensation

Open Meeting

Monday, June 8, 2015

Oral Argument in the Matter of Timbervest, LLC, Joel Barth Shapiro, Walter William Anthony Boden, III, Donald David Zell, Jr., and Gordon Jones II

Advisory Committee on Small and Emerging Companies

Wednesday, June 3, 2015

Open Meeting

Wednesday, May 20, 2015

1. Investment Company Reporting Modernization
2. Proposed Amendments to Form ADV and Investment Advisers Act Rules Under

Equity Market Structure Advisory Committee Meeting

Wednesday, May 13, 2015

Open Meeting

Wednesday, April 29, 2015

1. Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected with a Non-U.S. Person's Activity in the United States
2. Pay Versus Performance

Investor Advisory Committee

Thursday April 9, 2015

Open Meeting

Monday, March 30, 2015

Oral Argument in the Matter of Francis V. Lorenzo

Open Meeting

Wednesday, March 25, 2015

1. Exemption for Certain Exchange Members
2. Amendments to Regulation A

Advisory Committee on Small and Emerging Companies

Wednesday, March 4, 2015

Proxy Voting Roundtable

Thursday, February 19, 2015

Advisory Committee on Small and Emerging Companies

Tuesday, February 17, 2015

Investor Advisory Committee

Thursday, February 12, 2015

Open Meeting

February 4, 2015

Public Company Accounting Oversight Board 2015 Budget and Accounting Support Fee

Open Meeting

Wednesday, January 14, 2015

1. Security-Based Swap Data Repository Registration, Duties, and Core Principles
2. Regulation SBSR- Reporting and Dissemination of Security-Based Swap Information
3. Regulation SBSR- Reporting and Dissemination of Security-Based Swap Information

2014 Webcasts

Advisory Committee on Small and Emerging Companies

Wednesday, December 17, 2014

Open Meeting

Thursday, November 20, 2014

SEC Government-Business Forum on Small Business Capital Formation

SEC Government-Business Forum on Small Business Capital Formation

Thursday, November 20, 2014

Open Meeting

Wednesday, November 19, 2014

Regulation SCI

Compliance Outreach Program for Municipal Advisors

November 3, 2014

Open Meeting

Wednesday, October 22, 2014

Credit Risk Retention

Investor Advisory Committee

Thursday, October 9, 2014

Open Meeting

Wednesday, August 27, 2014

1. Asset-Backed Securities Disclosure and Registration
2. Nationally Recognized Statistical Rating Organizations

Open Meeting

Friday, July 25, 2014

Oral Argument in the Matter of John P. Flannery and James D. Hopkins

Open Meeting

Wednesday, July 23, 2014

1. Money Market Fund Reform; Amendments to Form PF
2. Notice of Proposed Exemptive Relief
3. Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule

Open Meeting

Wednesday, June 25, 2014

Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities

Investor Advisory Committee

Thursday, July 10, 2014

Investor Advisory Committee

Thursday, April 10, 2014

Cybersecurity Roundtable

Wednesday, March 26, 2014

Open Meeting

Wednesday, March 12, 2014

Standards for Covered Clearing Agencies

Open Meeting

Wednesday, February 5, 2014

Public Company Accounting Oversight Board 2014 Budget and Accounting Support Fee

Investor Advisory Committee

Friday, January 31, 2014, 10:00 a.m. - 4:00 p.m.

Compliance Outreach Program National Seminar 2014

Thursday, January 30, 2014

Open Meeting

CANCELLED: Wednesday, January 22, 2014

Public Company Accounting Oversight Board 2014 Budget and Accounting Support Fee

2013 Webcasts

Open Meeting

Wednesday, December 18, 2013

Proposed Rule Amendments for Small and Additional Issues Exemptions under Section 3(b) of the Securities Act of 1933

Open Meeting

Monday, December 16, 2013

Oral Argument in the Matter of Absolute Potential, Inc., f/k/a Absolute Waste Services Inc.

Proxy Advisory Services Roundtable

Thursday, December 5, 2013

Dodd-Frank Investor Advisory Committee

Friday, November 22, 2013

Annual Government-Business Forum on Small Business Capital Formation

Thursday, November 21, 2013

Open Meeting

Wednesday, October 23, 2013

Crowdfunding

News Conference to Announce Launch of Market Structure Data and Analysis Website

Wednesday, October 9, 2013

Open Meeting

Tuesday, October 8, 2013

Oral Argument in the Matter of China-Biotics, Inc.

Federal Women's Leadership Summit

Monday, September 23, 2013

Open Meeting

Wednesday, September 18, 2013

1. Registration of Municipal Advisors
2. Pay Ratio Disclosure

Open Meeting

Tuesday, September 17, 2013

Oral Argument in the Matter of Montford and Company, Inc., d/b/a Montford Associates, and Ernest V. Montford, Sr.

Advisory Committee on Small and Emerging Companies Meeting

Tuesday, September 17, 2013

Investor Advisory Committee

Thursday, July 25, 2013

Open Meeting

Wednesday, July 10, 2013

1. Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144a Offering
2. Disqualification of Felons and Other "Bad Actors" from Rule 506 Offerings
3. Amendments to Regulation D, Form D and Rule 156 Under The Securities Act

Open Meetings

Wednesday, June 5, 2013

Money Market Fund Reform; Amendments to Form PF

Credit Ratings Roundtable

Tuesday, May 14, 2013

Open Meeting

Wednesday, May 1, 2013

1. Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security Based Swap Participants
2. Reopening of Comment Periods for Certain Rulemaking and Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act

Advisory Committee on Small and Emerging Companies

Wednesday, May 1, 2013

Fixed Income Roundtable

Tuesday, April 16, 2013

Dodd-Frank Investor Advisory Committee

Thursday, April 11, 2013

Open Meeting

Wednesday, April 10, 2013

Identify Theft Red Flags Rules

National Compliance Outreach Program for Broker-Dealers

Tuesday, April 9, 2013

Open Meeting

Thursday, March 7, 2013

Regulation Systems Compliance and Integrity

Open Meeting

Wednesday, February 13, 2013

Public Company Accounting Oversight Board 2013 Budget and Accounting Support Fee

Decimalization Roundtable

Tuesday, February 5, 2013

Advisory Committee on Small and Emerging Companies

Friday, February 1, 2013

Investor Advisory Committee

Friday, January 18, 2013

2012 Webcasts

Government-Business Forum on Small Business Capital Formation

Thursday, November 15, 2012

Open Meeting

Wednesday, October 17, 2012

Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers

Telephonic Advisory Committee

Friday, October 12, 2012

Technology and Trading Roundtable

Tuesday, October 2, 2012

Investor Advisory Committee

Friday, September 28, 2012

Open Meeting

Wednesday, August 29, 2012

Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings

Open Meeting

Wednesday, August 22, 2012

1. Conflict Minerals
2. Disclosure of Payments by Resource Extraction Issuers

Open Meeting

Wednesday, July 11, 2012

Consolidated Audit Trail

Investor Advisory Committee

June 12, 2012

Advisory Committee on Small and Emerging Companies

Friday, June 8, 2012

Open Meeting

Wednesday, April 18, 2012

Further Definition of "Swap Dealer," "Security-Based Swap Dealer" "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"

Advisory Committee on Small and Emerging Companies

Wednesday, February 1, 2012

Compliance Outreach Program National Seminar

Tuesday, January 31, 2012

Open Meeting

Wednesday, January 11, 2012

Public Company and Accounting Oversight Board 2012 Budget and Accounting Support Fee

Advisory Committee on Small and Emerging Companies

Friday, January 6, 2012 (Audio)

2011 Webcasts

SEC Enforcement News Conference

Friday, December 16, 2011, 11:45 a.m.

Open Meeting

Cancelled: Tuesday, December 6, 2011

(Oral Argument)

Government-Business Forum on Small Business Capital Formation

Thursday, November 17, 2011, 9:00 a.m. - 1 p.m.

Financial Reporting Series Roundtable

Thursday, November 3, 2011

Open Meeting

Wednesday, November 2, 2011

(Oral Argument)

Advisory Committee on Small and Emerging Companies

Monday, October 31, 2011

Open Meeting

Wednesday, October 26, 2011

Roundtable on Conflict Minerals

Tuesday, October 18, 2011

Roundtable on Microcap Securities

Monday, October 17, 2011

Open Meeting

Wednesday, October 12, 2011

Open Meeting

Monday, September 19, 2011

Open Meeting

Wednesday, August 31, 2011

Open Meeting

Wednesday, August 24, 2011

(Oral Argument)

Field Hearing on the State of Municipal Securities Market, Birmingham, Alabama

Friday, July 29, 2011

Open Meeting

Tuesday, July 26, 2011

CANCELLED: Open Meeting

Tuesday, July 26, 2011

(Oral Argument)

CANCELLED: Open Meeting

Thursday, July 14, 2011

(Oral Argument)

Roundtable on International Financial Reporting Standards

Thursday, July 7, 2011

Open Meeting

Wednesday, June 29, 2011

Open Meeting

Wednesday, June 22, 2011

Open Meeting

Wednesday, June 15, 2011

Open Meeting

Wednesday, May 25, 2011

Open Meeting

Wednesday, May 18, 2011

Roundtable Discussion on Money Market Funds and Systemic Risk

Tuesday, May 10, 2011

Open Meeting

Wednesday, April 27, 2011

Open Meeting

Wednesday, March 30, 2011

Open Meeting

Wednesday, March 2, 2011

Open Meeting

Wednesday, February 9, 2011

CCOutreach BD National Seminar

Tuesday, February 8, 2011

Open Meeting

Wednesday, February 2, 2011

Open Meeting

Tuesday, January 25, 2011

Open Meeting

Thursday, January 20, 2011

2010 Webcasts

Open Meeting

Wednesday, December 15, 2010

Open Meeting

Friday, December 3, 2010

Open Meeting

Friday, November 19, 2010

SEC Small Business Capital Formation Forum

Thursday, November 18, 2010

Open Meeting

Wednesday, November 3, 2010

Open Meeting

Wednesday, October 13, 2010

CCOutreach Program Interactive Broadcast Seminar on Valuation

Thursday, October 7, 2010

?

Open Meeting

Friday, September 17, 2010

CFTC-SEC Public Roundtable Discussions

Wednesday, September 15, 2010

Open Meeting

Wednesday, August 25, 2010

Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues

Wednesday, August 11, 2010

Open Meeting

Wednesday, July 21, 2010

News Conference

Thursday, July 15, 2010

  • Webcast no longer available.

Open Meeting

Wednesday, July 14, 2010

Open Meeting

Wednesday, June 30, 2010

Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues

Tuesday, June 22, 2010

CANCELLED: Open Meeting

Friday, June 18, 2010

(Oral Argument)

Open Meeting

Wednesday, June 16, 2010

Mutual Fund XBRL Education Seminar

Friday, June 4, 2010

Market Structure Roundtable

Wednesday, June 2, 2010

Open Meeting

Wednesday, May 26, 2010

Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues

Monday, May 24, 2010

Open Meeting

Wednesday, April 14, 2010

Open Meeting

Wednesday, April 7, 2010

Open Meeting

Tuesday, March 30, 2010

(Oral Argument)

Open Meeting

Wednesday, February 24, 2010

CANCELLED: Open Meeting

Monday, February 8, 2010

(Oral Argument)

Open Meeting

Wednesday, January 27, 2010

Open Meeting

Wednesday, January 13, 2010

Open Meeting

Monday, January 11, 2010

(Oral Argument)

2009 Webcasts

Open Meeting

Wednesday, December 16, 2009

Government-Business Forum on Small Business Capital Formation

Thursday, November 19, 2009

Open Meeting

Monday, November 2, 2009

(Oral Argument)

Open Meeting

Wednesday, October 21, 2009

SEC Investor Advisory Committee Open Meeting

Monday, October 5, 2009

Securities Lending and Short Sale Roundtable

Tuesday, September 29 and Wednesday, September 30, 2009

Open Meeting

Thursday, September 17, 2009

Open Meeting

Wednesday, September 16, 2009

(Oral Argument)

Open Meeting

Thursday, September 3, 2009

(Joint Open Meeting with the Commodity Futures Trading Commission)

Open Meeting

Wednesday, September 2, 2009

(Joint Open Meeting with the Commodity Futures Trading Commission)

Investor Advisory Committee Open Meeting

Monday, July 27, 2009

Open Meeting

Wednesday, July 22, 2009

Open Meeting

Tuesday, July 21, 2009

(Oral Arguments)

Open Meeting

Monday, July 20, 2009

(Oral Argument)

Open Meeting

Wednesday, July 15, 2009

Open Meeting

Wednesday, July 1, 2009

Open Meeting

Wednesday, June 24, 2009

Joint SEC/Department of Labor Hearing on Target Date Funds

Thursday, June 18, 2009

Public Seminar on New Interactive Data Reporting Requirements

Wednesday, June 10, 2009

Press Conference: SEC Files Fraud Charges Against Former Countrywide CEO Angelo Mozilo, Two Others

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Thursday, June 4, 2009

  • Webcast no longer available.

Open Meeting

Wednesday, May 20, 2009

Open Meeting

Thursday, May 14, 2009

Open Meeting

Wednesday, May 13, 2009

(Oral Argument)

Roundtable to Examine Short Sale Price Test and Circuit Breaker Restrictions

Tuesday, May 5, 2009

Credit Rating Agencies Roundtable

Wednesday, April 15, 2009

(also Open Meeting)

Open Meeting

Wednesday, April 8, 2009

CCOutreach BD National Seminar Roundtable

Tuesday, March 10, 2009

Open Meeting

Wednesday, January 7, 2009

2008 Webcasts

Open Meeting

Wednesday, December 17, 2008

Open Meeting

Wednesday, December 3, 2008

Mark-to-Market Accounting Roundtable

Friday, November 21, 2008

Government-Business Forum on Small Business Capital Formation

Thursday, November 20, 2008

Open Meeting

Wednesday, November 19, 2008

CCOutreach National Seminar for Investment Adviser and Investment Company Chief Compliance Officers

November 13, 2008

  • Agenda
  • Webcast no longer available.

Roundtable on Mark-to-Market Accounting

Wednesday, October 29, 2008

(also Open Meeting)

Roundtable on Modernizing the Securities and Exchange Commission's Disclosure System

Wednesday, October 8, 2008

(also Open Meeting)

Seniors Summit

Monday, September 22, 2008

CCOutreach Program Interactive Broadcast Seminar for Smaller Advisers

Tuesday, September 16, 2008

  • Agenda
  • Webcast no longer available.

Open Meeting

Monday, September 8, 2008

(Oral Argument)

Open Meeting

Wednesday, August 27, 2008

SEC Chairman Christopher Cox to Hold News Conference With Australian Officials

Monday, August 25, 2008

  • Webcast no longer available.

News Conference: SEC Chairman Cox to Unveil Futuristic Information Disclosure System for Investors and Markets

Tuesday, August 19, 2008

  • Webcast no longer available.

News Conference: SEC To Announce Major Enforcement Action Involving Auction Rate Securities

Thursday, August 7, 2008

  • Webcast no longer available.

Roundtable on International Financial Reporting Standards

Monday, August 4, 2008

(also Open Meeting)

News Conference: Chairman Cox to Receive Final Report from SEC Advisory Committee on Improvements to Financial Reporting

Friday, August 1, 2008

  • Webcast no longer available.

Public Meeting: Advisory Committee on Improvements to Financial Reporting

Thursday, July 31, 2008

Open Meeting

Wednesday, July 30, 2008

Public Meeting: Advisory Committee on Improvements to Financial Reporting

Friday, July 11, 2008

International Roundtable on Fair Value Accounting Standards

Wednesday, July 9, 2008

(also Open Meeting)

News Conference: Chairman Cox to Announce Findings in SEC Examinations of Credit Rating Agencies

Tuesday, July 8, 2008

  • Webcast no longer available.

Open Meeting

Wednesday, June 25, 2008

Open Meeting

Wednesday, June 11, 2008

International Roundtable on Interactive Data for Public Financial Reporting

Tuesday, June 10, 2008

(also Open Meeting)

Past Chairmen Roundtable

Wednesday, June 4, 2008

News Conference

Tuesday, June 3, 2008

  • Webcast no longer available.

Open Meeting

Wednesday, May 21, 2008

(Rescheduled from Wednesday, May 14, 2008)

Open Meeting

Wednesday, May 14, 2008

(Rescheduled from Monday, April 21, 2008)

Open Meeting

Monday, May 5, 2008

Public Meeting: Advisory Committee on Improvements to Financial Reporting

Friday, May 2, 2008

Public Meeting: Advisory Committee on Improvements to Financial Reporting

March 14, 2008

Public Meeting: Advisory Committee on Improvements to Financial Reporting

March 13, 2008

Press Conference to discuss SEC-CFTC matters

Tuesday, March 11, 2008

  • Webcast no longer available.

Broker-Dealer CCOutreach Program

Friday, March 7, 2008

Open Meeting

Tuesday, March 4, 2008

Open Meeting

Wednesday, February 13, 2008

Advisory Committee on Improvements to Financial Reporting — Public Telephone Conference Meeting

Monday, February 11, 2008

Open Meeting

Wednesday, January 30, 2008

Advisory Committee Meeting on Improvements to Financial Reporting

Friday, January 11, 2008

2007 Webcasts

Open Meeting

Tuesday, December 18, 2007

SEC Roundtable on Practical Issues Surrounding the Use of IFRS in the U.S. in Recent Years, and Its Potential Expanded Use in Future Years

Monday, December 17, 2007

SEC Roundtable on IFRS in the U.S. Markets

Thursday, December 13, 2007

Open Meeting

Tuesday, December 11, 2007

Open Meeting

Wednesday, November 28, 2007

Open Meeting

Thursday, November 15, 2007

CCOutreach National Seminar

Wednesday, November 14, 2007

Advisory Committee Meeting on Improvements to Financial Reporting

Friday, November 2, 2007

Open Meeting

Monday, October 1, 2007

News Conference on Major Announcement About Interactive Data in Financial Reporting

Tuesday, September 25, 2007

Government-Business Forum on Small Business Capital Formation

Monday, September 24, 2007

Open Meeting

Wednesday, September 19, 2007

Open Meeting

Monday, September 10, 2007

(Seniors Summit)

Advisory Committee on Improvements to Financial Reporting

Thursday, August 2, 2007

Open Meeting

Wednesday, July 25, 2007

Open Meeting

Tuesday, July 24, 2007

Open Meeting

Wednesday, July 11, 2007

Open Meeting

Wednesday, June 20, 2007

Roundtable Discussion Regarding Rule 12b-1

Tuesday, June 19, 2007

Open Meeting

Wednesday, June 13, 2007

Roundtable Discussions Regarding Mutual Recognition

Tuesday, June 12, 2007

Roundtable on Proposals of Shareholders

Friday, May 25, 2007

(also Open Meeting)

Roundtable Discussions Regarding the Proxy Process Part 2

Thursday, May 24, 2007

Former Chairmen Roundtable

Wednesday, May 23, 2007

Open Meeting

Wednesday, May 23, 2007

Senior Investor Protection Symposium

Friday, May 18, 2007

  • Webcast no longer available.

Roundtable Discussions Regarding the Proxy Process

Monday, May, 7, 2007

Open Meeting

Wednesday, April 4, 2007

Open Meeting

Wednesday, March 21, 2007

Interactive Data Roundtable: Creating Interactive Data to Serve Investors

Monday, March 19, 2007

News Conference to Announce Enforcement Actions with Chairman Christopher Cox and Enforcement Director Linda C. Thomsen

Thursday, March 8, 2007

  • Webcast no longer available.

International Financial Reporting Standards "Roadmap" Roundtable

Tuesday, March 6, 2007

Open Meeting

Wednesday, February 7, 2007

(Oral Argument)

Open Meeting

Wednesday, January 31, 2007

(2 meetings)

2006 Webcasts

Open Meeting

Wednesday, December 13, 2006

Open Meeting

Monday, December 4, 2006

News Conference: Announcement on Consolidated Self-Regulation

Tuesday, November 28, 2006

CCOutreach National Seminar

Tuesday, November 14, 2006

Open Meeting

Wednesday, October 18, 2006

Open Meeting

Wednesday, October 11, 2006

Interactive Data Roundtable

Tuesday, October 3, 2006

Government-Business Forum on Small Business Capital Formation

Friday, September 29, 2006

News Conference to Announce Modernization of Corporate Disclosure

Monday, September 25, 2006

Open Meeting

Wednesday, September 20, 2006

Roundtable on the Regulation SHO Pilot

Friday, September 15, 2006

Open Meeting

Wednesday, July 26, 2006

Press Conference

Thursday, July 20, 2006

Seniors Summit

Monday, July 17, 2006

Open Meeting

Wednesday, July 12, 2006

Former Enforcement Directors' Roundtable

Wednesday, June 14, 2006

Interactive Data Roundtable

Monday, June 12, 2006

SEC Women Commissioners Panel

Wednesday, May 31, 2006

  • Webcast no longer available.

Open Meeting

Monday, May 22, 2006

Roundtable on Internal Control Reporting Requirements

Wednesday, May 10, 2006

US SEC/Chinese Securities Regulatory Commission Ceremony to Announce Terms of Reference for Enhanced Dialogue

Tuesday, May 2, 2006

  • Webcast no longer available.

Chairman's Remarks at Closing of 2006 International Institute for Securities Market Development

Thursday, April 27, 2006

  • Webcast no longer available.

Advisory Committee Meeting on Smaller Public Companies, Washington, DC

Thursday, April 20, 2006

Press Briefing on Subpoena Guidelines

Wednesday, April 12, 2006

Advisory Committee Meeting on Smaller Public Companies, Washington, DC

Wednesday, April 12, 2006

Advisory Committee Meeting on Smaller Public Companies, Washington, DC

Tuesday, February 21, 2006

Open Meeting

Monday, February 13, 2006

Open Meeting

Monday, January 30, 2006

Open Meeting

Tuesday, January 17, 2006

2005 Webcasts

Past Chairmen Roundtable, Washington, DC

Tuesday, December 20, 2005

Advisory Committee Meeting on Smaller Public Companies, Washington, DC

Wednesday, December 14, 2005

Open Meeting

Wednesday, December 14, 2005

Open Meeting

Tuesday, November 29, 2005

General Counsel Roundtable

Thursday, November 17, 2005

Open Meeting

Monday, November 14, 2005

CCOutreach National Seminar

Tuesday, November 8, 2005

Open Meeting

Monday, October 31, 2005

Advisory Committee Meeting on Smaller Public Companies, Washington, DC

Monday, October 24 and Tuesday, October 25, 2005

Advisory Committee Meeting on Smaller Public Companies, New York

Friday, October 14, 2005

Open Meeting

Wednesday, September 21, 2005

Advisory Committee Meeting on Smaller Public Companies, San Francisco

Monday, September 19 and Tuesday, September 20, 2005

Advisory Committee Meeting on Smaller Public Companies, Chicago

Tuesday, August 9 and Wednesday, August 10, 2005

Open Meeting

Wednesday, June 29, 2005

Meeting of SEC Advisory Committee on Smaller Public Companies

Thursday, June 16 and Friday, June 17, 2005

Press Conference with Chairman William H. Donaldson

Wednesday, June 1, 2005

Open Meeting

Monday, May 23, 2005

Roundtable on Implementation of Sarbanes-Oxley Internal Control Provisions

Wednesday, April 13, 2005

First Meeting of SEC Advisory Committee on Smaller Public Companies

Tuesday, April 12, 2005

Open Meeting

Wednesday, April 6, 2005

Open Meeting

Tuesday, March 29, 2005

Open Meeting

Thursday, March 3, 2005

2004 Webcasts

Open Meeting

Wednesday, December 22, 2004

Open Meeting

Thursday, December 16, 2004

Open Meeting

Wednesday, December 15, 2004

Open Meeting

Tuesday, November 9, 2004

Open Meeting

Tuesday, October 26, 2004

Open Meeting

Wednesday, October 13, 2004

Open Meeting

Wednesday, October 6, 2004

Government-Business Forum on Small Business Capital Formation

Monday, September 20, 2004

Open Meeting

Wednesday, August 18, 2004

Open Meeting

Wednesday, July 14, 2004

Open Meeting

Wednesday, June 23, 2004

Open Meeting

Tuesday, June 15, 2004

Open Meeting

Wednesday, June 2, 2004

Open Meeting

Wednesday, May 26, 2004

Open Meeting

Wednesday, April 28, 2004

Hearing on Regulation NMS

Wednesday, April 21, 2004

Open Meeting

Tuesday, April 13, 2004

Open Meeting

Thursday, March 11, 2004

Roundtable Discussion Re: Proposed Rules Relating to Security Holder Director Nominations

Wednesday, March 10, 2004

Open Meeting

Wednesday, February 25, 2004

Open Meeting

Tuesday, February 24, 2004

Open Meeting

Wednesday, February 11, 2004

Open Meeting

Wednesday, February 4, 2004

Open Meeting

Wednesday, January 14, 2004

2003 Webcasts

Open Meeting

Wednesday, December 17, 2003

Open Meeting

Thursday, December 4, 2003

Open Meeting

Wednesday, December 3, 2003

Open Meeting

Wednesday, November 19, 2003

Open Meeting

Wednesday, October 29, 2003

Open Meeting

Wednesday, October 22, 2003

Open Meeting

Wednesday, October 8, 2003

Open Meeting

Wednesday, September 24, 2003

Open Meeting

Wednesday, September 17, 2003

Open Meeting

Thursday, September 11, 2003

Open Meeting

Wednesday, September 10, 2003

Open Meeting

Thursday, August 7, 2003

Open Meeting

Wednesday, August 6, 2003

Open Meeting

Thursday, July 31, 2003

Open Meeting

Thursday, July 24, 2003

Open Meeting

Thursday, July 10, 2003

Open Meeting

Wednesday, June 25, 2003

Open Meeting

Wednesday, June 4, 2003

Open Meeting

Tuesday, May 27, 2003

Roundtable on Hedge Funds

Wednesday, May 14 and Thursday, May 15, 2003

Open Meeting

Wednesday, April 30, 2003

Open Meeting

Thursday, April 24, 2003

Open Meeting

Wednesday, April 23, 2003

Open Meeting

Friday, April 11, 2003

Open Meeting

Wednesday, April 2, 2003

Open Meeting

Tuesday, April 1, 2003

Open Meeting

Thursday, February 6, 2003

Open Meeting

Tuesday, February 4, 2003

Open Meeting

Thursday, January 23, 2003

Open Meeting

Wednesday, January 22, 2003

Open Meeting

Wednesday, January 15, 2003

Open Meeting

Wednesday, January 8, 2003

2002 Webcasts

Open Meeting

Wednesday, December 18, 2002

Roundtables on the International Impact of Proposed Rules
on Auditor Independence and Attorney Conduct

Tuesday, December 17, 2002

Open Meeting

Wednesday, December 11, 2002

Open Meeting

Tuesday, November 26, 2002

SEC-SIA Anti-Money Laundering Webcast

Monday, November 25, 2002

Open Meeting

Tuesday, November 19, 2002

Credit Rating Agency Hearings

Friday, November 15 and Thursday, November 21, 2002

Open Meeting

Wednesday, November 13, 2002

Open Meeting

Wednesday, November 6, 2002

Open Meeting

Wednesday, October 30, 2002

Market Structure Hearings

Tuesday, October 29 and Tuesday, November 12, 2002

Open Meeting

Friday, October 25, 2002

Open Meeting

Wedesday, October 16, 2002

Open Meeting

Thursday, September 19, 2002

Open Meeting

Wednesday, August 28, 2002

Open Meeting

Tuesday, August 27, 2002

Open Meeting

Wednesday, July 24, 2002

Open Meeting

Wednesday, July 17, 2002

Open Meeting

Tuesday, July 2, 2002

Open Meeting

Thursday, June 20, 2002

Open Meeting

Thursday, June 13, 2002

(Oral Argument)

Open Meeting

Wednesday, June 12, 2002

Open Meeting

Wednesday, May 29, 2002

Open Meeting

Tuesday, May 14, 2002

Investor Summit

Friday, May 10, 2002

Open Meeting

Wednesday, May 8, 2002

Open Meeting

Tuesday, April 30, 2002

Financial Disclosure and Auditor Oversight Roundtables

Monday, March 4, Wednesday, March 6 and Thursday, April 4, 2002

  • Sunshine Act Notice
  • Agenda
Modified: Sept. 25, 2023
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