Other
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
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
- Sunshine Act Notice
- Agenda
- Webcast Archive (Part 1)
- Webcast Archive (Part 2)
Small Business Capital Formation Advisory Committee Meeting
Wednesday, June 14, 2023, 10:00 a.m. ET
- Sunshine Act Notice
- Press Release
- Agenda
- Webcast Archive (Part 1)
- Webcast Archive (Part 2)
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
- Conference Speaker Details
- Webcast Archive (Part 1)
- Webcast Archive (Part 2)
- Webcast Archive (Part 3)
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
- Sunshine Act Notice
- Agenda
- Fact Sheet: Share Repurchase Disclosure Modernization
- Fact Sheet: Amendments to Form PF
- Webcast Archive
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.
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.
- Sunshine Act Notice
- Webcast Archive (Part 1)
- Webcast Archive (Part 2)
Open Meeting
Wednesday, January 25, 2023, 10:00 a.m.
2022 Webcasts
Open Meeting
Wednesday, December 14, 2022, 11:00 a.m.
- Sunshine Act Notice
- Agenda
- Time Change Notice
- Fact Sheet: Insider Trading Arrangements and Related Disclosure
- Fact Sheet: Disclosure of Order Execution Information
- Fact Sheet: Tick Sizes, Access Fees, and Transparency of Better Priced Orders
- Fact Sheet: Enhancing Order Competition
- Fact Sheet: Regulation Best Execution
- Webcast Archive (Part 1)
- Webcast Archive (Part 2)
Investor Advisory Committee
Thursday, December 8, 2022, 10:00 a.m.
- Sunshine Act Notice
- Agenda
- Webcast Archive (Part 1)
- Webcast Archive (Part 2)
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, October 26, 2022, 10:00 a.m.
Small Business Capital Formation Advisory Committee Meeting
Thursday, October 13, 2022, 10:00 a.m.
- Sunshine Act Notice
- Press Release
- Agenda
- Webcast Archive (Part 1)
- Webcast Archive (Part 2)
Open Meeting
Wednesday, October 12, 2022, 10:00 a.m.
Investor Advisory Committee
Wednesday, September 21, 2022, 10:00 a.m.
- Sunshine Act Notice
- Agenda
- Webcast Archive (Part 1)
- Webcast Archive (Part 2)
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.
- Sunshine Act Notice
- Webcast Archive (Part 1)
- Webcast Archive (Part 2)
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.
- Sunshine Act Notice
- Agenda
- Panelist Info
- Webcast Archive (Part 1)
- Webcast Archive (Part 2)
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.
- Sunshine Act Notice
- Webcast Archive (Part 1)
- Webcast Archive (Part 2)
Open Meeting
Wednesday, February 9, 2022, 10:00 a.m.
2021 Webcasts
Open Meeting
Wednesday, December 15, 2021, 10:00 a.m.
- Sunshine Act Notice
- Agenda (Updated Dec. 9, 2021)
- Webcast Archive
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
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
Chair Gensler Remarks at the U.S. House Committee on Financial Services
Tuesday, October 5, 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
Asset Management Advisory Committee
Wednesday, July 7, 2021
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Webcast Archive - Part 1
- Webcast Archive - Part 2
- Background Materials
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
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
- Sunshine Act Notice
- Meeting Notice
- Press Release
- Agenda
- Presentation: Office of the Advocate for Small Business Capital Formation - Overview of FY 2020 Annual Report
- Presentation: Cass Sanford, OTC Markets Group, on Pulse of the Public Markets
- Small Business Capital Formation Advisory Committee
- Webcast Archive
2020 Webcasts
Open Meeting
Wednesday, December 16, 2020
Investor Advisory Committee Meeting
Thursday, December 3, 2020
Asset Management Advisory Committee
Tuesday, December 1, 2020
- Meeting Notice
- Press Release and Agenda
- Sunshine Act Notice
- Asset Management Advisory Committee
- Webcast Archive
- Background Materials
- Additional Background Materials
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)
Virtual Panel Discussion with Dalia Blass and Market Participants
Thursday, October 29, 2020
Roundtable on Regulation Best Interest and Form CRS
Monday, October 26, 2020
Joint Open Meeting: SEC and CFTC
Thursday, October 22, 2020
- Sunshine Act Notice
- Agenda
- Webcast Archive (link to CFTC YouTube video)
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
- Agenda
- Meeting Notice
- Sunshine Act Notice
- Fixed Income Market Structure Advisory Committee
- Webcast Archive
- Meeting Materials
- Preliminary Recommendation Regarding Defining Electronic Trading
- Corporate Bond Market Presentations
- Gilbert Garcia Presentation
Kumar Venkataraman Presentation
Sonali Theisen Presentation
Rick McVey Presentation
Lee Olesky Presentation - Municipal Securities Market Presentations
- Municipal Securities Market Presentation
Lee Olesky Presentation - Bond Fund and ETF Presentations
- Ananth Madhavan Presentation
Kumar Venkataraman Presentation
Investor Advisory Committee Meeting
Thursday, September 24, 2020, 10:00 a.m. ET
Seventh Annual Conference on Financial Market Regulation
Thursday-Friday, September 17-18, 2020
- Agenda
- Webcast Archive
Asset Management Advisory Committee
Wednesday, September 16, 2020
- Agenda
- Meeting Notice
- Sunshine Act Notice
- AMAC Spotlight Page
- Background Materials
- Panelist Bios
- Update from the ESG Subcommittee
- Update from the Private Investments Subcommittee
- Memorandum – Academic Literature on Potential Benefits for Portfolio Efficiency of Private Equity Investments
- Cambridge Associates – Private Investments
- Hamilton Lane - Presentation
- Prof. Lerner – Remarks to the SEC Asset Management Advisory Committee Private Investments Subcommittee
- Prof. Phalippou – Track Record Marketing in Private Equity
- Illinois State Treasurer – Presentation
- Exchange-Traded Products Panel – Preliminary Recommendation
- Operations Panel – COVID-19 Related Operational Issues
- Webcast Archive
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
SEC Small Business Capital Formation Advisory Committee Meeting
Tuesday, August 4, 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
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
- Agenda
- Press Release
- Slide Presentations
- Webcast Archive
Fixed Income Market Structure Advisory Committee Meeting
Monday, June 1, 2020
- Sunshine Act Notice
- Meeting Notice
- Agenda
- Fixed Income Market Structure Advisory Committee
- Background Materials
- Technology and Electronic Trading Subcommittee Preliminary Recommendation
- Credit Ratings Subcommittee Preliminary Recommendation
- Municipal Securities Transparency Subcommittee Preliminary Recommendation
- A Survey of Microstructure of Fixed Income Markets
- BondCliQ Presentation
- FINRA Block Pilot Comment Summary
- TRACE Transparency Considerations
- Transparency Panel Presentation
- Webcast Archive
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
Investor Advisory Committee Meeting
Monday, May 4, 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
Spotlight on Transparency: A Discussion of Secondary Market Municipal Securities Disclosure Practices (CANCELED)
Tuesday, March 10, 2020
Open Meeting — CANCELED
Wednesday, March 4, 2020
Investor Advisory Committee Meeting
Thursday, February 27, 2020
Fixed Income Market Structure Advisory Committee Meeting
Monday, February 10, 2020
- Sunshine Act Notice
- Meeting Notice
- Background Materials
- Fixed Income Market Structure Advisory Committee
- Webcast Archive
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
- Sunshine Act Notice
- Notice of Meeting
- Press Release
- Background Materials
- CaseyQuirk -- Remarks and Discussion
- Empirical Research – Issues Facing U.S. Money Management Industry
- McKinsey & Company – Global Trends in Asset Management
- Key Global Regulatory Themes in Fund Management in the 2020s: A Personal Perspective
- Apollo Global Management – SEC Asset Management Advisory Committee Presentation
- Blackstone – Expanding Retail Access to Private Markets
- Asset Management Advisory Committee
- Webcast Archive
Open Meeting
Wednesday, January 8, 2020
2019 Webcasts
Open Meeting
Wednesday, December 18, 2019
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
Fixed Income Market Structure Advisory Committee Meeting
Monday, November 4, 2019
Open Meeting
Wednesday, October 23, 2019 (CANCELLED)
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
38th Annual Government-Business Forum
Wednesday, August 14, 2019
SEC Small Business Capital Formation Advisory Committee
Tuesday, August 13, 2019
- Sunshine Act Meeting Notice
- Notice of Meeting
- Press Release
- Small Business Capital Formation Advisory Committee
- Presentation: Matt Swartz - Middle Market M&A: Proposed Changes to Reg S-X Rule 3-05
- Presentation: Bill Korn - Comments on Proposal to Amend Rules 3-05 and 8-04
- Presentation: Amendments to the Accelerated Filer and Large Accelerated Filer Definitions Proposing Release
- Presentation: Charles Crain
- Presentation: Mike Raab - Small Public Biotechs and Costs of Compliance with SarbanesOxley Section 404(b)
- Webcast Archive
Open Meeting
Thursday, August 8, 2019 -- CANCELLED
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
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
Fintech Forum: Distributed Ledger Technology and Digital Assets
Friday, May 31, 2019
2019 Compliance Outreach Program for Municipal Advisors
Tuesday, May 21, 2019
- Agenda
- Press Release (rescheduled to May 21, 2019)
- 2019 Compliance Outreach Program for Municipal Advisors
- Webcast Archive
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
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
- Sunshine Act Notice
- Meeting Notice
- Agenda
- Technology and Electronic Trading Subcommittee – Preliminary Recommendation
- Municipal Securities Transparency Subcommittee – Preliminary Recommendations
- Spotlight on Fixed Income Market Structure Advisory Committee (FIMSAC)
- Background Materials
- Webcast Archive
Investor Advisory Committee Meeting
Thursday, March 28, 2019
2018 Webcasts
Open Meeting
Wednesday, December 19, 2018
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
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
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
RISE of California: Retirement Investment Summit on Education
Thursday, October 4, 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
Fixed Income Market Structure Advisory Committee
Monday, July 16, 2018
Open Meeting
Thursday, June 28, 2018
Investor Advisory Committee
Thursday, June 14, 2018
Investing in America: Atlanta Town Hall Meeting
Wednesday, June 13, 2018
Open Meeting
Tuesday, June 5, 2018
Roundtable on Market Structure for Thinly-Traded Securities
Monday, April 23, 2018
Open Meeting
Wednesday, April 18, 2018
National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Thursday, April 12, 2018
Fixed Income Market Structure Advisory Committee
Monday, April 9, 2018
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Transparency Subcommittee - Preliminary Recommendation
- Transparency Subcommittee – Consideration of Block Masking and Trade Dissemination Times in the Municipal Bond Market
- Transparency Considerations
- FINRA Investor Education Foundation – Investors in the United States 2016
- FINRA Investor Education Foundation – A Snapshot of Investor Households in America
- Webcast Archive
Open Meeting
Wednesday, March 14, 2018
Securities and Exchange Commission Evidence Summit
Friday, March 10, 2017
Investor Advisory Committee
Thursday, March 8, 2018
- Meeting Notice
- Meeting Notice Correction
- Sunshine Act Meeting Notice
- Agenda
- Recommendation of the Investor as Owner Subcommittee: Dual Class and Other Entrenching Governance Structures in Public Companies
- Recommendation of the Subcommittee of the Whole: Financial Support for Law School Clinics that Support Investors
- Who Falls Prey to the Wolf of Wall Street?
- The Twilight Zone: OTC Regulatory Regimes and Market Quality
- Slides co-authored by Robert E. Roush
- Remarks by Christian Leuz
- Remarks by R. Cromwell Coulson
- Investor Advisory Committee
- Webcast Archive
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
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Press Release
- Background Materials:
- AllianceBernstein – Playing with Fire, The Bond Liquidity Crunch & What To Do About It
- Barclays – Behavior Modification
- Barclays – Passive Aggression
- BlackRock – The Next Generation Bond Market
- Citi – Developments in Credit Market Liquidity
- Citi – The U.S. Corporate Bond Risk Premium & Market Liquidity
- Corporate bond market liquidity reports
- Greenwich Associates – Innovations Ease Corporate Bond Trading
- Vanguard – Innovation & Evolution in the Fixed Income Market
- Fixed Income Market Structure Advisory Committee
- Webcast Archive
2017 Webcasts
Investor Advisory Committee
Thursday, December 7, 2017
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Recommendation of the Investor as Purchaser Subcommittee: Promotion of Electronic Delivery and Development of a Summary Disclosure Document for Delivery of Investment Company Shareholder Reports
- Discussion Draft Re: Cybersecurity and Risk Disclosure
- Discussion Draft Re: Dual Class and Other Entrenching Governance Structures in Public Companies
- Webcast Archive
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
- Meeting Notice
- Sunshine Act Notice
- Agenda
- Slides by Nancy Liao
- Remarks by Jeff Bandman
- Article by Nasdaq CEO
- Remarks by Nicole Iannarone
- Remarks by Qudsia Shafiq
- Remarks by David White
- Discussion Draft of the Investor as Purchaser Subcommittee (Oct. 2, 2017)
RE: Development of an Enhanced Notice Document for Delivery of Investment Company Shareholder Reports - Slides by Charles Callan
- Investor Advisory Committee
- Webcast Archive
Open Meeting
Wednesday, October 11, 2017
Advisory Committee on Small and Emerging Companies
Wednesday, September 13, 2017
- Sunshine Act Notice
- Meeting Notice
- Press Release and Agenda
- Presentation: William J. Newell, Sutro Biopharma -SOX 404(b): Costs of Compliance and Proposed Reforms
- Presentation: Leonard L. Combs of PwC - SOX 404(b)
- Presentation: Christine McCarthy and Steve Miller: Rule 701
- Discussion Draft of ACSEC Final Report
- Advisory Committee on Small and Emerging Companies
- Webcast Archive
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
- Notice of Meeting
- Sunshine Act Notice
- Agenda and Press Release
- Presentation: J. Bradford Eichler - Why Have We Seen a Slowdown in IPOS and What Could Drive an Increase?
- Presentation: Robert L. Malin
- Finders - Draft Recommendation
- Secondary Market Liquidity in Reg A - Draft Recommendation
- Advisory Committee on Small and Emerging Companies
- Webcast Archive 1
- Webcast Archive 2
Equity Market Structure Advisory Committee
Wednesday, April 5, 2017
Open Meeting
Wednesday, March 22, 2017
Investor Advisory Committee Meeting
Thursday, March 9, 2017
Open Meeting
Wednesday, March 1, 2017
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
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
Fintech Forum
Monday, November 14, 2016
- Sunshine Act Notice
- Press Release
- Fintech Forum
- Webcast Archives: Part 1 | Part 2
2016 Compliance Outreach Program for Municipal Advisors
Thursday, November 10, 2016
Open Meeting
Wednesday, October 26, 2016
Open Meeting
Thursday, October 13, 2016
Advisory Committee on Small and Emerging Companies
Wednesday, October 5, 2016
Open Meeting
Wednesday, September 28, 2016,
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
Discussion Agenda
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
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
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
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
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
Equity Market Structure Advisory Committee Meeting
Wednesday, May 13, 2015
Open Meeting
Wednesday, April 29, 2015
Investor Advisory Committee
Thursday April 9, 2015
Open Meeting
Monday, March 30, 2015
Oral Argument in the Matter of Francis V. LorenzoOpen Meeting
Wednesday, March 25, 2015
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
2014 Webcasts
Advisory Committee on Small and Emerging Companies
Wednesday, December 17, 2014
- Meeting Notice
- Sunshine Act Notice
- SEC Announces Agenda for Meeting of the Advisory Committee on Small and Emerging Companies
- SEC Announces Next Meeting of the Advisory Committee on Small and Emerging Companies
- Advisory Committee on Small and Emerging Companies
- Transcript (pdf) (text)
- Webcast Archive 1
- Webcast Archive 2
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
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
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
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
- Notice of Meeting (Press Release, Nov. 14, 2013)
- Agenda
- Investor Advisory Committee Spotlight Page
- Webcast Archives
Annual Government-Business Forum on Small Business Capital Formation
Thursday, November 21, 2013
- SEC Announces Agenda and Panelists for Small Business Forum (Press Release, Nov. 14, 2013)
- SEC Announces Date for Annual Government-Business Forum on Small Business Capital Formation (Press Release, Oct. 3, 2013)
- Small Business Website
- Webcast Archives
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
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
- Agenda no longer available
- Sunshine Act Notice
- Notice of Meeting
- Webcast Archives 1
- Webcast Archives 2
Investor Advisory Committee
Thursday, July 25, 2013
Open Meeting
Wednesday, July 10, 2013
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
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
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
Advisory Committee on Small and Emerging Companies
Monday, October 31, 2011
- Press Release 2011-222
- Press Release 2011-207
- Notice of Meeting
- Agenda
- Sunshine Act Notice
- Advisory Committee on Small and Emerging Companies Information Page
- Presentation Slides (Overview)
- Presentation Slides (Unregistered Offerings and the Regulation D Exemption)
- Webcast Archive 1
- Webcast Archive 2
Roundtable on Conflict Minerals
Tuesday, October 18, 2011
Roundtable on Microcap Securities
Monday, October 17, 2011
Open Meeting
Monday, September 19, 2011
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 22, 2011
Roundtable Discussion on Money Market Funds and Systemic Risk
Tuesday, May 10, 2011
CCOutreach BD National Seminar
Tuesday, February 8, 2011
2010 Webcasts
CFTC-SEC Public Roundtable Discussions
Wednesday, September 15, 2010
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
Wednesday, August 11, 2010
- Sunshine Act Notice
- Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
- Agenda and Participants
- Webcast no longer available.
News Conference
Thursday, July 15, 2010
- Webcast no longer available.
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
Tuesday, June 22, 2010
- Sunshine Act Notice
- Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
- Agenda and Participants
- Webcast no longer available.
CANCELLED: Open Meeting
Friday, June 18, 2010
(Oral Argument)- Sunshine Act Notice
- Webcast no longer available.
Market Structure Roundtable
Wednesday, June 2, 2010
- Sunshine Act Notice
- Agenda, Panelists, Statements
- Webcast no longer available.
- Transcript, Panel 1
- Transcript, Panel 2
- Transcript, Panel
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
Monday, May 24, 2010
- Sunshine Act Notice — Conforming Version (To Conform to Release Published in the Federal Register)
- Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
- Webcast Slide Presentation
- Webcast no longer available.
Open Meeting
Tuesday, March 30, 2010
(Oral Argument)- Sunshine Act Notice
- Agenda
- Webcast no longer available.
- Transcript
CANCELLED: Open Meeting
Monday, February 8, 2010
(Oral Argument)- Sunshine Act Notice
- Webcast no longer available.
Open Meeting
Monday, January 11, 2010
(Oral Argument)- Sunshine Act Notice
- Agenda
- Webcast no longer available.
2009 Webcasts
Government-Business Forum on Small Business Capital Formation
Thursday, November 19, 2009
- Press Release
- Agenda
- Sunshine Act Notice
- Webcast no longer available.
Open Meeting
Monday, November 2, 2009
(Oral Argument)- Sunshine Act Notice
- Agenda
- Webcast no longer available.
SEC Investor Advisory Committee Open Meeting
Monday, October 5, 2009
- Sunshine Act Notice
- Webcast no longer available.
Securities Lending and Short Sale Roundtable
Tuesday, September 29 and Wednesday, September 30, 2009
- Sunshine Act Notice
- Agenda
- Day 1 Transcript
- Day 2 Transcript
- li>Spotlight on Short Sales
- Webcast no longer available.
Open Meeting
Thursday, September 17, 2009
- Sunshine Act Notice
- Agenda
- Room Change Notice
- Webcast no longer available.
Open Meeting
Wednesday, September 16, 2009
(Oral Argument)- Sunshine Act Notice
- Agenda
- Webcast no longer available.
Open Meeting
Thursday, September 3, 2009
(Joint Open Meeting with the Commodity Futures Trading Commission)- Sunshine Act Notice
- Agenda
- Webcast no longer available.
Open Meeting
Wednesday, September 2, 2009
(Joint Open Meeting with the Commodity Futures Trading Commission)- Sunshine Act Notice
- Agenda
- Webcast no longer available.
Investor Advisory Committee Open Meeting
Monday, July 27, 2009
- Sunshine Act Notice
- Spotlight on Investor Advisory Committee
- Webcast no longer available.
Open Meeting
Tuesday, July 21, 2009
(Oral Arguments)- Sunshine Act Notice
- Agenda
- Webcast no longer available.
Open Meeting
Monday, July 20, 2009
(Oral Argument)- Sunshine Act Notice
- Agenda
- Webcast no longer available.
Joint SEC/Department of Labor Hearing on Target Date Funds
Thursday, June 18, 2009
- Press Release
- Panelists and Agenda
- Comments received by the SEC
- Comments received by the DOL no longer available
- Hearing Transcript
- Webcast no longer available
Public Seminar on New Interactive Data Reporting Requirements
Wednesday, June 10, 2009
- Press Release
- Webcast no longer available.
Press Conference: SEC Files Fraud Charges Against Former Countrywide CEO Angelo Mozilo, Two Others
>Thursday, June 4, 2009
- Webcast no longer available.
Open Meeting
Wednesday, May 13, 2009
(Oral Argument)- Sunshine Act Notice
- Agenda
- Webcast no longer available.
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)- Sunshine Act Meeting Notice
- Agenda
- Roundtable to Examine Oversight of Credit Rating Agencies
- Webcast no longer available.
CCOutreach BD National Seminar Roundtable
Tuesday, March 10, 2009
- Broker-Dealer CCOutreach Program
- Agenda
- Webcast no longer available.
2008 Webcasts
Mark-to-Market Accounting Roundtable
Friday, November 21, 2008
- Spotlight on Fair Value Accounting Standards
- Agenda and Biographies of Participants
- Webcast no longer available.
Government-Business Forum on Small Business Capital Formation
Thursday, November 20, 2008
- Government-Business Forum on Small Business Capital Formation
- Agenda
- Webcast no longer available.
Open Meeting
Wednesday, November 19, 2008
- Sunshine Act Notice
- Agenda
- Notice of Item Deletion
- Webcast no longer available.
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)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)- Sunshine Act Notice
- Agenda
- Webcast no longer available.
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
Public Meeting: Advisory Committee on Improvements to Financial Reporting
Friday, July 11, 2008
- Agenda
- Notice of Meeting
- Spotlight on Advisory Committee on Improvements to Financial Reporting
- Webcast no longer available.
International Roundtable on Fair Value Accounting Standards
Wednesday, July 9, 2008
(also Open Meeting)- Sunshine Act Notice
- Agenda
- Spotlight on Roundtable on Fair Value Accounting Standards
- Webcast no longer available.
News Conference: Chairman Cox to Announce Findings in SEC Examinations of Credit Rating Agencies
Tuesday, July 8, 2008
- Webcast no longer available.
International Roundtable on Interactive Data for Public Financial Reporting
Tuesday, June 10, 2008
(also Open Meeting)- Sunshine Act Notice
- Webcast no longer available.
Past Chairmen Roundtable
Wednesday, June 4, 2008
- Press Release
- Transcript
- Webcast no longer available.
News Conference
Tuesday, June 3, 2008
- Webcast no longer available.
Open Meeting
Wednesday, May 21, 2008
(Rescheduled from Wednesday, May 14, 2008)- Additional Item Notice
- Additional Item Date Change Notice
- Agenda
- Webcast no longer available.
Open Meeting
Wednesday, May 14, 2008
(Rescheduled from Monday, April 21, 2008)- Sunshine Act Notice
- Date and Time Change Notice
- Agenda
- Webcast no longer available.
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
- Notice of Meeting
- Agenda
- Webcast no longer available.
Public Meeting: Advisory Committee on Improvements to Financial Reporting
March 13, 2008
- Notice of Meeting
- Agenda
- Webcast no longer available.
Press Conference to discuss SEC-CFTC matters
Tuesday, March 11, 2008
- Webcast no longer available.
Advisory Committee on Improvements to Financial Reporting — Public Telephone Conference Meeting
Monday, February 11, 2008
- See Notice of Meeting for access instructions and Advisory Committee on Improvements to Financial Reporting for more information
- Webcast no longer available.
Advisory Committee Meeting on Improvements to Financial Reporting
Friday, January 11, 2008
- Advisory Committee on Improvements to Financial Reporting
- li>Agenda
- Draft Decision Memo
- Webcast no longer available.
2007 Webcasts
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
- Sunshine Act Notice
- Notice: Deletion of an Item
- Agenda
- Webcast no longer available.
Advisory Committee Meeting on Improvements to Financial Reporting
Friday, November 2, 2007
News Conference on Major Announcement About Interactive Data in Financial Reporting
Tuesday, September 25, 2007
- Media Advisory
- Webcast no longer available.
Government-Business Forum on Small Business Capital Formation
Monday, September 24, 2007
- Press Release No. 2007-189
- Government-Business Forum on Small Business Capital Formation
- Webcast no longer available.
Open Meeting
Monday, September 10, 2007
(Seniors Summit)- Press Release No. 2007-160
- Sunshine Act Notice
- Webcast no longer available.
Advisory Committee on Improvements to Financial Reporting
Thursday, August 2, 2007
- Press Release No. 2007-154
- Agenda
- Record of Proceedings
- Webcast no longer available.
Open Meeting
Wednesday, July 25, 2007
- Sunshine Act Notice
- Agenda
- Unofficial Transcript
- Webcast no longer available.
Open Meeting
Wednesday, June 20, 2007
- Sunshine Act Notice
- Additional Item Notice
- Agenda
- Webcast no longer available.
Roundtable Discussion Regarding Rule 12b-1
Tuesday, June 19, 2007
- Press Release No. 2007-106
- Unofficial Transcript
- Spotlight on Rule 12b-1 Roundtable
- Webcast no longer available.
Roundtable Discussions Regarding Mutual Recognition
Tuesday, June 12, 2007
- Press Release No. 2007-105
- Unofficial Transcript
- Webcast no longer available.
Roundtable on Proposals of Shareholders
Friday, May 25, 2007
(also Open Meeting)- Spotlight On: Roundtable Discussions Regarding the Proxy Process
- Unofficial Transcript
- Webcast no longer available.
Roundtable Discussions Regarding the Proxy Process Part 2
Thursday, May 24, 2007
- Roundtable on Proxy Voting Mechanics
- Unofficial Transcript
- Webcast no longer available.
Former Chairmen Roundtable
Wednesday, May 23, 2007
- Press Release No. 2007-98
- Unofficial Transcript
- Webcast no longer available.
Open Meeting
Wednesday, May 23, 2007
- Sunshine Act Notice
- Agenda
- Unofficial Transcript
- Webcast no longer available.
Senior Investor Protection Symposium
Friday, May 18, 2007
- Webcast no longer available.
Roundtable Discussions Regarding the Proxy Process
Monday, May, 7, 2007
- Sunshine Act Notice
- Sunshine Act Time Change Notice (relates to Closed Meeting only)
- Press Release No. 2007-71
- Agenda
- Briefing Paper
- List of Participants
- Roundtable on the Federal Proxy Rules and State Corporation Law
- Webcast no longer available.
Open Meeting
Wednesday, April 4, 2007
- Sunshine Act Notice
- Agenda for this Meeting
- Unofficial Transcript
- Webcast no longer available.
Open Meeting
Wednesday, March 21, 2007
- News Digest Announcement
- Sunshine Act Notice
- Agenda for this Meeting
- Webcast no longer available.
Interactive Data Roundtable: Creating Interactive Data to Serve Investors
Monday, March 19, 2007
- Press Release No. 2007-37
- Webcast no longer available.
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
- Press Release No. 2007-19
- Agenda
- List of Participants
- Webcast no longer available.
Open Meeting
Wednesday, February 7, 2007
(Oral Argument)- News Digest Announcement
- Agenda for this Meeting
- Webcast no longer available.
Open Meeting
Wednesday, January 31, 2007
(2 meetings)- Sunshine Act Meeting Notice
- Oral Argument (10:00 am)
- Agenda for Open Meeting
- (2:00 pm)
- Webcast no longer available.
2006 Webcasts
Open Meeting
Wednesday, December 13, 2006
- Sunshine Act Meeting Notice
- Additional Item Notice
- Agenda for this Meeting
- Webcast no longer available.
Open Meeting
Monday, December 4, 2006
- Sunshine Act Meeting Notice
- Revised Sunshine Act Meeting Notice
- Agenda for this Meeting
- Webcast no longer available.
News Conference: Announcement on Consolidated Self-Regulation
Tuesday, November 28, 2006
- Media Advisory
- Webcast no longer available.
CCOutreach National Seminar
Tuesday, November 14, 2006
- CCOutreach Program
- Press Release 2006-170
- Agenda
- Webcast no longer available.
Open Meeting
Wednesday, October 18, 2006
- Sunshine Act Meeting Notice
- Agenda for this Meeting
- Webcast no longer available.
Open Meeting
Wednesday, October 11, 2006
- News Digest Announcement
- Agenda for this Meeting
- Webcast no longer available.
Interactive Data Roundtable
Tuesday, October 3, 2006
- Spotlight on Interactive Data and XBRL Initiatives
- Press Release 2006-160
- Press Release 2006-158
- Webcast no longer available
Government-Business Forum on Small Business Capital Formation
Friday, September 29, 2006
- Forum Information
- Agenda
- Webcast no longer available.
News Conference to Announce Modernization of Corporate Disclosure
Monday, September 25, 2006
- Press Release 2006-158
- Webcast no longer available.
Open Meeting
Wednesday, September 20, 2006
- News Digest Announcement
- Agenda for this Meeting
- Webcast no longer available.
Roundtable on the Regulation SHO Pilot
Friday, September 15, 2006
- Roundtable Agenda
- Transcript
- Press Release No. 2006-94
- Spotlight on Short Sales
- Webcast no longer available.
Open Meeting
Wednesday, July 26, 2006
- Sunshine Act Meeting Notice
- Agenda for this Meeting
- Webcast no longer available.
Open Meeting
Wednesday, July 12, 2006
- Sunshine Act Meeting Notice
- Agenda for this Meeting
- Webcast no longer available.
Former Enforcement Directors' Roundtable
Wednesday, June 14, 2006
- Notice for this event
- Webcast no longer available.
Interactive Data Roundtable
Monday, June 12, 2006
- Spotlight on Interactive Data and XBRL
- Agenda no longer available
SEC Women Commissioners Panel
Wednesday, May 31, 2006
- Webcast no longer available.
Open Meeting
Monday, May 22, 2006
- Sunshine Act Meeting Notice
- Agenda for this Meeting
- Webcast no longer available.
Roundtable on Internal Control Reporting Requirements
Wednesday, May 10, 2006
- See Announcement, Press Release No. 2006-22
- Agenda
- Transcript
- Spotlight On: Internal Control Reporting Provisions
- Webcast Archives: Part 1, Windows Media |
- Part 2,Webcast no longer available
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
- Advisory Committee on Smaller Public Companies
- Webcast no longer available.
Advisory Committee Meeting on Smaller Public Companies, Washington, DC
Wednesday, April 12, 2006
- Advisory Committee on Smaller Public Companies
- Webcast no longer available.
Advisory Committee Meeting on Smaller Public Companies, Washington, DC
Tuesday, February 21, 2006
- Advisory Committee on Smaller Public Companies
- Webcast no longer available.
Open Meeting
Monday, February 13, 2006
- Sunshine Act Meeting Notice
- Agenda for this Meeting
- Webcast no longer available.
Open Meeting
Monday, January 30, 2006
- Sunshine Act Meeting Notice
- Agenda for this Meeting
- Webcast no longer available.
2005 Webcasts
Past Chairmen Roundtable, Washington, DC
Tuesday, December 20, 2005
- Notice for this event
- Webcast no longer available.
Advisory Committee Meeting on Smaller Public Companies, Washington, DC
Wednesday, December 14, 2005
- Advisory Committee on Smaller Public Companies
- Webcast Archives:
- Part 1: Windows Media
Part 2: Windows Media
Open Meeting
Wednesday, December 14, 2005
- Agenda for this meeting br>
- Webcast Archives: Windows Media
Advisory Committee Meeting on Smaller Public Companies, Washington, DC
Monday, October 24 and Tuesday, October 25, 2005
- Advisory Committee on Smaller Public Companies
- Webcast Archives:
October 24 Part 1: Windows Media
October 24 Part 2: Windows Media
October 25 Part 1: Windows Media
October 25 Part 2: Windows Media
Advisory Committee Meeting on Smaller Public Companies, New York
Friday, October 14, 2005
- Advisory Committee on Smaller Public Companies
- Webcast Archives:
Part 1: Windows Media
Part 2: Windows Media
Advisory Committee Meeting on Smaller Public Companies, San Francisco
Monday, September 19 and Tuesday, September 20, 2005
- Advisory Committee on Smaller Public Companies
- Webcast Archives:
September 19 Part 1: Windows Media
September 19 Part 2: Windows Media
Advisory Committee Meeting on Smaller Public Companies, Chicago
Tuesday, August 9 and Wednesday, August 10, 2005
- Advisory Committee on Smaller Public Companies
- Webcast Archives:
August 9 Part 1: Windows Media
August 9 Part 2: Windows Media
August 10 Part 1: Windows Media
August 10 Part 2: Windows Media
Open Meeting
Wednesday, June 29, 2005
- Agenda for this meeting
- Sunshine Act Notice
- Webcast Archives: Windows Media
Meeting of SEC Advisory Committee on Smaller Public Companies
Thursday, June 16 and Friday, June 17, 2005
- Advisory Committee on Smaller Public Companies
- Webcast Archives:
June 16: Windows Media
June 17 Part 1: Windows Media
June 17 Part 2: Windows Media
Press Conference with Chairman William H. Donaldson
Wednesday, June 1, 2005
Roundtable on Implementation of Sarbanes-Oxley Internal Control Provisions
Wednesday, April 13, 2005
- Press Release 2005-13
- Press Release 2005-20
- Additional Materials
- Webcast no longer available.
First Meeting of SEC Advisory Committee on Smaller Public Companies
Tuesday, April 12, 2005
- Advisory Committee on Smaller Public Companies
- Webcast Archives:
Part 1: Windows Media
Part 2: Windows Media
2004 Webcasts
Open Meeting
Thursday, December 16, 2004
- Announcements (in Press Rel. No. 2004-174)
Webcast Archives: Windows Media
Government-Business Forum on Small Business Capital Formation
Monday, September 20, 2004
- Forum Agenda
- Press Release
- Discussion Materials
- Transcript
- Webcast Archives:
Part 1: Windows Media
Part 2: Windows Media
Part 3: Windows Media
Hearing on Regulation NMS
Wednesday, April 21, 2004
- Agenda (in Press Rel. No. 2004-52)
- Additional Materials
Roundtable Discussion Re: Proposed Rules Relating to Security Holder Director Nominations
Wednesday, March 10, 2004
2003 Webcasts
Roundtable on Hedge Funds
Wednesday, May 14 and Thursday, May 15, 2003
2002 Webcasts
Roundtables on the International Impact of Proposed Rules
on Auditor Independence and Attorney Conduct
Tuesday, December 17, 2002
SEC-SIA Anti-Money Laundering Webcast
Monday, November 25, 2002
Credit Rating Agency Hearings
Friday, November 15 and Thursday, November 21, 2002
Market Structure Hearings
Tuesday, October 29 and Tuesday, November 12, 2002
Financial Disclosure and Auditor Oversight Roundtables
Monday, March 4, Wednesday, March 6 and Thursday, April 4, 2002