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Commission Speeches and Public Statements Archive: 2003

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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2003 Speeches and Statements by the Chairman and Commissioners

Date Title Author
Fourth Quarter
Dec. 17, 2003 Statement Regarding the NYSE Approval Order, by Commissioner Roel C. Campos, Washington, DC Commissioner
Roel C. Campos
Dec. 17, 2003 Opening Statement at SEC Open Meeting, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Dec. 11, 2003 Remarks At Conference On Institutional Equity Trading, by Commissioner Paul S. Atkins, Manalapan, FL Commissioner
Paul S. Atkins
Dec. 4, 2003 Mutual Fund Regulation: A Time for Healing and Reform, by Commissioner Harvey J. Goldschmid, before the ICI 2003 Securities Law Developments Conference, Washington, DC Commissioner
Harvey J. Goldschmid
Dec. 3, 2003 Opening Statement at Open Securities and Exchange Commission Meeting, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Nov. 17, 2003 A Lawyer's Role in Corporate Governance: The Myth of Absolute Confidentiality and the Complexity of the Counseling Task, by Commissioner Harvey J. Goldschmid, the Orison S. Marden Lecture before the Association of the Bar of the City of New York Commissioner
Harvey J. Goldschmid
Nov. 15, 2003 Convergence And Beyond: U.S. – Europe Symposium: Program on International Financial Systems, by Commissioner Roel C. Campos, Armonk, NY Commissioner
Roel C. Campos
Nov. 7, 2003 Remarks to the Securities Industry Association, by Chairman William H. Donaldson, Boca Raton, FL Chairman
William H. Donaldson
Nov. 7, 2003 Remarks Before the Aspen Institute Italia Seminars for Leaders, by Commissioner Cynthia A. Glassman, Cernobbio, Italy Commissioner
Cynthia A. Glassman
Nov. 6, 2003 Remarks to the Practising Law Institute, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Oct. 20, 2003 Remarks on Governance Reforms and the Role of Directors before the National Association of Corporate Directors, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Oct. 17, 2003 Remarks on Sarbanes-Oxley's Lessons For Broker Dealers before the NASD Fall Securities Conference, by Commissioner Cynthia A. Glassman, Scottsdale, AZ Commissioner
Cynthia A. Glassman
Oct. 16, 2003 Remarks before the Security Traders Association, by Commissioner Cynthia A. Glassman, Scottsdale, AZ Commissioner
Cynthia A. Glassman
Oct. 8, 2003 Remarks before the Bank Insurance and Securities Association's Legislative, Regulatory and Compliance Seminar, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Oct. 8, 2003 Remarks on Proposed Rules for Shareholder Access to Company Proxy Material, by Commissioner Harvey J. Goldschmid, Washington, DC Commissioner
Harvey J. Goldschmid
Oct. 8, 2003 Remarks at Open Meeting Regarding Shareholder Access Proposal, by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Oct. 8, 2003 Introductory Remarks at the October 8 Open Meeting: Proxy Access Proposal, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Third Quarter
Sep. 25, 2003 Remarks before the Foreign Policy Association, by Chairman William H. Donaldson, New York, NY Chairman
William H. Donaldson
Sep. 22, 2003 Remarks before Government-Business Forum on Small Business Capital Formation, by Commissioner Cynthia A. Glassman, Arlington, VA Commissioner
Cynthia A. Glassman
Sep. 16, 2003 Financial Reform: Relevance and Reality in Financial Reporting, by Commissioner Cynthia A. Glassman, Remarks Before the National Association for Business Economics, Atlanta, GA Commissioner
Cynthia A. Glassman
Sep. 14, 2003 Speech to NASAA Annual Conference, by Chairman William H. Donaldson, Chicago, IL Chairman
William H. Donaldson
Sep. 3, 2003 Obstacles to Good Financial Reporting, by Commissioner Cynthia A. Glassman, Remarks Before American Enterprise Institute, Washington, DC Commissioner
Cynthia A. Glassman
Sep. 2, 2003 Letter to NYSE Regarding NYSE Executive Compensation, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Aug. 6, 2003 Opening Statement before Open Commission Meeting, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Jul. 30, 2003 Remarks to the National Press Club, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Jul. 16, 2003 Remarks Before the Exchequer Club, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Second Quarter
Jun. 26, 2003 Recent Experience With Corporate Governance in the USA, by Commissioner Paul S. Atkins, at the 2nd German Corporate Governance Code Conference, Berlin, Germany
German version
Commissioner
Paul S. Atkins
Jun. 11, 2003 Embracing International Business in the Post-Enron Era, by Commissioner Roel C. Campos, at the Centre for European Policy Studies, Brussels, Belgium Commissioner
Roel C. Campos
Jun. 5, 2003 Remarks Before the New York Financial Writers Association, by Chairman William H. Donaldson, New York, NY Chairman
William H. Donaldson
May 30, 2003 Remarks at Rocky Mountain Securities Conference, by Commissioner Paul S. Atkins, Denver, CO Commissioner
Paul S. Atkins
May 16, 2003 Current Developments at the Securities and Exchange Commission, by Commissioner Cynthia A. Glassman, Remarks Before Women in Housing and Finance, Washington, DC Commissioner
Cynthia A. Glassman
May 15, 2003 Closing Statement at the SEC Hedge Fund Roundtable, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
May 14, 2003 Opening Statement at the SEC Hedge Fund Roundtable, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
May 9, 2003 Private and Public Sector Responses to Corporate Governance Issues, by Commissioner Cynthia A. Glassman, Remarks Before Conference on Bank Structure and Competition, Federal Reserve Bank of Chicago Commissioner
Cynthia A. Glassman
May 8, 2003 Remarks Before the Economic Club of New York, by Chairman William H. Donaldson, New York, NY Chairman
William H. Donaldson
May 7, 2003 Remarks Before the American Enterprise Institute, by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Apr. 28, 2003 Statement Prepared for Delivery at SEC Press Conference Regarding Global Settlement, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Apr. 28, 2003 SEC Statement on Global Settlement Related to Analyst Conflicts of Interest  
Apr. 15, 2003 Statement at Press Briefing to Announce Selection of the Chairman of the Public Company Accounting Oversight Board, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Apr. 11, 2003 Remarks at the Investment Counsel Association of America, by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Apr. 10, 2003 Improving Corporate Disclosure - Improving Shareholder Value, by Commissioner Cynthia A. Glassman, at the 23rd Annual Ray Garrett Jr. Corporate and Securities Law Institute, Northwestern University School of Law, Chicago, IL Commissioner
Cynthia A. Glassman
Apr. 7, 2003 SEC Implementation of Sarbanes-Oxley: The New Corporate Governance, by Commissioner Cynthia A. Glassman, at the National Economists Club, Washington, DC Commissioner
Cynthia A. Glassman
Apr. 7, 2003 Remarks Before The Securities Industry Association, by Commissioner Paul S. Atkins, Orlando, FL Commissioner
Paul S. Atkins
First Quarter
Mar. 27, 2003 Remarks Before the Council of Institutional Investors by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Mar. 26, 2003 Remarks at the Darden Distinguished Speaker Series, by Commissioner Cynthia A. Glassman, University of Virginia, Charlottesville Commissioner
Cynthia A. Glassman
Mar. 26, 2003 Letter to Exchange Officers Regarding SRO Corporate Governance, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Mar. 25, 2003 The Sarbanes-Oxley Act of 2002: Goals, Content, and Status of Implementation, Remarks Before the International Financial Law Review, by Commissioner Paul S. Atkins Commissioner
Paul S. Atkins
Mar. 24, 2003 Remarks at the 2003 Washington Economic Policy Conference, National Association for Business Economics, Washington, DC, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Mar. 17, 2003 Statement at News Conference Announcing Suit against Merrill Lynch and Four Merrill Lynch Executives for Aiding and Abetting Enron Accounting Fraud, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Mar. 12, 2003 Remarks at the Government Affairs Conference of America's Community Bankers, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Feb. 28, 2003 Remarks at the Practising Law Institute - SEC Speaks, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Feb. 28, 2003 Remarks at "The SEC Speaks in 2003," by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Feb. 28, 2003 Remarks at the Practising Law Institute — SEC Speaks, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Feb. 26, 2003 SEC Initiatives Under Sarbanes-Oxley and Gramm-Leach-Bliley, by Commissioner Cynthia A. Glassman, at the ABA Trust, Wealth Management and Marketing Conference, Tampa, FL Commissioner
Cynthia A. Glassman
Feb. 25, 2003 Statement at News Conference Announcing Charges in Qwest Matter, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Feb. 6, 2003 Remarks at Commission Open Meeting, February 6, 2003, by Chairman Harvey L. Pitt, Washington, DC Chairman
Harvey L. Pitt
Feb. 5, 2003 The Sarbanes-Oxley Act of 2002: Goals, Content, and Status of Implementation, by Commissioner Paul S. Atkins, University of Cologne, Germany
German version
Commissioner
Paul S. Atkins
Feb. 4, 2003 Liabilities of German Companies and the Members of their Executive Boards under the Sarbanes-Oxley Act of 2002, by Commissioner Paul S. Atkins, Deutsches Aktieninstitut
German version
Commissioner
Paul S. Atkins
Feb. 4, 2003 Remarks at Commission Open Meeting, February 4, 2003, by Chairman Harvey L. Pitt, Washington, DC Chairman
Harvey L. Pitt
Jan. 29, 2003 Alan B. Levenson Keynote Address, by Chairman Harvey L. Pitt, Securities Regulation Institute, Coronado, CA Chairman
Harvey L. Pitt
Jan. 28, 2003 SEC Initiatives Under the Sarbanes-Oxley Act of 2002, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Jan. 23, 2003 Remarks at Commission Open Meeting, January 23, 2003, by Chairman Harvey L. Pitt, Washington, DC Chairman
Harvey L. Pitt
Jan. 22, 2003 Remarks at Commission Open Meeting, January 22, 2003, by Chairman Harvey L. Pitt, Washington, DC Chairman
Harvey L. Pitt
Jan. 15, 2003 Remarks at Commission Open Meeting, January 15, 2003, by Chairman Harvey L. Pitt, Washington, DC Chairman
Harvey L. Pitt
Jan. 15, 2003 Remarks at Commission Open Meeting, January 15, 2003, by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Jan. 9, 2003 Remarks at Advanced ALI-ABA Course of Study, by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Jan. 8, 2003 Remarks at the Commission Open Meeting, January 8, 2003, by Chairman Harvey L. Pitt, Washington, DC Chairman
Harvey L. Pitt
Jan. 8, 2003 Remarks at Mutual Fund Directors Forum, by Chairman Harvey L. Pitt, Washington, DC Chairman
Harvey L. Pitt

2003 Speeches by Commission Staff

Date Title Author
Fourth Quarter
Dec. 11, 2003 Remarks by at the 2003 Thirty-First AICPA National Conference on Current SEC Developments,Randolph P. Green, Professional Accounting Fellow, Office of the Chief Accountant, Washington, DC Professional Accounting Fellow, Office of the Chief Accountant
Randolph P. Green
Dec. 11, 2003 Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by Robert J. Comerford Professional Accounting Fellow, Office of the Chief Accountant
Robert J. Comerford
Dec. 11, 2003 Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by D. Douglas Alkema Professional Accounting Fellow, Office of the Chief Accountant
D. Douglas Alkema
Dec. 11, 2003 Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by Gregory A. Faucette Professional Accounting Fellow, Office of the Chief Accountant
Gregory A. Faucette
Dec. 11, 2003 Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by Eric Schuppenhauer Professional Accounting Fellow, Office of the Chief Accountant
Eric Schuppenhauer
Dec. 11, 2003 Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by Chad A. Kokenge Professional Accounting Fellow, Office of the Chief Accountant
Chad A. Kokenge
Dec. 11, 2003 Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by John M. James Professional Accounting Fellow, Office of the Chief Accountant
John M. James
Dec. 11, 2003 Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, DC, by Russell P. Hodge Professional Accounting Fellow, Office of the Chief Accountant
Russell P. Hodge
Dec. 11, 2003 Remarks before 2003 Thirty-First AICPA National Conference on Current SEC Developments, by Scott A. Taub Deputy Chief Accountant, Office of the Chief Accountant
Scott A. Taub
Dec. 11, 2003 Remarks before 2003 Thirty-First AICPA National Conference on Current SEC Developments, by Donald T. Nicolaisen Chief Accountant
Donald T. Nicolaisen
Dec. 4, 2003 A Turning Point for America's Mutual Fund Industry, by Paul F. Roye, before the ICI 2003 Securities Law Developments Conference, Washington, DC Paul F. Roye, Director, Division of Investment Management
Dec. 3, 2003 Statement at Open Commission Meeting, by Paul F. Roye, Washington, DC Paul F. Roye, Director, Division of Investment Management
Nov. 20, 2003 Keynote Address before the 21st Annual Advanced ALI-ABA Conference on Life Insurance Company Products, by Paul F. Roye, Washington, DC Paul F. Roye, Director, Division of Investment Management
Oct. 29, 2003 Current Examination and Enforcement Issues: 15th Annual Conference on the Securities Industry, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, New York City, NY Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Oct. 17, 2003 Combating Financial Crime Globally: IOSCO Annual Conference, by Ethiopis Tafara, Director, Office of International Affairs, Seoul, Korea Ethiopis Tafara, Director, Office of International Affairs
Oct. 17, 2003 The National Market System: Fullfilling the Promise: The Securities Traders Association 70th Annual Conference and Business Meeting, by Annette L. Nazareth, Director, Division of Market Regulation, Scottsdale, AZ Annette L. Nazareth, Director, Division of Market Regulation
Oct. 16, 2003 Remarks Before the SIA Research Conference: New York City, by Annette L. Nazareth, Director, Division of Market Regulation, Washington, DC Annette L. Nazareth, Director, Division of Market Regulation
Oct. 16, 2003 Keynote Address at the Ninth Annual Advanced ALI-ABA Course of Study: Investment Management Regulation, by Paul F. Roye, Director, Division of Investment Management, Washington, DC Paul F. Roye, Director, Division of Investment Management
Oct. 9, 2003 Keeping Pace with the Speed of Change for Small Firms: Perspectives from the SEC, Remarks before the Securities Industry Association, Small Firms Conference, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Fort Lauderdale, FL Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Oct. 8, 2003 Remarks Before the Bank Insurance Securities Association, by Catherine McGuire, Chief Counsel, Division of Market Regulation, Washington, DC Catherine McGuire, Chief Counsel, Division of Market Regulation
Third Quarter
Sep. 24, 2003 Strengthening Investor Confidence Through Sound Compliance and Risk Controls, Remarks before the 5th Annual Regulatory Compliance Conference for Financial Institutions, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, Toronto, Canada Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Sep. 9, 2003 Remarks Before The National Regulatory Services Investment Adviser and Broker-Dealer Compliance/Risk Management Conference, by Stephen M. Cutler, Director, Division of Enforcement, Charleston, SC Stephen M. Cutler, Director, Division of Enforcement
Sep. 4, 2003 Remarks To Announce the Filing of Actions Related to Trading Based on Non-Public Information About the Treasury's Decision To Cease Issuance of the 30-Year Bond, by Stephen M. Cutler, Director, Division of Enforcement, New York, NY Stephen M. Cutler, Director, Division of Enforcement
Jul. 23, 2003 Letter Regarding Washington State Bar Association's Proposed Opinion on the Effect of the SEC's Attorney Conduct Rules, by Giovanni P. Prezioso, General Counsel, Washington, DC Giovanni P. Prezioso, General Counsel
Jul. 8, 2003 U.S. Perspective on Accountancy Regulation and Reforms, by Ethiopis Tafara, Acting Director, Office of International Affairs, at the Annual Conference of the Institute of Chartered Accountants in England & Wales, London Ethiopis Tafara, Acting Director, Office of International Affairs
Second Quarter
Jun. 19, 2003 Remarks Before the American Law Institute/American Bar Association, by Paul F. Roye, Director, Division of Investment Management, at the Investment Company Regulation and Compliance Conference, Washington, DC Paul F. Roye, Director, Division of Investment Management
Jun. 17, 2003 Remarks Before the National Association for Variable Annuities, by Paul F. Roye, Director, Division of Investment Management, at the 2003 Regulatory Affairs Conference, Washington, DC Paul F. Roye, Director, Division of Investment Management
Jun. 13, 2003 Remarks Before the Fourth Annual Securities Industry Association Conference on Market Structure, by Annette L. Nazareth, Director, Division of Market Regulation, New York, NY Annette L. Nazareth, Director, Division of Market Regulation
Jun. 12, 2003 Remarks before the American Bar Association's 2003 Conference for Corporate Counsel, by Alan L. Beller, Director, Division of Corporation Finance, Washington, DC Alan L. Beller, Director, Division of Corporation Finance
Jun. 10, 2003 Addressing International Concerns under the Sarbanes-Oxley Act, by Ethiopis Tafara, Acting Director, Office of International Affairs, Remarks before the American Chamber of Commerce in Luxembourg Ethiopis Tafara, Acting Director, Office of International Affairs
Jun. 10, 2003 Remarks at the Vanderbilt Directors College, by Alan L. Beller, Director, Division of Corporation Finance, Nashville, TN Alan L. Beller, Director, Division of Corporation Finance
May 29, 2003 The SEC's Internal Control Report Rules and Thoughts on the Sarbanes-Oxley Act, Remarks Before the University of Southern California Leventhal School of Accounting SEC and Financial Reporting Conference, by Scott A. Taub, Deputy Chief Accountant, Pasadena, CA Scott A. Taub, Deputy Chief Accountant
May 24, 2003 Remarks Before the Brown University Commencement Forum, by Annette L. Nazareth, Director, Division of Market Regulation Annette L. Nazareth, Director, Division of Market Regulation
May 23, 2003 Proactive Initiatives to Protect Mutual Fund Investors, Remarks Before the ICI General Membership Meeting, by Paul F. Roye, Director, Division of Investment Management, Washington, DC Paul F. Roye, Director, Division of Investment Management
May 12, 2003 Mutual Fund Issues of Interest to Defined Contribution Plan Sponsors and Participants, Remarks Before the Institutional Investor Defined Contribution Forum, by Paul F. Roye, Director, Division of Investment Management, Hallandale, FL Paul F. Roye, Director, Division of Investment Management
May 9, 2003 Remarks Before the PLI Conference on International Securities Markets 2003, by Annette L. Nazareth, Director, Division of Market Regulation Annette L. Nazareth, Director, Division of Market Regulation
May 6, 2003 The SEC Examination Perspective, Keynote Address at Glasser Legalworks Broker-Dealer Compliance Conference, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
May 2, 2003 Remarks Before American Bankers Association, Trust Management Association Meeting, by Annette L. Nazareth, Director, Division of Market Regulation Annette L. Nazareth, Director, Division of Market Regulation
May 1, 2003 A Renewed Commitment to Compliance, Remarks Before the Glasser LegalWorks Seventh Annual Investment Advisers Compliance Conference, by Paul F. Roye, Director, Division of Investment Management, New York, NY Paul F. Roye, Director, Division of Investment Management
May 1, 2003 Disaster Recovery and Business Continuity Planning, Remarks Before Financial Markets Association 2003 Compliance Seminar, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
May 1, 2003 Remarks Before Baruch College Conference on Financial Reporting, by Jackson M. Day, Acting Chief Accountant, Office of the Chief Accountant Jackson M. Day, Acting Chief Accountant, Office of the Chief Accountant
May 1, 2003 Regarding Fraud, Insider Trading Charges Relating to Enron's Broadband Subsidiary, Remarks Prepared for Delivery at U.S. Department of Justice Press Conference by Linda Chatman Thomsen, Deputy Director, Division of Enforcement Linda Chatman Thomsen, Deputy Director, Division of Enforcement
Apr. 28, 2003 Compliance Issues for Investment Advisers Today, Remarks at the Investment Counsel Association/IA Week, Investment Adviser Compliance Summit, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Washington, DC Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Apr. 25, 2003 2003 Options Industry Conference, Remarks at the Options Industry Conference by Elizabeth King, Associate Director, Division of Market Regulation Elizabeth King, Associate Director, Division of Market Regulation
Apr. 23, 2003 The Culture of Compliance, Remarks at the Spring Compliance Conference: National Regulatory Services, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Tucson, AZ Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Apr. 10, 2003 Remarks at the Bond Market Association, Corporate Credit Markets, by Alan L. Beller, Director, Division of Corporation Finance, New York, NY Alan L. Beller, Director, Division of Corporation Finance
First Quarter
Mar. 31, 2003 A New Era of Accountability in Fund Regulation, Remarks Before the 2003 Mutual Funds and Investment Management Conference, by Paul F. Roye, Director, Division of Investment Management, Palm Desert, CA Paul F. Roye, Director, Division of Investment Management
Mar. 27, 2003 The Next Phase: Implementing the Patriot Act, Remarks at Securities Industry Association Conference on Anti-Money Laundering Compliance for Broker-Dealers, New York, NY, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Mar. 24, 2003 Remarks at Books and Records Compliance Countdown, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations Washington, DC Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Mar. 17, 2003 Remarks To Announce the Filing of SEC v. Merrill Lynch, et al., by Stephen M. Cutler, Director, Division of Enforcement, Washington, DC Stephen M. Cutler, Director, Division of Enforcement
Feb. 26, 2003 SEC Risk Management and Compliance Examinations, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, 2003 Fiduciary and Investment Risk Management Association, Fiduciary and Risk Management Seminar, Richmond, VA Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Feb. 21, 2003 Remarks at the F. Hodge O'Neal Corporate and Securities Law Symposium, by Stephen M. Cutler, Director, Division of Enforcement, Washington University School of Law, St. Louis, MO Stephen M. Cutler, Director, Division of Enforcement
Jan. 28, 2003 Remarks Before the New York State Society of Certified Public Accountants, by Jackson M. Day, Acting Chief Accountant Jackson M. Day, Acting Chief Accountant

 

http://www.sec.gov/news/speech/speecharchive/2003speech.shtml


Modified: 10/16/2014