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Commission Speeches and Public Statements Archive: 2006
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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2006 Speeches and Statements by the Chairman and
Commissioners
| Date |
Title |
Author |
| Fourth Quarter |
| Dec. 13, 2006 |
Opening Statements at the SEC Open Meeting, Washington, D.C. |
Chairman
Christopher Cox |
| Dec. 13, 2006 |
Rule to Prohibit Fraud by Investment Advisers to Certain Pooled Investment Vehicles; Rule to Revise Criteria for Accredited Investors in Certain Private Investment Vehicles, SEC Open Meeting, Washington, D.C. |
Commissioner
Roel C. Campos |
| Dec. 13, 2006 |
Statement at the SEC Open Meeting Regarding Proposed Regulation R, Washington, D.C. |
Commissioner
Roel C. Campos |
| Dec. 13, 2006 |
Foreign Private Issuer Deregistration, SEC Open Meeting, Washington, D.C. |
Commissioner
Roel C. Campos |
| Dec. 13, 2006 |
Internet Availability of Proxy Materials, SEC Open Meeting, Washington, D.C. |
Commissioner
Roel C. Campos |
| Dec. 13, 2006 |
Section 404: Proposed Management Guidance, SEC Open Meeting, Washington, D.C. |
Commissioner
Roel C. Campos |
| Dec. 5, 2006 |
The Promise of Interactive Data, Philadelphia, Pennsylvania |
Chairman
Christopher Cox |
| Dec. 4, 2006 |
Remarks Before the SEC Open Meeting on the 2007 PCAOB Budget, Washington, D.C. |
Commissioner
Roel C. Campos |
| Dec. 4, 2006 |
Opening Statement on Eliminating the Short Sale 'Tick Test', Washington, D.C. |
Chairman
Christopher Cox |
| Dec. 4, 2006 |
Opening Statement on Proposed Amendments to Rule 105 of Regulation M under the Exchange Act, Washington, D.C. |
Chairman
Christopher Cox |
| Dec. 4, 2006 |
Opening Statement on the PCAOB Budget at the Commission Open Meeting, Washington, D.C. |
Chairman
Christopher Cox |
| Dec. 1, 2006 |
Remarks Before the Consumer Federation of America Financial Services Conference, Washington, D.C. |
Commissioner
Roel C. Campos |
| Dec. 1, 2006 |
Remarks Before the ABA Committee On Federal Regulation Of Securities, Washington, D.C. |
Commissioner
Annette L. Nazareth |
| Nov. 28, 2006 |
Statement at News Conference Announcing NYSE-NASD Regulatory Merger, Washington, D.C. |
Chairman
Christopher Cox |
| Nov. 16, 2006 |
'The Hunters and the Stag': Why National Securities Regulators Must Collaborate In the Era of Global Investing, Keynote Address to the International Organization of Securities Commissioners Technical Committee Conference, London, England |
Chairman
Christopher Cox |
| Nov. 15, 2006 |
Message from the Chairman in SEC 2006 Performance and Accountability Report |
Chairman
Christopher Cox |
| Nov. 13, 2006 |
Remarks Before the SIA Compliance and Legal Division Fall Compliance Seminar,
New York, N.Y. |
Commissioner
Annette L. Nazareth |
| Nov. 10, 2006 |
Remarks Before the Brooklyn Law School Symposium On The Structure Of Securities Markets, Brooklyn, N.Y. |
Commissioner
Annette L. Nazareth |
| Nov. 10, 2006 |
Remarks to the Securities Industry and Financial Markets Association, Boca Raton, Florida |
Chairman
Christopher Cox |
| Nov. 9, 2006 |
Remarks Before PLI's 38th Annual Institute on Securities Regulation, New York, New York |
Commissioner
Annette L. Nazareth |
| Nov. 7, 2006 |
Remarks Before the American Electronics Association Classic Financial Conference, Monterey, California |
Commissioner
Paul S. Atkins |
| Nov. 1, 2006 |
Acceptance Speech of Judge Urbina Lifetime Award, Washington, D.C. |
Commissioner
Roel C. Campos |
| Oct. 27, 2006 |
Remarks Before the Portland Directors Institute, Lewis & Clark Law School, Portland, Oregon |
Commissioner
Paul S. Atkins |
| Oct. 24, 2006 |
Remarks Before the Securities Industry Association Options Market Structure Conference, New York, New York |
Commissioner
Annette L. Nazareth |
| Oct. 23, 2006 |
Remarks Before the UCLA Law Third Annual Institute on Corporate Aspects of Mergers and Acquisitions, New York, New York |
Commissioner
Annette L. Nazareth |
| Oct. 20, 2006 |
Giving Investors the Information They Need, In a Form They Can Use, Los Angeles, California |
Chairman
Christopher Cox |
| Oct. 20, 2006 |
Remarks at Vanderbilt University, Nashville, Tennessee |
Commissioner
Paul S. Atkins |
| Oct. 19, 2006 |
Remarks Before the Willamette Securities Regulation Institute, Salem, Oregon |
Commissioner
Roel C. Campos |
| Oct. 18, 2006 |
Opening Statement at the Commission Open Meeting, Washington, D.C. |
Chairman
Christopher Cox |
| Oct. 13, 2006 |
Remarks Before the STA Annual Conference, Scottsdale, Arizona |
Commissioner
Annette L. Nazareth |
| Oct. 12, 2006 |
Remarks Before the ALI-ABA Sarbanes-Oxley Institute, Washington, D.C. |
Commissioner
Annette L. Nazareth |
| Third Quarter |
| Sep. 29, 2006 |
Remarks Before the Institute of European Affairs, Dublin, Ireland |
Commissioner
Paul S. Atkins |
| Sep. 29, 2006 |
Speech to the SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. |
Chairman
Christopher Cox
|
| Sep. 28, 2006 |
Remarks Before the ABA National Institute on Securities Fraud, Washington, D.C. |
Commissioner
Annette L. Nazareth |
| Sep. 27, 2006 |
Remarks Before AMCHAM EU, Brussels, Belgium |
Commissioner
Paul S. Atkins |
| Sep. 25, 2006 |
Remarks Before the IA Week Sixth Annual Fall Conference, New York, New York |
Commissioner
Annette L. Nazareth |
| Sep. 21, 2006 |
A Conversation with Roel Campos, United States Hispanic Chamber of Commerce 27th Annual National Convention & Business Expo, Philadelphia, Pennsylvania |
Commissioner
Roel C. Campos |
| Sep. 21, 2006 |
Remarks Before the Federalist Society, Washington, D.C. |
Commissioner Paul S. Atkins |
| Sep. 21, 2006 |
Gramm-Leach-Bliley Seven Years Later, Financial Services Roundtable 2006 Fall Conference Leadership Lunch, Washington, D.C. |
Chairman
Christopher Cox |
| Sep. 14, 2006 |
Introductory Remarks to the 30th Annual Southwest Regional Enforcement Conference, Fort Worth, Texas |
Chairman
Christopher Cox |
| Sep. 13, 2006 |
Remarks before the Coping with Broker-Dealer Regulation Seminar, Practising Law Institute, New York, New York |
Commissioner
Paul S. Atkins |
| Sep. 13, 2006 |
Remarks Before the Financial Services Institute 3rd Annual Public Policy Day, Arlington, Virginia |
Commissioner
Annette L. Nazareth |
| Sep. 5, 2006 |
The Current Role of Capital Market Regulation, CVM's 30th Anniversary: Assessing the Present, Conceiving the Future, Rio De Janiero, Brazil |
Commissioner
Roel C. Campos |
| Aug. 15, 2006 |
How to be an Effective Board Member, HACR Program on Corporate Responsibility, Boston, Mass. |
Commissioner
Roel C. Campos |
| Aug. 11, 2006 |
Remarks at the New America Alliance Conference, Santa Ana Pueblo, New Mexico |
Commissioner
Roel C. Campos |
| Aug. 3, 2006 |
Remarks before the CFP Board Program Directors Conference, Santa Monica, California |
Commissioner
Roel C. Campos |
| Jul. 31, 2006 |
Remarks at the Teachers' Retirement System of the State of Illinois Opportunity Forum, Chicago, Illinois |
Commissioner
Roel C. Campos |
| Jul. 26, 2006 |
Remarks at the SEC Open Meeting, Washington, D.C. |
Commissioner
Roel C. Campos |
| Jul. 26, 2006 |
Remarks at the SEC Open Meeting, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Jul. 26, 2006 |
Introductory Remarks at the SEC Open Meeting, Washington, D.C. |
Chairman
Christopher Cox |
| Jul. 20, 2006 |
Remarks at Press Conference on Actions Against Brocade Communications Systems, San Francisco, Calif. |
Chairman
Christopher Cox |
| Jul. 17, 2006 |
Opening Statement at the Seniors Summit, Washington, D.C. |
Chairman
Christopher Cox |
| Jul. 12, 2006 |
Statement on Soft Dollar Interpretation, Washington, D.C. |
Commissioner
Roel C. Campos |
| Jul. 12, 2006 |
Opening Statements at the Commission Open Meeting, Washington, D.C. |
Chairman
Christopher Cox |
| Jul. 12, 2006 |
Remarks on Proposed Amendments to Reg SHO, Washington, D.C. |
Commissioner
Roel C. Campos |
| Jul. 12, 2006 |
Videotaped Remarks at The Other Russia Conference, Moscow, Russia
(Russian translation) |
Chairman
Christopher Cox |
| Jul. 6, 2006 |
Remarks Before the International Corporate Governance Network 11th Annual Conference, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Jul. 6, 2006 |
Observations of an Economist Commissioner on Leaving the SEC Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Second Quarter |
| Jun. 30, 2006 |
Remarks Before the Society of Corporate Secretaries and Governance Professionals, Philadelphia, Pennsylvania |
Commissioner
Paul S. Atkins |
| Jun. 28, 2006 |
Statement Concerning Creation of the Securities Industry and Financial Markets Association, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Jun. 27, 2006 |
Corporate Governance in the United States, Brussels, Belgium |
Commissioner
Cynthia A. Glassman |
| Jun. 26, 2006 |
Address to the Stanford Law School Directors' College, Palo Alto, California |
Chairman
Christopher Cox |
| Jun. 26, 2006 |
Remarks at the National Association for Variable Annuities 2006 Compliance and Regulatory Affairs Conference, Washington, D.C. |
Commissioner
Annette L. Nazareth |
| Jun. 22, 2006 |
Cross-Border Exchange Mergers in the Context of Global Trade, Remarks at the Harvard Business School Global Leadership Forum, Washington, D.C. |
Chairman
Christopher Cox |
| Jun. 20, 2006 |
Remarks before the NYSE Regulation Second Annual Securities Conference, New York, New York |
Commissioner
Annette L. Nazareth |
| Jun. 15, 2006 |
Text of Commissioner's Remarks:
Remarks before the Association Française De Gouvernement D'entreprise (French Association of Corporate Governance), Paris, France
(French translation) |
Commissioner
Paul S. Atkins |
| Jun. 14, 2006 |
Remarks before the SIA Hedge Funds & Alternative Investments Conference, New York, New York |
Commissioner
Roel C. Campos |
| Jun. 14, 2006 |
Remarks before the Mutual Fund Directors Forum Members Roundtable with SEC Staff, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Jun. 10, 2006 |
A Serious Threat to Our Capital Markets — "Op-Ed" for the Wall Street Journal |
Commissioner
Paul S. Atkins |
| Jun. 9, 2006 |
Videotaped Remarks at the Annual Meeting of the National Investor Relations Institute, San Diego, California |
Chairman
Christopher Cox |
| Jun. 8, 2006 |
Address to the New York Financial Writers Association, New York, New York |
Chairman
Christopher Cox |
| Jun. 8, 2006 |
Remarks before the 31st Annual Conference of IOSCO; Panel 3: Bond Markets - Should Their Transparency be Enhanced?, Hong Kong |
Commissioner
Roel C. Campos |
| Jun. 8, 2006 |
Complexity in Financial Reporting and Disclosure Regulation, Pasadena, California |
Commissioner
Cynthia A. Glassman |
| Jun. 7, 2006 |
Remarks at the International Law Association's 72nd Biannual Conference, Toronto, Canada |
Commissioner
Paul S. Atkins |
| Jun. 7, 2006 |
Remarks at the American Securitization Forum, New York, New York |
Chairman
Christopher Cox |
| Jun. 7, 2006 |
Lifting The Veil - Investment Industry Trading Practices And Best Execution Workshop, Chicago, Illinois |
Commissioner
Annette L. Nazareth |
| May 30, 2006 |
The Interactive Data Revolution: Improved Disclosure for Investors, Less Expensive Reporting for Companies, Remarks at American Enterprise Institute, Washington, D.C. |
Chairman
Christopher Cox |
| May 24, 2006 |
Remarks before the Securities Industry Association Market Structure Conference, New York, New York |
Commissioner
Annette L. Nazareth |
| May 23, 2006 |
Remarks at Joint News Conference with OFHEO, Washington, D.C. |
Chairman
Christopher Cox |
| May 19, 2006 |
The Continuing Evolution of the Bond Market and Other Observations, New York, New York |
Commissioner
Cynthia A. Glassman |
| May 19, 2006 |
Remarks before the 38th Annual Rocky Mountain Securities Conference, Denver, Colorado |
Commissioner Annette L. Nazareth |
| May 18, 2006 |
Remarks before the NASD Spring Securities Conference, Hollywood, Florida |
Commissioner Annette L. Nazareth |
| May 17, 2006 |
Remarks at the Federal Reserve Bank of Atlanta Financial Markets Conference 2006, Sea Island, Georgia |
Commissioner
Cynthia A. Glassman |
| May 15, 2006 |
The SEC's Evolving Regulatory Role in an Increasingly Integrated World Economy, Paris, France |
Commissioner
Paul S. Atkins |
| May 12, 2006 |
Remarks before the SIA Operations Conference, Phoenix, Arizona |
Commissioner
Roel C. Campos |
| May 10, 2006 |
Closing Remarks before the Roundtable on the Implementation of Internal Control Reporting, Washington, D.C. |
Chairman
Christopher Cox |
| May 9, 2006 |
Remarks to the North American Securities Administrators Association, Washington, D.C. |
Chairman
Christopher Cox |
| May 9, 2006 |
Remarks at Harvard University, Kennedy School of Government, Cambridge, Massachussetts |
Commissioner
Roel C. Campos |
| May 8, 2006 |
Internal Controls Over Financial Reporting - Putting Sarbanes-Oxley Section 404 in Perspective, Tampa, Florida |
Commissioner
Cynthia A. Glassman |
| May 5, 2006 |
Remarks before the New York City Bar Association, New York, New York |
Commissioner
Paul S. Atkins |
| May 3, 2006 |
Remarks before the Security Traders Association's Annual Washington Conference, Washington, D.C. |
Commissioner
Roel C. Campos |
| May 1, 2006 |
Remarks at the Annual Meeting of the Society of American Business Editors and Writers, Minneapolis, Minnesota |
Chairman
Christopher Cox
|
| Apr. 27, 2006 |
Remarks before the Investment Adviser Association, Boston, Massachusetts |
Commissioner Paul S. Atkins |
| Apr. 27, 2006 |
Closing Remarks at the 2006 International Institute for Securities Market Development, Washington, D.C. |
Chairman
Christopher Cox
|
| Apr. 24, 2006 |
Statement Regarding Final Report and Recommendations of Advisory Committee on Smaller Public Companies, Washington, D.C. |
Chairman
Christopher Cox
|
| Apr. 4, 2006 |
Statement Regarding the Launch of the National Strategy for Financial Literacy, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Apr. 3, 2006 |
Introductory Remarks before the Executive Compensation Disclosure Conference, Washington, D.C. |
Chairman
Christopher Cox
|
| First Quarter |
| Mar. 30, 2006 |
Remarks before the Council of Institutional Investors, Washington, D.C. |
Chairman
Christopher Cox |
| Mar. 30, 2006 |
Remarks before the Meeting of the International Organization of Securities Commissions Standing Committee No. 1,
Washington, D.C. |
Commissioner
Roel C. Campos |
| Mar. 29, 2006 |
Remarks before the National Association of Securities Professionals 1st Annual Legislative Symposium,
Washington, D.C. |
Commissioner
Roel C. Campos |
| Mar. 24, 2006 |
New Challenges in Regulating Financial Markets, New York, New York |
Commissioner
Roel C. Campos |
| Mar. 24, 2006 |
Remarks before the Annual Consumer Assembly, Washington, D.C. |
Chairman
Christopher Cox |
| Mar. 21, 2006 |
Remarks before the Committee for Economic Development, Washington, D.C. |
Chairman
Christopher Cox |
| Mar. 13, 2006 |
Remarks before the NABE 2006 Washington Economic Policy Conference, Arlington, Virginia |
Commissioner
Annette L. Nazareth |
| Mar. 13, 2006 |
Remarks before the Institute for International Bankers Annual Conference, Washington, D.C. |
Commissioner
Annette L. Nazareth |
| Mar. 10, 2006 |
Regulatory Role of Exchanges and International Implications of Demutualization, Armonk, New York |
Commissioner
Roel C. Campos |
| Mar. 9, 2006 |
Priorities and Concerns at the SEC: Remarks before the Tenth Annual Corporate Counsel Institute, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Mar. 6, 2006 |
Remarks before the Securities Industry Institute, Philadelphia, Pennsylvania |
Commissioner
Paul S. Atkins |
| Mar. 6, 2006 |
Remarks before the National Association of State Treasurers, Washington, D.C. |
Commissioner
Roel C. Campos |
| Mar. 3, 2006 |
Remarks before the SEC Speaks Conference,
Washington, D.C. |
Commissioner
Roel C. Campos |
| Mar. 3, 2006 |
Remarks before the SEC Speaks Conference,
Washington, D.C. |
Commissioner
Annette L. Nazareth |
| Mar. 3, 2006 |
Opening Remarks to the Practising Law Institute's SEC Speaks Series, Washington, D.C. |
Chairman
Christopher Cox |
| Mar. 3, 2006 |
Remarks of Commissioner Paul S. Atkins before the SEC Speaks Conference, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Mar. 3, 2006 |
Remarks before the SEC Speaks Conference: The Light at the End of the Tunnel What's Next? , Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Feb. 28, 2006 |
Remarks before the IA Compliance Best Practices Summit 2006, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Feb. 23, 2006 |
Remarks before the Tenth Annual Conference on SEC Regulation Outside the United States, London, England |
Commissioner
Cynthia A. Glassman |
| Feb. 16, 2006 |
Remarks before the U.S. Chamber Institute for Legal Reform, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Feb. 16, 2006 |
Remarks
before the NASD Investor Education Foundation's Military Financial
Education Campaign Launch, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Feb. 13, 2006 |
Remarks
before ASIC Summer School (by recorded DVD), Washington, D.C. |
Commissioner
Roel C. Campos |
| Feb. 9, 2006 |
Videotaped
Remarks at Tax Council Policy Institute, Washington, D.C. |
Chairman
Christopher Cox |
| Feb. 7, 2006 |
Remarks
before the TBMA Legal and Compliance Conference, New York, New York |
Commissioner
Annette L. Nazareth |
| Feb. 3, 2006 |
Remarks
before the ALI-ABA Financial Services Institute 2006, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Jan. 31, 2006 |
Videotaped
Remarks at Corporate Directors Forum, San Diego, California |
Chairman
Christopher Cox |
| Jan. 31, 2006 |
Remarks
before the 4th Annual Financial Services Conference, Brussels, Belgium |
Commissioner
Paul S. Atkins |
| Jan. 25, 2006 |
A
View from Inside the SEC: Remarks at the Financial Service
Institute's 2006 Broker-Dealer Conference, San Diego, California |
Commissioner
Cynthia A. Glassman |
| Jan. 19, 2006 |
Remarks
before the Securities Regulation Institute, San Diego, California |
Commissioner
Paul S. Atkins |
| Jan. 18, 2006 |
Videotaped
Remarks at XBRL Conference, San
Jose, California |
Chairman
Christopher Cox |
| Jan. 17, 2006 |
Chairman's
Opening Statement: Proposed Revisions to the Executive Compensation
and Related Party Disclosure Rules,
Washington, D.C. |
Chairman
Christopher Cox |
| Jan. 17, 2006 |
Open
Meeting Statement: Proposals to Amend Rules for Disclosure of
Executive Compensation, Washington, D.C. |
Commissioner
Roel C. Campos |
| Jan. 17, 2006 |
Open
Meeting Statement: Proposed Revisions to the Executive Compensation
and Related Party Disclosure Rules, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Jan. 17, 2006 |
Open
Meeting Statement: Proposed Revisions to the Executive Compensation
and Related Party Disclosure Rules, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Jan. 12, 2006 |
Remarks
before the ALI-ABA Broker-Dealer Regulation Conference, Washington, D.C. |
Commissioner
Annette L. Nazareth |
| Jan. 4, 2006 |
Statement of
Chairman Cox Concerning Objective Standards for Corporate
Penalties, Washington, D.C. |
Chairman
Christopher Cox |
2006 Speeches and Statements by Commission
Staff
| Date |
Title |
Author |
| Fourth Quarter |
| Dec. 13, 2006 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
Michael Gaynor
Professional Accounting Fellow, Office of the Chief Accountant
|
| Dec. 13, 2006 |
Opening Remarks for the Electronic Proxy Release, SEC Open Meeting, Washington, D.C. |
Raymond A. Be
Special Counsel, Office of Rulemaking
Division of Corporation Finance
|
| Dec. 13, 2006 |
Opening Remarks at the SEC Open Meeting, Washington, D.C. |
Elliot Staffin
Special Counsel, Division of Corporation Finance
|
| Dec. 13, 2006 |
Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Jenifer Minke-Girard
Senior Associate Chief Accountant, Office of the Chief Accountant
|
| Dec. 13, 2006 |
Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Sondra L. Stokes
Associate Chief Accountant, Division of Corporation Finance
|
| Dec. 13, 2006 |
Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Cheryl K. Tjon-Hing
Valuation Specialist, Office of the Chief Accountant
|
| Dec. 12, 2006 |
Agency, Disclosure and the Nature of Shareholdings, National Investor Relations Institute e-Learning Forum, Washington, D.C. |
Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis |
| Dec. 12, 2006 |
Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Louise M. Dorsey
Associate Chief Accountant, Division of Corporation Finance
|
| Dec. 12, 2006 |
Remarks before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Julie A. Erhardt
Deputy Chief Accountant, Office of the Chief Accountant
|
| Dec. 12, 2006 |
Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C.
See also: PowerPoint presentation |
Todd E. Hardiman
Associate Chief Accountant, Division of Corporation Finance
|
| Dec. 12, 2006 |
Remarks before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Stephanie L. Hunsaker
Associate Chief Accountant, Division of Corporation Finance
|
| Dec. 12, 2006 |
Remarks before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Leslie A. Overton
Associate Chief Accountant, Division of Corporation Finance
|
| Dec. 11, 2006 |
OCA Current Projects: Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
John W. Albert
Senior Associate Chief Accountant, Office of the Chief Accountant
|
| Dec. 11, 2006 |
Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Cathy J. Cole
Associate Chief Accountant, Office of the Chief Accountant |
| Dec. 11, 2006 |
Remarks before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Julie A. Erhardt
Deputy Chief Accountant, Office of the Chief Accountant
|
| Dec. 11, 2006 |
Risk Based Evaluations of ICFR, 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Michael Gaynor
Professional Accounting Fellow, Office of the Chief Accountant |
| Dec. 11, 2006 |
Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Conrad W. Hewitt
Chief Accountant
|
| Dec. 11, 2006 |
Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Michael Husich
Associate Chief Accountant, Office of the Chief Accountant
|
| Dec. 11, 2006 |
Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Timothy S. Kviz
Professional Accounting Fellow, Office of the Chief Accountant
|
| Dec. 11, 2006 |
Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Mark Mahar
Associate Chief Accountant, Office of the Chief Accountant
|
| Dec. 11, 2006 |
Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Joseph D. McGrath
Professional Accounting Fellow, Office of the Chief Accountant
|
| Dec. 11, 2006 |
Improving Audit Effectiveness, 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Zoe-Vonna Palmrose
Deputy Chief Accountant, Office of the Chief Accountant |
| Dec. 11, 2006 |
Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Scott A. Taub
Deputy Chief Accountant, Office of the Chief Accountant |
| Dec. 11, 2006 |
Remarks Before the 2006 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Joseph B. Ucuzoglu
Professional Accounting Fellow, Office of the Chief Accountant |
| Dec. 11, 2006 |
An Update From the SEC for Institutional Investors, Remarks Before the Public Fund Boards Forum, San Francisco, California |
Lori J. Schock
Acting Director, Office of Investor Education and Assistance |
| Dec. 5, 2006 |
Remarks at the 2006 Securities Law Developments Conference Investment Company Institute, Washington, D.C. |
Lori A. Richards
Director, Office of Compliance Inspections and Examinations |
| Dec. 4, 2006 |
Remarks Concerning the Pilot Analysis of Removing Pricing Restrictions on Short Sales, SEC Open Meeting, Washington, D.C. |
Chester S. Spatt
Chief Economist and Director, Office of Economic Analysis |
| Dec. 4, 2006 |
Mutual Funds in 2006: Getting Back to Basics and Embracing Core Values, Washington, D.C. |
Andrew J. Donohue
Director, Division of Investment Management |
| Dec. 4, 2006 |
Remarks Before the 2006 Securities Law Developments Conference Sponsored by the Investment Company Institute Education Foundation, Washington, D.C. |
Brian G. Cartwright
General Counsel |
| Nov. 17, 2006 |
Remarks Before the ALI-ABA Conference on Life Insurance Company Products, Washington, D.C. |
Andrew J. Donohue
Director, Division of Investment Management |
| Nov. 17, 2006 |
Remarks Regarding Restatements Before the Financial Executives International Meeting, New York, New York |
Scott A. Taub
Acting Chief Accountant |
| Nov. 15, 2006 |
Remarks Before the 2006 Investment Company Directors' Conference, Washington, D.C. |
Brian G. Cartwright
General Counsel |
| Nov. 14, 2006 |
Opening Remarks Before the CCOutreach National Seminar, Washington, D.C. |
Andrew J. Donohue
Director, Division of Investment Management |
| Nov. 14, 2006 |
Welcome and Closing Remarks, CCOutreach National Seminar, Washington, D.C. |
Lori A. Richards
Director, Office of Compliance Inspections and Examinations |
| Nov. 10, 2006 |
Volatility, Price Discovery and Markets, Wilton Park Conference on Capital Flows and the Safety of Markets, Wilton Park, England |
Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis |
| Oct. 31, 2006 |
International Financial Institutions Examination Issues: A Regulatory Perspective, Annual Regulatory Examination and Compliance Seminar, Institute of International Bankers, New York, New York |
Mary Ann Gadziala
Associate Director, Office of Compliance Inspections and Examinations |
| Oct. 30, 2006 |
Options Backdating: The Enforcement Perspective, Washington, D.C. |
Linda Chatman Thomsen
Director, Division of Enforcement |
| Oct. 30, 2006 |
Keynote Luncheon Address Before the SIA Institutional Brokerage Conference, New York, N.Y. |
Andrew J. Donohue
Director, Division of Investment Management |
| Oct. 23, 2006 |
Regulatory Competition, Integration and Capital Markets, Calgary, Alberta, Canada |
Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis |
| Oct. 20, 2006 |
European Regulatory Convergence - The Importance of Context, European American Business Council |
Ethiopis Tafara
Director, Office of International Affairs |
| Oct. 19, 2006 |
Broker-Dealer Examination and Compliance Developments, National Society of Compliance Professionals, 2006 NSCP National Membership Meeting, Washington, D.C. |
Mary Ann Gadziala
Associate Director, Office of Compliance Inspections and Examinations |
| Oct. 19, 2006 |
The Process of Compliance, Remarks Before the National Membership Meeting of the National Society of Compliance Professionals, Washington, D.C. |
Lori A. Richards
Director, Office of Compliance Inspections and Examinations |
| Oct. 18, 2006 |
Opening Statement at the Commission Open Meeting, Washington, D.C. |
Mara L. Ransom
Special Counsel, Division of Corporation Finance |
| Oct. 17, 2006 |
A Regulatory View - Broker-Dealer Internal Audit/Compliance Priorities, Remarks Before the 2006 Annual Conference of the Internal Auditors Division of the Securities Industry Association, Fort Lauderdale, Florida |
Mary Ann Gadziala
Associate Director, Office of Compliance Inspections and Examinations |
| Oct. 12, 2006 |
Principles Matter: Related Person Transactions Disclosure and Disclosure Controls and Procedures, Remarks Before the Society of Corporate Secretaries and Governance Professionals, Newport, Rhode Island |
John W. White
Director, Division of Corporation Finance |
| Oct. 5, 2006 |
Compliance Professionals versus Identity Thieves, NRS 21st Annual Fall Compliance Conference, Scottsdale, Arizona |
John H. Walsh
Associate Director - Chief Counsel, Office of Compliance Inspections and Examinations |
| Oct. 3, 2006 |
Executive Compensation Disclosure and the Important Role of CFO's, Remarks Before the CFO Executive Board, New York, N.Y. |
John W. White
Director, Division of Corporation Finance |
| Third Quarter |
| Sep. 29, 2006 |
Comments to the Tenth Annual Conference of Women in Public Finance, Chicago, Illinois |
Martha Mahan Haines, Chief, Office of Municipal Securities |
| Sep. 25, 2006 |
An Expansive View of Teamwork: Directors, Management and the SEC, Practising Law Institute Fourth Annual Directors' Institute on Corporate Governance, New York, N.Y. |
John W. White
Director, Division of Corporation Finance |
| Sep. 25, 2006 |
Keynote Address Before IA Week's 6th Annual Fall Compliance Conference, New York, N.Y. |
Andrew J. Donohue
Director, Division of Investment Management |
| Sep. 20, 2006 |
Remarks Before the 4th Annual Art of Indexing Summit, Washington, D.C. |
Andrew J. Donohue
Director, Division of Investment Management |
| Sep. 20, 2006 |
Structured Finance Activities: The Regulatory Viewpoint, International Bar Association Conference — Financial Services Section, Chicago, Illinois |
Mary Ann Gadziala
Associate Director, Office of Compliance Inspections and Examinations |
| Sep. 12, 2006 |
SOX 404 — Moving Forward, FAE/NYSSCPA Conference, New York, N.Y. |
John W. White
Director, Division of Corporation Finance |
| Sep. 11, 2006 |
A Race to the Top: International Regulatory Reform Post Sarbanes-Oxley, International Financial Law Review |
Ethiopis Tafara
Director, Office of International Affairs |
| Sep. 11, 2006 |
The Principles Matter: Options Disclosure, Remarks before the Corporate Counsel Conference, Washington, D.C. |
John W. White
Director, Division of Corporation Finance |
| Sep. 6, 2006 |
Principles Matter, Remarks before the Practising Law Institute Conference, New York, N.Y. |
John W. White
Director, Division of Corporation Finance |
| Sep. 5, 2006 |
The Benefits of an Enforcement Division, Remarks before the Comissão de Valores Mobiliários (Brazilian Securities Commission) 30th Anniversary International Seminar, Rio de Janeiro, Brazil |
Ethiopis Tafara
Director, Office of International Affairs |
| Aug. 28, 2006 |
Staff Statement at Joint Press Conference on Global Settlement with Prudential Securities, Inc., Washington, D.C. |
Linda Chatman Thomsen
Director, Division of Enforcement |
| Jul. 26, 2006 |
Opening Statement Before the SEC Open Meeting, Washington, D.C. |
Special Counsel, Division of Corporation Finance |
| Jul. 20, 2006 |
Remarks at Press Conference on Actions Against Brocade Communications Systems, Inc., San Francisco, Calif. |
Linda Chatman Thomsen
Director, Division of Enforcement |
| Second Quarter |
| Jun. 26, 2006 |
Remarks Before the National Association for Variable Annuities 2006 Compliance and Regulatory Affairs Conference, Washington, D.C. |
Andrew J. Donohue
Director, Division of Investment Management |
| Jun. 22, 2006 |
Regulatory Examination Programs - Focus and Significant Findings Remarks at the SIA Compliance and Legal Division June Monthly Luncheon, New York, New York |
Mary Ann Gadziala
Associate Director, Office of Compliance Inspections and Examinations |
| Jun. 20, 2006 |
Transparency in Regulatory Examinations, Remarks before the NYSE Regulation Second Annual Securities Conference, New York, New York |
Lori A. Richards
Director, Office of Compliance Inspections and Examinations |
| Jun. 8, 2006 |
The Future of Financial Reporting, Los Angeles, California |
Scott A. Taub, Acting Chief Accountant |
| Jun. 6, 2006 |
Looking Forward and Back at Financial Reporting, Washington, D.C. |
Scott A. Taub, Acting Chief Accountant |
| May 25, 2006 |
Section 404: The Need for Input, Washington, D.C. |
John W. White, Director, Division of Corporation Finance |
| May 23, 2006 |
Statement regarding Fannie Mae, Washington, D.C. |
Linda Chatman Thomsen, Director, Division of Enforcement |
| May 16, 2006 |
Comprehensive Compliance Examinations for Securities Firms, Washington, D.C. |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
| May 16, 2006 |
Remarks before the 13th XBRL International Conference, Madrid, Spain |
R. Corey Booth, Chief Information Officer and Director, Office of Information Technology |
| May 13, 2006 |
Remarks at Dinner in Celebration of the Establishment of the Arthur and Toni Rembe Rock Center for Corporate Governance at Stanford University, Palo Alto, California |
Brian G. Cartwright, General Counsel |
| May 11, 2006 |
Statement at SEC v. Anticevic Press Conference, New York, NY |
Mark K. Schonfeld, Director, Northeast Regional Office |
| May 4, 2006 |
Regulation, Compliance and Responsibility; Keynote Address at Structured Products Americas, Coral Gables, Florida |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
| May 3, 2006 |
Remarks before the 2006 Options Industry Conference, Miami, Florida |
Elizabeth K. King, Associate Director, Division of Market Regulation |
| Apr. 18, 2006 |
Remarks before the NRS 21st Annual Spring Compliance Conference, Palm Springs, California |
John H. Walsh, Associate Director - Chief Counsel, Office of Compliance Inspections and Examinations |
| Apr. 17, 2006 |
Markets of All Time and in All Places, Washington, D.C. |
Ethiopis Tafara, Director, Office of International Affairs |
| Apr. 11, 2006 |
Statement at SEC v. Anticevic Press Conference, New York, NY |
Mark K. Schonfeld, Director, Northeast Regional Office |
| Apr. 6, 2006 |
Implications of Convergence: A Regulator's Perspective, Frankfurt, Germany |
Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant |
| Apr. 3, 2006 |
The Need to Know, Washington, D.C. |
John W. White, Director, Division of Corporation Finance |
| First Quarter |
| Mar. 29, 2006 |
Anti-Money Laundering in 2006: It's the "Total Mix" |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
| Mar. 17, 2006 |
Financial Regulation: Economic Margins and "Unintended Consequences, Washington, D.C. |
Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis |
| Feb. 28, 2006 |
How Much Regulation Is Just Enough?, Prague, Czech Republic |
Ethiopis Tafara, Director, Office of International Affairs |
| Feb. 27, 2006 |
Fiduciary Duty: Return to First Principles, Washington, D.C. |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
| Feb. 15, 2006 |
Remarks before the Mutual Fund Directors Forum, Washington, D.C. |
Brian G. Cartwright, General Counsel |
| Feb. 7, 2006 |
The SEC Examination Program: Coordination and Priorities, New York, New York |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
| Feb. 2, 2006 |
Remarks Regarding SEC v. Ronald Ferguson, Elizabeth Monrad, Robert Graham, Christopher Garand and Christian Milton;, Washington, D.C. |
Linda Chatman Thomsen, Director, Division of Enforcement |
| Jan. 18, 2006 |
Remarks before the XBRL-US National Conference, San Jose, California |
R. Corey Booth, Chief Information Officer and Director, Office of Information Technology |
| Jan. 6, 2006 |
Discussion: An Overview of Bond Market Transparency, Boston, Massachusetts |
Chester S. Spatt, Chief Economist and Director, Office of Economic Analysis |
| Jan. 4, 2006 |
Statement regarding McAfee, Inc. and Applix, Inc., Washington, D.C. |
Linda Chatman Thomsen, Director, Division of Enforcement |
http://www.sec.gov/speech/speecharchive/2006speech.shtml
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