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Commission Speeches and Public Statements Archive: 2011
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2011 Speeches and Statements by the Chairman and Commissioners
Date |
Title |
Author |
Fourth Quarter |
Dec. 15, 2011 |
Remarks at the Transatlantic Corporate Governance Dialogue, Washington, D.C. |
Chairman
Mary L. Schapiro |
Dec. 14, 2011 |
“SEC Reform After Dodd-Frank and the Financial Crisis”, Washington, D.C. |
Commissioner
Daniel M. Gallagher |
Nov. 18, 2011 |
Remarks at the Closing of the International Institute for Securities Enforcement and Market Oversight, UWashington, D.C. |
Commissioner
Elisse B. Walter |
Nov. 17, 2011 |
Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. |
Commissioner
Elisse B. Walter |
Nov. 17, 2011 |
Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. |
Chairman
Mary L. Schapiro |
Nov. 17, 2011 |
Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. |
Commissioner
Daniel Gallagher |
Nov. 17, 2011 |
Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. |
Commissioner
Troy A. Paredes |
Nov. 17, 2011 |
Facilitating Small Business Capital Formation Does Not Need to Be at the Expense of Protecting Investors, SEC Government-Business Forum on Small Business Capital Formation, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Nov. 8, 2011 |
Remarks Before the FINRA Institute at Wharton Certified Regulatory and Compliance Professional (CRCP) Program, University of Pennsylvania |
Commissioner
Elisse B. Walter |
Nov. 7, 2011 |
Remarks at SIFMA’s 2011 Annual Meeting, New York, New York |
Chairman
Mary L. Schapiro |
Nov. 3, 2011 |
Improving the Quality and Outcomes of Retirement Planning, The American Retirement Summit, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Nov. 3, 2011 |
Remarks at Stanford Center on Longevity — FINRA Investor Education Foundation Conference, Washington, D.C. |
Chairman
Mary L. Schapiro |
Nov. 2, 2011 |
Remarks to TheCorporateCounsel.Net "Say-on-Pay Workshop Conference", San Francisco (video presentation) |
Chairman
Mary L. Schapiro |
Oct. 27, 2011 |
Twelfth Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law, New York, NY |
Commissioner
Troy A. Paredes |
Oct. 26, 2011 |
Opening Statement at SEC Open Meeting: “Obtaining Reliable Information Regarding Private Fund Advisers”, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Oct. 26, 2011 |
Opening Statement at SEC Open Meeting: Private Fund Systemic Risk Reporting, Washington, D.C |
Chairman
Mary L. Schapiro |
Oct. 26, 2011 |
Statement at Open Meeting to Adopt Form PF, Washington, D.C. |
Commissioner
Troy A. Paredes |
Oct. 25, 2011 |
Remarks before the SIFMA Compliance and Legal Fall Seminar, New York, New York |
Commissioner
Elisse B. Walter |
Oct. 12, 2011 |
Opening Statement at SEC Open Meeting — Prohibitions and Restrictions on Proprietary Trading, Washington, D.C. |
Chairman
Mary L. Schapiro |
Oct. 12, 2011 |
Opening Statement at SEC Open Meeting — Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants, Washington, D.C. |
Chairman
Mary L. Schapiro |
Oct. 12, 2011 |
Statement at SEC Open Meeting — Proprietary Trading, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Oct. 12, 2011 |
Statement at SEC Open Meeting — Security-Based Swap Registration, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Oct. 12, 2011 |
Statement at SEC Open Meeting — Proprietary Trading, Washington, D.C. |
Commissioner
Troy A. Paredes |
Oct. 12, 2011 |
Statement at SEC Open Meeting — Security-Based Swap Registration, Washington, D.C. |
Commissioner
Troy A. Paredes |
Oct. 12, 2011 |
Statement at SEC Open Meeting — Security-Based Swap Registration, Washington, D.C. |
Commissioner
Elisse B. Walter |
Third Quarter |
Sep. 19, 2011 |
Opening Statement at SEC Open Meeting — Conflicts of Interest Relating to Certain Securitizations, Washington, D.C. |
Chairman
Mary L. Schapiro |
Sep. 19, 2011 |
Statement at SEC Open Meeting — Conflicts of Interest Relating to Certain Securitizations, Washington, D.C. |
Commissioner
Troy A. Paredes |
Sep. 19, 2011 |
Statement at SEC Open Meeting — Conflicts of Interest Relating to Certain Securitizations, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Sep. 13, 2011 |
Statement Regarding the Urgent Need to Re-establish the Investor Advisory Committee, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Sep. 12, 2011 |
Remarks Before the North American Securities Administrators Association 2011 Annual Conference, Wichita, Kansas |
Commissioner
Elisse B. Walter |
Aug. 31, 2011 |
Opening Statement at SEC Open Meeting: Item 2 — Asset-Backed Issuers and Mortgage-Related Pools, Washington, D.C. |
Chairman
Mary L. Schapiro |
Aug. 31, 2011 |
Opening Statement at SEC Open Meeting: Item 1 — Use of Derivatives by Funds, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jul. 29, 2011 |
Statement at SEC Field Hearing on the State of the Municipal Securities Market, Birmingham, AL |
Commissioner
Elisse B. Walter |
Jul. 26, 2011 |
Statement at SEC Open Meeting: Item 2 — Security Ratings, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Jul. 26, 2011 |
Statement at SEC Open Meeting: Item 3 — Shelf-Eligibility Requirements for Asset-Backed Securities, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Jul. 26, 2011 |
Statement at SEC Open Meeting: Item 1 — Large Trader Reporting, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Jul. 26, 2011 |
Statement at SEC Open Meeting: Item 2 — Security Ratings, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Jul. 26, 2011 |
Statement at SEC Open Meeting: Item 3 — Shelf-Eligibility Requirements for Asset-Backed Securities, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Jul. 26, 2011 |
Statement at SEC Open Meeting: Item 2 — Security Ratings, Washington, D.C. |
Commissioner
Troy A. Paredes |
Jul. 26, 2011 |
Statement at SEC Open Meeting: Item 1 — Large Trader Reporting, Washington, D.C. |
Commissioner
Elisse B. Walter |
Jul. 26, 2011 |
Opening Statement at SEC Open Meeting: Item 3 — Shelf-Eligibility Requirements for Asset-Backed Securities, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jul. 26, 2011 |
Opening Statement at SEC Open Meeting: Item 2 — Security Ratings, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jul. 26, 2011 |
Opening Statement at SEC Open Meeting: Item 1 — Large Trader Reporting, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jul. 18, 2011 |
Remarks Before the Financial Stability Oversight Council Meeting, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jul. 13, 2011 |
Statement Regarding Interim Final Temporary Rule 15b12 1T — Brokers or Dealers Engaged in a Retail Forex Business |
Commissioner
Luis A. Aguilar |
Jul. 12, 2011 |
Remarks Before the Women in Finance Symposium, Washington, D.C. |
Chairman
Mary L. Schapiro |
Second Quarter |
Jun. 29, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Troy A. Paredes |
Jun. 29, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jun. 29, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Jun. 29, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Jun. 24, 2011 |
Keynote Address at the Society of Corporate Secretaries and Governance Professionals 65th Annual Conference, Colorado Springs, Colorado |
Commissioner
Kathleen L. Casey |
Jun. 22, 2011 |
Statement at SEC Open Meeting: Rules Implementing Amendments to the Investment Advisers Act of 1940 and Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers, Washington, D.C. |
Commissioner
Elisse B. Walter |
Jun. 22, 2011 |
Statement at SEC Open Meeting: Rules Implementing Amendments to the Investment Advisers Act of 1940 and Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers, Washington, D.C. |
Commissioner
Troy A. Paredes |
Jun. 22, 2011 |
Statement at SEC Open Meeting: Family Offices, Washington, D.C. |
Commissioner
Troy A. Paredes |
Jun. 22, 2011 |
Statement at SEC Open Meeting: Rules Implementing Amendments to the Investment Advisers Act of 1940 and Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Jun. 22, 2011 |
Statement at SEC Open Meeting: Family Offices, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jun. 22, 2011 |
Statement at SEC Open Meeting: Rules Implementing Amendments to the Investment Advisers Act of 1940 and Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jun. 22, 2011 |
Statement at SEC Open Meeting: Rules Implementing Amendments to the Investment Advisers Act of 1940 and Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Jun. 22, 2011 |
Remarks Before the American Securitization Forum 2011 Annual Meeting, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jun. 15, 2011 |
Statement at SEC Open Meeting: Proposals to Amend Rule 17a-5, Washington, D.C. |
Commissioner
Troy A. Paredes |
Jun. 15, 2011 |
Statement at SEC Open Meeting: Proposals to Amend Rule 17a-5, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Jun. 15, 2011 |
Statement at SEC Open Meeting: Proposals to Amend Rule 17a-5, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jun. 11, 2011 |
Remarks Before the Bennett S. LeBow College of Business at Drexel University, Philadelphia, Pennsylvania |
Chairman
Mary L. Schapiro |
Jun. 10, 2011 |
An Inflection Point: The SEC and the Current Financial Reform Landscape, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Jun. 8, 2011 |
Remarks at the Symposium on “Hedge Fund Regulation and Current Developments,” New York, NY |
Commissioner
Troy A. Paredes |
May 25, 2011 |
Statement at SEC Open Meeting: Item 1 — Felons and Bad Actors, Washington, D.C. |
Commissioner
Kathleen L. Casey |
May 25, 2011 |
Statement at SEC Open Meeting: Item 2 — Whistleblower Program, Washington, D.C. |
Commissioner
Kathleen L. Casey |
May 25, 2011 |
Statement at SEC Open Meeting: Item 2 — Whistleblower Program, Washington, D.C. |
Commissioner
Elisse B. Walter |
May 25, 2011 |
Statement at SEC Open Meeting: Item 2 — Whistleblower Program, Washington, D.C. |
Commissioner
Troy A. Paredes |
May 25, 2011 |
Statement at SEC Open Meeting: Item 1 — Felons and Bad Actors, Washington, D.C. |
Commissioner
Troy A. Paredes |
May 25, 2011 |
Statement at SEC Open Meeting: Item 2 — Whistleblower Program, Washington, D.C. |
Commissioner
Luis A. Aguilar |
May 25, 2011 |
Statement at SEC Open Meeting: Item 1 — Felons and Bad Actors, Washington, D.C. |
Commissioner
Luis A. Aguilar |
May 25, 2011 |
Statement at SEC Open Meeting: Item 2 — Whistleblower Program, Washington, D.C. |
Chairman
Mary L. Schapiro |
May 25, 2011 |
Statement at SEC Open Meeting: Item 1 — Felons and Bad Actors, Washington, D.C. |
Chairman
Mary L. Schapiro |
May 24, 2011 |
Remarks Before the Financial Accounting Foundation’s 2011 Annual Board of Trustees Dinner, Washington, D.C. |
Chairman
Mary Schapiro |
May 18, 2011 |
Statement at SEC Open Meeting: Proposed Rules for Nationally Recognized Statistical Rating Organizations, Washington, D.C. |
Commissioner
Kathleen L. Casey |
May 18, 2011 |
Statement at SEC Open Meeting: Proposed Rules for Nationally Recognized Statistical Rating Organizations, Washington, D.C. |
Chairman
Mary Schapiro |
May 18, 2011 |
Statement at SEC Open Meeting: Proposed Rules for Nationally Recognized Statistical Rating Organizations, Washington, D.C. |
Commissioner
Luis A. Aguilar |
May 10, 2011 |
Remarks Before the Money Market Funds and Systemic Risk Roundtable, Washington, D.C. |
Chairman
Mary L. Schapiro |
May 6, 2011 |
Remarks at the 43rd Annual Rocky Mountain Securities Conference, Denver, Colorado |
Commissioner
Troy A. Paredes |
May 6, 2011 |
Remarks Before the Investment Company Institute's General Membership Meeting, Washington D.C. |
Chairman
Mary L. Schapiro |
May 4, 2011 |
Keynote Address at the National Federation of Municipal Analysts (NFMA) Twenty-Eighth Annual Conference, Charleston, S.C. |
Commissioner
Elisse B. Walter |
May 2, 2011 |
The Abysmal Lack of Diversity in Corporate Boardrooms is Growing Worse, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Apr. 30, 2011 |
An Update on Diversity and Financial Literacy, Keynote Speech at 2011 Hispanic Association of Corporate Responsibility — Corporate Directors Summit, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Apr. 27, 2011 |
Statement at SEC Open Meeting: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934, Washington, D.C. |
Commissioner
Troy A. Paredes |
Apr. 27, 2011 |
Statement at SEC Open Meeting: Product Definitions and Regulation of Mixed Swaps, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Apr. 27, 2011 |
Statement at SEC Open Meeting: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934, Washington, D.C. |
Commissioner
Elisse B. Walter |
Apr. 27, 2011 |
Statement at SEC Open Meeting: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Apr. 27, 2011 |
Statement at SEC Open Meeting: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934, Washington, D.C. |
Chairman
Mary L. Schapiro |
Apr. 27, 2011 |
Statement at SEC Open Meeting: Product Definitions Contained in Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Washington, D.C. |
Chairman
Mary L. Schapiro |
Apr. 27, 2011 |
Statement at SEC Open Meeting: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Apr. 27, 2011 |
Statement at SEC Open Meeting: Product Definitions Contained in Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Apr. 21, 2011 |
Still Fighting for Inclusion and Equal Opportunity, Keynote Speech at Latin American Association’s 22nd Annual Compañeros Award Luncheon, Atlanta, Georgia |
Commissioner
Luis A. Aguilar |
Apr. 8, 2011 |
Remarks before the Society of American Business Editors and Writers, Dallas, Texas |
Chairman
Mary L. Schapiro |
Apr. 4, 2011 |
Facilitating Real Capital Formation, Council of Institutional Investors Spring Meeting, Washington, D.C. |
Commissioner
Luis A. Aguilar |
First Quarter |
Mar. 30, 2011 |
Statements at SEC Open Meeting: Credit Risk Retention and Listing Standards for Compensation Committees, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Mar. 30, 2011 |
Statement at SEC Open Meeting: Listing Standards for Compensation Committees, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Mar. 30, 2011 |
Statement at SEC Open Meeting: Credit Risk Retention, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Mar. 30, 2011 |
Statement at SEC Open Meeting: Listing Standards for Compensation Committees, Washington, D.C. |
Chairman
Mary L. Schapiro |
Mar. 30, 2011 |
Statement at SEC Open Meeting: Credit Risk Retention, Washington, D.C. |
Chairman
Mary L. Schapiro |
Mar. 30, 2011 |
Statement at SEC Open Meeting: Listing Standards for Compensation Committees, Washington, D.C. |
Commissioner
Troy A. Paredes |
Mar. 30, 2011 |
Statement at SEC Open Meeting: Credit Risk Retention, Washington, D.C. |
Commissioner
Troy A. Paredes |
Mar. 28, 2011 |
Exemplifying Fundamentals — Back to Basics, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Mar. 23, 2011 |
Remarks at SIFMA’s Compliance and Legal Society Annual Seminar, Phoenix, Arizona (Video Presentation) |
Chairman
Mary L. Schapiro |
Mar. 22, 2011 |
Remarks before the Forum for Corporate Directors, San Diego, California |
Commissioner
Kathleen L. Casey |
Mar. 10, 2011 |
Remarks Before the 2011 Investment Adviser Compliance Conference, Arlington, Virginia |
Commissioner
Troy A. Paredes |
Mar. 8, 2011 |
Remarks Before the 27th Annual NABE Economic Policy Conference, Arlington, Virginia |
Commissioner
Troy A. Paredes |
Mar. 2, 2011 |
Statement at SEC Open Meeting: Proposed Rules for Operation and Governance of Clearing Agencies, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Mar. 2, 2011 |
Statement at SEC Open Meeting: Proposed Rules on Incentive-Based Compensation, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Mar. 2, 2011 |
Statement at SEC Open Meeting: Proposed Rules on Incentive-Based Compensation, Washington, D.C. |
Commissioner
Elisse B. Walter |
Mar. 2, 2011 |
Statement at SEC Open Meeting: Proposal to Remove Credit Rating References from Investment Company Act Rules and Forms, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Mar. 2, 2011 |
Statement at SEC Open Meeting: Proposal to Remove Credit Rating References from Investment Company Act Rules and Forms, Washington, D.C. |
Commissioner
Troy A. Paredes |
Mar. 2, 2011 |
Statement at SEC Open Meeting: Proposed Rules for Operation and Governance of Clearing Agencies, Washington, D.C. |
Commissioner
Troy A. Paredes |
Mar. 2, 2011 |
Statement at SEC Open Meeting: Proposed Rules on Incentive-Based Compensation, Washington, D.C. |
Commissioner
Troy A. Paredes |
Mar. 2, 2011 |
Statement at SEC Open Meeting: Proposal to Remove Credit Rating References from Investment Company Act Rules and Forms, Washington, D.C. |
Chairman
Mary L. Schapiro |
Mar. 2, 2011 |
Statement at SEC Open Meeting: Proposed Rules for Operation and Governance of Clearing Agencies, Washington, D.C. |
Chairman
Mary L. Schapiro |
Mar. 2, 2011 |
Statement at SEC Open Meeting: Proposed Rules on Incentive-Based Compensation, Washington, D.C. |
Chairman
Mary L. Schapiro |
Feb. 10, 2011 |
Remarks at the DirectWomen Board Institute, New York, N.Y. |
Commissioner
Elisse B. Walter |
Feb. 10, 2011 |
A Tale of Two Studies: Investment Management Institute Keynote Remarks, New York, N.Y. |
Commissioner
Elisse B. Walter |
Feb. 9, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Feb. 9, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Feb. 9, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Troy A. Paredes |
Feb. 9, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Chairman
Mary L. Schapiro |
Feb. 8, 2011 |
Remarks at the CCOutreach National Seminar, Washington, D.C. |
Chairman
Mary L. Schapiro |
Feb. 4, 2011 |
Remarks at The SEC Speaks in 2011, Washington, D.C. |
Commissioner
Elisse B. Walter |
Feb. 4, 2011 |
Remarks at The SEC Speaks in 2011, Washington, D.C. |
Commissioner
Troy A. Paredes |
Feb. 4, 2011 |
Address to Practising Law Institute's SEC Speaks in 2011 Program, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Feb. 4, 2011 |
Setting Forth Aspirations for 2011:
Address to Practising Law Institute’s SEC Speaks in 2011 Program, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Feb. 4, 2011 |
Evolving to Meet the Needs of Investors:
Address to Practising Law Institute’s SEC Speaks in 2011 Program, Washington, D.C. |
Chairman
Mary L. Schapiro |
Feb. 2, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Feb. 2, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Troy A. Paredes |
Feb. 2, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jan. 25, 2011 |
Statement at SEC Open Meeting: Say-On-Pay and Golden Parachute Compensation |
Commissioner
Troy A. Paredes |
Jan. 25, 2011 |
Statement at SEC Open Meeting: Net Worth Standard for Accredited Investors |
Commissioner
Troy A. Paredes |
Jan. 25, 2011 |
Statement at SEC Open Meeting: Net Worth Standard for Accredited Investors and Say-On-Pay and Golden Parachute Compensation, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Jan. 25, 2011 |
Statement at SEC Open Meeting: Private Fund Systemic Risk Reporting, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Jan. 25, 2011 |
Statement at SEC Open Meeting: Say-On-Pay and Golden Parachute Compensation, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jan. 25, 2011 |
Statement at SEC Open Meeting: Net Worth Standard for Accredited Investors, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jan. 25, 2011 |
Statement at SEC Open Meeting: Private Fund Systemic Risk Reporting, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jan. 23, 2011 |
“The Regulatory Implementation and Implications of Dodd-Frank”, Directors’ Forum 2011, University of San Diego, San Diego, California |
Commissioner
Kathleen L. Casey |
Jan. 21, 2011 |
Statement Regarding Study On Investment Advisers And Broker-Dealers, Washington, D.C.
See Also: Study |
Commissioners
Kathleen L. Casey
and Troy A. Paredes |
Jan. 20, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Chairman
Mary L. Schapiro |
Jan. 20, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Luis A. Aguilar |
Jan. 20, 2011 |
Statement at SEC Open Meeting, Washington, D.C. |
Commissioner
Kathleen L. Casey |
Jan. 20, 2011 |
Statement at SEC Open Meeting |
Commissioner
Troy A. Paredes |
Jan. 19, 2011 |
Statement on Study Enhancing Investment Adviser Examinations, Washington, D.C.
See Also: Study |
Commissioner
Elisse B. Walter |
2011 Speeches and Statements by Commission Staff
Date |
Title |
Author |
Fourth Quarter |
Dec. 13, 2011 |
Remarks Before the ICI 2011 Securities Law Developments Conference, Washington, D.C. |
Eileen Rominger
Director, Division of Investment Management |
Dec. 7, 2011 |
Slide Presentation (PDF): Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Gerald Laporte
Chief, Office of Small Business Policy, Division of Corporation Finance |
Dec. 7, 2011 |
Slide Presentation (PDF): Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Craig Olinger
Deputy Chief Accountant, Division of Corporation Finance |
Dec. 6, 2011 |
Slide Presentation (PDF): Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C. |
Nili Shah and Craig Olinger
Deputy Chief Accountants, Division of Corporation Finance |
Dec. 6, 2011 |
Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments |
Howard Scheck
Chief Accountant, Division of Enforcement |
Dec. 5, 2011 |
Prepared Remarks for the 2011 AICPA National Conference on Current SEC and PCAOB Developments |
Paul A. Beswick
Deputy Chief Accountant |
Dec. 5, 2011 |
Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments |
Christian Peo
Professional Accounting Fellow, Office of the Chief Accountant |
Dec. 5, 2011 |
Remarks before the 2011 AICPA National Conference on Current SEC and PCAOB Developments |
Jason K. Plourde
Professional Accounting Fellow, Office of the Chief Accountant |
Dec. 5, 2011 |
Remarks Before the 2011 AICPA National Conference on Current SEC and PCAOB Developments |
James L. Kroeker
Chief Accountant, Office of the Chief Accountant |
Dec. 5, 2011 |
Remarks Before the 2011 AICPA National Conference on Current SEC and PCAOB Developments — The Role of the Audit Performance Feedback Loop in Audit Policy Decision-Making |
Brian T. Croteau
Deputy Chief Accountant, Office of the Chief Accountant |
Dec. 1, 2011 |
Remarks Before the Consumer Federation of America's Financial Services Conference |
Robert Khuzami
Director, Division of Enforcement |
Dec. 2011 |
Slide Presentation (PDF): SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, PCAOB Forums on Auditing in the Small Business Environment |
Craig Olinger, Deputy Chief Accountant, Division of Corporation Finance |
Nov. 28, 2011 |
Statement on Court's Refusal to Approve Settlement in Citigroup Case |
Robert Khuzami
Director, Division of Enforcement |
Nov. 17, 2011 |
Remarks Before the ICI 2011 Closed-End Fund Conference, New York, NY |
Eileen Rominger
Director, Division of Investment Management |
Nov. 3, 2011 |
Remarks Before the ALI-ABA Conference on Life Insurance Company Products, Washington, D.C. |
Eileen P. Rominger
Director, Division of Investment Management |
Oct. 17, 2011 |
The Role of Compliance and Ethics in Risk Management, NSCP National Meeting |
Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations |
Third Quarter |
Sep. 21, 2011 |
Market Structure: What we Know, and What We Need to Know, New York, New York |
Gregg E. Berman
Senior Advisor to the Director, Division of Trading and Markets |
Sep. 17, 2011 |
Remarks at the BetterInvesting National Convention, Covington, Kentucky |
Lori J. Schock
Director, Office of Investor Education and Advocacy |
Sep. 9, 2011 |
Remarks before the Mutual Fund Directors Forum and the University of Maryland “Oversight of Derivatives” Conference, Washington, D.C. |
Eileen P. Rominger
Director, Division of Investment Management |
Aug. 11, 2011 |
Remarks at Georgetown University, Washington, D.C. |
Sean X. McKessy
Chief, Office of the Whistleblower
|
Jul. 22, 2011 |
Statement Regarding Court of Appeals Decision on Proxy Access, Washington, D.C. |
Meredith Cross
Director, Division of Corporation Finance
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Jul. 7, 2011 |
G-20 Financial Landscape Workshop, Organization for Economic Cooperation & Development, Paris, France |
Ethiopis Tafara
Director, Office of International Affairs
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Second Quarter |
Jun. 24, 2011 |
Keynote Address at the Insured Retirement Institute 2011 Government, Legal & Regulatory Conference, Washington, D.C. |
Eileen P. Rominger
Director, Division of Investment Management |
Jun. 5, 2011 |
Remarks at the University of Southern California SEC and Financial Reporting Institute Conference, Pasadena, California |
James L. Kroeker
Chief Accountant |
Jun. 1, 2011 |
Remarks to Criminal Law Group of the UJA-Federation of New York |
Robert Khuzami
Director, Division of Enforcement |
May 25, 2011 |
Remarks at Open Meeting — Whistleblower Program |
Robert Khuzami
Director, Division of Enforcement |
May 15, 2011 |
Remarks at InvestEd Investor Education Conference, San Diego, California |
Lori J. Schock
Director, Office of Investor Education and Advocacy |
May 3, 2011 |
Private Equity International's Private Fund Compliance, New York, New York |
Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations |
First Quarter |
Mar. 23, 2011 |
Remarks at SIFMA’s Compliance and Legal Society Annual Seminar, Phoenix, Arizona (Video Presentation) |
Robert Khuzami
Director, Division of Enforcement |
Mar. 21, 2011 |
Remarks at the IA Watch Annual IA Compliance Best Practices Seminar, Omni Shoreham Hotel, Washington, D.C. |
Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations |
Mar. 7, 2011 |
Remarks at News Conference on the Case Against Francisco Illarramendi, New Haven, Connecticut |
David Bergers
Regional Director, Boston Regional Office |
Mar. 3, 2011 |
Keynote address at the SIFMA Anti-Money Laundering Seminar |
Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations |
Feb. 8, 2011 |
Remarks at the CCOutreach National Seminar, Washington, D.C. |
Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations |
Feb. 8, 2011 |
Remarks at News Conference Announcing Expert Networks Insider Trading Charges, New York, New York |
Robert S. Khuzami
Director, Division of Enforcement |
Jan. 25, 2011 |
Remarks at the Practising Law Institute's Ninth Annual Institute on Securities Regulation in Europe, London, England |
David M. Becker
General Counsel |
http://www.sec.gov/news/speech/speecharchive/2011speech.shtml
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