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Commission Speeches and Public Statements
This index lists recent speeches and other public statements by the SEC Chairman and the Commissioners of the SEC, which generally cover a wide range of topics concerning the state of the markets and the Commission's regulatory agenda. These files will be updated on a periodic basis.
Materials currently available fall into two categories:
2003-2004 Speeches and Statements
by the Chairman and Commissioners |
| Date |
Title |
Author |
2004 Speeches and Statements by the Chairman and
Commissioners |
| Oct. 7, 2004 |
Remarks before the Securities Traders Association, by Commissioner Paul S. Atkins, Boca Raton, FL |
Commissioner
Paul S. Atkins |
| Oct. 1, 2004 |
Remarks at the XIXth Conference on Financial Markets and Control Systems, by Commissioner Cynthia A. Glassman, Courmayeur-Mont Blanc, Italy |
Commissioner
Cynthia A. Glassman |
| Sep. 28, 2004 |
Remarks before the Council of Institutional Investors, by Commissioner Cynthia A. Glassman, Boston, MA |
Commissioner
Cynthia A. Glassman |
| Sep. 27, 2004 |
Remarks before Financial Services Leadership Forum, by Chairman William H. Donaldson, New York City, NY |
Chairman
William H. Donaldson |
| Aug. 18, 2004 |
Closing Statement at August 18, 2004 Open Commission Meeting, Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Aug. 18, 2004 |
Opening Statement on Portfolio Manager Disclosure at August 18, 2004 Open Commission Meeting, Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Aug. 18, 2004 |
Opening Statement on Final Amendments to Rule 12b-1 at August 18, 2004 Open Commission Meeting, Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Jul. 14, 2004 |
Statement at July 14, 2004, Open Meeting, by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Jul. 14, 2004 |
Statement at July 14, 2004, Open Meeting, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Jul. 14, 2004 |
Closing Statement at July 14, 2004, Open Meeting, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Jul. 14, 2004 |
Opening Statement at July 14, 2004, Open Meeting, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Jun. 23, 2004 |
Statement Regarding Investment Company Governance Proposal, by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Jun. 23, 2004 |
Statement Regarding Investment Company Governance Proposal, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Jun. 20, 2004 |
Remarks from Directors College at Stanford University Law School, by Chairman William H. Donaldson, Stanford, CA |
Chairman
William H. Donaldson |
| Jun. 18, 2004 |
The SEC's Role as Functional Regulator of Bank Securities Activities, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Jun. 14, 2004 |
Remarks before the National Association for Variable Annuities, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| June 2, 2004 |
Opening Statement at June 2, 2004, Open Meeting, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| June 1, 2004 |
Baruch College Commencement, by Chairman William H. Donaldson, New York, N.Y. |
Chairman
William H. Donaldson |
| May 26, 2004 |
Opening Statement at May 26, 2004, Open Meeting, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| May 12, 2004 |
Remarks to the National Association of Securities Dealers,
by Chairman William H. Donaldson |
Chairman
William H. Donaldson |
| Apr. 28, 2004 |
Opening Statement at April 28, 2004, Open Meeting, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Apr. 22, 2004 |
Remarks Before the Investment Counsel Association of America , by Chairman William H. Donaldson, Palm Beach, Florida |
Chairman
William H. Donaldson |
| Apr. 21, 2004 |
Opening Remarks at Hearing on Regulation NMS, by Chairman William H. Donaldson, New York, New York |
Chairman
William H. Donaldson |
| Apr. 13, 2004 |
Introductory Remarks at April 13, 2004 Open Meeting, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Mar. 25, 2004 |
Remarks to the Council of Institutional Investors, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Mar. 23, 2004 |
Remarks at the SIA Compliance & Legal Division's 35th Annual Seminar,
by Commissioner Cynthia A. Glassman, Phoenix, Arizona |
Commissioner
Cynthia A. Glassman |
| Mar. 10, 2004 |
Opening Remarks at the Security Holder Director Nominations Roundtable, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Mar. 8, 2004 |
American Enterprise Institute — Issues Surrounding The SEC's Shareholder Access Proposal,
by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Mar. 5, 2004 |
Practising Law Institute — My Top 10 Observations as an SEC Commissioner,
by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Mar. 5, 2004 |
Remarks to the Practising Law Institute, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Mar. 4, 2004 |
Women's Syndicate Association — What Were They Thinking? Observations of an SEC Commissioner,
by Commissioner Cynthia A. Glassman, New York, N. Y. |
Commissioner
Cynthia A. Glassman |
| Mar. 2, 2004 |
Remarks Before the ABA Section of Business Law – 5th Annual Conference on Private Investment Funds,
by Commissioner Paul S. Atkins, London, England |
Commissioner
Paul S. Atkins |
| Mar. 1, 2004 |
Remarks at the Annual Conference Institute of International Bankers,
by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Feb. 25, 2004 |
Mandatory Redemption Fees — Opening Statement at Open Meeting, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Feb. 24, 2004 |
Remarks for Open Meeting on NMS Rule Proposal,
by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Feb. 24, 2004 |
Regulation NMS Proposal — Opening Statement at Open Meeting, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Feb. 20, 2004 |
Board Independence and the Evolving Role of Directors — 26th Annual Conference on Securities Regulation and Business Law Problems, by Commissioner Cynthia A. Glassman, Dallas, Texas |
Commissioner
Cynthia A. Glassman |
| Feb. 17, 2004 |
Remarks at the Eighth Annual Conference on The Practical Implications of SEC Regulation Outside the United States, by Commissioner Cynthia A. Glassman, London, England |
Commissioner
Cynthia A. Glassman |
| Feb. 11, 2004 |
Introductory Statement at February 11, 2004, Open Meeting, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Feb. 3, 2004 |
Legal & Compliance Conference – The Bond Market Association, by Commissioner Cynthia A. Glassman, New York, NY |
Commissioner
Cynthia A. Glassman |
| Jan. 14, 2004 |
Opening Statement at SEC Open Meeting, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Jan. 7, 2004 |
America's Need for Vigilant Mutual Fund Directors, by Chairman William H. Donaldson, before the Mutual Fund Directors Forum |
Chairman
William H. Donaldson |
2003 Speeches and Statements by the Chairman and Commissioners |
| Dec. 17, 2003 |
Statement Regarding the NYSE Approval Order, by Commissioner Roel C. Campos, Washington, D.C. |
Commissioner
Roel C. Campos |
| Dec. 17, 2003 |
Opening Statement at SEC Open Meeting, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Dec. 11, 2003 |
Remarks At Conference On Institutional Equity Trading, by Commissioner Paul S. Atkins, Manalapan, FL |
Commissioner
Paul S. Atkins |
| Dec. 4, 2003 |
Mutual Fund Regulation: A Time for Healing and Reform, by Commissioner Harvey J. Goldschmid, before the ICI 2003 Securities Law Developments Conference, Washington, DC |
Commissioner
Harvey J. Goldschmid |
| Dec. 3, 2003 |
Opening Statement at Open Securities and Exchange Commission Meeting, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Nov. 17, 2003 |
A Lawyer's Role in Corporate Governance: The Myth of Absolute Confidentiality and the Complexity of the Counseling Task, by Commissioner Harvey J. Goldschmid, the Orison S. Marden Lecture before the Association of the Bar of the City of New York |
Commissioner
Harvey J. Goldschmid |
| Nov. 15, 2003 |
Convergence And Beyond: U.S. – Europe Symposium: Program on International Financial Systems, by Commissioner Roel C. Campos, Armonk, N.Y. |
Commissioner
Roel C. Campos |
| Nov. 7, 2003 |
Remarks to the Securities Industry Association, by Chairman William H. Donaldson, Boca Raton, Fla. |
Chairman
William H. Donaldson |
| Nov. 7, 2003 |
Remarks Before the Aspen Institute Italia Seminars for Leaders, by Commissioner Cynthia A. Glassman, Cernobbio, Italy |
Commissioner
Cynthia A. Glassman |
| Nov. 6, 2003 |
Remarks to the Practising Law Institute, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Oct. 20, 2003 |
Remarks on Governance Reforms and the Role of Directors before the National Association of Corporate Directors, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Oct. 17, 2003 |
Remarks on Sarbanes-Oxley's Lessons For Broker Dealers before the NASD Fall Securities Conference, by Commissioner Cynthia A. Glassman, Scottsdale, Ariz. |
Commissioner
Cynthia A. Glassman |
| Oct. 16, 2003 |
Remarks before the Security Traders Association, by Commissioner Cynthia A. Glassman, Scottsdale, Ariz. |
Commissioner
Cynthia A. Glassman |
| Oct. 8, 2003 |
Remarks before the Bank Insurance and Securities Association's Legislative, Regulatory and Compliance Seminar, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Oct. 8, 2003 |
Remarks on Proposed Rules for Shareholder Access to Company Proxy Material, by Commissioner Harvey J. Goldschmid, Washington, D.C. |
Commissioner
Harvey J. Goldschmid |
| Oct. 8, 2003 |
Remarks at Open Meeting Regarding Shareholder Access Proposal, by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Oct. 8, 2003 |
Introductory Remarks at the October 8 Open Meeting: Proxy Access Proposal, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Sep. 25, 2003 |
Remarks before the Foreign Policy Association, by Chairman William H. Donaldson, New York, N.Y. |
Chairman
William H. Donaldson |
| Sep. 22, 2003 |
Remarks before Government-Business Forum on Small Business Capital Formation, by Commissioner Cynthia A. Glassman, Arlington, Virginia |
Commissioner
Cynthia A. Glassman |
| Sep. 16, 2003 |
Financial Reform: Relevance and Reality in Financial Reporting, by Commissioner Cynthia A. Glassman, Remarks Before the National Association for Business Economics, Atlanta, Georgia |
Commissioner
Cynthia A. Glassman |
| Sep. 14, 2003 |
Speech to NASAA Annual Conference, by Chairman William H. Donaldson, Chicago, Illinois |
Chairman
William H. Donaldson |
| Sep. 3, 2003 |
Obstacles to Good Financial Reporting, by Commissioner Cynthia A. Glassman, Remarks Before American Enterprise Institute, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Sep. 2, 2003 |
Letter to NYSE Regarding NYSE Executive Compensation, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Aug. 6, 2003 |
Opening Statement before Open Commission Meeting, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Jul. 30, 2003 |
Remarks to the National Press Club, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Jul. 16, 2003 |
Remarks Before the Exchequer Club, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Jun. 26, 2003 |
Recent Experience With Corporate Governance in the USA, by Commissioner Paul S. Atkins, at the 2nd German Corporate Governance Code Conference, Berlin, Germany
German version |
Commissioner
Paul S. Atkins |
| Jun. 11, 2003 |
Embracing International Business in the Post-Enron Era, by Commissioner Roel C. Campos, at the Centre for European Policy Studies, Brussels, Belgium |
Commissioner
Roel C. Campos |
| Jun. 5, 2003 |
Remarks Before the New York Financial Writers Association, by Chairman William H. Donaldson, New York, N. Y. |
Chairman
William H. Donaldson |
| May 30, 2003 |
Remarks at Rocky Mountain Securities Conference, by Commissioner Paul S. Atkins, Denver, Colorado |
Commissioner
Paul S. Atkins |
| May 16, 2003 |
Current Developments at the Securities and Exchange Commission, by Commissioner Cynthia A. Glassman, Remarks Before Women in Housing and Finance, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| May 15, 2003 |
Closing Statement at the SEC Hedge Fund Roundtable, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| May 14, 2003 |
Opening Statement at the SEC Hedge Fund Roundtable, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| May 9, 2003 |
Private and Public Sector Responses to Corporate Governance Issues, by Commissioner Cynthia A. Glassman, Remarks Before Conference on Bank Structure and Competition, Federal Reserve Bank of Chicago |
Commissioner
Cynthia A. Glassman |
| May 8, 2003 |
Remarks Before the Economic Club of New York, by Chairman William H. Donaldson, New York, N.Y. |
Chairman
William H. Donaldson |
| May 7, 2003 |
Remarks Before the American Enterprise Institute, by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Apr. 28, 2003 |
Statement Prepared for Delivery at SEC Press Conference Regarding Global Settlement, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Apr. 28, 2003 |
SEC Statement on Global Settlement Related to Analyst Conflicts of Interest |
|
| Apr. 15, 2003 |
Statement at Press Briefing to Announce Selection of the Chairman of the Public Company Accounting Oversight Board, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Apr. 11, 2003 |
Remarks at the Investment Counsel Association of America, by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Apr. 10, 2003 |
Improving Corporate Disclosure - Improving Shareholder Value, by Commissioner Cynthia A. Glassman, at the 23rd Annual Ray Garrett Jr. Corporate and Securities Law Institute, Northwestern University School of Law, Chicago, Ill. |
Commissioner
Cynthia A. Glassman |
| Apr. 7, 2003 |
SEC Implementation of Sarbanes-Oxley: The New Corporate Governance, by Commissioner Cynthia A. Glassman, at the National Economists Club, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Apr. 7, 2003 |
Remarks Before The Securities Industry Association, by Commissioner Paul S. Atkins, Orlando, Fla. |
Commissioner
Paul S. Atkins |
| Mar. 27, 2003 |
Remarks Before the Council of Institutional Investors by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Mar. 26, 2003 |
Remarks at the Darden Distinguished Speaker Series, by Commissioner Cynthia A. Glassman, University of Virginia, Charlottesville |
Commissioner
Cynthia A. Glassman |
| Mar. 26, 2003 |
Letter to Exchange Officers Regarding SRO Corporate Governance, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Mar. 25, 2003 |
The Sarbanes-Oxley Act of 2002: Goals, Content, and Status of Implementation, Remarks Before the International Financial Law Review, by Commissioner Paul S. Atkins |
Commissioner
Paul S. Atkins |
| Mar. 24, 2003 |
Remarks at the 2003 Washington Economic Policy Conference, National Association for Business Economics, Washington, D.C., by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Mar. 17, 2003 |
Statement at News Conference Announcing Suit against Merrill Lynch and Four Merrill Lynch Executives for Aiding and Abetting Enron Accounting Fraud, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Mar. 12, 2003 |
Remarks at the Government Affairs Conference of America's Community Bankers, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Feb. 28, 2003 |
Remarks at the Practising Law Institute - SEC Speaks, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Feb. 28, 2003 |
Remarks at "The SEC Speaks in 2003," by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Feb. 28, 2003 |
Remarks at the Practising Law Institute — SEC Speaks, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Feb. 26, 2003 |
SEC Initiatives Under Sarbanes-Oxley and Gramm-Leach-Bliley, by Commissioner Cynthia A. Glassman, at the ABA Trust, Wealth Management and Marketing Conference, Tampa, Fla. |
Commissioner
Cynthia A. Glassman |
| Feb. 25, 2003 |
Statement at News Conference Announcing Charges in Qwest Matter, by Chairman William H. Donaldson, Washington, D.C. |
Chairman
William H. Donaldson |
| Feb. 6, 2003 |
Remarks at Commission Open Meeting, February 6, 2003, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
| Feb. 5, 2003 |
The Sarbanes-Oxley Act of 2002: Goals, Content, and Status of Implementation, by Commissioner Paul S. Atkins, University of Cologne, Germany
German version |
Commissioner
Paul S. Atkins |
| Feb. 4, 2003 |
Liabilities of German Companies and the Members of their Executive Boards under the Sarbanes-Oxley Act of 2002, by Commissioner Paul S. Atkins, Deutsches Aktieninstitut
German version |
Commissioner
Paul S. Atkins |
| Feb. 4, 2003 |
Remarks at Commission Open Meeting, February 4, 2003, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
| Jan. 29, 2003 |
Alan B. Levenson Keynote Address, by Chairman Harvey L. Pitt, Securities Regulation Institute, Coronado, Calif. |
Chairman
Harvey L. Pitt |
| Jan. 28, 2003 |
SEC Initiatives Under the Sarbanes-Oxley Act of 2002, by Commissioner Cynthia A. Glassman, Washington, D.C. |
Commissioner
Cynthia A. Glassman |
| Jan. 23, 2003 |
Remarks at Commission Open Meeting, January 23, 2003, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
| Jan. 22, 2003 |
Remarks at Commission Open Meeting, January 22, 2003, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
| Jan. 15, 2003 |
Remarks at Commission Open Meeting, January 15, 2003, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
| Jan. 15, 2003 |
Remarks at Commission Open Meeting, January 15, 2003, by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Jan. 9, 2003 |
Remarks at Advanced ALI-ABA Course of Study, by Commissioner Paul S. Atkins, Washington, D.C. |
Commissioner
Paul S. Atkins |
| Jan. 8, 2003 |
Remarks at the Commission Open Meeting, January 8, 2003, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
| Jan. 8, 2003 |
Remarks at Mutual Fund Directors Forum, by Chairman Harvey L. Pitt, Washington, D.C. |
Chairman
Harvey L. Pitt |
2004 Speeches and Statements by Commission Staff |
| Oct. 13, 2004 |
Financial Services Institute: First Annual Public Policy Day, An Update on the SEC's Examination Program, by Lori Richards, Director, Office of Compliance Inspections and Examinations, Washington, D.C. |
Lori Richards, Director, Office of Compliance Inspections and Examinations |
| Oct. 7, 2004 |
Keynote Speech at 11th Annual Midwestern Financial Reporting Symposium, by Donald T. Nicolaisen, Chief Accountant, Chicago, IL |
Donald T. Nicolaisen, Chief Accountant |
| Oct. 1, 2004 |
Keynote Address before the NASD Conference on Fixed Income Markets, by Annette L. Nazareth, Director, Division of Market Regulation, New York City, NY |
Annette L. Nazareth, Director, Division of Market Regulation |
| Sep. 28, 2004 |
Remarks before the IASB Meeting with World Standard-setters, by Donald T. Nicolaisen, Chief Accountant, London, England |
Donald T. Nicolaisen, Chief Accountant |
| Sep. 28, 2004 |
Remarks at the FSA Asset Management: Risk, Opportunity and Regulation Conference, by Susan Nash, Associate Director, Division of Investment Management, London, England |
Susan Nash, Associate Director, Division of Investment Management |
| Sep. 23, 2004 |
Remarks before the ICI Equity Markets Conference, by Annette L. Nazareth, Director, Division of Market Regulation, New York City, NY |
Annette L. Nazareth, Director, Division of Market Regulation |
| Sep. 21, 2004 |
Remarks befor the World Economic Forum Industry Agenda Meeting Regarding Finance, by Ethiopis Tafara, Director, Office of International Affairs, New York City, NY |
Ethiopis Tafara, Director, Office of International Affairs |
| Sep. 20, 2004 |
The Themes of Sarbanes-Oxley as Reflected in the Commission's Enforcement Program, by Stephen M. Cutler, Director, Division of Enforcement, UCLA School of Law, Los Angeles, CA |
Stephen M. Cutler, Director, Division of Enforcement |
| Sep. 15, 2004 |
The Enhanced Focus on Risk and Controls: 6th Annual Financial Institutions Regulatory Compliance Summit, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, Toronto, Canada |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
| Sep. 14, 2004 |
Succeeding in the New Regulatory Environment, Remarks Before the Hedge Fund Best Practices Seminar, New York, NY |
Cynthia M. Fornelli, Deputy Director, Division of Investment Management |
| Sep. 14, 2004 |
Current Developments in the Office of the Chief Accountant, Foundation for Accounting Education, Remarks before the New York State CPA Society, by Donald T. Nicolaisen, Chief Accountant |
Donald T. Nicolaisen, Chief Accountant |
| Sep. 13, 2004 |
Regulation of Investment Advisers: The View from Washington, Remarks before the IA Week's 4th Annual Fall Compliance Conference, by Cynthia M. Fornelli, Deputy Director, Division of Investment Management, Philadelphia, PA |
Cynthia M. Fornelli, Deputy Director, Division of Investment Management |
| Sep. 9, 2004 |
Remarks before the 2004 Bond Attorney's Workshop of the National Association of Bond Lawyers, by Martha Mahan Haines, Deputy Director, Assistant Director, Division of Market Regulation, Chicago, IL |
Martha Mahan Haines, Assistant Director, Division of Market Regulation |
| Aug. 26, 2004 |
Press Statement on PCAOB Inspection Reports, by Donald T. Nicolaisen, Chief Accountant, Washington, D.C. |
Donald T. Nicolaisen, Chief Accountant |
| Aug. 10, 2004 |
American Accounting Association: 2004 Annual Meeting: The Future of Standards Setting for Public Companies, by Donald T. Nicolaisen, Chief Accountant, Orlando, FL |
Donald T. Nicolaisen, Chief Accountant |
| Jul. 27, 2004 |
Statement at Press Conference Announcing Civil Fraud Action Against Michael Resnick, Mark P. Kaiser, Timothy J. Lee and William Carter, by Linda Chatman Thomsen, Deputy Director, SEC Division of Enforcement, New York |
Linda Chatman Thomsen, Deputy Director, SEC Division of Enforcement |
| Jul. 14, 2004 |
Opening remarks at the PCAOB Auditor Independence Roundtable on Tax Services, by Donald T. Nicolaisen, Chief Accountant, Washington, D.C. |
Donald T. Nicolaisen, Chief Accountant |
| Jul. 14, 2004 |
Statement at Open Commission Meeting Considering Registration Under the Advisers Act of Certain Hedge Fund Advisers, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
| Jul. 13, 2004 |
Keynote Address at NASD Branch Office Supervision Conference, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, Boston, MA |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
| Jul. 10, 2004 |
Remarks at the 58th National Conference of the American Society of Corporate Secretaries, by Alan L. Beller, Director, Division of Corporation Finance, Boston, Massachusetts |
Director, Division of Corporation Finance
Alan L. Beller |
| Jul. 8, 2004 |
Statement at Press Conference Announcing Actions Against Kenneth Lay, by Linda Chatman Thomsen, Deputy Director, Division of Enforcement, Washington, DC |
Linda Chatman Thomsen, Deputy Director, Division of Enforcement |
| Jul. 7-8, 2004 |
Remarks Presented at the IMF Conference on Cross-Border Cooperation and Information Exchange, by Ethiopis Tafara, Director, Office of International Affairs, Washington, DC |
Ethiopis Tafara, Director, Office of International Affairs |
| Jun. 30, 2004 |
The New Compliance Rule: An Opportunity for Change, Remarks before Investment Company Institute/Independent Directors Council, Mutual Fund Compliance Programs Conference, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Washington, DC |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
| Jun. 24, 2004 |
Open Roundtable Discussion with Respondents to the FASB Exposure Draft, Share-Based Payment, by Donald T. Nicolaisen, Chief Accountant, Financial Accounting Standards Board, Palo Alto, California |
Donald T. Nicolaisen, Chief Accountant |
| Jun. 18, 2004 |
An Overview of Proposed Regulation B, presented at "A Conference on the SEC’s Bank Broker-Dealer Rule" sponsored by The Morin Center for Banking and Financial Law of Boston University School of Law, by Catherine McGuire, Chief Counsel and Associate Director, Division of Market Regulation, Washington, D.C.
|
Catherine McGuire, Chief Counsel and Associate Director, Division of Market Regulation |
| Jun. 15, 2004 |
Remarks before NAVA's 2004 Regulatory Affairs Conference, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, Washington, D.C. |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
| Jun. 14, 2004 |
Remarks Before the NAVA Regulatory Affairs Conference, by Paul F. Roye, Director, Division of Investment Management, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
| Jun. 8, 2004 |
Remarks at the Annual Meeting of the American Securitization Forum, by Alan L. Beller, Director, Division of Corporation Finance, New York, New York |
Director, Division of Corporation Finance
Alan L. Beller |
| Jun. 3, 2004 |
Remarks before the Public Hearing on the IASC Constitution Review, by Donald T. Nicolaisen, Chief Accountant, Baruch College, N.Y. |
Donald T. Nicolaisen, Baruch College, N.Y. |
| Jun. 3, 2004 |
Remarks before the American Bar Association, Section of Business Law, General Counsel Forum, by Giovanni P. Prezioso, General Counsel, Washington, D.C. |
Giovanni P. Prezioso, General Counsel |
| May 27, 2004 |
Remarks at the University of Southern California, Leventhal School of Accounting, by Scott A. Taub, Deputy Chief Accountant, Office of the Chief Accountant, United States Securities and Exchange Commission, Los Angeles, California |
Scott A. Taub, Deputy Chief Accountant, Office of the Chief Accountant |
| May 21, 2004 |
Remarks before the SIA Market Structure Conference, by Annette L. Nazareth, Director, Division of Market Regulation, New York |
Annette L. Nazareth, Director, Division of Market Regulation |
| May 20, 2004 |
Remarks at the International Convergence and Public Oversight of Accounting and Auditing Standards, by Scott A. Taub, Deputy Chief Accountant, Office of the Chief Accountant, United States Securities and Exchange Commission, Chair, IOSCO Standing Committee No. 1, via video conference to Amman, Jordan |
Scott A. Taub, Deputy Chief Accountant, Office of the Chief Accountant |
| May 20, 2004 |
Remarks Before the ICI General Membership Meeting, by Paul F. Roye, Director, Division of Investment Management, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
| May 18, 2004 |
Alan B. Levenson Memorial Lecture,
by Alan L. Beller, Director, Division of Corporation Finance, Remarks at Glasser LegalWorks: 6th Annual SEC Disclosure, Accounting & Enforcement Conference in New York, New York |
Director, Division of Corporation Finance
Alan L. Beller |
| May 14, 2004 |
Remarks at the University of Southern California, Leventhal School of Accounting, by Donald T. Nicolaisen, Chief Accountant, Washington, D.C. |
Donald T. Nicolaisen, Chief Accountant |
| Apr. 29, 2004 |
24th Annual Ray Garrett Jr. Corporate & Securities Law Institute, by Stephen M. Cutler, Director, Division of Enforcement, Chicago, Illinois |
Stephen M. Cutler, Director, Division of Enforcement |
| Apr. 28, 2004 |
Remarks before the Financial Markets Association 2004 Securities Compliance Seminar – Assuring Comprehensive Compliance; Managing Compliance Risks, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
| Apr. 23, 2004 |
Options Industry Conference – SEC Report, by Annette L. Nazareth, Director, Division of Market Regulation |
Annette L. Nazareth, Director, Division of Market Regulation |
| April 20, 2004 |
Regulation in a Global Environment,
by Alan L. Beller, Director, Division of Corporation Finance, Remarks at American Academy in Berlin, Germany |
Director, Division of Corporation Finance
Alan L. Beller |
| Apr. 15, 2004 |
Remarks Before the Panamanian Securities Regulatory Community and Industry, by Ethiopis Tafara, Director, Office Of International Affairs, Panama |
Ethiopis Tafara, Director, Office Of International Affairs |
| Apr. 14, 2004 |
"The Need for More Proactive Risk Assessment" NRS Annual Spring Compliance Conference,
by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
| Apr. 13, 2004 |
Open Commission Meeting: Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings, by Paul F. Roye, Division of Investment Management, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
| Apr. 3, 2004 |
Remarks before the American Bar Association Section of Business Law 2004 Spring Meeting, by Giovanni P. Prezioso, General Counsel, Seattle, Washington |
Giovanni P. Prezioso, General Counsel |
| Apr. 2, 2004 |
Remarks Before the 2004 New Directors Workshop: Mutual Fund Scandals: Lessons for Fund Directors, by Paul F. Roye, Division of Investment Management, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
| Mar. 22, 2004 |
Integrity and Accountability: The New Imperatives for the Mutual Fund Industry,
by Paul F. Roye, Division of Investment Management, Palm Desert, CA |
Paul F. Roye, Director, Division of Investment Management |
| Mar. 15, 2004 |
Put The Compliance Rule To Work: IA Compliance Best Practices Summit, by Lori A. Richards, Office of Compliance Inspections and Examinations, Washington, D.C. |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
| Feb. 25, 2004 |
Mandatory Redemption Fees — Opening Statement at Open Meeting, by Paul F. Roye, Division of Investment Management, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
| Feb. 23, 2004 |
Remarks before the National Investment Company Service Association 22nd Annual Conference & Expo, by Paul F. Roye, Division of Investment Management, Miami, FL |
Paul F. Roye, Director, Division of Investment Management |
| Feb. 19, 2004 |
Statement Regarding SEC Action Against Ex-Enron Officer Jeffrey K. Skilling, by Stephen M. Cutler, Director, Division of Enforcement, Washington, D.C. |
Stephen M. Cutler, Director, Division of Enforcement |
| Feb. 11, 2004 |
Remarks at the Tax Council Institute Conference on The Corporate Tax Practice: Responding to the New Challenges of a Changing Landscape, Donald T. Nicolaisen, Washington, D.C. |
Donald T. Nicolaisen, Chief Accountant |
| Feb. 11, 2004 |
Remarks Before the District of Columbia Bar Association, by Stephen M. Cutler, Director, Division of Enforcement, Washington, D.C. |
Stephen M. Cutler, Director, Division of Enforcement |
| Feb. 10, 2004 |
International Securities Settlement Conference — "The U.S. view of the role of regulation in market efficiency", by Larry E. Bergmann, Sr. Associate Director, Division of Market Regulation, London, England |
Larry E. Bergmann, Sr. Associate Director, Division of Market Regulation |
| Feb. 4, 2004 |
The Vital Role of Effective Comprehensive Compliance Controls at Broker-Dealers – Remarks before The Bond Market Association's Ninth Annual Legal and Compliance, by Mary Ann Gadziala, Director, Associate Director, Office of Compliance Inspections and Examinations, New York, N.Y. |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
| Feb. 2, 2003 |
Remarks before the The Bond Market Association's 2004 Ninth Legal and Compliance Conference, by Giovanni Prezioso, General Counsel, New York, N. Y. |
Giovanni P. Prezioso, General Counsel |
| Jan. 27, 2004 |
The SEC's Experience in the Development of an Integrated Securities Market in the United States – 2nd Annual European Financial Services Conference, by Ethiopis Tafara, Director, Office of International Affairs, Brussels, Belgium |
Ethiopis Tafara, Director, Office of International Affairs |
| Jan. 27, 2004 |
Remarks before the Understanding Securities Products of Insurance Companies – 2004 Conference, by Paul F. Roye, Director, Division of Investment Management, New York, N.Y. |
Paul F. Roye, Director, Division of Investment Management |
| Jan. 14, 2004 |
Press Statement Regarding Settlement in SEC v. Andrew S. Fastow, by Linda C. Thomsen, Deputy Director, Division of Enforcement, Washington, D.C. |
Linda C. Thomsen, Deputy Director, Division of Enforcement |
| Jan. 14, 2004 |
Statement at the SEC Open Meeting, by Paul F. Roye, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
| Jan. 14, 2004 |
Statement at the SEC Open Meeting, by Annette L. Nazareth, Washington, D.C. |
Annette L. Nazareth, Director, Division of Market Regulation |
| Jan. 8, 2004 |
Enhancing the Fund Director's Tool Box, by Paul F. Roye, before the Fourth Annual Policy Conference Critical Issues for Investment Company Directors, Mutual Fund Directors Forum, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
2003 Speeches and Statements by Commission Staff |
| Dec. 11, 2003 |
Remarks by at the 2003 Thirty-First AICPA National Conference on Current SEC Developments,Randolph P. Green, Professional Accounting Fellow, Office of the Chief Accountant, Washington, D.C. |
Professional Accounting Fellow, Office of the Chief Accountant
Randolph P. Green |
| Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, D.C., by Robert J. Comerford |
Professional Accounting Fellow, Office of the Chief Accountant
Robert J. Comerford |
| Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, D.C., by D. Douglas Alkema |
Professional Accounting Fellow, Office of the Chief Accountant
D. Douglas Alkema |
| Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, D.C., by Gregory A. Faucette |
Professional Accounting Fellow, Office of the Chief Accountant
Gregory A. Faucette |
| Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, D.C., by Eric Schuppenhauer |
Professional Accounting Fellow, Office of the Chief Accountant
Eric Schuppenhauer |
| Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, D.C., by Chad A. Kokenge |
Professional Accounting Fellow, Office of the Chief Accountant
Chad A. Kokenge |
| Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, D.C., by John M. James |
Professional Accounting Fellow, Office of the Chief Accountant
John M. James |
| Dec. 11, 2003 |
Remarks before Thirty-First AICPA National Conference on Current SEC Developments, Washington, D.C., by Russell P. Hodge |
Professional Accounting Fellow, Office of the Chief Accountant
Russell P. Hodge |
| Dec. 11, 2003 |
Remarks before 2003 Thirty-First AICPA National Conference on Current SEC Developments, by Scott A. Taub |
Deputy Chief Accountant, Office of the Chief Accountant
Scott A. Taub |
| Dec. 11, 2003 |
Remarks before 2003 Thirty-First AICPA National Conference on Current SEC Developments, by Donald T. Nicolaisen |
Chief Accountant
Donald T. Nicolaisen |
| Dec. 4, 2003 |
A Turning Point for America's Mutual Fund Industry, by Paul F. Roye, before the ICI 2003 Securities Law Developments Conference, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
| Dec. 3, 2003 |
Statement at Open Commission Meeting, by Paul F. Roye, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
| Nov. 20, 2003 |
Keynote Address before the 21st Annual Advanced ALI-ABA Conference on Life Insurance Company Products, by Paul F. Roye, Washington, DC |
Paul F. Roye, Director, Division of Investment Management |
| Oct. 29, 2003 |
Current Examination and Enforcement Issues: 15th Annual Conference on the Securities Industry, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, New York City |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
| Oct. 17, 2003 |
Combating Financial Crime Globally: IOSCO Annual Conference, by Ethiopis Tafara, Director, Office of International Affairs, Seoul, Korea |
Ethiopis Tafara, Director, Office of International Affairs |
| Oct. 17, 2003 |
The National Market System: Fullfilling the Promise: The Securities Traders Association 70th Annual Conference and Business Meeting, by Annette L. Nazareth, Director, Division of Market Regulation, Scottsdale, Ariz. |
Annette L. Nazareth, Director, Division of Market Regulation |
| Oct. 16, 2003 |
Remarks Before the SIA Research Conference: New York City, by Annette L. Nazareth, Director, Division of Market Regulation, Washington, D.C. |
Annette L. Nazareth, Director, Division of Market Regulation |
| Oct. 16, 2003 |
Keynote Address at the Ninth Annual Advanced ALI-ABA Course of Study: Investment Management Regulation, by Paul F. Roye, Director, Division of Investment Management, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
| Oct. 9, 2003 |
Keeping Pace with the Speed of Change for Small Firms: Perspectives from the SEC, Remarks before the Securities Industry Association, Small Firms Conference, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Fort Lauderdale, Fla. |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
| Oct. 8, 2003 |
Remarks Before the Bank Insurance Securities Association, by Catherine McGuire, Chief Counsel, Division of Market Regulation, Washington, D.C. |
Catherine McGuire, Chief Counsel, Division of Market Regulation |
| Sep. 24, 2003 |
Strengthening Investor Confidence Through Sound Compliance and Risk Controls, Remarks before the 5th Annual Regulatory Compliance Conference for Financial Institutions, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, Toronto, Canada |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
| Sep. 9, 2003 |
Remarks Before The National Regulatory Services Investment Adviser and Broker-Dealer Compliance/Risk Management Conference, by Stephen M. Cutler, Director, Division of Enforcement, Charleston, S.C. |
Stephen M. Cutler, Director, Division of Enforcement |
| Sep. 4, 2003 |
Remarks To Announce the Filing of Actions Related to Trading Based on Non-Public Information About the Treasury's Decision To Cease Issuance of the 30-Year Bond, by Stephen M. Cutler, Director, Division of Enforcement, New York, N.Y. |
Stephen M. Cutler, Director, Division of Enforcement |
| Jul. 23, 2003 |
Letter Regarding Washington State Bar Association's Proposed Opinion on the Effect of the SEC's Attorney Conduct Rules, by Giovanni P. Prezioso, General Counsel, Washington, D.C. |
Giovanni P. Prezioso, General Counsel |
| Jul. 8, 2003 |
U.S. Perspective on Accountancy Regulation and Reforms, by Ethiopis Tafara, Acting Director, Office of International Affairs, at the Annual Conference of the Institute of Chartered Accountants in England & Wales, London |
Ethiopis Tafara, Acting Director, Office of International Affairs |
| Jun. 19, 2003 |
Remarks Before the American Law Institute/American Bar Association, by Paul F. Roye, Director, Division of Investment Management, at the Investment Company Regulation and Compliance Conference, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
| Jun. 17, 2003 |
Remarks Before the National Association for Variable Annuities, by Paul F. Roye, Director, Division of Investment Management, at the 2003 Regulatory Affairs Conference, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
| Jun. 13, 2002 |
Remarks Before the Fourth Annual Securities Industry Association Conference on Market Structure, by Annette L. Nazareth, Director, Division of Market Regulation, New York, N.Y. |
Annette L. Nazareth, Director, Division of Market Regulation |
| Jun. 12, 2003 |
Remarks before the American Bar Association's 2003 Conference for Corporate Counsel, by Alan L. Beller, Director, Division of Corporation Finance, Washington, D.C. |
Alan L. Beller, Director, Division of Corporation Finance |
| Jun. 10, 2003 |
Addressing International Concerns under the Sarbanes-Oxley Act, by Ethiopis Tafara, Acting Director, Office of International Affairs, Remarks before the American Chamber of Commerce in Luxembourg |
Ethiopis Tafara, Acting Director, Office of International Affairs |
| Jun. 10, 2003 |
Remarks at the Vanderbilt Directors College, by Alan L. Beller, Director, Division of Corporation Finance, Nashville, Tennessee |
Alan L. Beller, Director, Division of Corporation Finance |
| May 29, 2003 |
The SEC's Internal Control Report Rules and Thoughts on the Sarbanes-Oxley Act, Remarks Before the University of Southern California Leventhal School of Accounting SEC and Financial Reporting Conference, by Scott A. Taub, Deputy Chief Accountant, Pasadena, Calif. |
Scott A. Taub, Deputy Chief Accountant |
| May 24, 2002 |
Remarks Before the Brown University Commencement Forum, by Annette L. Nazareth, Director, Division of Market Regulation |
Annette L. Nazareth, Director, Division of Market Regulation |
| May 23, 2003 |
Proactive Initiatives to Protect Mutual Fund Investors, Remarks Before the ICI General Membership Meeting, by Paul F. Roye, Director, Division of Investment Management, Washington, D.C. |
Paul F. Roye, Director, Division of Investment Management |
| May 12, 2003 |
Mutual Fund Issues of Interest to Defined Contribution Plan Sponsors and Participants, Remarks Before the Institutional Investor Defined Contribution Forum, by Paul F. Roye, Director, Division of Investment Management, Hallandale, Fla. |
Paul F. Roye, Director, Division of Investment Management |
| May 9, 2002 |
Remarks Before the PLI Conference on International Securities Markets 2003, by Annette L. Nazareth, Director, Division of Market Regulation |
Annette L. Nazareth, Director, Division of Market Regulation |
| May 6, 2003 |
The SEC Examination Perspective, Keynote Address at Glasser Legalworks Broker-Dealer Compliance Conference, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
| May 2, 2002 |
Remarks Before American Bankers Association, Trust Management Association Meeting, by Annette L. Nazareth, Director, Division of Market Regulation |
Annette L. Nazareth, Director, Division of Market Regulation |
| May 1, 2003 |
A Renewed Commitment to Compliance, Remarks Before the Glasser LegalWorks Seventh Annual Investment Advisers Compliance Conference, by Paul F. Roye, Director, Division of Investment Management, New York, N.Y. |
Paul F. Roye, Director, Division of Investment Management |
| May 1, 2003 |
Disaster Recovery and Business Continuity Planning, Remarks Before Financial Markets Association 2003 Compliance Seminar, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
| May 1, 2003 |
Remarks Before Baruch College Conference on Financial Reporting, by Jackson M. Day, Acting Chief Accountant, Office of the Chief Accountant
|
Jackson M. Day, Acting Chief Accountant, Office of the Chief Accountant |
| May 1, 2003 |
Regarding Fraud, Insider Trading Charges Relating to Enron's Broadband Subsidiary, Remarks Prepared for Delivery at U.S. Department of Justice Press Conference by Linda Chatman Thomsen, Deputy Director, Division of Enforcement |
Linda Chatman Thomsen, Deputy Director, Division of Enforcement |
| Apr. 28, 2003 |
Compliance Issues for Investment Advisers Today, Remarks at the Investment Counsel Association/IA Week, Investment Adviser Compliance Summit, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Washington, D.C. |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
| Apr. 25, 2003 |
2003 Options Industry Conference, Remarks at the Options Industry Conference by Elizabeth King, Associate Director, Division of Market Regulation |
Elizabeth King, Associate Director, Division of Market Regulation |
| Apr. 23, 2003 |
The Culture of Compliance, Remarks at the Spring Compliance Conference: National Regulatory Services, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Tucson, Ariz. |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
| Apr. 10, 2003 |
Remarks at the Bond Market Association, Corporate Credit Markets, by Alan L. Beller, Director, Division of Corporation Finance, New York, N.Y. |
Alan L. Beller, Director, Division of Corporation Finance |
| Mar. 31, 2003 |
A New Era of Accountability in Fund Regulation, Remarks Before the 2003 Mutual Funds and Investment Management Conference, by Paul F. Roye, Director, Division of Investment Management, Palm Desert, Calif. |
Paul F. Roye, Director, Division of Investment Management |
| Mar. 27, 2003 |
The Next Phase: Implementing the Patriot Act, Remarks at Securities Industry Association Conference on Anti-Money Laundering Compliance for Broker-Dealers, New York, N.Y., by Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations |
| Mar. 24, 2003 |
Remarks at Books and Records Compliance Countdown, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations Washington, D.C. |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
| Mar. 17, 2003 |
Remarks To Announce the Filing of SEC v. Merrill Lynch, et al., by Stephen M. Cutler, Director, Division of Enforcement, Washington, D.C. |
Stephen M. Cutler, Director, Division of Enforcement |
| Feb. 26, 2003 |
SEC Risk Management and Compliance Examinations, by Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, 2003 Fiduciary and Investment Risk Management Association, Fiduciary and Risk Management Seminar, Richmond, Va. |
Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations |
| Feb. 21, 2003 |
Remarks at the F. Hodge O'Neal Corporate and Securities Law Symposium, by Stephen M. Cutler, Director, Division of Enforcement, Washington University School of Law, St. Louis, Mo. |
Stephen M. Cutler, Director, Division of Enforcement |
| Jan. 28, 2003 |
Remarks Before the New York State Society of Certified Public Accountants, by Jackson M. Day, Acting Chief Accountant |
Jackson M. Day, Acting Chief Accountant |
http://www.sec.gov/news/speech.shtml
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