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Commission Speeches and Public Statements Archive: 2011

Speeches and Statements by:

Chairman and Commissioners
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
Commission Staff
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
Alphabetically by Speaker

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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
Jul. 7, 2011	G-20 Financial Landscape Workshop, Organization for Economic Cooperation & Development, Paris, France	Ethiopis Tafara Director, Office of International Affairs
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

Commission Speeches and Public Statements Archive: 2011

Speeches and Statements by:

Additional Archives

2011 Speeches and Statements by the Chairman and Commissioners

2011 Speeches and Statements by Commission Staff

Modified: 08/11/2016