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Commission Speeches and Public Statements Archive: 2009

This index lists recent 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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2009 Speeches and Statements by the Chairman and Commissioners

Date Title Author
Fourth Quarter
Dec. 16, 2009 Opening Statement at SEC Open Meeting — Proxy Disclosure Enhancements, Washington, D.C. Commissioner
Elisse B. Walter
Dec. 16, 2009 Statement at SEC Open Meeting — Custody Rules for Investment Advisers, Washington, D.C. Commissioner
Elisse B. Walter
Dec. 16, 2009
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Proxy Enhancements, Washington, D.C
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Dec. 16, 2009
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Custody Rules for Investment Advisers
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Dec. 16, 2009 Statement at SEC Open Meeting — Proxy Enhancements, Washington, D.C. Commissioner
Luis A. Aguilar
Dec. 16, 2009 Statement at SEC Open Meeting — Custody Rules for Investment Advisers, Washington, D.C. Commissioner
Luis A. Aguilar
Dec. 16, 2009 Statement at SEC Open Meeting — Proxy Enhancements, Washington, D.C. Commissioner
Kathleen L. Casey
Dec. 16, 2009 Statement at SEC Open Meeting — Custody Rules for Investment Advisers, Washington, D.C. Commissioner
Kathleen L. Casey
Dec. 16, 2009 Statement at SEC Open Meeting — Proxy Enhancements, Washington, D.C., Washington, D.C. Commissioner
Troy A. Paredes
Dec. 16, 2009 Statement at SEC Open Meeting — Custody Rules for Investment Advisers, Washington, D.C. Commissioner
Troy A. Paredes
Dec. 9, 2009 Remarks Before the AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Commissioner
Elisse B. Walter
Dec. 3, 2009 "The Consumer in the Financial Services Revolution", Washington, D.C. Chairman
Mary L. Schapiro
Nov. 19, 2009 Remarks at 2009 SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. Commissioner
Troy A. Paredes
Nov. 17, 2009 Lessons from the Financial Crisis for Financial Reporting, Standard Setting and Rule Making, New York, New York Commissioner
Kathleen L. Casey
Nov. 13, 2009 Remarks at Independent Directors Council's 2009 Investment Company Directors Conference, Amelia Island, Florida Commissioner
Troy A. Paredes
Nov. 6, 2009 Remarks at the Closing of the International Institute for Enforcement and Market Oversight, Washington, D.C. Commissioner
Elisse B. Walter
Nov. 6, 2009 Investors Deserve Sustainable Reform — Not More of the Same, Washington, D.C. Commissioner
Luis A. Aguilar
Nov. 5, 2009 Applying the Lessons, Cambridge, Massachusetts Chairman
Mary L. Schapiro
Nov. 4, 2009 Address to the Practising Law Institute's 41st Annual Institute on Securities Regulation, New York, New York Chairman
Mary L. Schapiro
Oct. 29, 2009 "The Power of the Shareholder & the Rise of Corporate Democracy", New York, New York Commissioner
Luis A. Aguilar
Oct. 28, 2009 Regulation of the Municipal Securities Market: Investors Are Not Second-Class Citizens, New York, New York Commissioner
Elisse B. Walter
Oct. 28, 2009 Regulation of the Municipal Securities Market: Investors Are Not Second-Class Citizens (Version as Delivered), New York, New York Commissioner
Elisse B. Walter
Oct. 27, 2009 "The Road to Investor Confidence", SIFMA Annual Conference, New York, New York Chairman
Mary L. Schapiro
Oct. 22, 2009 Address before the Solutions Forum on Fraud, Washington, D.C. Chairman
Mary L. Schapiro
Oct. 21, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Elisse B. Walter
Oct. 21, 2009
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Oct. 21, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Oct. 21, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Troy A. Paredes
Oct. 21, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Kathleen L. Casey
Oct. 16, 2009 Remarks Concerning Regulatory Harmonization Report, Washington, D.C. Chairman
Mary L. Schapiro
Oct. 16, 2009 Remarks before the Symposium on "The Past, Present, and Future of the SEC", Pittsburgh, Pennsylvania Commissioner
Troy A. Paredes
Oct. 10, 2009 Remarks at the University of Rochester’s Presidential Symposium on the Future of Financial Regulation, Rochester, New York Chairman
Mary L. Schapiro
Oct. 9, 2009 Remarks at the Center for the Study of International Business Law at Brooklyn Law School Breakfast Roundtable, New York, New York Commissioner
Elisse B. Walter
Oct. 9, 2009 Creating Reform That Is Sustainable for Investors, Remarks before the Hofstra Investment Management Conference, Hempstead, New York Commissioner Luis A. Aguilar
Oct. 8, 2009 Remarks at IOSCO Technical Committee Conference, Basel, Switzerland Chairman
Mary L. Schapiro
Oct. 2, 2009 "SEC Rulemaking - 'Advancing the Law' to Protect Investors", Chicago, Illinois Commissioner
Elisse B. Walter
Oct. 2, 2009 Statement of Commissioner Luis A. Aguilar Regarding His Commitment to Implementation of Sarbanes-Oxley Section 404(b), Washington, D.C. Commissioner Luis A. Aguilar
Third Quarter
Sep. 30, 2009
Text of Chairman's Remarks:
Opening Statement, Day Two of the Securities Lending and Short Sale Roundtable
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Sep. 29, 2009
Text of Chairman's Remarks:
Opening Statement, Day One of the Securities Lending and Short Sale Roundtable
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Sep. 24, 2009 Address to Financial Services Roundtable — 2009 Fall Conference, Washington D.C. Chairman
Mary L. Schapiro
Sep. 24, 2009 Remarks Before the Investment Company Institute's Annual Capital Markets Conference, New York, New York Commissioner
Troy A. Paredes
Sep. 24, 2009 Remarks Before SIFMA's 14th Annual Fixed Income Legal & Compliance Conference, New York, New York Commissioner
Troy A. Paredes
Sep. 18, 2009 Address to Conference on "The Future of Global Finance", Washington, D.C. Chairman
Mary L. Schapiro
Sep. 17, 2009 Statement at SEC Open Meeting — Flash Orders, Washington, D.C. Commissioner
Elisse B. Walter
Sep. 17, 2009 Statement at SEC Open Meeting — NRSROs, Washington, D.C. Commissioner
Elisse B. Walter
Sep. 17, 2009 Statement at SEC Open Meeting — NRSROs, Washington, D.C. Commissioner
Luis A. Aguilar
Sep. 17, 2009 Statement at SEC Open Meeting — Flash Orders, Washington, D.C. Commissioner
Troy A. Paredes
Sep. 17, 2009 Statement at SEC Open Meeting — NRSROs, Washington, D.C. Commissioner
Troy A. Paredes
Sep. 17, 2009
Text of Chairman's Remarks:
Statement at SEC Open Meeting — Flash Orders, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Sep. 17, 2009
Text of Chairman's Remarks:
Statement at SEC Open Meeting — NRSROs, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Sep. 17, 2009 Statement at SEC Open Meeting — NRSROs, Washington, D.C. Commissioner
Kathleen L. Casey
Sep. 17, 2009 Address to Transatlantic Corporate Governance Dialogue — 2009 Conference, Washington D.C. Chairman
Mary L. Schapiro
Sep. 10, 2009 Diversity in the Boardroom Yields Dividends, Stanford Law School, Palo Alto, California Commissioner
Luis A. Aguilar
Sep. 4, 2009 Statement on the Inspector General's Report Regarding the Bernard Madoff Fraud, Washington, D.C. Chairman
Mary L. Schapiro
Sep. 3, 2009 Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. Chairman
Mary L. Schapiro
Sep. 2, 2009 Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. Commissioner
Elisse B. Walter
Sep. 2, 2009 Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. Commissioner
Kathleen L. Casey
Sep. 2, 2009 Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. Commissioner
Troy A. Paredes
Sep. 2, 2009 Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. Commissioner
Luis A. Aguilar
Sep. 2, 2009 Statement on the Release of the Executive Summary of the Inspector General's Report regarding the Bernard Madoff Fraud, Washington, D.C. Chairman
Mary L. Schapiro
Sep. 2, 2009 Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonization, Washington, D.C. Chairman
Mary L. Schapiro
Jul. 27, 2009 Restoring Investors' Voices — The Launch of the Investor Advisory Committee, Washington, D.C. Commissioner
Luis A. Aguilar
Jul. 22, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Kathleen L. Casey
Jul. 22, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Jul. 22, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Troy A. Paredes
Jul. 22, 2009
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jul. 15, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Jul. 15, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Elisse B. Walter
Jul. 15, 2009
Text of Chairman's Remarks:
Opening Statement Before the Commission Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jul. 13, 2009 Remarks at Corporate Directors Forum, San Diego, California Commissioner
Troy A. Paredes
Jul. 1, 2009
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jul. 1, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Kathleen L. Casey
Jul. 1, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Jul. 1, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Elisse B. Walter
Jul. 1, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Troy A. Paredes
Second Quarter
Jun. 27, 2009 "The American Corporation and its Shareholders: Dooryard Visits Disallowed", Society of Corporate Secretaries and Governance Professionals, San Diego, California Commissioner
Elisse B. Walter
Jun. 24, 2009 Opening Statement at Open Meeting on Money Market Fund Reform, Washington, D.C. Commissioner
Elisse B. Walter
Jun. 24, 2009 Strengthening the Money Market Framework with Investors in Mind, Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Jun. 24, 2009
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jun. 24, 2009 Statement at SEC Open Meeting Regarding Money Market Fund Reform, Washington, D.C. Commissioner
Kathleen L. Casey
Jun. 24, 2009 Remarks at the Open Meeting of the U.S. Securities & Exchange Commission Regarding Money Market Fund Reform, Washington, D.C. Commissioner
Troy A. Paredes
Jun. 23, 2009 "The Globalization of Investment Advisers — How Will Regulators Respond?", International Institute for the Regulation and Inspection of Investment Advisers, Washington, D.C. Commissioner
Luis A. Aguilar
Jun. 23, 2009 Remarks at Conference on "Shareholder Rights, the 2009 Proxy Season, and the Impact of Shareholder Activism", Washington, D.C. Commissioner
Troy A. Paredes
Jun. 18, 2009 Hedge Fund Regulation on the Horizon — Don’t Shoot the Messenger, Spring 2009 Hedgeworld Fund Services Conference, New York, New York Commissioner
Luis A. Aguilar
Jun. 18, 2009 Address before the New York Financial Writers’ Association Annual Awards Dinner, New York, N.Y. Chairman
Mary L. Schapiro
Jun. 18, 2009 Statement at SEC-DOL Hearing on Target Date Funds, Department of Labor, Washington, D.C. Chairman
Mary L. Schapiro
Jun. 11, 2009
Text of Chairman's Remarks:
Improving the Role of the Securities Regulators in a Changing Global Financial System, Tel Aviv, Israel
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Jun. 10, 2009 Welcoming Remarks Before the 34th IOSCO Annual Conference, Tel Aviv, Israel Commissioner
Kathleen L. Casey
Jun. 3, 2009 Reversing Course — Putting Investors First in Regulatory Reform, Compliance Week Annual Conference, Washington, D.C. Commissioner
Luis A. Aguilar
May 28, 2009 "Combating Securities Fraud at Home and Abroad", Third Annual Fraud and Forensic Accounting Education Conference, Atlanta, Georgia Commissioner
Luis A. Aguilar
May 20, 2009
Text of Chairman's Remarks:
Statement at SEC Open Meeting on Facilitating Shareholder Director Nominations, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
May 20, 2009 Statement at SEC Open Meeting on Facilitating Shareholder Director Nominations, Washington, D.C. Commissioner
Luis A. Aguilar
May 20, 2009 Statement at Open Meeting to Propose Amendments Regarding Facilitating Shareholder Director Nominations, Washington, D.C. Commissioner
Kathleen L. Casey
May 20, 2009 Statement at Open Meeting to Propose Amendments Regarding Facilitating Shareholder Director Nominations, Washington, D.C. Commissioner
Troy A. Paredes
May 20, 2009 Statement at SEC Open Meeting on Facilitating Shareholder Director Nominations, Washington, D.C. Commissioner
Elisse B. Walter
May 14, 2009 Statement at SEC Open Meeting, Washington, D.C. Commissioner
Kathleen L. Casey
May 14, 2009 Remarks at SEC Open Meeting, Washington, D.C. Commissioner
Troy A. Paredes
May 14, 2009
Text of Chairman's Remarks:
Statement at SEC Open Meeting, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
May 13, 2009 Statement at Treasury Department Press Briefing on OTC Derivatives, Washington, D.C. Chairman
Mary L. Schapiro
May 8, 2009 "Building a Stable and Efficient Financial System", Address to the Investment Company Institute, Washington, D.C. Chairman
Mary L. Schapiro
May 7, 2009 SEC's Oversight of the Adviser Industry Bolsters Investor Protection, Investment Advisers Association Annual Conference, San Diego, California Commissioner
Luis A. Aguilar
May 6, 2009 Remarks at the Security Traders Association 13th Annual Washington Conference, Washington, D.C. Commissioner
Troy A. Paredes
May 5, 2009
Text of Chairman's Remarks:
Opening Statement at May 5, 2009, Roundtable on Short Selling, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
May 5, 2009 Regulating Broker-Dealers and Investment Advisers: Demarcation or Harmonization?, Washington, D.C. Commissioner
Elisse B. Walter
May 4, 2009 Address to Mutual Fund Directors Forum Ninth Annual Policy Conference: Critical Issues for Investment Company Directors, Washington, D.C. Chairman
Mary L. Schapiro
May 4, 2009 Remarks Before the Mutual Fund Directors Forum Ninth Annual Policy Conference, Washington, D.C. Commissioner
Troy A. Paredes
Apr. 28, 2009 NASAA Members and the SEC — United in the Public Interest and Making Investors a Priority, Washington, D.C. Commissioner
Luis A. Aguilar
Apr. 27, 2009 "Equalizing Opportunities for All Americans to Participate in Financial Services", New York, New York Commissioner
Luis A. Aguilar
Apr. 27, 2009 Address to the Society of American Business Editors and Writers, Denver, Colorado Chairman
Mary L. Schapiro
Apr. 17, 2009 "Making Investors a Priority in Regulatory Reform", Boston, Massachusetts Commissioner
Luis A. Aguilar
Apr. 15, 2009
Text of Chairman's Remarks:
Statement at SEC Roundtable on Credit Rating Agencies, Washington, D.C.
Video of Chairman's Remarks:
Chairman
Mary L. Schapiro
Apr. 8, 2009 Statement Before the Commission Open Meeting, Washington, D.C. Commissioner
Kathleen L. Casey
Apr. 8, 2009 Statement Before the Commission Open Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Apr. 8, 2009 Statement Before the Commission Open Meeting, Washington, D.C. Commissioner
Troy A. Paredes
Apr. 8, 2009 Opening Statement Before the Commission Open Meeting, Washington, D.C. Chairman
Mary L. Schapiro
Apr. 6, 2009 Address to the Council of Institutional Investors, Washington, D.C. Chairman
Mary L. Schapiro
First Quarter
Mar. 19, 2009 Remarks at the 2009 Southeastern Securities Conference, Atlanta, Georgia Commissioner
Troy A. Paredes
Mar. 19, 2009 Remarks at News Teleconference Announcing Enforcement Action Against Former N.Y. State Official and Top Political Advisor Chairman
Mary L. Schapiro
Mar. 18, 2009 "Reinvigorating the Enforcement Program to Restore Investor Confidence" — Introductory Remarks before the District of Columbia Bar, Washington, D.C. Commissioner
Luis A. Aguilar
Mar. 10, 2009 Remarks at the CCOutreach BD National Seminar, SEC Headquarters, Washington, D.C. Commissioner
Troy A. Paredes
Mar. 10, 2009 Remarks at the 2nd Annual CCOutreach BD National Seminar, SEC Headquarters, Washington, D.C. Chairman
Mary L. Schapiro
Mar. 2, 2009 "Principles to Help Guide Financial Regulatory Reform" — Remarks Before the Institute of International Bankers, Washington, D.C. Commissioner
Elisse B. Walter
Feb. 18, 2009 "Restoring Investor Trust through Corporate Governance" — Remarks Before the Practicing Law Institute, New York, New York Commissioner
Elisse B. Walter
Feb. 6, 2009 "Increasing Accountability and Transparency to Investors", Remarks at "The SEC Speaks in 2009," Washington, D.C. Commissioner
Luis A. Aguilar
Feb. 6, 2009 "In Search of Transparency, Accountability, and Competition: The Regulation of Credit Rating Agencies", Remarks at "The SEC Speaks in 2009," Washington, D.C. Commissioner
Kathleen L. Casey
Feb. 6, 2009 Remarks at "The SEC Speaks in 2009", Washington, D.C. Commissioner
Troy A. Paredes
Feb. 6, 2009 Address to Practising Law Institute's "SEC Speaks in 2009" Program, Washington, D.C. Chairman
Mary L. Schapiro
Feb. 6, 2009 Remarks at "The SEC Speaks in 2009", Washington, D.C. Commissioner
Elisse B. Walter
Jan. 26, 2009 Remarks at the Investment Company Institute’s Board of Governor’s Winter Meeting, Washington, D.C. Commissioner
Luis A. Aguilar
Jan. 14, 2009 Remarks Before the Exchequer Club, Washington, D.C. Commissioner
Kathleen L. Casey
Jan. 10, 2009 Empowering the Markets Watchdog to Effect Real Results, North American Securities Administrators Association's Winter Enforcement Conference, San Diego, California Commissioner
Luis A. Aguilar

2009 Speeches and Statements by Commission Staff

Date Title Author
Fourth Quarter
Dec. 9, 2009 Remarks Before the ICI 2009 Securities Law Developments Conference, Washington, D.C. Andrew J. Donohue, Director, Division of Investment Management
Dec. 8, 2009 Slide Presentation (PDF): Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Joel K. Levine, Assistant Director, Office of Interactive Disclosure
Dec. 8, 2009 Remarks Before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Jason S. Flemmons, Associate Chief Accountant, Division of Enforcement
Dec. 8, 2009 Slide Presentation (PDF): Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Wayne Carnall, Chief Accountant, Division of Corporation Finance
Dec. 8, 2009 Remarks at AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Robert S. Khuzami, Director, Division of Enforcement
Dec. 7, 2009 Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Paul A. Beswick, Deputy Chief Accountant, Office of the Chief Accountant
Dec. 7, 2009 Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Doug Besch, Professional Accounting Fellow, Office of the Chief Accountant
Dec. 7, 2009 Slide Presentation (PDF): Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Wayne Carnall, Chief Accountant, Division of Corporation Finance
Dec. 7, 2009 Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Brian W. Fields, Professional Accounting Fellow, Office of the Chief Accountant
Dec. 7, 2009 Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Joshua S. Forgione, Associate Chief Accountant, Office of the Chief Accountant
Dec. 7, 2009 Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Douglas T. Parker, Professional Accounting Fellow, Office of the Chief Accountant
Dec. 7, 2009 Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Allison M. Patti, Professional Accounting Fellow, Office of the Chief Accountant
Dec. 7, 2009 Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Evan Sussholz, Professional Accounting Fellow, Office of the Chief Accountant
Dec. 7, 2009 Remarks before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Arie S. Wilgenburg, Professional Accounting Fellow, Office of the Chief Accountant
Dec. 7, 2009 Remarks Before the 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. James L. Kroeker, Chief Accountant, Office of the Chief Accountant
Dec. 6, 2009 Slide Presentation (PDF): Best Practices for Working with SEC Staff, 2009 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. Angela Crane, Associate Chief Accountant, and Michael Stehlik, Staff Accountant, Division of Corporation Finance
Dec. 2009 Slide Presentation (PDF): SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, PCAOB Forums on Auditing in the Small Business Environment Wayne Carnall, Chief Accountant, Division of Corporation Finance
Dec. 2009 Slide Presentation (PDF): Areas of Frequent Staff Comment — Financial Institutions Stephanie L. Hunsaker, Associate Chief Accountant, Division of Corporation Finance
Nov. 20, 2009 Remarks before the Committee on Federal Regulation of Securites; Section of Business Law; American Bar Association, Washington, D.C. David M. Becker, General Counsel and Senior Policy Director
Nov. 17, 2009 Remarks at Department of Justice Press Conference, Washington, D.C. Robert S. Khuzami, Director, Division of Enforcement
Nov. 12, 2009 Keynote Address at the Independent Directors Council Investment Company Directors Conference, Amelia Island, Florida Andrew J. Donohue, Director, Division of Investment Management
Nov. 12, 2009 Remarks before Catholic Law School Annual Securities Alumni Luncheon, Washington, D.C. Daniel M. Gallagher, Jr., Co-Acting Director, Division of Trading and Markets
Nov. 9, 2009 Executive Compensation Disclosure: Observations on the 2009 Proxy Season and Expectations for 2010, 4th Annual Proxy Disclosure Conference, San Francisco, California Shelley Parratt, Deputy Director, Division of Corporation Finance
Nov. 6, 2009 Remarks Before the ALI-ABA (American Law Institute/American Bar Association) Conference on Life Insurance Company Products, Washington, D.C. Andrew J. Donohue, Director, Division of Investment Management
Nov. 5, 2009 Remarks at Press Conference, New York, New York Robert Khuzami
Director, Division of Enforcement
Oct. 28, 2009 Luncheon Address at Practicing Law Institute: Strengthening Supervision, New York, New York Daniel M. Gallagher, Jr., Co-Acting Director, Division of Trading and Markets
Oct. 16, 2009 Remarks at Press Conference, New York, New York Robert Khuzami
Director, Division of Enforcement
Oct. 9, 2009 Remarks Before the Hofstra Journal of International Business Law Conference on Investment Management Law, Hempstead, New York Andrew J. Donohue, Director, Division of Investment Management
Oct. 8, 2009 Remarks at the Trader Forum 2009 Fall Workshop: Securities Markets and Regulatory Reform, Boston, Massachusetts James A. Brigagliano, Co-Acting Director, Division of Trading and Markets
Oct. 5, 2009 Remarks at the 2009 NSCP National Meeting, Philadelphia, Pennsylvania John H. Walsh, Acting Director, Office of Compliance Inspections and Examinations
Third Quarter
Sep. 21, 2009 Luncheon Address at IA Week/IA Watch's 9th Annual IA Compliance Fall Conference 2009, Philadelphia, Pennsylvania Andrew J. Donohue, Director, Division of Investment Management
Sep. 17, 2009 Staff Statements at SEC Open Meeting — NRSROs, Washington, D.C. Dan Gallagher, Randall Roy, Penelope Saltzman, Michael Gaw and Blair Petrillo
Aug. 5, 2009 Remarks Before the New York City Bar: My First 100 Days as Director of Enforcement, New York, New York Robert Khuzami
Director, Division of Enforcement
Jul. 14, 2009 and
Aug. 2, 2009
The New Financial Landscape: Lesson of the Financial Crisis, Sydney, Australia, and Chicago, Illinois Ethiopis Tafara
Director, Office of International Affairs
Jul. 1, 2009 Division Statement before the Commission Open Meeting: Shareholder Approval of Executive Compensation of TARP Recipients, Washington, D.C. John Harrington, Attorney-Adviser, Division of Corporation Finance
Jul. 1, 2009 Division Statement before the Commission Open Meeting: Proxy Disclosure and Solicitation Enhancements, Washington, D.C. Sean Harrison, Special Counsel, Division of Corporation Finance
Second Quarter
Jun. 19, 2009 Statement at News Conference Announcing Additional Charges in Stanford Ponzi Scheme Case, Washington, D.C. Robert Khuzami, Director, Division of Enforcement
Jun. 17, 2009 Strengthening Examination Oversight: Changes to Regulatory Examinations, Remarks before the SIFMA Compliance and Legal Division, St. Louis Regional Seminar, The New World of Compliance and Legal, St. Louis, Missouri Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Jun. 4, 2009 Statement at News Conference Announcing Fraud Charges Against Former Countrywide Executives, Washington, D.C. Robert Khuzami, Director, Division of Enforcement
May 20, 2009 Keynote Address to the 2009 SIFMA Market Structure Conference, New York, New York James A. Brigagliano, Co-Acting Director, Division of Trading and Markets
May 20, 2009 Opening Remarks at the SEC Open Meeting, Washington, D.C. Lillian Brown, Senior Special Counsel, Division of Corporation Finance
May 19, 2009 Remarks before Fintel's 2nd Annual Global Financial Services Centers Conference: "Reshaping the World's International Financial Services Centers", Dublin, Ireland Daniel M. Gallagher, Jr., Co-Acting Director, Division of Trading and Markets
May 5, 2009 The Road Ahead: Short Sale Regulation for Today’s Markets, New York, New York James A. Brigagliano, Co-Acting Director, Division of Trading and Markets
Apr. 17, 2009 Investment Company Act of 1940: Regulatory Gap between Paradigm and Reality?, Vancouver, Canada Andrew J. Donohue, Director, Division of Investment Management
Apr. 9, 2009 Remarks at the National Economists Club: Securities Markets and Regulatory Reform, Washington, D.C. Erik R. Sirri, Director, Division of Trading and Markets
Apr. 2, 2009 Keynote Address at the Practising Law Institute's Investment Management Institute 2009, New York, New York Andrew J. Donohue, Director, Division of Investment Management
First Quarter
Mar. 23, 2009 Keynote Address, Investment Company Institute, 2009 Mutual Funds and Investment Management Conference, Washington, D.C. Andrew J. Donohue, Director, Division of Investment Management
Mar. 12, 2009 "Compliance in Today's Environment: Step Up to the Challenge" — Remarks Before the IA Compliance Best Practices Summit 2009, Washington, D.C. Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Feb. 23, 2009 A Few Observations Based On International Regulatory Conversations, Before the CESR Conference, Paris, France Ethiopis Tafara, Director, Office of International Affairs
Jan. 23, 2009 Remarks at the Security Traders Association of Chicago Mid-Winter Meeting, Chicago, Illinois Elizabeth K. King, Associate Director, Division of Trading & Markets
Jan. 15, 2009 The Future of Financial Reporting, National Investors Relations Institute — New York Chapter, New York, New York
Slide presentation (PDF)
William Lutz, Director, 21st Century Disclosure Initiative
Jan. 13, 2009 Address at the Mutual Fund Directors Forum Third Annual Directors' Institute, Fort Myers, Florida Andrew J. Donohue, Director, Division of Investment Management

 

http://www.sec.gov/news/speech/speecharchive/2009speech.shtml


Modified: 10/16/2014