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Commission Speeches and Public Statements Archive: 2004

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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2004 Speeches and Statements by the Chairman and Commissioners

Date Title Author
Fourth Quarter
Dec. 22, 2004 Remarks before the Open Meeting: Certain Broker-Dealers Deemed Not To Be Investment Advisers, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Dec. 22, 2004 Remarks before the Open Meeting to Consider Certain Broker-Dealers Deemed Not to be Investment Advisers, by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Dec. 22, 2004 Opening Statements at December 22, 2004, Open Meeting by SEC Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Dec. 15, 2004 Remarks before the Open Meeting to Consider the ABS Final Rule, by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Dec. 15, 2004 Remarks before the Open Meeting to Consider the Reproposal of Regulation NMS, by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Dec. 15, 2004 Remarks before the Open Meeting: Reproposal of Regulation NMS, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Dec. 15, 2004 Opening Statements at December 15, 2004, Open Meeting by SEC Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Dec. 6, 2004 Remarks at the 13th Annual Public Fund Boards Forum, by Commissioner Cynthia A. Glassman, San Francisco, CA Commissioner
Cynthia A. Glassman
Nov. 30, 2004 Remarks before the Caux Round Table, by Chairman William H. Donaldson, Minneapolis, MN Chairman
William H. Donaldson
Nov. 17, 2004 Should Hedge Funds Be Regulated?, by Commissioner Harvey J. Goldschmid, New York, NY Commissioner
Harvey J. Goldschmid
Nov. 9, 2004 Open Meeting Regarding SRO Governance Rule Proposal, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Nov. 8, 2004 Remarks before the Annual Conference of Independent Sector, by Chairman William H. Donaldson, Chicago, IL Chairman
William H. Donaldson
Nov. 5, 2004 Remarks before the Securities Industry Association Annual Meeting, by Chairman William H. Donaldson, Boca Raton, FL Chairman
William H. Donaldson
Nov. 3, 2004 Commission Remembers Milton Cohen  
Oct. 29, 2004 Speech to Detroit Economic Club, by Chairman William H. Donaldson, Detroit, MI Chairman
William H. Donaldson
Oct. 28, 2004 Remarks Before the International Organization of Securities Commissions, by Chairman William H. Donaldson, NY Chairman
William H. Donaldson
Oct. 26, 2004 Open Meeting to Consider Securities Act Reform, by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Oct. 26, 2004 Open Meeting to Consider the Registration of Hedge Fund Advisers, by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Oct. 26, 2004 SEC Open Meeting: Registration under the Advisers Act of Certain Hedge Fund Advisers, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Oct. 26, 2004 SEC Open Meeting: Concluding Remarks: Registration of Hedge Fund Advisers, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Oct. 26, 2004 SEC Open Meeting: Registration of Hedge Fund Advisers, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Oct. 21, 2004 Remarks before the Independent Directors Council, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Oct. 14, 2004 Remarks from the Conference Boardís 2004 Annual Dinner , by Chairman William H. Donaldson, NY Chairman
William H. Donaldson
Oct. 7, 2004 Remarks before the Securities Traders Association, by Commissioner Paul S. Atkins, Boca Raton, FL Commissioner
Paul S. Atkins
Oct. 1, 2004 Remarks at the XIXth Conference on Financial Markets and Control Systems, by Commissioner Cynthia A. Glassman, Courmayeur-Mont Blanc, Italy Commissioner
Cynthia A. Glassman
Third Quarter
Sep. 28, 2004 Remarks before the Council of Institutional Investors, by Commissioner Cynthia A. Glassman, Boston, MA Commissioner
Cynthia A. Glassman
Sep. 27, 2004 Remarks before Financial Services Leadership Forum, by Chairman William H. Donaldson, New York City, NY Chairman
William H. Donaldson
Sep. 24, 2004 The SEC at 70: Let's Celebrate its Reinvigorated Golden Years, by Commissioner Harvey J. Goldschmid, South Bend, IN Commissioner
Harvey J. Goldschmid
Sep. 17, 2004 The Global Marketplace and a Regulatory Overview, by Commissioner Roel C. Campos, Amsterdam, Netherlands Commissioner
Roel C. Campos
Aug. 18, 2004 Closing Statement at August 18, 2004 Open Commission Meeting, Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Aug. 18, 2004 Opening Statement on Portfolio Manager Disclosure at August 18, 2004 Open Commission Meeting, Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Aug. 18, 2004 Opening Statement on Final Amendments to Rule 12b-1 at August 18, 2004 Open Commission Meeting, Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Jul. 14, 2004 Statement at July 14, 2004, Open Meeting, by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Jul. 14, 2004 Statement at July 14, 2004, Open Meeting, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Jul. 14, 2004 Closing Statement at July 14, 2004, Open Meeting, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Jul. 14, 2004 Opening Statement at July 14, 2004, Open Meeting, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Second Quarter
Jun. 23, 2004 Statement Regarding Investment Company Governance Proposal, by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Jun. 23, 2004 Statement Regarding Investment Company Governance Proposal, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Jun. 20, 2004 Remarks from Directors College at Stanford University Law School, by Chairman William H. Donaldson, Stanford, CA Chairman
William H. Donaldson
Jun. 18, 2004 The SEC's Role as Functional Regulator of Bank Securities Activities, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Jun. 14, 2004 Remarks before the National Association for Variable Annuities, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
June 2, 2004 Opening Statement at June 2, 2004, Open Meeting, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
June 1, 2004 Baruch College Commencement, by Chairman William H. Donaldson, New York, NY Chairman
William H. Donaldson
May 26, 2004 Opening Statement at May 26, 2004, Open Meeting, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
May 12, 2004 Remarks to the National Association of Securities Dealers, by Chairman William H. Donaldson Chairman
William H. Donaldson
Apr. 28, 2004 Opening Statement at April 28, 2004, Open Meeting, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Apr. 22, 2004 Remarks Before the Investment Counsel Association of America , by Chairman William H. Donaldson, Palm Beach, FL Chairman
William H. Donaldson
Apr. 21, 2004 Opening Remarks at Hearing on Regulation NMS, by Chairman William H. Donaldson, New York, NY Chairman
William H. Donaldson
Apr. 13, 2004 Introductory Remarks at April 13, 2004 Open Meeting, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
First Quarter
Mar. 25, 2004 Remarks to the Council of Institutional Investors, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Mar. 23, 2004 Remarks at the SIA Compliance & Legal Division's 35th Annual Seminar, by Commissioner Cynthia A. Glassman, Phoenix, AZ Commissioner
Cynthia A. Glassman
Mar. 10, 2004 Opening Remarks at the Security Holder Director Nominations Roundtable, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Mar. 8, 2004 American Enterprise Institute — Issues Surrounding The SEC's Shareholder Access Proposal, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Mar. 5, 2004 Practising Law Institute — My Top 10 Observations as an SEC Commissioner, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Mar. 5, 2004 Remarks to the Practising Law Institute, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Mar. 4, 2004 Women's Syndicate Association — What Were They Thinking? Observations of an SEC Commissioner, by Commissioner Cynthia A. Glassman, New York, NY Commissioner
Cynthia A. Glassman
Mar. 2, 2004 Remarks Before the ABA Section of Business Law – 5th Annual Conference on Private Investment Funds, by Commissioner Paul S. Atkins, London, England Commissioner
Paul S. Atkins
Mar. 1, 2004 Remarks at the Annual Conference Institute of International Bankers, by Commissioner Cynthia A. Glassman, Washington, DC Commissioner
Cynthia A. Glassman
Feb. 25, 2004 Mandatory Redemption Fees — Opening Statement at Open Meeting, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Feb. 24, 2004 Remarks for Open Meeting on NMS Rule Proposal, by Commissioner Paul S. Atkins, Washington, DC Commissioner
Paul S. Atkins
Feb. 24, 2004 Regulation NMS Proposal — Opening Statement at Open Meeting, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Feb. 20, 2004 Board Independence and the Evolving Role of Directors — 26th Annual Conference on Securities Regulation and Business Law Problems, by Commissioner Cynthia A. Glassman, Dallas, TX Commissioner
Cynthia A. Glassman
Feb. 17, 2004 Remarks at the Eighth Annual Conference on The Practical Implications of SEC Regulation Outside the United States, by Commissioner Cynthia A. Glassman, London, England Commissioner
Cynthia A. Glassman
Feb. 11, 2004 Introductory Statement at February 11, 2004, Open Meeting, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Feb. 3, 2004 Legal & Compliance Conference – The Bond Market Association, by Commissioner Cynthia A. Glassman, New York, NY Commissioner
Cynthia A. Glassman
Jan. 14, 2004 Opening Statement at SEC Open Meeting, by Chairman William H. Donaldson, Washington, DC Chairman
William H. Donaldson
Jan. 7, 2004 America's Need for Vigilant Mutual Fund Directors, by Chairman William H. Donaldson, before the Mutual Fund Directors Forum Chairman
William H. Donaldson

2004 Speeches and Statements by Commission Staff

Date Title Author
Fourth Quarter
Dec. 22, 2004 Opening Statement at December 22, 2004, Open Meeting, by Paul F. Roye, Director, Division of Investment Management, Washington, DC Paul F. Roye, Director, Division of Investment Management
Dec. 16, 2004 Second MTS Conference on Financial Markets: "The Organization and Performance of Fixed-Income Markets", by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Vienna Chester Spatt, Chief Economist and Director, Office of Economic Analysis
Dec. 9, 2004 Remarks before the Fund Governance Program Presented by the Mutual Fund Directors Forum and Fund Directions, by Paul F. Roye, Director, Division of Investment Management, New York, NY Paul F. Roye, Director, Division of Investment Management
Dec. 6, 2004 2004 Thirty-Second AICPA National Conference on Current SEC and PCAOB Developments, by Todd E. Hardiman, Associate Chief Accountant, Division of Corporation Finance, Washington, D.C. Todd E. Hardiman, Associate Chief Accountant, Division of Corporation Finance
Dec. 6, 2004 2004 Thirty-Second AICPA National Conference on Current SEC and PCAOB Developments, by Joel Levine, Associate Chief Accountant, Division of Corporation Finance, Washington, D.C. Joel Levine, Associate Chief Accountant, Division of Corporation Finance
Dec. 6, 2004 2004 Thirty-Second AICPA National Conference on Current SEC and PCAOB Developments, by Louise M. Dorsey, Associate Chief Accountant; Stephanie L. Hunsaker, Assistant Chief Accountant, Washington, D.C. Louise M. Dorsey, Associate Chief Accountant; Stephanie L. Hunsaker, Assistant Chief Accountant
Dec. 6, 2004 Remarks Before the PLI Fourth Annual Institute on Securities Regulation in Europe, by Alan L. Beller, Director, Division of Corporation Finance, London, England Alan L. Beller, Director, Division of Corporation Finance
Dec. 6, 2004 Remarks before the ICI 2004 Securities Law Developments Conference, by Paul F. Roye, Director, Division of Investment Management, Washington, DC Paul F. Roye, Director, Division of Investment Management
Dec. 6, 2004 Remarks before the 2004 AICPA National Conference on Current SEC and PCAOB Developments, by John M. James, Professional Accounting Fellow, Washington, DC John M. James, Professional Accounting Fellow
Dec. 6, 2004 Remarks before the 2004 AICPA National Conference on Current SEC and PCAOB Developments, by Russell P. Hodge, Professional Accounting Fellow, Washington, DC Russell P. Hodge, Professional Accounting Fellow
Dec. 6, 2004 Remarks before the 2004 AICPA National Conference on Current SEC and PCAOB Developments, by Andrew D. Bailey, Jr., Deputy Chief Accountant, Washington, DC Andrew D. Bailey, Jr., Deputy Chief Accountant
Dec. 6, 2004 Remarks before the 2004 AICPA National Conference on Current SEC and PCAOB Developments, by Edmund W. Bailey, Senior Assistant Chief Accountant, Washington, DC Edmund W. Bailey, Senior Assistant Chief Accountant
Dec. 6, 2004 Remarks before the 2004 AICPA National Conference on Current SEC and PCAOB Developments, by Jane D. Poulin, Associate Chief Accountant, Washington, DC Jane D. Poulin, Associate Chief Accountant
Dec. 6, 2004 Remarks before the 2004 AICPA National Conference on Current SEC and PCAOB Developments, by Chad A. Kokenge, Professional Accounting Fellow, Washington, DC Chad A. Kokenge, Professional Accounting Fellow
Dec. 6, 2004 Remarks before the 2004 AICPA National Conference on Current SEC and PCAOB Developments, by Robert J. Comerford, Professional Accounting Fellow, Washington, DC Robert J. Comerford, Professional Accounting Fellow
Dec. 6, 2004 Remarks before the 2004 AICPA National Conference on Current SEC and PCAOB Developments, by G. Anthony Lopez, Associate Chief Accountant, Washington, DC G. Anthony Lopez, Associate Chief Accountant
Dec. 6, 2004 Remarks before the 2004 AICPA National Conference on Current SEC and PCAOB Developments, by Julie A. Erhardt, Deputy Chief Accountant, Washington, DC Julie A. Erhardt, Deputy Chief Accountant
Dec. 6, 2004 Remarks before the 2004 AICPA National Conference on Current SEC and PCAOB Developments, by Scott A. Taub, Deputy Chief Accountant, Washington, DC Scott A. Taub, Deputy Chief Accountant
Dec. 6, 2004 Remarks before the 2004 AICPA National Conference on Current SEC and PCAOB Developments, by Donald T. Nicolaisen, Chief Accountant, Washington, DC Donald T. Nicolaisen, Chief Accountant
Dec. 6, 2004 Remarks before the 2004 Investment Company Institute Securities Law Developments Conference, by Stephen M. Cutler, Director, Division of Enforcement, Washington, DC Stephen M. Cutler, Director, Division of Enforcement
Dec. 3, 2004 Second Annual General Counsel Roundtable: Tone at the Top: Getting it Right, by Stephen M. Cutler, Director, Division of Enforcement, Washington, DC Stephen M. Cutler, Director, Division of Enforcement
Dec. 3, 2004 Executive Compensation and Contracting, by Chester Spatt, Chief Economist and Director, Office of Economic Analysis, Columbus, OH Chester Spatt, Chief Economist and Director, Office of Economic Analysis
Nov. 30, 2004 General Session Speaker at the SIA Hedge Funds Conference: New Regulation: Weighing the Impact, by Paul F. Roye, Director, Division Of Investment Management, New York, NY Paul F. Roye, Director, Division of Investment Management
Nov. 9, 2004 Annual Conference on Capital Management of the Risk Management Association and Professional Risk Managers' International Association, by Ethiopis Tafara, Director, Director of the Office of International Affairs, New York, NY Ethiopis Tafara, Director of the Office of International Affairs
Nov. 5, 2004 Remarks before the ALI-ABA Variable Insurance Products Conference, by Catherine McGuir, Chief Counsel, Division of Market Regulation, Washington, DC Catherine McGuir, Chief Counsel, Division of Market Regulation
Nov. 4, 2004 Keynote Address at the 22nd Annual Advanced ALI-ABA Conference on Life Insurance Company Products, by Paul F. Roye, Director, Division Of Investment Management, Washington, DC Paul F. Roye, Director, Division of Investment Management
Oct. 28, 2004 Keynote Address at the Tenth 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. 28, 2004 Remarks before the National Society of Compliance Professionals 2004 National Membership Meeting, by Lori Richards, Director, Office of Compliance Inspections and Examinations, Washington, DC Lori Richards, Director, Office of Compliance Inspections and Examinations
Oct. 26, 2004 Considering Registration Under the Investment Advisers Act of Certain Hedge Fund Advisers, by Paul F. Roye, Director, Division Of Investment Management, Washington, DC Paul F. Roye, Director, Division of Investment Management
Oct. 20, 2004 Remarks Before Conference of the NASPP, The Corporate Counsel and the Corporate Executive, by Alan L. Beller, Director, Division of Corporation Finance, San Francisco, CA Director, Division of Corporation Finance
Alan L. Beller
Oct. 13, 2004 Financial Services Institute: First Annual Public Policy Day, An Update on the SEC's Examination Program, by Lori Richards, Director, Office of Compliance Inspections and Examinations, Washington, DC Lori Richards, Director, Office of Compliance Inspections and Examinations
Oct. 8, 2004 Remarks before the STA 71st Annual Conference, by Annette L. Nazareth, Director, Division of Market Regulation, Boca Raton, FL Annette L. Nazareth, Director, Division of Market Regulation
Oct. 7, 2004 Keynote Speech at 11th Annual Midwestern Financial Reporting Symposium, by Donald T. Nicolaisen, Chief Accountant, Chicago, IL Donald T. Nicolaisen, Chief Accountant
Oct. 1, 2004 Keynote Address before the NASD Conference on Fixed Income Markets, by Annette L. Nazareth, Director, Division of Market Regulation, New York City, NY Annette L. Nazareth, Director, Division of Market Regulation
Third Quarter
Sep. 28, 2004 Remarks before the IASB Meeting with World Standard-setters, by Donald T. Nicolaisen, Chief Accountant, London, England Donald T. Nicolaisen, Chief Accountant
Sep. 28, 2004 Remarks at the FSA Asset Management: Risk, Opportunity and Regulation Conference, by Susan Nash, Associate Director, Division of Investment Management, London, England Susan Nash, Associate Director, Division of Investment Management
Sep. 23, 2004 Remarks before the Vanderbilt Director's College, by Giovanni P. Prezioso, General Counsel, Nashville, TN Giovanni P. Prezioso, General Counsel
Sep. 23, 2004 Remarks before the ICI Equity Markets Conference, by Annette L. Nazareth, Director, Division of Market Regulation, New York City, NY Annette L. Nazareth, Director, Division of Market Regulation
Sep. 21, 2004 Remarks befor the World Economic Forum Industry Agenda Meeting Regarding Finance, by Ethiopis Tafara, Director, Office of International Affairs, New York City, NY Ethiopis Tafara, Director, Office of International Affairs
Sep. 20, 2004 The Themes of Sarbanes-Oxley as Reflected in the Commission's Enforcement Program, by Stephen M. Cutler, Director, Division of Enforcement, UCLA School of Law, Los Angeles, CA Stephen M. Cutler, Director, Division of Enforcement
Sep. 15, 2004 The Enhanced Focus on Risk and Controls: 6th Annual Financial Institutions Regulatory Compliance Summit, 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. 14, 2004 Succeeding in the New Regulatory Environment, Remarks Before the Hedge Fund Best Practices Seminar, New York, NY Cynthia M. Fornelli, Deputy Director, Division of Investment Management
Sep. 14, 2004 Current Developments in the Office of the Chief Accountant, Foundation for Accounting Education, Remarks before the New York State CPA Society, by Donald T. Nicolaisen, Chief Accountant Donald T. Nicolaisen, Chief Accountant
Sep. 13, 2004 Regulation of Investment Advisers: The View from Washington, Remarks before the IA Week's 4th Annual Fall Compliance Conference, by Cynthia M. Fornelli, Deputy Director, Division of Investment Management, Philadelphia, PA Cynthia M. Fornelli, Deputy Director, Division of Investment Management
Aug. 26, 2004 Press Statement on PCAOB Inspection Reports, by Donald T. Nicolaisen, Chief Accountant, Washington, DC Donald T. Nicolaisen, Chief Accountant
Aug. 10, 2004 American Accounting Association: 2004 Annual Meeting: The Future of Standards Setting for Public Companies, by Donald T. Nicolaisen, Chief Accountant, Orlando, FL Donald T. Nicolaisen, Chief Accountant
Jul. 27, 2004 Statement at Press Conference Announcing Civil Fraud Action Against Michael Resnick, Mark P. Kaiser, Timothy J. Lee and William Carter, by Linda Chatman Thomsen, Deputy Director, SEC Division of Enforcement, New York Linda Chatman Thomsen, Deputy Director, SEC Division of Enforcement
Jul. 14, 2004 Opening remarks at the PCAOB Auditor Independence Roundtable on Tax Services, by Donald T. Nicolaisen, Chief Accountant, Washington, DC Donald T. Nicolaisen, Chief Accountant
Jul. 14, 2004 Statement at Open Commission Meeting Considering Registration Under the Advisers Act of Certain Hedge Fund Advisers, Washington, DC Paul F. Roye, Director, Division of Investment Management
Jul. 13, 2004 Keynote Address at NASD Branch Office Supervision Conference, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, Boston, MA Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Jul. 10, 2004 Remarks at the 58th National Conference of the American Society of Corporate Secretaries, by Alan L. Beller, Director, Division of Corporation Finance, Boston, MA Director, Division of Corporation Finance
Alan L. Beller
Jul. 8, 2004 Statement at Press Conference Announcing Actions Against Kenneth Lay, by Linda Chatman Thomsen, Deputy Director, Division of Enforcement, Washington, DC Linda Chatman Thomsen, Deputy Director, Division of Enforcement
Jul. 7-8, 2004 Remarks Presented at the IMF Conference on Cross-Border Cooperation and Information Exchange, by Ethiopis Tafara, Director, Office of International Affairs, Washington, DC Ethiopis Tafara, Director, Office of International Affairs
Second Quarter
Jun. 30, 2004 The New Compliance Rule: An Opportunity for Change, Remarks before Investment Company Institute/Independent Directors Council, Mutual Fund Compliance Programs Conference, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Washington, DC Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Jun. 24, 2004 Open Roundtable Discussion with Respondents to the FASB Exposure Draft, Share-Based Payment, by Donald T. Nicolaisen, Chief Accountant, Financial Accounting Standards Board, Palo Alto, CA Donald T. Nicolaisen, Chief Accountant
Jun. 18, 2004 An Overview of Proposed Regulation B, presented at "A Conference on the SECís Bank Broker-Dealer Rule" sponsored by The Morin Center for Banking and Financial Law of Boston University School of Law, by Catherine McGuire, Chief Counsel and Associate Director, Division of Market Regulation, Washington, DC Catherine McGuire, Chief Counsel and Associate Director, Division of Market Regulation
Jun. 15, 2004 Remarks before NAVA's 2004 Regulatory Affairs Conference, 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
Jun. 14, 2004 Remarks Before the NAVA Regulatory Affairs Conference, by Paul F. Roye, Director, Division of Investment Management, Washington, DC Paul F. Roye, Director, Division of Investment Management
Jun. 8, 2004 Remarks at the Annual Meeting of the American Securitization Forum, by Alan L. Beller, Director, Division of Corporation Finance, New York, NY Director, Division of Corporation Finance
Alan L. Beller
Jun. 3, 2004 Remarks before the Public Hearing on the IASC Constitution Review, by Donald T. Nicolaisen, Chief Accountant, Baruch College, NY Donald T. Nicolaisen, Baruch College, N.Y.
Jun. 3, 2004 Remarks before the American Bar Association, Section of Business Law, General Counsel Forum, by Giovanni P. Prezioso, General Counsel, Washington, DC Giovanni P. Prezioso, General Counsel
May 27, 2004 Remarks at the University of Southern California, Leventhal School of Accounting, by Scott A. Taub, Deputy Chief Accountant, Office of the Chief Accountant, United States Securities and Exchange Commission, Los Angeles, CA Scott A. Taub, Deputy Chief Accountant, Office of the Chief Accountant
May 21, 2004 Remarks before the SIA Market Structure Conference, by Annette L. Nazareth, Director, Division of Market Regulation, New York Annette L. Nazareth, Director, Division of Market Regulation
May 20, 2004 Remarks at the International Convergence and Public Oversight of Accounting and Auditing Standards, by Scott A. Taub, Deputy Chief Accountant, Office of the Chief Accountant, United States Securities and Exchange Commission, Chair, IOSCO Standing Committee No. 1, via video conference to Amman, Jordan Scott A. Taub, Deputy Chief Accountant, Office of the Chief Accountant
May 20, 2004 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 18, 2004 Alan B. Levenson Memorial Lecture, by Alan L. Beller, Director, Division of Corporation Finance, Remarks at Glasser LegalWorks: 6th Annual SEC Disclosure, Accounting & Enforcement Conference in New York, NY Director, Division of Corporation Finance
Alan L. Beller
May 14, 2004 Remarks at the University of Southern California, Leventhal School of Accounting, by Donald T. Nicolaisen, Chief Accountant, Washington, DC Donald T. Nicolaisen, Chief Accountant
Apr. 29, 2004 24th Annual Ray Garrett Jr. Corporate & Securities Law Institute, by Stephen M. Cutler, Director, Division of Enforcement, Chicago, Illinois Stephen M. Cutler, Director, Division of Enforcement
Apr. 28, 2004 Remarks before the Financial Markets Association 2004 Securities Compliance Seminar – Assuring Comprehensive Compliance; Managing Compliance Risks, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Apr. 23, 2004 Options Industry Conference – SEC Report, by Annette L. Nazareth, Director, Division of Market Regulation Annette L. Nazareth, Director, Division of Market Regulation
April 20, 2004 Regulation in a Global Environment, by Alan L. Beller, Director, Division of Corporation Finance, Remarks at American Academy in Berlin, Germany Director, Division of Corporation Finance
Alan L. Beller
Apr. 15, 2004 Remarks Before the Panamanian Securities Regulatory Community and Industry, by Ethiopis Tafara, Director, Office Of International Affairs, Panama Ethiopis Tafara, Director, Office Of International Affairs
Apr. 14, 2004 "The Need for More Proactive Risk Assessment" NRS Annual Spring Compliance Conference, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Apr. 13, 2004 Open Commission Meeting: Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings, by Paul F. Roye, Division of Investment Management, Washington, DC Paul F. Roye, Director, Division of Investment Management
Apr. 3, 2004 Remarks before the American Bar Association Section of Business Law 2004 Spring Meeting, by Giovanni P. Prezioso, General Counsel, Seattle, WA Giovanni P. Prezioso, General Counsel
Apr. 2, 2004 Remarks Before the 2004 New Directors Workshop: Mutual Fund Scandals: Lessons for Fund Directors, by Paul F. Roye, Division of Investment Management, Washington, DC Paul F. Roye, Director, Division of Investment Management
First Quarter
Mar. 22, 2004 Integrity and Accountability: The New Imperatives for the Mutual Fund Industry, by Paul F. Roye, Division of Investment Management, Palm Desert, CA Paul F. Roye, Director, Division of Investment Management
Mar. 15, 2004 Put The Compliance Rule To Work: IA Compliance Best Practices Summit, by Lori A. Richards, Office of Compliance Inspections and Examinations, Washington, DC Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Feb. 25, 2004 Mandatory Redemption Fees — Opening Statement at Open Meeting, by Paul F. Roye, Division of Investment Management, Washington, DC Paul F. Roye, Director, Division of Investment Management
Feb. 23, 2004 Remarks before the National Investment Company Service Association 22nd Annual Conference & Expo, by Paul F. Roye, Division of Investment Management, Miami, FL Paul F. Roye, Director, Division of Investment Management
Feb. 19, 2004 Statement Regarding SEC Action Against Ex-Enron Officer Jeffrey K. Skilling, by Stephen M. Cutler, Director, Division of Enforcement, Washington, DC Stephen M. Cutler, Director, Division of Enforcement
Feb. 11, 2004 Remarks at the Tax Council Institute Conference on The Corporate Tax Practice: Responding to the New Challenges of a Changing Landscape, Donald T. Nicolaisen, Washington, DC Donald T. Nicolaisen, Chief Accountant
Feb. 11, 2004 Remarks Before the District of Columbia Bar Association, by Stephen M. Cutler, Director, Division of Enforcement, Washington, DC Stephen M. Cutler, Director, Division of Enforcement
Feb. 10, 2004 International Securities Settlement Conference — "The U.S. view of the role of regulation in market efficiency", by Larry E. Bergmann, Sr. Associate Director, Division of Market Regulation, London, England Larry E. Bergmann, Sr. Associate Director, Division of Market Regulation
Feb. 4, 2004 The Vital Role of Effective Comprehensive Compliance Controls at Broker-Dealers – Remarks before The Bond Market Association's Ninth Annual Legal and Compliance, by Mary Ann Gadziala, Director, Associate Director, Office of Compliance Inspections and Examinations, New York, NY Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations
Feb. 2, 2003 Remarks before the The Bond Market Association's 2004 Ninth Legal and Compliance Conference, by Giovanni Prezioso, General Counsel, New York, NY Giovanni P. Prezioso, General Counsel
Jan. 27, 2004 The SEC's Experience in the Development of an Integrated Securities Market in the United States – 2nd Annual European Financial Services Conference, by Ethiopis Tafara, Director, Office of International Affairs, Brussels, Belgium Ethiopis Tafara, Director, Office of International Affairs
Jan. 27, 2004 Remarks before the Understanding Securities Products of Insurance Companies – 2004 Conference, by Paul F. Roye, Director, Division of Investment Management, New York, NY Paul F. Roye, Director, Division of Investment Management
Jan. 14, 2004 Press Statement Regarding Settlement in SEC v. Andrew S. Fastow, by Linda C. Thomsen, Deputy Director, Division of Enforcement, Washington, DC Linda C. Thomsen, Deputy Director, Division of Enforcement
Jan. 14, 2004 Statement at the SEC Open Meeting, by Paul F. Roye, Washington, DC Paul F. Roye, Director, Division of Investment Management
Jan. 14, 2004 Statement at the SEC Open Meeting, by Annette L. Nazareth, Washington, DC Annette L. Nazareth, Director, Division of Market Regulation
Jan. 8, 2004 Enhancing the Fund Director's Tool Box, by Paul F. Roye, before the Fourth Annual Policy Conference Critical Issues for Investment Company Directors, Mutual Fund Directors Forum, Washington, DC Paul F. Roye, Director, Division of Investment Management

 

http://www.sec.gov/news/speech/speecharchive/2004speech.shtml


Modified: 10/10/2007