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Statement From Chairman Schapiro on Appointment of FASB Chairman — December 23, 2010 Fee Rate Advisory #5 for Fiscal Year 2011 — December 22, 2010Fee Rate Advisory #4 for Fiscal Year 2011 — December 18, 2010Stephen L. Cohen Named Associate Director in SEC Division of Enforcement — December 16, 2010 SEC Proposes Specialized Disclosure of Use of Conflict Minerals Under Dodd-Frank Act — December 15, 2010SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act — December 15, 2010 SEC Proposes End-User Requirements Under Dodd-Frank Act for Security-Based Swaps Exempt From Mandatory Clearing — December 15, 2010SEC Proposes Review Process for Mandatory Clearing of Security-Based Swaps Under Dodd-Frank Act — December 15, 2010Requiring That Derivatives Be Centrally Cleared Is the Centerpiece of Reform (Luis A. Aguilar, Commissioner — December 15, 2010) Statement at SEC Open Meeting (Mary L. Schapiro, Chairman — December 15, 2010)Testimony on U.S. Equity Market Structure by the U.S. Securities and Exchange Commission (Mary L. Schapiro, Chairman — December 8, 2010)CFTC, SEC to Host Joint Public Roundtable to Discuss Issues Related to Capital and Margin for Swaps and Security-Based Swaps — December 6, 2010Statement at SEC Field Hearing on the State of the Municipal Securities Market (Elisse B. Walter, Commissioner — December 7, 20102010 AICPA National Conference on Current SEC and PCAOB DevelopmentsSEC Proposes Joint Rules with CFTC to Define Swap Related Terms — December 3, 2010Opening Statement at the SEC Open Meeting (Mary L. Schapiro, Chairman, December 3, 2010)Statement at Open Meeting to Propose Rules Regarding Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant,” and “Eligible Contract Participant” (Troy A. Paredes, Commissioner, December 3, 2010)Defining Dealers and Major Participants in the Swap Market Taking into Account the Lessons Learned in the Financial Crisis (Luis A. Aguilar, Commissioner, December 3, 2010)Slide Presentation: SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers — November 2010SEC Proposes Rules to Outline Obligations of Security-Based Swap Repositories — November 19, 2010SEC Proposes Rules on Security-Based Swap Reporting — November 19, 2010SEC Proposes Rules to Improve Oversight of Investment Advisers — November 19, 2010Jennifer B. McHugh Named Acting Director of SEC Division of Investment Management — November 19, 2010Opening Statement at the SEC Open Meeting Items 1 and 2 — Proposals to Implement Investment Adviser Provisions of the Dodd-Frank Act (Mary L. Schapiro, Chairman — November 19, 2010)Opening Statement at the SEC Open Meeting Item 3 — Security-Based Swap Data Repository Registration, Duties, and Core Principles (Mary L. Schapiro, Chairman — November 19, 2010)Opening Statement at the SEC Open Meeting Item 4 — Proposed Regulation SBSR (Mary L. Schapiro, Chairman — November 19, 2010)Statement at November 19, 2010, Open meeting: (1) Rules Implementing Dodd-Frank Act Amendments to the Advisers Act of 1940; and (2) Advisers Act Registration Exemptions Under the Dodd-Frank Act (Elisse B. Walter, Commissioner — November 19, 2010)Statement at Open Meeting to Propose Rules Regarding Security-Based Swap Data Repository Registration, Duties, and Core Principles (Troy A. Paredes, Commissioner — November 19, 2010) "Implementing Dodd-Frank: The Changing Investment Adviser Regulatory Landscape" (Luis A. Aguilar, Commissioner — November 19, 2010)Statement at Open Meeting to Propose Rules Regarding Reporting and Dissemination of Security-Based Swap Information (Regulation SBSR) (Troy A. Paredes, Commissioner — November 19, 2010)Combating the Lack of Transparency in the Security-Based Swaps Market (Luis A. Aguilar, Commissioner — November 19, 2010)Remarks to the SEC Government-Business Forum on Small Business Capital Formation (Mary L. Schapiro, Chairman — November 18, 2010)Henry T.C. Hu, Inaugural Director of Division of Risk, Strategy and Financial Innovation, to Return to University of Texas — November 18, 2010Remarks at the 2010 SEC Government-Business Forum on Small Business Capital Formation (Troy A. Paredes, Commissioner — November 18, 2010)SEC and CESR Members Announce Efforts to Continue Close Cooperation as National Securities Regulators Implement New Regulatory Reform Initiatives — November 16, 2010SEC and UK FSA Hold Meeting of SEC-FSA Strategic Dialogue — November 15, 2010Sunshine Act Meeting Notice — November 12, 2010SEC Publishes Agenda and Announces Speakers for Small Business Forum — November 12, 2010James A. Clarkson, Director of Regional Office Operations in Enforcement Division, to Retire After 40 Years of Service — November 10, 2010Joseph Brenner Named Chief Counsel in SEC Division of Enforcement — November 10, 2010Brodsky Family Lecture at Northwestern University School of Law (Mary L. Schapiro, Chairman — November 9, 2010)Implementation of 21F of the Exchange Act, "Whistleblowers Incentives and Protection" (Proposed Rules and Forms) (Elisse B. Walter, Commissioner — November 3, 2010)Opening Remarks Regarding Proposed Rule 9j-1 (Elisse B. Walter, Commissioner — November 3, 2010)Opening Statement at the SEC Open Meeting: Item 1 — Market Access (Mary L. Schapiro, Chairman — November 3, 2010)Opening Statement at the SEC Open Meeting: Item 2 — Preventing Fraud in Connection With Security-Based Swaps (Mary L. Schapiro, Chairman — November 3, 2010)Opening Statement at the SEC Open Meeting: Item 3 — Whistleblower Program (Mary L. Schapiro, Chairman — November 3, 2010)Strengthening Equity Market Structure and Protecting Investors (Luis A. Aguilar, Commissioner — November 3, 2010)Statement at Open Meeting to Propose Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 (Troy A. Paredes, Commissioner — November 3, 2010)Effective Antifraud Rules Must Address Cross-Market Activity (Luis A. Aguilar, Commissioner — November 3, 2010)Enlisting Whistleblowers in the Battle Against Securities Fraud (Luis A. Aguilar, Commissioner — November 3, 2010)Remarks Before the 43rd Annual Securities Regulation Seminar (Elisse B. Walter, Commissioner — October 29, 2010)Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues to Meet November 5 — October 29, 2010Sunshine Act Meeting Notice — October 27, 2010“Corporate Governance and the New Financial Regulation: Complements or Substitutes?” (Troy A. Paredes, Commissioner — October 25, 2010)Remarks at the ABA Business Law Section, Delaware Business Law Forum (Meredith B. Cross, Director, Division of Corporation Finance — October 22, 2010)Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (34-63169)SEC, FINRA Announce 2011 National Seminar for Broker-Dealer CCOs — October 22, 2010Thomas A. Bayer Named SEC Chief Information Officer — October 20, 2010Remarks at the NACD Annual Corporate Governance Conference (Mary L. Schapiro, Chairman — October 19, 2010)Remarks at Money Smart Week: A Financial Literacy and Education Summit (Lori J. Schock, Director, Office of Investor Education and Advocacy — October 19, 2010)An Insider’s View of the SEC: Principles to Guide Reform (Luis A. Aguilar, Commissioner — October 15, 2010)Opening Statement at SEC Open Meeting — Issuer Reviews of Assets in Offerings of Asset-Backed Securities (Elisse B. Walter, Commissioner — October 13, 2010)Opening Statement at the SEC Open Meeting Item 1 — Security-Based Swaps Reporting (Mary L. Schapiro, Chairman — October 13, 2010)Statement at the SEC Open Meeting Item 3 — Asset-Backed Securities (Mary L. Schapiro, Chairman — October 13, 2010)Statement at SEC Open Meeting Regarding Proposing Release on Issuer Review of Assets in Offerings of Asset-Backed Securities (Kathleen L. Casey, Commissioner — October 13, 2010)The More Things Change, The More It Seems They Stay the Same: Investors Deserve Better (Luis A. Aguilar, Commissioner — October 13, 2010)Effective Regulatory Oversight for Security-Based Swaps Requires Access to Transaction Data (Luis A. Aguilar, Commissioner — October 13, 2010)Karen Garnett and Mark Kronforst Named Associate Directors in SEC Division of Corporation Finance — October 12, 2010Heather Seidel Named Associate Director in Division of Trading and Markets — October 6, 2010Statement by SEC Chairman Schapiro and CFTC Chairman Gensler on the Joint Report Regarding the Market Events of May 6th (Mary L. Schapiro, Chairman — October 1, 2010)
Statement From Chairman Schapiro on Appointment of FASB Chairman — December 23, 2010 Fee Rate Advisory #5 for Fiscal Year 2011 — December 22, 2010Fee Rate Advisory #4 for Fiscal Year 2011 — December 18, 2010Stephen L. Cohen Named Associate Director in SEC Division of Enforcement — December 16, 2010 SEC Proposes Specialized Disclosure of Use of Conflict Minerals Under Dodd-Frank Act — December 15, 2010SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act — December 15, 2010 SEC Proposes End-User Requirements Under Dodd-Frank Act for Security-Based Swaps Exempt From Mandatory Clearing — December 15, 2010SEC Proposes Review Process for Mandatory Clearing of Security-Based Swaps Under Dodd-Frank Act — December 15, 2010Requiring That Derivatives Be Centrally Cleared Is the Centerpiece of Reform (Luis A. Aguilar, Commissioner — December 15, 2010) Statement at SEC Open Meeting (Mary L. Schapiro, Chairman — December 15, 2010)Testimony on U.S. Equity Market Structure by the U.S. Securities and Exchange Commission (Mary L. Schapiro, Chairman — December 8, 2010)CFTC, SEC to Host Joint Public Roundtable to Discuss Issues Related to Capital and Margin for Swaps and Security-Based Swaps — December 6, 2010Statement at SEC Field Hearing on the State of the Municipal Securities Market (Elisse B. Walter, Commissioner — December 7, 20102010 AICPA National Conference on Current SEC and PCAOB DevelopmentsSEC Proposes Joint Rules with CFTC to Define Swap Related Terms — December 3, 2010Opening Statement at the SEC Open Meeting (Mary L. Schapiro, Chairman, December 3, 2010)Statement at Open Meeting to Propose Rules Regarding Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant,” and “Eligible Contract Participant” (Troy A. Paredes, Commissioner, December 3, 2010)Defining Dealers and Major Participants in the Swap Market Taking into Account the Lessons Learned in the Financial Crisis (Luis A. Aguilar, Commissioner, December 3, 2010)Slide Presentation: SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers — November 2010SEC Proposes Rules to Outline Obligations of Security-Based Swap Repositories — November 19, 2010SEC Proposes Rules on Security-Based Swap Reporting — November 19, 2010SEC Proposes Rules to Improve Oversight of Investment Advisers — November 19, 2010Jennifer B. McHugh Named Acting Director of SEC Division of Investment Management — November 19, 2010Opening Statement at the SEC Open Meeting Items 1 and 2 — Proposals to Implement Investment Adviser Provisions of the Dodd-Frank Act (Mary L. Schapiro, Chairman — November 19, 2010)Opening Statement at the SEC Open Meeting Item 3 — Security-Based Swap Data Repository Registration, Duties, and Core Principles (Mary L. Schapiro, Chairman — November 19, 2010)Opening Statement at the SEC Open Meeting Item 4 — Proposed Regulation SBSR (Mary L. Schapiro, Chairman — November 19, 2010)Statement at November 19, 2010, Open meeting: (1) Rules Implementing Dodd-Frank Act Amendments to the Advisers Act of 1940; and (2) Advisers Act Registration Exemptions Under the Dodd-Frank Act (Elisse B. Walter, Commissioner — November 19, 2010)Statement at Open Meeting to Propose Rules Regarding Security-Based Swap Data Repository Registration, Duties, and Core Principles (Troy A. Paredes, Commissioner — November 19, 2010) "Implementing Dodd-Frank: The Changing Investment Adviser Regulatory Landscape" (Luis A. Aguilar, Commissioner — November 19, 2010)Statement at Open Meeting to Propose Rules Regarding Reporting and Dissemination of Security-Based Swap Information (Regulation SBSR) (Troy A. Paredes, Commissioner — November 19, 2010)Combating the Lack of Transparency in the Security-Based Swaps Market (Luis A. Aguilar, Commissioner — November 19, 2010)Remarks to the SEC Government-Business Forum on Small Business Capital Formation (Mary L. Schapiro, Chairman — November 18, 2010)Henry T.C. Hu, Inaugural Director of Division of Risk, Strategy and Financial Innovation, to Return to University of Texas — November 18, 2010Remarks at the 2010 SEC Government-Business Forum on Small Business Capital Formation (Troy A. Paredes, Commissioner — November 18, 2010)SEC and CESR Members Announce Efforts to Continue Close Cooperation as National Securities Regulators Implement New Regulatory Reform Initiatives — November 16, 2010SEC and UK FSA Hold Meeting of SEC-FSA Strategic Dialogue — November 15, 2010Sunshine Act Meeting Notice — November 12, 2010SEC Publishes Agenda and Announces Speakers for Small Business Forum — November 12, 2010James A. Clarkson, Director of Regional Office Operations in Enforcement Division, to Retire After 40 Years of Service — November 10, 2010Joseph Brenner Named Chief Counsel in SEC Division of Enforcement — November 10, 2010Brodsky Family Lecture at Northwestern University School of Law (Mary L. Schapiro, Chairman — November 9, 2010)Implementation of 21F of the Exchange Act, "Whistleblowers Incentives and Protection" (Proposed Rules and Forms) (Elisse B. Walter, Commissioner — November 3, 2010)Opening Remarks Regarding Proposed Rule 9j-1 (Elisse B. Walter, Commissioner — November 3, 2010)Opening Statement at the SEC Open Meeting: Item 1 — Market Access (Mary L. Schapiro, Chairman — November 3, 2010)Opening Statement at the SEC Open Meeting: Item 2 — Preventing Fraud in Connection With Security-Based Swaps (Mary L. Schapiro, Chairman — November 3, 2010)Opening Statement at the SEC Open Meeting: Item 3 — Whistleblower Program (Mary L. Schapiro, Chairman — November 3, 2010)Strengthening Equity Market Structure and Protecting Investors (Luis A. Aguilar, Commissioner — November 3, 2010)Statement at Open Meeting to Propose Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 (Troy A. Paredes, Commissioner — November 3, 2010)Effective Antifraud Rules Must Address Cross-Market Activity (Luis A. Aguilar, Commissioner — November 3, 2010)Enlisting Whistleblowers in the Battle Against Securities Fraud (Luis A. Aguilar, Commissioner — November 3, 2010)Remarks Before the 43rd Annual Securities Regulation Seminar (Elisse B. Walter, Commissioner — October 29, 2010)Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues to Meet November 5 — October 29, 2010Sunshine Act Meeting Notice — October 27, 2010“Corporate Governance and the New Financial Regulation: Complements or Substitutes?” (Troy A. Paredes, Commissioner — October 25, 2010)Remarks at the ABA Business Law Section, Delaware Business Law Forum (Meredith B. Cross, Director, Division of Corporation Finance — October 22, 2010)Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (34-63169)SEC, FINRA Announce 2011 National Seminar for Broker-Dealer CCOs — October 22, 2010Thomas A. Bayer Named SEC Chief Information Officer — October 20, 2010Remarks at the NACD Annual Corporate Governance Conference (Mary L. Schapiro, Chairman — October 19, 2010)Remarks at Money Smart Week: A Financial Literacy and Education Summit (Lori J. Schock, Director, Office of Investor Education and Advocacy — October 19, 2010)An Insider’s View of the SEC: Principles to Guide Reform (Luis A. Aguilar, Commissioner — October 15, 2010)Opening Statement at SEC Open Meeting — Issuer Reviews of Assets in Offerings of Asset-Backed Securities (Elisse B. Walter, Commissioner — October 13, 2010)Opening Statement at the SEC Open Meeting Item 1 — Security-Based Swaps Reporting (Mary L. Schapiro, Chairman — October 13, 2010)Statement at the SEC Open Meeting Item 3 — Asset-Backed Securities (Mary L. Schapiro, Chairman — October 13, 2010)Statement at SEC Open Meeting Regarding Proposing Release on Issuer Review of Assets in Offerings of Asset-Backed Securities (Kathleen L. Casey, Commissioner — October 13, 2010)The More Things Change, The More It Seems They Stay the Same: Investors Deserve Better (Luis A. Aguilar, Commissioner — October 13, 2010)Effective Regulatory Oversight for Security-Based Swaps Requires Access to Transaction Data (Luis A. Aguilar, Commissioner — October 13, 2010)Karen Garnett and Mark Kronforst Named Associate Directors in SEC Division of Corporation Finance — October 12, 2010Heather Seidel Named Associate Director in Division of Trading and Markets — October 6, 2010Statement by SEC Chairman Schapiro and CFTC Chairman Gensler on the Joint Report Regarding the Market Events of May 6th (Mary L. Schapiro, Chairman — October 1, 2010)