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Commission Speeches and Public Statements Archive: 1986

This index lists speeches and other public statements by the Chairman, Commissioners, and Staff of the SEC, which cover a wide range of topics concerning the state of the markets and the Commission's regulatory agenda.

Speeches and Statements by:

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1986 Speeches by the Chairman and Commissioners

Date Title Author
Fourth Quarter
Dec. 19, 1986 Dual Class Capitalization: Solutions in Search of Problems, The New York Stock Exchange Legal Advisory Committee, New York, New York Commissioner
Charles C. Cox
Nov. 20, 1986 The Law of Insider Trading -- How They Get Caught, Piedmont Economic Club, Greenville, South Carolina Commissioner
Charles C. Cox
Nov. 17, 1986 Internationalization: A Prediction Has Become Reality, North American Securities Administrators Association, Inc. 69th Annual Conference, Honolulu, Hawaii Commissioner
Aulana L. Peters
Nov. 13, 1986 Public Accounting at the Crossroads, New York State Society of Certified Public Accountants 1986 Accounting Conference, New York, New York Commissioner
Charles C. Cox
Nov. 10, 1986 Competition and Regulation in Global Securities Markets: What can the Corporate Issuer Expect?, 5th Annual Conference on Current Financial Issues of the Financial Executives Institute, San Francisco, California Commissioner
Aulana L. Peters
Nov. 5, 1986 The New Technology of Finance, The Fifth Annual Conference on Current Financial Issues, New York, New York Commissioner
Joseph A. Grundfest
Oct. 24, 1986 State Versus Federal Regulation: Balancing the Interests, The 1986 Black Board of Directors Project, Phoenix, Arizona Commissioner
Aulana L. Peters
Oct. 19, 1986 Preliminary and Partial Observations on Program Trading and Investor Confidence, National Security Traders Association, 53rd Annual Convention, Boca Raton, Florida Commissioner
Joseph A. Grundfest
Oct. 17, 1986 Insider Trading, Program Trading and Internationalziation of the Securities Markets, Harvard Business School, The Finance Club Chairman
John S. R. Shad
Oct. 15, 1986 Peters vs Peters Internationalization: Are the Regulators Ready?, Representatives of the Dutch Financial Community, Amsterdam, The Netherlands Commissioner
Aulana L. Peters
Oct. 3, 1986 Small Issuer Disclosure Policy and the Fringes of "Merit Regulation", Nineteenth Annual Rocky Mountain State-Federal-Provincial Cooperative Securities Conference, Denver, Colorado Commissioner
Charles C. Cox
Third Quarter
Sep. 11, 1986 The Future Course of SEC Regulation, A Seminar on the Washington Scene, PaineWebber, Inc., Washington, D.C. Commissioner
Charles C. Cox
Aug. 13, 1986 Ancillary Relief and Remedies: Does the SEC Need More Clout?, American Bar Association Annual Meeting, New York City, New York Commissioner
Aulana L. Peters
Jul. 16, 1986 International Securities Markets Benefits and Challenges, XI Annual Conference International Association of Securities Commissions, Paris, France Chairman
John S. R. Shad
Jul. 16, 1986 Internationalization of the Capital Markets: The Experience of the U.S. Securities and Exchange Commission, The XI Annual Conference of the International Association of Securities Commissions, Paris, France Commissioner
Charles C. Cox
Second Quarter
Jun. 25, 1986 A Time of Crisis: Current Issues Facing the Accounting Profession, National Association of Accountants Annual International Conference, Nashville, Tennessee Commissioner
Aulana L. Peters
Jun. 20, 1986 The Evolving Capital Market System: A Regulator's Perspective, The National Association of Securities Professionals Second Annual Conference, Atlanta, Georgia Commissioner
Aulana L. Peters
Jun. 20, 1986 To Catch a Thief: Recent Developments in Insider Trading Law and Enforcement, The National Investor Relations Institute, New York Chapter, New York, New York Commissioner
Joseph A. Grundfest
May 21, 1986 Functional Regulation - The Concept and its Applications, Washington, D.C. Chairman
John S. R. Shad
May 1, 1986 Enforcing the Securities Laws: A Search for Priorities, The Sixth Annual Ray Garrett, Jr. Corporate and Securities Law Institute, Chicago, Illinois Commissioner
Joseph A. Grundfest
Apr. 11, 1986 Misperceptions, Harvard Business School Club of New York, New York Chairman
John S. R. Shad
Apr. 5, 1986 Carnation Revisited: Toward an Optimal Merger Disclosure and Rumor Response Policy, The Federal Regulation of Securities Committee, American Bar Association, Baltimore, Maryland Commissioner
Joseph A. Grundfest
First Quarter
Mar. 14, 1986 The Role of Attorneys and Regulation D Offerings, ALI-ABA Course Study, Regulation D Offerings of Limited Partnerships and Related Exempt Offerings: "At the Commission and in Practice", Scottsdale, Arizona Commissioner
Aulana L. Peters
Feb. 24, 1986 To Regulate Or Not To Regulate: Current Issues Concerning Investment Advisers, The Investment Company Institute Conference on Current Issues in the Regulation of Investment Advisers, New Orleans, Louisiana Commissioner
Aulana L. Peters
Feb. 22, 1986 New Regulatory Issues in the Takeover Arena, Sixth Annual Northwest Securities Institute, Portland, Oregon Commissioner
Charles C. Cox
Feb. 17, 1986 Investment Company Servicing: Growth, Innovation and Competition, National Investment Company Service Association Fourth Annual Conference, Miami, Florida Commissioner
Charles C. Cox
Feb. 14, 1986 Should Taxpayers Subsidize the Perfect Fraud? A Closer Look at Randall v. Loftsgaarden and the "Tax-Offset Rule", The Sixth Annual Southern Securities Institute, Miami, Florida Commissioner
Joseph A. Grundfest
Feb. 6, 1986 Conflicts of Interest -- A Regulator's View, The Wall Street Planning Group, Washington, D.C. Commissioner
Charles C. Cox
Jan. 29, 1986 Major SEC Efforts and Issues, The Conference Board, New York City, New York Chairman
John S. R. Shad
Jan. 7, 1986 Public Accounting: Whose Profession Is It Anyway?, 1986 Thirteenth Annual AICPA National Conference on Current SEC Developments, Washington, D.C. Commissioner
Charles C. Cox

1986 Speeches and Statements by Commission Staff

Date Title Author
Fourth Quarter
Nov. 22, 1986 Redefining "Public Offering or Distribution" for Today, Federal Regulation of Securities Committee Annual Fall Meeting, Washington, D.C. Linda C. Quinn, Director, Division of Corporation Finance
Oct. 21, 1986 The Global Equity Market -- An Enforcement Perspective, Financial Times International Conference Developing the Global Market for Equities, London, England Gary Lynch, Director, Division of Enforcement
Third Quarter
Sep. 25, 1986 Investment Companies, Financial Futures and Related Options - The SEC Perspective, Commodities Law Institute, IIT Chicago-Kent College of Law, Panel on Institutional Accounts, Investment Companies, Financial Futures and Related Options - The SEC Perspective, Chicago, Illinois Mary John Hoene, Associate Director, Division of Investment Management
Second Quarter
May 5, 1986 Functional Regulation -- New SEC Powers and Regulatory Trends, Inter-Financial Association, Washington, D.C. Daniel L. Goelzer, General Counsel
First Quarter
Jan. 15, 1986 The SEC's 1986 Tender Offer Agenda, Maryland State Bar Association Section of Corporation, Banking and Business Law, Baltimore, Maryland Daniel L. Goelzer, General Counsel

http://www.sec.gov/news/speech/speecharchive/1986speech.shtml


Modified: 10/16/2014