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Commission Speeches and Public Statements Archive: 2001

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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2001 Speeches by the Chairman and Commissioners

Date Title Author
Fourth Quarter
Dec. 21, 2001 Farewell Statement by Commissioner Isaac C. Hunt, Jr. Commissioner
Isaac C. Hunt, Jr.
Dec. 11, 2001 How to Prevent Future Enrons – "Op-Ed" by Chairman Harvey L. Pitt for the Wall Street Journal Chairman
Harvey L. Pitt
Nov. 29, 2001 Remarks at the Consumer Federation of America Financial Services Conference by Chairman Harvey L. Pitt, Jury's Hotel, Washington, D.C. Chairman
Harvey L. Pitt
Nov. 16, 2001 Remarks at the Fall Meeting of the ABA's Committee on Federal Regulation of Securities by Chairman Harvey L. Pitt, J.W. Marriott Hotel, Washington, D.C. Chairman
Harvey L. Pitt
Nov. 14, 2001 Remarks at the SEC Historical Society Major Issues Conference by Chairman Harvey L. Pitt, Grand Hyatt Washington Chairman
Harvey L. Pitt
Nov. 9, 2001 Remarks at the Securities Industry Association Annual Meeting by Chairman Harvey L. Pitt, Boca Raton, Florida Chairman
Harvey L. Pitt
Nov. 8, 2001 Remarks at the PLI 33rd Annual Institute on Securities Regulation by Chairman Harvey L. Pitt, New York, New York Chairman
Harvey L. Pitt
Oct. 26, 2001 Accountants as Gatekeepers – Adding Security and Value to the Financial Reporting System – Remarks of Commissioner Isaac C. Hunt, Jr., at the Federation of Schools of Accountancy, Arlington, Virginia Commissioner
Isaac C. Hunt, Jr.
Oct. 22, 2001 Remarks Before the AICPA Governing Council by Chairman Harvey L. Pitt, Miami Beach, Florida Chairman
Harvey L. Pitt
Oct. 12, 2001 The Securities Industry: Some Thoughts on What Lies Ahead – Remarks of Commissioner Laura S. Unger before the Westchester/Southern Connecticut Chapter of The American Corporate Counsel Association. Commissioner
Laura S. Unger
Third Quarter
Jul. 18, 2001 New Millennium, New Market – Remarks of Acting Chairman Laura S. Unger before the Exchequer Club, Washington, D.C. Acting Chairman
Laura S. Unger
Second Quarter
Jun. 25, 2001 This Year's Proxy Season: Sunlight Shines on Auditor Independence and Executive Compensation – Remarks of Acting Chairman Laura S. Unger at the Center for Professional Education, Inc.,Washington, D.C. Acting Chairman
Laura S. Unger
May 15, 2001 Emerging Issues Under the Federal Securities Laws – Remarks of Commissioner Isaac C. Hunt, Jr., at the DC Bar Corporation, Finance and Securities Section, Washington, D.C. Commissioner
Isaac C. Hunt, Jr.
May 6, 2001 Timeless Principles of Investing in an Electronic Age – Remarks of Acting Chairman Laura S. Unger at the 2001 Los Angeles Times Investment Strategies Conference, Los Angeles, California Acting Chairman
Laura S. Unger
May 4, 2001 Remarks at "New Challenges Facing Capital Markets" – by Commissioner Isaac C. Hunt, Jr., at the Comissao do Mercado de Valores Mobiliàrios Conference, Lisbon, Portugal Commissioner
Isaac C. Hunt, Jr.
Apr. 26, 2001 Financial Reporting Challenges – Remarks of Commissioner Isaac C. Hunt, Jr., at the Financial Executives International Benchmarking the Quality of Earnings Program, New York, N.Y. Commissioner
Isaac C. Hunt, Jr.
Apr. 24, 2001 Opening Remarks at the SEC Roundtable Discussion on Regulation FD – by Acting Chairman Laura S. Unger, New York, N.Y. Acting Chairman
Laura S. Unger
Apr. 19, 2001 How Can Analysts Maintain Their Independence? – Remarks of Acting Chairman Laura S. Unger at the Ray Garrett Jr. Corporate and Securities Law Institute, Northwestern University School of Law, Evanston, Illinois Acting Chairman
Laura S. Unger
Apr. 5, 2001 Remarks at the Third European FASB-SEC Financial Reporting Conference – by Commissioner Isaac C. Hunt, Jr., Frankfurt, Germany Commissioner
Isaac C. Hunt, Jr.
First Quarter
Mar. 30, 2001 Protecting the Integrity of Financial Information in Today's Marketplace – Remarks of Acting Chairman Laura S. Unger before The Philadelphia Bar Association, Philadelphia, Pennsylvania Acting Chairman
Laura S. Unger
Mar. 9, 2001 Raising Capital on the Internet – Remarks of Acting Chairman Laura S. Unger at the 2001 Corporate Law Symposium, University of Cincinnati School of Law Acting Chairman
Laura S. Unger
Mar. 2, 2001 What's New in the Land of Regulation? – Remarks of Acting Chairman Laura S. Unger at "The SEC Speaks in 2001," sponsored by The Practicing Law Institute, Washington, D.C. Acting Chairman
Laura S. Unger
Mar. 2, 2001 Remarks of Commissioner Isaac C. Hunt, Jr., at "The SEC Speaks in 2001," sponsored by The Practicing Law Institute, Washington, D.C. Commissioner
Isaac C. Hunt, Jr.
Mar. 2, 2001 Mutual Fund Performance Advertising: Is It in Overdrive? – Remarks of Commissioner Paul R. Carey at "The SEC Speaks in 2001," sponsored by The Practicing Law Institute, Washington, D.C. Commissioner
Paul R. Carey
Jan. 31, 2001 Social Security Privatization – Remarks of Commissioner Paul R. Carey to Women in Housing and Finance, Washington, D.C. Commissioner
Paul R. Carey
Jan. 29, 2001 Trading Floors Versus Computer Networks – Remarks of Commissioner Laura S. Unger at a panel discussion in Davos, Switzerland. Commissioner
Laura S. Unger
Jan. 25, 2001 Market Information: Searching for Consensus – Remarks of Commissioner Paul R. Carey to the Twenty-Eighth Annual Securities Regulation Institute, Coronado, California. Commissioner
Paul R. Carey
Jan. 16, 2001 The Future for America's Investors - Their Rights and Obligations – Remarks of Chairman Arthur Levitt, at the Investors Town Hall Meeting, Arch Street Meeting House, Philadelphia, Penn. Chairman Arthur Levitt
Jan. 10, 2001 Opening Statement of Chairman Levitt Before the Commission Open Meeting on the NASD's Proposed SuperMontage and Streamlining the SEC's Process of Reviewing Filings by Self Regulatory Organizations, Washington, D.C. Chairman Arthur Levitt
Jan. 8, 2001 The National Market System: A Vision That Endures – Remarks of Chairman Arthur Levitt, at Stanford University, Stanford, Calif. Chairman Arthur Levitt

2001 Speeches by Commission Staff

Date Title Author
Fourth Quarter
Dec. 7, 2001 Remarks before the Annual AICPA Conference, Washington, D.C., by Charles Niemeier, Chief Accountant, Division of Enforcement and Chief Counsel of the Financial Fraud Task Force Charles Niemeier, Chief Accountant, Division of Enforcement
Dec. 6, 2001 The Evolving Mutual Fund Landscape: Adapting to the Challenges of Change – Remarks by Paul F. Roye, Director, Division of Investment Management, before the ICI 2001 Securities Law Developments Conference Paul F. Roye, Director, Division of Investment Management
Dec. 6, 2001 Remarks before the Investment Company Institute, Securities Law Developments Conference, Washington, D.C., by Stephen M. Cutler, Director, Division of Enforcement Stephen M. Cutler, Director, Division of Enforcement
Dec. 6, 2001 Advancing Investors' Interests – Remarks of Robert K. Herdman, Chief Accountant, before the American Institute of Certified Public Accountants' Twenty-Ninth Annual National Conference on Current SEC Developments, Washington, D.C. Robert K. Herdman, Chief Accountant
Oct. 25, 2001 Keynote Address before the American Law Institute - American Bar Association Life Insurance Company Products Conference – by Paul F. Roye, Director, Division of Investment Management Paul F. Roye, Director, Division of Investment Management
Oct. 18, 2001 Compliance Professionals Play Proactive Defense – Remarks of Lori A. Richards, Director, Office of Compliance Inspections and Examinations, National Society of Compliance Professionals, National Membership Meeting, Washington, D.C. Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Oct. 11, 2001 Investment Management Regulation – Remarks by Paul F. Roye, Director, Division of Investment Management, before the American Law Institute - American Bar Association Conference on Investment Management Regulation Paul F. Roye, Director, Division of Investment Management
Third Quarter
Sep. 25, 2001 Implementing the New Privacy Regulations – Luncheon Address by John H. Walsh, Chief Counsel, Office of Compliance Inspections and Examinations, before the SIA Legal & Compliance Regional Conference, San Francisco John H. Walsh, Chief Counsel, Office of Compliance Inspections and Examinations
Sep. 18, 2001 Debits and Credits in the New Economy – Remarks by Robert Bayless, Chief Accountant, before the Silicon Valley Chapter of Financial Executives International Robert Bayless, Chief Accountant, Division of Corporation Finance
Sep. 10, 2001 Remarks Before the National Symposium on Investment Adviser Regulation – by Paul F. Roye, Director, Division of Investment Management Paul F. Roye, Director, Division of Investment Management
Aug. 12, 2001 We're Good But We Can Be Better – Remarks of Lynn E. Turner, Chief Accountant, to the Public Interest Section, American Accounting Association Lynn E. Turner, Chief Accountant
Aug. 7, 2001 Analyzing Analysts – Remarks of David M. Becker, General Counsel, Before the Committee on Federal Regulation of Securities of the American Bar Association David M. Becker, General Counsel
Jul. 17, 2001 Risks and Opportunities for Public Pension Plans – Keynote Address by Paul F. Roye, Director, Division of Investment Management, Before the Public Funds Symposium Paul F. Roye, Director, Division of Investment Management
Second Quarter
Jun. 28, 2001 Independence: A Covenant for the Ages – Remarks of Lynn E. Turner, Chief Accountant, to the International Organization of Securities Commissions, Stockholm, Sweden Lynn E. Turner, Chief Accountant
Jun. 25, 2001 Maintaining Investor Trust In A Competitive Variable Products Marketplace – Remarks of Paul F. Roye, Director, Division of Investment Management, Before the National Association of Variable Annuities 2001 Regulatory Affairs Conference Paul F. Roye, Director, Division of Investment Management
Jun. 21, 2001 The State of Financial Reporting Today: An Unfinished Chapter III – Remarks of Lynn E. Turner, Chief Accountant, at the Glasser LegalWorks Third Annual SEC Disclosure & Accounting Conference, San Francisco, California Lynn E. Turner, Chief Accountant
Jun. 18, 2001 The Investor's Bill of Rights: A Commitment for the Ages – Remarks of Lynn E. Turner, Chief Accountant, to the SEC Institute, Washington, D.C. Lynn E. Turner, Chief Accountant
Jun. 14, 2001 The Exciting World of Investment Company Regulation – Remarks of Paul F. Roye, Director, Division of Investment Management, Before the American Law Institute/American Bar Association, Investment Company Regulation and Compliance Conference Paul F. Roye, Director, Division of Investment Management
Jun. 14, 2001 Valuation, Trading, and Disclosure:Three Compliance Imperatives – Remarks of Lori A. Richards, Director, Office of Compliance Inspections and Examinations, at the 2001 Mutual Fund Compliance Conference,Investment Company Institute Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Jun. 8, 2001 Regulatory and Compliance Issues in a Decimalized Environment – Remarks of Annette L. Nazareth, Director, Division of Market Regulation, at the Securities Industry Association Legal Compliance Committee Annette L. Nazareth, Director, Division of Market Regulation
Jun. 7, 2001 The State of Financial Reporting Today: An Unfinished Chapter II – Remarks of Lynn E. Turner, Chief Accountant, at the Glasser LegalWorks Third Annual SEC Disclosure & Accounting Conference, New York, New York Lynn E. Turner, Chief Accountant
May 31, 2001 A Menu of Soup du Jour Topics – Remarks of Lynn E. Turner, Chief Accountant, at the 20th Annual SEC and Financial Reporting Institute Conference Sponsored by the Leventhal School of Accounting, Marshall School of Business Administration, University of Southern California, Pasadena, California Lynn E. Turner, Chief Accountant
May 31, 2001 The State of Financial Reporting Today: An Unfinished Chapter – Remarks of Lynn E. Turner, Chief Accountant, at the 20th Annual SEC and Financial Reporting Institute Conference Sponsored by the Leventhal School of Accounting, Marshall School of Business Administration, University of Southern California Lynn E. Turner, Chief Accountant
May 31, 2001 Revenue Recognition – Remarks of Lynn E. Turner, Chief Accountant, at the 20th Annual SEC and Financial Reporting Institute Conference Sponsored by the Leventhal School of Accounting, Marshall School of Business Administration, University of Southern California Lynn E. Turner, Chief Accountant
May 18, 2001 The Times, They Are a-Changing – Remarks of Lynn E. Turner, Chief Accountant, at the 33rd Rocky Mountain Securities ConferenceSponsored by: Continuing Legal Education in Colorado, Inc. andthe Central Regional Office of the U.S. Securities and Exchange Commission, Denver, Colorado Lynn E. Turner, Chief Accountant
May 18, 2001 Remarks Before the Rocky Mountain Securities Conference by Richard H. Walker, Director, Division of Enforcement, Denver, Colorado Richard H. Walker, Director, Division of Enforcement
May 18, 2001 Navigating the Mutual Fund Industry Through Challenging Times – Remarks of Paul F. Roye, Director, Division of Investment Management, Before the ICI General Membership Meeting, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
May 8, 2001 Money Laundering: It's on the SEC's Radar Screen – Remarks of Lori A. Richards, Director, Office of Compliance Inspections and Examinations, at the Conference on Anti-Money Laundering Compliance for Broker-Dealers, Securities Industry Association Lori A. Richards, Director, Office of Compliance Inspections and Examinations
May 4, 2001 Keynote Address at the Glasser LegalWorks Fifth Annual Investment Advisors Compliance Conference by Paul F. Roye, Director, Division of Investment Management, New York, New York Paul F. Roye, Director, Division of Investment Management
May 3, 2001 Security Traders Association – Remarks of Annette L. Nazareth, Director, Division of Market Regulation, at the Washington Congressional Conference Annette L. Nazareth, Director, Division of Market Regulation
Apr. 27, 2001 Keynote Address of Annette L. Nazareth, Director, Division of Market Regulation, at the 2001 Options Industry Conference, Tucson, Ariz. Annette L. Nazareth, Director, Division of Market Regulation
Apr. 26, 2001 Quality, Transparency, Accountability – Remarks of Lynn E. Turner, Chief Accountant, at the American Institute of CPA's "Benchmarking the Quality of Earnings" Conference,New York, NY Lynn E. Turner, Chief Accountant
Apr. 6, 2001 The Accounting Profession's Obligation to Global Investors: Quality Investor Information Through Quality Audits – Remarks of Lynn E. Turner, Chief Accountant, at the Third European FASB-SEC Financial Reporting Conference, Frankfurt, Germany Lynn E. Turner, Chief Accountant
Apr. 3, 2001 SEC Update: Transparent Financial Reporting and Disclosures – Remarks of Lynn E. Turner, Chief Accountant, at the Interagency Accounting Conference, Denver, Colo. Lynn E. Turner, Chief Accountant
Apr. 3, 2001 Keynote Address of Paul F. Roye, Director, Division of Investment Management, at the ICI Workshop for New Fund Directors, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
First Quarter
Mar. 26, 2001 Managing the Revolution – Keynote Address of Paul F. Roye, Director, Division of Investment Management, at the Third Annual IA Compliance Summit, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Mar. 19, 2001 Mutual Funds and Investment Management – Keynote Address of Paul F. Roye, Director, Division of Investment Management, at the 2001 Mutual Funds and Investment Management Conference Paul F. Roye, Director, Division of Investment Management
Mar. 10, 2001 A Temperate Peace – Remarks of David M. Becker, General Counsel, at Corporate Accountability, Sponsored by the Washington University School of Law and the Institute for Law and Economic Policy, Scottsdale, Ariz. David M. Becker, General Counsel
Mar. 10, 2001 Audit Committees: A Roadmap for Establishing Accountability – Remarks of Lynn E. Turner, Chief Accountant, at Corporate Accountability, Sponsored by the Washington University School of Law and the Institute for Law and Economic Policy, Scottsdale, Ariz. Lynn E. Turner, Chief Accountant
Mar. 2, 2001 Financial Reporting Issues in 2001 – Remarks of Robert A. Bayless, Chief Accountant, Division of Corporation Finance, at "The SEC Speaks in 2001," sponsored by The Practicing Law Institute, Washington, D.C. Robert A. Bayless, Chief Accountant, Division of Corporation Finance
Feb. 21, 2001 Audit Committees: A Call to Action – Remarks of Lynn E. Turner, Chief Accountant, at Accounting Irregularities II: What's an Audit Committee To Do?, Atlanta, Ga. Lynn E. Turner, Chief Accountant
Feb. 20, 2001 New Regulatory Structures – Remarks of Annette L. Nazareth, Director, Division of Market Regulation, to the Securities Industry Association Legal Compliance Committee Annette L. Nazareth, Director, Division of Market Regulation
Jan. 31, 2001 Remarks of Robert L.D. Colby, Deputy Director, Division of Market Regulation, Before the ABA Trust, Asset Management, and Marketing Conference, San Francisco, Calif. Robert L.D. Colby, Deputy Director, Division of Market Regulation
Jan. 24, 2001 Past, Present, and Future – Remarks of Lynn E. Turner, Chief Accountant, at the Securities Regulation Institute, Northwestern University, School of Law Lynn E. Turner, Chief Accountant
Jan. 11, 2001 Remarks of Annette L. Nazareth, Director, Division of Market Regulation, Before the Municipal Securities Rulemaking Board, Disclosure Forum II Annette L. Nazareth, Director, Division of Market Regulation
Jan. 9, 2001 Understanding the Securities Products of Insurance Companies – Keynote Address of Paul F. Roye, Director, Division of Investment Management, Before the Practicing Law Institute Paul F. Roye, Director, Division of Investment Management
Jan. 8, 2001 Current Activities of the Office of the Chief Accountant – Remarks of Jackson Day, Deputy Chief Accountant, New York State Society of CPAs SEC/FASB Conference Jackson Day, Deputy Chief Accountant

 

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