Speeches by the Chair, 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.  To view Speeches prior to 2012, view the Speeches Archive.

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Published date grouping
Date
Title
Speaker
Published date grouping:November 2012 Date: Title:Effective Small Business Capital Formation Requires Investor Protection to Foster Investor Confidence Speaker:

Commissioner Luis Aguilar

U.S. Securities and Exchange Commission

Published date grouping:November 2012 Date: Title:Remarks During News Briefing About SEC-DOJ FCPA Guide Speaker:

Robert Khuzami

Director of the SEC’s Division of Enforcement
U.S. Securities and Exchange Commission

Published date grouping:November 2012 Date: Title:Remarks at the Financial Stability Oversight Council Meeting Speaker:

Chairman Mary L. Schapiro

Published date grouping:November 2012 Date: Title:Remarks to the ALI CLE 2012 Conference on Life Insurance Company Products Speaker:

Norm Champ

Director, Division of Investment Management
U.S. Securities and Exchange Commission

Published date grouping:October 2012 Date: Title:Remarks at the George Washington University Center for Law, Economics and Finance Fourth Annual Regulatory Reform Symposium Speaker:

Chairman Mary L. Schapiro

Published date grouping:October 2012 Date: Title:Keynote Address at the National Society of Compliance Professionals National Meeting Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:October 2012 Date: Title:Conflicts of Interest and Risk Governance Speaker:

Carlo V. di Florio

Director, Office of Compliance Inspections and Examinations*

Published date grouping:October 2012 Date: Title:Speech by SEC Commissioner: Enhancing Disclosure in the Municipal Securities Market: What Now? Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:October 2012 Date: Title:Taking a No-Nonsense Approach to Enforcing the Federal Securities Laws Speaker:

Commissioner Luis Aguilar

U.S. Securities and Exchange Commission

Published date grouping:October 2012 Date: Title:The Expanded Role of Economists in SEC Rulemaking Speaker:

Craig M. Lewis

Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation
U.S. Securities & Exchange Commission

Published date grouping:October 2012 Date: Title:Speech by SEC Chairman: Remarks at 2012 New England Securities Conference Speaker:

Chairman Mary L. Schapiro

U.S. Securities and Exchange Commission

Published date grouping:October 2012 Date: Title:“Market 2012: Time for a Fresh Look at Equity Market Structure and Self-Regulation” Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:October 2012 Date: Title:Speech by SEC Commissioner: Remarks to American Bar Association International Section Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:October 2012 Date: Title:Introductory Remarks at SEC's Market Technology Roundtable Speaker:

Chairman Mary L. Schapiro

U.S. Securities and Exchange Commission

Published date grouping:October 2012 Date: Title:Speech by SEC Commissioner: Bringing Municipal Bond Trading Into the Light Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:September 2012 Date: Title:Crisis and Conflicts Speaker:

Ethiopis Tafara

Director, Office of International Affairs
U.S. Securities and Exchange Commission

Published date grouping:September 2012 Date: Title:"SEC Priorities in Perspective" Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:September 2012 Date: Title:Remarks at Third SAIS Global Conference on Women in the Boardroom Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:September 2012 Date: Title:Working to Achieve the American Dream: Remarks to the Hispanic Bar Association of the District of Columbia Speaker:

Commissioner Luis Aguilar

U.S. Securities and Exchange Commission

Published date grouping:September 2012 Date: Title:Remarks Regarding the Fixed Income Markets at the Conference on Financial Markets Quality Speaker:

Commissioner Daniel M. Gallagher

Georgetown University McDonough School of Business

Published date grouping:September 2012 Date: Title:<em>Slide Presentation (PDF)</em>: Update from the Division of Corporation Finance, 2012 AICPA National Conference on Banks & Savings Institutions Speaker:
Stephanie Ciboroski, Mark Shannon
Published date grouping:August 2012 Date: Title:Remarks Before the 2012 American Accounting Association Annual Meeting - Policy Choices Informed by Root Cause Analysis and the Audit Performance Feedback Loop – Investors are counting on all of us Speaker:

Brian T. Croteau

Deputy Chief Accountant, Office of the Chief Accountant
U.S. Securities and Exchange Commission

Published date grouping:July 2012 Date: Title:Speech by SEC Commissioner: Remarks on News Conference Call About the SEC’s Report on the Municipal Securities Market Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:July 2012 Date: Title:Remarks at Society of Corporate Secretaries & Governance Professionals, 66th National Conference on "The Shape of Things to Come" Speaker:

Commissioner Troy A. Paredes

U.S. Securities and Exchange Commission

Published date grouping:June 2012 Date: Title:Pension Funds as Owners and Investors: A Voice for Working Families Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Published date grouping:June 2012 Date: Title:Remarks to the IRI 2012 Government, Legal & Regulatory Conference Speaker:

Susan Nash

Associate Director, Division of Investment Management
U.S. Securities and Exchange Commission

Published date grouping:June 2012 Date: Title:Speech by SEC Chairman: Remarks at the Meeting of the Investor Advisory Committee Speaker:

Chairman Mary L. Schapiro

U.S. Securities and Exchange Commission

Published date grouping:June 2012 Date: Title:Public Statement by Commissioner: Investor Voices Renewed: The New Investor Advisory Committee Speaker:

Commissioner Luis A. Aguilar

Investor Advisory Committee
U.S. Securities and Exchange Commission

Published date grouping:June 2012 Date: Title:Outline of Dodd-Frank Act and JOBS Act Speaker:

Lori Schock
Director, Office of Investor Education and Advocacy

InvestEd 2012

Published date grouping:June 2012 Date: Title:Speech by SEC Commissioner: Remarks at the Conference on Current Topics in Financial Regulation, organized by the Center for the Study of Financial Regulation, University of Notre Dame Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:June 2012 Date: Title:Risk Assessment at the U.S. Securities & Exchange Commission Speaker:

Craig M. Lewis

Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation
U.S. Securities & Exchange Commission

Published date grouping:May 2012 Date: Title:Speech by SEC Commissioner: Remarks Before the Financial Accounting Foundation's 2012 Annual Board of Trustees Dinner Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:May 2012 Date: Title:Remarks at AICPA Council Spring Meeting Speaker:

Commissioner Troy A. Paredes

U.S. Securities and Exchange Commission

Published date grouping:May 2012 Date: Title:Remarks at the 37th International Organization of Securities Commissions Annual Conference Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:May 2012 Date: Title:Speech by SEC Staff: What SEC Registration Means for Hedge Fund Advisers Speaker:

Norm Champ

Deputy Director, Office of Compliance Inspections and Examinations
U.S. Securities and Exchange Commission

Published date grouping:May 2012 Date: Title:Advocating for Greater Federal and State Securities Regulatory Cooperation and Collaboration Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Published date grouping:May 2012 Date: Title:Speech by SEC Staff: Address at the Private Equity International Private Fund Compliance Forum Speaker:

Carlo V. di Florio

Director, Office of Compliance Inspections and Examinations
U.S. Securities and Exchange Commission

Published date grouping:May 2012 Date: Title:Summary of Remarks at a Meeting of OTC Derivatives Regulators Speaker:
Chairman Mary L. Schapiro
Published date grouping:May 2012 Date: Title:Remarks before AusBiotech Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:April 2012 Date: Title:Remarks to the American Chamber of Commerce in Australia Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:April 2012 Date: Title:Remarks to the IFRS Taxonomy Annual Convention 2012 Speaker:

Mike Starr

Deputy Chief Accountant
U.S. Securities and Exchange Commission

Published date grouping:April 2012 Date: Title:Remarks at the 44th Annual Rocky Mountain Securities Conference Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:March 2012 Date: Title:Speech by SEC Chairman:
Remarks at the SIFMA C&L Conference
Speaker:

Chairman Mary L. Schapiro

U.S. Securities and Exchange Commission

Published date grouping:March 2012 Date: Title:Remarks at the 2012 Mutual Funds and Investment Management Conference Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:March 2012 Date: Title:Speech by Commissioner: Why Seniors Are More Vulnerable Now As Targets for Financial Abuse Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Published date grouping:March 2012 Date: Title:Speech by SEC Chairman: Remarks at the Society of American Business Editors and Writers (SABEW) Annual Convention Speaker:

Chairman Mary L. Schapiro

U.S. Securities and Exchange Commission

Published date grouping:March 2012 Date: Title:Keynote Address at PLI - Eleventh Annual Institute on Securities Regulation in Europe Speaker:

Meredith Cross

Director, Division of Corporation Finance
U.S. Securities and Exchange Commission

Published date grouping:March 2012 Date: Title:Keynote Address: Investment Adviser Association Investment Adviser Compliance Conference/2012 Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:March 2012 Date: Title:Ongoing Regulatory Reform in the Global Capital Markets Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:February 2012 Date: Title:“Broker-Dealer Anti-Money Laundering Compliance – Learning Lessons from the Past and Looking to the Future” Speaker:

David W. Blass

Chief Counsel, Division of Trading and Markets
U.S. Securities and Exchange Commission

Published date grouping:February 2012 Date: Title:Remarks at The SEC Speaks in 2012 Speaker:

Commissioner Elisse B. Walter

Published date grouping:February 2012 Date: Title:Remarks at “The SEC Speaks in 2012” Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities & Exchange Commission

Published date grouping:February 2012 Date: Title:Shining a Light on Expenditures of Shareholder Money Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Published date grouping:February 2012 Date: Title:Remarks at “The SEC Speaks in 2012” Speaker:

Commissioner Troy A. Paredes

U.S. Securities & Exchange Commission

Published date grouping:February 2012 Date: Title:Speech by SEC Chairman: Remarks at the Practising Law Institute’s SEC Speaks Speaker:

Chairman Mary L. Schapiro

U.S. Securities and Exchange Commission

Published date grouping:February 2012 Date: Title:Remarks at the Credit Suisse Global Equity Trading Forum Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:February 2012 Date: Title:Slide Presentation (PDF): SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, PCAOB Forums on Auditing in the Small Business Environment Speaker:

Craig Olinger

Published date grouping:February 2012 Date: Title:Remarks Before the PLI Investment Management Institute 2012 Speaker:

Eileen P. Rominger

Director, Division of Investment Management
U.S. Securities and Exchange Commission

Published date grouping:February 2012 Date: Title:<i>Slide Presentation (PDF)</i>: SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, PCAOB Forums on Auditing in the Small Business Environment Speaker:
Craig Olinger
Published date grouping:February 2012 Date: Title:Speech by SEC Staff: Remarks on News Conference Call About Case Against Credit Suisse Investment Bankers Speaker:

Robert Khuzami

Director of the SEC’s Division of Enforcement
U.S. Securities and Exchange Commission

Published date grouping:January 2012 Date: Title:Speech by SEC Staff: Remarks at the Compliance Outreach Program Speaker:

Carlo V. di Florio

Director, Office of Compliance Inspections and Examinations
U.S. Securities and Exchange Commission*

Published date grouping:January 2012 Date: Title:Speech by SEC Staff: Remarks at Joint News Conference to Announce RMBS Working Group Speaker:

Robert Khuzami

Director of the SEC’s Division of Enforcement
U.S. Securities and Exchange Commission

Published date grouping:January 2012 Date: Title:Speech by SEC Staff: News Conference Remarks Speaker:

Robert Khuzami

Director of the SEC’s Division of Enforcement
U.S. Securities and Exchange Commission

Published date grouping:January 2012 Date: Title:Remarks at the SRO Outreach Conference Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

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