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SEC Congressional Testimony
This collection of files contains Congressional testimony given by members of the SEC. The following material is currently available:
Archive of Earlier Statements and Testimony
2004 Statements and Testimony |
| Date |
Testimony |
| Sep. 23, 2004 |
Alan L. Beller Before the Subcommittee on Oversight and Investigations of the Committee on Financial Services, re: Small Business Capital Formation |
| Jul. 21, 2004 |
Chairman William H. Donaldson, Before the U.S. Senate Committee on Banking, Housing, and Urban Affairs, re: Proposals to Modernize the National Market System |
| Jul. 15, 2004 |
Chairman William H. Donaldson, Before the U.S. Senate Committee on Banking, Housing, and Urban Affairs, re: Investor Protection and the Regulation of Hedge Funds Advisers |
| Jun. 17, 2004 |
Annette L. Nazareth Director of The Division of Market Regulation, U.S. Securities and Exchange Commission, Before the United States Senate Committee on Banking, Housing, and Urban Affairs |
| May 13, 2004 |
Ethiopis Tafara Director, Office of International Affairs, U.S. Securities and Exchange Commission, Before the House Financial Services Committee re: Global Markets, National Regulation, and Cooperation |
| Apr. 20, 2004 |
James M. McConnell Executive Director, U.S. Securities and Exchange Commission, Before the House Government Reform Subcommittee on Efficiency and Financial Management, Committee on Government Reform, re: Resource Allocations and Strategic Planning |
| Apr. 8, 2004 |
Chairman William H. Donaldson, Before the U.S. Senate Committee on Banking, Housing and Urban Affairs, re: Investor Protection Issues Regarding the Regulation of the Mutual Fund Industry |
| Mar. 31, 2004 |
Chairman William H. Donaldson, Before the Subcommittee on Commerce, Justice, State, and the Judiciary, Committee on Appropriations, United States House of Representatives, re: Fiscal 2005 Appropriations Request for the U. S. Securities and Exchange Commission |
| Mar. 30, 2004 |
Susan Ferris Wyderko, Director, Office of Investor Education and Assistance, Before the Subcommittee on Financial Management, the Budget, and International Security, Committee on Governmental Affairs, United States Senate, re: The Commission's Role in Empowering Americans to Make Informed Financial Decisions |
| Mar. 10, 2004 |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Before the Senate Committee on Banking, Housing and Urban Affairs, re: The Securities and Exchange Commission's Examinations of Mutual Fund |
| Mar. 10, 2004 |
Paul F. Roye, Director, Division of Investment Management, Before the Senate Committee on Banking, Housing and Urban Affairs, re: The Securities and Exchange Commission's Recent Regulatory Actions to Protect Mutual Fund Investors |
| Feb. 10, 2004 |
Alan L. Beller, Director, Division of Corporate Finance, Before the Senate Committee on Banking, Housing, and Urban Affairs, re: The Application of Federal Securities Law Disclosure and Reporting Requirements to Fannie Mae, Freddie Mac and the Federal Home Loan Banks |
2003 Statements and Testimony |
| Nov. 20, 2003 |
Stephen M. Cutler, Before the Senate Committee on Banking, Housing, and Urban Affairs, re: Recent Commission Activity To Combat Misconduct Relating to Mutual Funds |
| Nov. 20, 2003 |
Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing, and Urban Affairs, re: Improving the Governance of the New York Stock Exchange |
| Nov. 18, 2003 |
Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, re: Regulatory Reforms To Protect Our Nation's Mutual Fund Investors |
| Nov. 4, 2003 |
Stephen M. Cutler, Director, Division of Enforcement, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, re: Recent Commission Activity to Combat Misconduct Relating to Mutual Funds |
| Nov. 3, 2003 |
Stephen M. Cutler, Director, Division of Enforcement, Oral Testimony Before the Senate Subcommittee on Financial Management, the Budget, and International Security, Committee on Governmental Affairs, re: Recent Commission Activity to Combat Misconduct Relating to Mutual Funds |
| Nov. 3, 2003 |
Stephen M. Cutler, Director, Division of Enforcement, Before the Senate Subcommittee on Financial Management, the Budget, and International Security, Committee on Governmental Affairs, re: Recent Commission Activity to Combat Misconduct Relating to Mutual Funds |
| Nov. 3, 2003 |
Paul F. Roye, Director, Division of Investment Management, Oral Testimony Before the Senate Subcommittee on Financial Management, the Budget and International Security, Committee on Governmental Affairs, re: Initiatives to Address Concerns in the Mutual Fund Industry |
| Nov. 3, 2003 |
Paul F. Roye, Director, Division of Investment Management, Before the Senate Subcommittee on Financial Management, the Budget and International Security, Committee on Governmental Affairs, re: Initiatives to Address Concerns in the Mutual Fund Industry |
| Oct. 30, 2003 |
Chairman William H. Donaldson, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises re: Market Structure Issues |
| Oct. 20, 2003 |
Written Statement of the Commission, Before the Subcommittee on Oversight and Investigations, Committee on Financial Services, United States House of Representatives re: Performance of the Securities Markets During the Northeast Power Outage and Hurricane Isabel |
| Oct. 15, 2003 |
Chairman William H. Donaldson, Before the Subcommittee on Securities and Investment of the Senate Committee on Banking, Housing, and Urban Affairs, re: Market Structure Issues |
| Sep. 30, 2003 |
Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, re: Recent Commission Activity To Enhance Investor Protections |
| Sep. 17, 2003 |
Chairman William H. Donaldson, Before the House Committee on Financial Services, re: The Commission's Efforts to Strengthen the Accounting Profession |
| Sep. 9, 2003 |
Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, re: Implementation of the Sarbanes-Oxley Act of 2002 |
| Jul. 23, 2003 |
Peter Derby, Managing Executive for Operations (accompanied by James M. McConnell, Executive Director), Before the House Subcommittee on Government Efficiency and Financial Management, Committee on Government Reform, re: Strategic Planning and Operational Effectiveness |
| Jun. 18, 2003 |
Paul F. Roye, Director, Division of Investment Management, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, re: the Mutual Funds Integrity and Fee Transparency Act of 2003,
H.R. 2420 |
| Jun. 5, 2003 |
Stephen M. Cutler, Director, Division of Enforcement, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, re: The Securities Fraud Deterrence and Investor Restitution Act, H.R. 2179 |
| May 22, 2003 |
Chairman William H. Donaldson, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises Committee on Financial Services, re: The Long and Short of Hedge Funds: Effects of Strategies for Managing Market Risk |
| May 7, 2003 |
Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, re: Global Research Analyst Settlement |
| May 6, 2003 |
Chairman William H. Donaldson, Before the House Committee on Government Reform, re: H.R. 1836, the "Civil Service and National Security Personnel Improvement Act" |
| Apr. 10, 2003 |
Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, on April 10, 2003, Concerning Investor Protection Implications of Hedge Funds |
| Apr. 8, 2003 |
Chairman William H. Donaldson, Before the Senate Subcommittee on Commerce, Justice, State and the Judiciary, Committee on Appropriations, on April 8, 2003, Concerning Appropriations for Fiscal 2004 |
| Apr. 2, 2003 |
Annette L. Nazareth, Director, Division of Market Regulation, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Rating the Rating Agencies: The State of Transparency and Competition |
| Mar. 13, 2003 |
Chairman William H. Donaldson, Before the Subcommittee on Commerce, Justice, State, and the Judiciary, Committee on Appropriations, United States House of Representatives, re: Appropriations for Fiscal 2004 |
| Mar. 6, 2003 |
James M. McConnell, Executive Director, Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the House Committee on Financial Services, re: H.R. 658, the "Accountant, Compliance, and Enforcement Staffing Act of 2003" |
| Feb. 26, 2003 |
Stephen M. Cutler, Director, Division of Enforcement, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Returning Funds to Defrauded Investors |
| Feb. 12, 2003 |
Robert L. D. Colby, Deputy Director, Division of Market Regulation, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Recovery and Renewal: Protecting the Capital Markets Against Terrorism Post 9/11 |
2002 Statements and Testimony |
| Dec. 12, 2002 |
Annette L. Nazareth, Director, Division of Market Regulation, Before the Senate Permanent Subcommittee on Investigations, Committee on Governmental Affairs, re:Transparent Financial Reporting for Structured Finance Transactions |
| Sep. 17, 2002 |
Alan L. Beller, Director, Division of Corporate Finance, Before the Senate Committee on Banking, Housing and Urban Affairs, re: the Application of Federal Securities Law Disclosure and Reporting Requirements to the Tennessee Valley Authority |
| May 24, 2002 |
Written Statement of the Commission, Before the Subcommittee on Government Efficiency, Financial Management and Intergovernmental Relations, Committee on Government Reform, U.S. House of Representatives, re: H.R. 4685, the "Accountability of Tax Dollars Act of 2002" |
| May 23, 2002 |
Lori A. Richards, Director, Office of Compliance Inspections and Examinations, Before the House Subcommittee on Oversight and Investigations of the Committee on Financial Services, re: Issues Raised by the Frank D. Gruttadauria Matter |
| May 22, 2002 |
Annette L. Nazareth, Director, Division of Market Regulation, Before the House Committee on Financial Services, re: Certain Pending Proposalsby the European Commission |
| May 14, 2002 |
Robert K. Herdman, Chief Accountant, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: The Roles of the SEC and the FASB in Establishing GAAP |
| Apr. 23, 2002 |
James M. McConnell, Executive Director, Before the Senate Subcommittee on Oversight of Government Management, Restructuring and the District of Columbia, Committee on Governmental Affairs, re:Critical Resource and Staffing Issues Facing the SEC |
| Apr. 17, 2002 |
Chairman Harvey L. Pitt, Before the House Subcommittee on Commerce, Justice, State, and the Judiciary, Committee on Appropriations, re: Appropriations for Fiscal 2003 |
| Mar. 21, 2002 |
Oral testimony of Chairman Harvey L. Pitt, Before the Senate Committee on Banking, Housing, and Urban Affairs re: Accounting and Investor Protection Issues Raised by Enron and Other Public Companies |
| Mar. 21, 2002 |
Written testimony of Chairman Harvey L. Pitt, Before the Senate Committee on Banking, Housing, and Urban Affairs re: Accounting and Investor Protection Issues Raised by Enron and Other Public Companies |
| Mar. 21, 2002 |
John M. Morrissey, Deputy Chief Accountant, Before the Subcommittee on Oversight and Investigations of the House Committee on Financial Services re: Telecommunications Accounting Issues |
| Mar. 20, 2002 |
Chairman Harvey L. Pitt, Before the House Committee on Financial Services re: The Corporate and Auditing Accountability, Responsibility, and Transparency Act |
| Mar. 20, 2002 |
Commissioner Isaac C. Hunt, Jr., Before the Senate Committee on Governmental Affairs re: the Role of Credit Rating Agencies in the U.S. Securities Markets |
| Mar. 7, 2002 |
Chairman Harvey L. Pitt, Before the Senate Subcommittee on Commerce, Justice, State, and the Judiciary Committee on Appropriations re: Appropriations for Fiscal 2003 |
| Feb. 14, 2002 |
Robert K. Herdman, Chief Accountant, Before the House Subcommittee on Commerce, Trade and Consumer Protection, Committee on Energy and Commerce re: Are Current Financial Accounting Standards Protecting Investors? |
| Feb. 13, 2002 |
Commissioner Isaac C. Hunt, Jr. Commissioner, Before the House Subcommittee on Energy and Air Quality, Committee on Energy and Commerce re: The Enron Bankruptcy, the Functioning of Energy Markets and Repeal of the Public Utility Holding Company Act of 1935 |
| Feb. 6, 2002 |
Commissioner Isaac C. Hunt, Jr., Before the Senate Committee on Energy and Natural Resources, re: S. 1766 and Repeal of the Public Utility Holding Company Act of 1935. |
| Feb. 5, 2002 |
Chairman Harvey L. Pitt, Before the Senate Committee on Banking, Housing and Urban Affairs, re: Financial Literacy |
| Feb. 4, 2002 |
Chairman Harvey L. Pitt, Before the House Subcommittee on Capital Markets, Insurance and Government Suponsored Enterprises re: Legislative Solutions to Problems Raised by Events Relating to Enron Corporation |
| Jan. 29, 2002 |
Annette L. Nazareth, Director, Division of Market Regulation, Before the Senate Committee on Banking, Housing and Urban Affairs re: Financial Aspects of the War on Terrorism and the Implementation of the International Money Laundering Abatement and Financial Anti-Terrorism Act of 2001 |
2001 Statements and Testimony |
| Dec. 13, 2001 |
Commissioner Isaac C. Hunt, Jr., Before the House Subcommittee on Energy and Air Quality Committee on Energy and Commerce re: H.R. 3406 and Repeal of the Public Utility Holding Company Act of 1935. |
| Dec. 12, 2001 |
Robert K. Herdman, Chief Accountant, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises and The House Subcommittee on Oversight and Investigations, Committee on Financial Services re: Recent Events Relating to Enron Corporation |
| Sept. 26, 2001 |
Chairman Harvey L. Pitt, Before the House Committee on Financial Services, re: the Condition of the U.S. Financial Markets Following the Recent Terrorist Attacks |
| Sept. 20, 2001 |
Chairman Harvey L. Pitt, Before the Senate Committee on Banking, Housing and Urban Affairs, re: the Condition of the U.S. Financial Markets Following the Recent Terrorist Attacks |
| Aug. 2, 2001 |
Acting Chairman, Laura S. Unger, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored-Enterprises and the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Financial Services, re: The Functional Regulation Provisions of the Gramm-Leach-Bliley Act. |
| Jul. 31, 2001 |
Oral Testimony of Acting Chairman Laura S. Unger,Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Conflicts of Interest Faced by Brokerage Firms and Their Research Analysts |
| Jul. 31, 2001 |
Acting Chairman Laura S. Unger, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Conflicts of Interest Faced by Brokerage Firms and Their Research Analysts |
| Jun. 28, 2001 |
Acting Chairman Laura S. Unger, Before the Senate Subcommittee on Commerce, Justice, State, and the Judiciary Committee on Appropriations, re: Appropriations for Fiscal Year 2002 |
http://www.sec.gov/news/testimony.shtml
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