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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.
Video:
*  Windows Media Player (18 MB)
*  QuickTime (19 MB)
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)
Video:
*  Windows Media Player (10 Mb)
*  MPEG (13 Mb)
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)
Video of Commissioner's Remarks:
*  Windows Media Player (37 MB)
*  QuickTime (40 MB)
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.
Video:
*  Windows Media Player (23 Mb)
*  QuickTime (25 Mb)
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
Video:
*  Windows Media Player (21 Mb)
*  QuickTime (7 Mb)
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
Video:
*  Windows Media Player High Bandwidth
(20 Mb)
*  Windows Media Player Low Bandwidth
(8 Mb)
*  QuickTime (8 Mb)
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


Modified: 10/16/2014