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Statement at Open Meeting to Adopt Amendments Regarding Political Contributions by Certain Investment Advisers ("Pay to Play") (Troy A. Paredes, Commissioner — June 30, 2010)SEC to Publish for Public Comment Proposed Rules Expanding Stock-by-Stock Circuit Breakers — June 30, 2010Interactive Data — XBRL (Joel K. Levine, Associate Chief Accountant, Interactive Data Director’s Office, Division of Corporation Finance — May 28, 2010) Opening Statement at the SEC Open Meeting (Mary L. Schapiro, Chairman — June 30, 2010)"Preventing Investor Harm Should Be SEC Priority Number One" (Luis A. Aguilar, Commissioner — June 30, 2010)Chairman Schapiro Statement on Regulatory Reform Legislation (Mary L. Schapiro, Chairman — June 28, 2010)Statement on the Supreme Court’s Decision in FEF v. PCAOB — June 28, 2010Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Announces Agenda, List of Participants for June 22 Meeting — June 21, 2010Remarks at the Stanford University Law School Directors College (Mary L. Schapiro, Chairman — June 20, 2010)Remarks at the 29th Annual SEC and Financial Reporting Institute Conference (Paul A. Beswick, Deputy Chief Accountant — June 3, 2010)Opening Statement at Commission Open Meeting (Mary L. Schapiro, Chairman — June 16, 2010) Combating Investors Misperceptions by Requiring Higher-Quality Disclosure (Luis A. Aguilar, Commissioner — June 16, 2010)Remarks at Joint News Conference (Lorin L. Reisner, Deputy Director, Division of Enforcement — June 16, 2010)Remarks at CEO Quarterly Meeting of the Business Roundtable (Mary L. Schapiro, Chairman — June 8, 2010)SEC Statement on Status of Stock-by-Stock Circuit Breaker Rule Proposals — June 4, 2010 XBRL & Risk/Return Interactive Data Rule Overview (SEC Webcast Slides — June 4, 2010)Chairman Schapiro Statement on FASB-IASB Decision to Modify Timing of Certain Convergence Projects — June 2, 2010The Market Structure Must Work for the American Public — Remarks at Market Structure Roundtable (Luis A. Aguilar, Commissioner — June 2, 2010)Opening Statement at SEC Market Structure Roundtable (Mary L. Schapiro, Chairman — June 2, 2010)Brian T. Croteau Named Deputy Chief Accountant for Professional Practice in SEC Office of the Chief Accountant — May 27, 2010Jeff Heslop Named SEC Chief Operating Officer — May 27, 2010SEC Proposes Consolidated Audit Trail System to Better Track Market Trades — May 26, 2010SEC Approves Rule Changes to Enhance Municipal Securities Disclosure (Mary L. Schapiro, Chairman — May 26, 2010)Statement at Open Meeting to Adopt Amendments to Municipal Securities Disclosure (Troy A. Paredes, Commissioner — May 26, 2010)Statement at Open Meeting to Propose a Consolidated Audit Trail (Troy A. Paredes, Commissioner — May 26, 2010)Opening Remarks Regarding Proposed Consolidated Audit Trail (Elisse B. Walter, Commissioner — May 26, 2010)Opening Remarks Regarding Amendments to Municipal Securities Disclosure (Elisse B. Walter, Commissioner — May 26, 2010)Opening Statement at the SEC Open Meeting — Municipal Securities Disclosure (Mary L. Schapiro, Chairman — May 26, 2010)Opening Statement at the SEC Open Meeting — Consolidated Audit Trail (Mary L. Schapiro, Chairman — May 26, 2010)Improving Municipal Securities Disclosure: Our Work Is Not Yet Done (Luis A. Aguilar, Commissioner — May 26, 2010)Effective Capital Markets Regulation Depends on Access to Real-Time Data (Luis A. Aguilar, Commissioner — May 26, 2010)Market Upheaval and Investor Harm Should Not Be the New Normal (Luis A. Aguilar, Commissioner — May 24, 2010)Analysis of Regulatory Issues and Market Reforms Should Be Focused on Enhancing Productive Capital Allocation (Luis A. Aguilar, Commissioner — May 24, 2010)Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues: Slide Presentation — May 24, 2010Statement at News Conference Announcing Virginia Financial and Securities Fraud Task Force (Robert Khuzami, Director, Division of Enforcement — May 21, 2010)Testimony Concerning Accounting and Auditing Standards: Pending Proposals and Emerging Issues (James L. Kroeker, Chief Accountant — May 21, 2010)Kenneth A. Johnson Named SEC Chief Financial Officer — May 21, 2010Examining the Causes and Lessons of the May 6th Market Plunge (Mary L. Schapiro, Chairman — May 20, 2010)SEC to Publish for Public Comment Stock-by-Stock Circuit Breaker Rule Proposals — May 18, 2010Remarks at CFA Institute 2010 Annual Conference (Mary L. Schapiro, Chairman — May 18, 2010)Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues to Meet on May 24 — May 17, 2010Notice of Meeting of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (34-62114)"Amplifying the Voices of Investors: The Work of the Investor Advisory Committee" (Luis A. Aguilar, Commissioner — May 17, 2010)Gerald Hodgkins Named Associate Director in SEC Division of Enforcement — May 13, 2010 Statement in Support of Extending a Fiduciary Duty to Broker-Dealers Who Provide Investment Advice (Luis A. Aguilar, Commissioner — May 11, 2010)Massachusetts Society of CPAs Investment Company InfoShare Program Keynote Address (Andrew J. Donohue, Director, Division of Investment Management — May 11, 2010)SEC, CFTC Announce Creation of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues — May 11, 2010Notice of Federal Advisory Committee Establishment (33-9123)SEC Statement on Meeting With Exchanges — May 10, 2010Remarks at Investment Company Institute 2010 General Membership Meeting (Comments by Mary L. Schapiro, Chairman, as delivered by Andrew J. Donohue, Director, Division of Investment Management — May 7, 2010)Keynote Address at the Compliance and Legal Society of the Securities Industry and Financial Markets Association 2010 Annual Seminar (Mary L. Schapiro, Chairman — May 6, 2010)SEC Staff to Hold Seminar to Help Mutual Funds Comply With XBRL Reporting Rules — May 5, 2010Recruiting the Best and the Brightest Means Striving for a Diverse Applicant Pool (Luis A. Aguilar, Commissioner — May 3, 2010)Richard A. Levine Named SEC Associate General Counsel for Legal Policy — May 3, 2010SEC Completes 20th Annual International Institute for Securities Market Development — May 3, 2010Fee Rate Advisory #1 for Fiscal Year 2011 — April 30, 2010Protecting Investors by Requiring that Advice-Givers Stay True to the Fiduciary Framework (Luis A. Aguilar, Commissioner — April 29, 2010)Testimony Before the Subcommittee on Financial Services and General Government (Mary L. Schapiro, Chairman — April 28, 2010Luncheon Address Before a Meeting of the Business Law Section of the American Bar Association Committee on Federal Regulation of Securities (Andrew J. Donohue, Director, Division of Investment Management — April 24, 2010)Notice of Meeting of SEC Investor Advisory Committee (May 17, 2010) — April 26, 2010Keynote Speech to the National Organization of Investment Professionals (James A. Brigagliano, Deputy Director, Division of Trading and Markets — April 19, 2010)Statement on the Independence of the Securities and Exchange Commission (Mary L. Schapiro, Chairman — April 21, 2010)Testimony Concerning the Lehman Brothers Examiner's Report (Mary L. Schapiro, Chairman — April 20, 2010)Statement From Chairman Schapiro on OIG Report 526: "Investigation of the SEC's Response to Concerns Regarding Robert Allen Stanford's Alleged Ponzi Scheme" — April 16, 2010Regulatory Reform That Optimizes the Regulation of Systemic Risk (Luis A. Aguilar, Commissioner — April 16, 2010)Statement Concerning Agency Self-Funding (Mary L. Schapiro, Chairman — April 15, 2010)SEC Proposes New Measures to Protect Investors in Options Markets — April 14, 2010SEC Proposes Large Trader Reporting System — April 14, 2010Opening Statement at the SEC Open Meeting — Large Trader Reporting System (Mary L. Schapiro, Chairman — April 14, 2010)Opening Statement at the SEC Open Meeting — Access to Listed Options (Mary L. Schapiro, Chairman — April 14, 2010)The Need for Effective Surveillance (Luis A. Aguilar, Commissioner — April 14, 2010)Ensuring Fair, Transparent, and Efficient Options Markets (Luis A. Aguilar, Commissioner — April 14, 2010)Statement at Open Meeting to Propose a Large Trader Reporting System (Troy A. Paredes, Commissioner — April 14, 2010)Statement at Open Meeting to Propose Amendments to Rule 610 of Regulation NMS (Options Access) (Troy A. Paredes, Commissioner — April 14, 2010)Opening Remarks Regarding Large Trader Reporting Requirement (Elisse B. Walter, Commissioner — April 14, 2010)Opening Remarks Regarding Amendments to Rule 610 With Respect to Listed Options (Elisse B. Walter, Commissioner — April 14, 2010)Remarks Before the Practising Law Institute's Investment Management Institute 2010 (Andrew J. Donohue, Director, Division of Investment Management — April 8, 2010)Statement at Open Meeting (Kathleen L. Casey, Commissioner — April 7, 2010)Opening Remarks Regarding Asset-Backed Securities (Elisse B. Walter, Commissioner — April 7, 2010)SEC Proposes Rules to Increase Investor Protections in Asset-Backed Securities — April 7, 2010Statement at Open Meeting Regarding Proposed Rules Concerning Asset-Backed Securities (Troy A. Paredes, Commissioner — April 7, 2010)Opening Statement at the SEC Open Meeting (Mary L. Schapiro, Chairman — April 7, 2010)Addressing the Information Asymmetry in the Securitization Market to Put Investors and the Economy on Safer Footing (Luis A. Aguilar, Commissioner — April 7, 2010)Sunshine Act Meeting Notice — April 7, 2010Kathleen Griffin Named SEC's First Chief Compliance Officer — April 1, 2010
Statement at Open Meeting to Adopt Amendments Regarding Political Contributions by Certain Investment Advisers ("Pay to Play") (Troy A. Paredes, Commissioner — June 30, 2010)SEC to Publish for Public Comment Proposed Rules Expanding Stock-by-Stock Circuit Breakers — June 30, 2010Interactive Data — XBRL (Joel K. Levine, Associate Chief Accountant, Interactive Data Director’s Office, Division of Corporation Finance — May 28, 2010) Opening Statement at the SEC Open Meeting (Mary L. Schapiro, Chairman — June 30, 2010)"Preventing Investor Harm Should Be SEC Priority Number One" (Luis A. Aguilar, Commissioner — June 30, 2010)Chairman Schapiro Statement on Regulatory Reform Legislation (Mary L. Schapiro, Chairman — June 28, 2010)Statement on the Supreme Court’s Decision in FEF v. PCAOB — June 28, 2010Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Announces Agenda, List of Participants for June 22 Meeting — June 21, 2010Remarks at the Stanford University Law School Directors College (Mary L. Schapiro, Chairman — June 20, 2010)Remarks at the 29th Annual SEC and Financial Reporting Institute Conference (Paul A. Beswick, Deputy Chief Accountant — June 3, 2010)Opening Statement at Commission Open Meeting (Mary L. Schapiro, Chairman — June 16, 2010) Combating Investors Misperceptions by Requiring Higher-Quality Disclosure (Luis A. Aguilar, Commissioner — June 16, 2010)Remarks at Joint News Conference (Lorin L. Reisner, Deputy Director, Division of Enforcement — June 16, 2010)Remarks at CEO Quarterly Meeting of the Business Roundtable (Mary L. Schapiro, Chairman — June 8, 2010)SEC Statement on Status of Stock-by-Stock Circuit Breaker Rule Proposals — June 4, 2010 XBRL & Risk/Return Interactive Data Rule Overview (SEC Webcast Slides — June 4, 2010)Chairman Schapiro Statement on FASB-IASB Decision to Modify Timing of Certain Convergence Projects — June 2, 2010The Market Structure Must Work for the American Public — Remarks at Market Structure Roundtable (Luis A. Aguilar, Commissioner — June 2, 2010)Opening Statement at SEC Market Structure Roundtable (Mary L. Schapiro, Chairman — June 2, 2010)Brian T. Croteau Named Deputy Chief Accountant for Professional Practice in SEC Office of the Chief Accountant — May 27, 2010Jeff Heslop Named SEC Chief Operating Officer — May 27, 2010SEC Proposes Consolidated Audit Trail System to Better Track Market Trades — May 26, 2010SEC Approves Rule Changes to Enhance Municipal Securities Disclosure (Mary L. Schapiro, Chairman — May 26, 2010)Statement at Open Meeting to Adopt Amendments to Municipal Securities Disclosure (Troy A. Paredes, Commissioner — May 26, 2010)Statement at Open Meeting to Propose a Consolidated Audit Trail (Troy A. Paredes, Commissioner — May 26, 2010)Opening Remarks Regarding Proposed Consolidated Audit Trail (Elisse B. Walter, Commissioner — May 26, 2010)Opening Remarks Regarding Amendments to Municipal Securities Disclosure (Elisse B. Walter, Commissioner — May 26, 2010)Opening Statement at the SEC Open Meeting — Municipal Securities Disclosure (Mary L. Schapiro, Chairman — May 26, 2010)Opening Statement at the SEC Open Meeting — Consolidated Audit Trail (Mary L. Schapiro, Chairman — May 26, 2010)Improving Municipal Securities Disclosure: Our Work Is Not Yet Done (Luis A. Aguilar, Commissioner — May 26, 2010)Effective Capital Markets Regulation Depends on Access to Real-Time Data (Luis A. Aguilar, Commissioner — May 26, 2010)Market Upheaval and Investor Harm Should Not Be the New Normal (Luis A. Aguilar, Commissioner — May 24, 2010)Analysis of Regulatory Issues and Market Reforms Should Be Focused on Enhancing Productive Capital Allocation (Luis A. Aguilar, Commissioner — May 24, 2010)Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues: Slide Presentation — May 24, 2010Statement at News Conference Announcing Virginia Financial and Securities Fraud Task Force (Robert Khuzami, Director, Division of Enforcement — May 21, 2010)Testimony Concerning Accounting and Auditing Standards: Pending Proposals and Emerging Issues (James L. Kroeker, Chief Accountant — May 21, 2010)Kenneth A. Johnson Named SEC Chief Financial Officer — May 21, 2010Examining the Causes and Lessons of the May 6th Market Plunge (Mary L. Schapiro, Chairman — May 20, 2010)SEC to Publish for Public Comment Stock-by-Stock Circuit Breaker Rule Proposals — May 18, 2010Remarks at CFA Institute 2010 Annual Conference (Mary L. Schapiro, Chairman — May 18, 2010)Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues to Meet on May 24 — May 17, 2010Notice of Meeting of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (34-62114)"Amplifying the Voices of Investors: The Work of the Investor Advisory Committee" (Luis A. Aguilar, Commissioner — May 17, 2010)Gerald Hodgkins Named Associate Director in SEC Division of Enforcement — May 13, 2010 Statement in Support of Extending a Fiduciary Duty to Broker-Dealers Who Provide Investment Advice (Luis A. Aguilar, Commissioner — May 11, 2010)Massachusetts Society of CPAs Investment Company InfoShare Program Keynote Address (Andrew J. Donohue, Director, Division of Investment Management — May 11, 2010)SEC, CFTC Announce Creation of Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues — May 11, 2010Notice of Federal Advisory Committee Establishment (33-9123)SEC Statement on Meeting With Exchanges — May 10, 2010Remarks at Investment Company Institute 2010 General Membership Meeting (Comments by Mary L. Schapiro, Chairman, as delivered by Andrew J. Donohue, Director, Division of Investment Management — May 7, 2010)Keynote Address at the Compliance and Legal Society of the Securities Industry and Financial Markets Association 2010 Annual Seminar (Mary L. Schapiro, Chairman — May 6, 2010)SEC Staff to Hold Seminar to Help Mutual Funds Comply With XBRL Reporting Rules — May 5, 2010Recruiting the Best and the Brightest Means Striving for a Diverse Applicant Pool (Luis A. Aguilar, Commissioner — May 3, 2010)Richard A. Levine Named SEC Associate General Counsel for Legal Policy — May 3, 2010SEC Completes 20th Annual International Institute for Securities Market Development — May 3, 2010Fee Rate Advisory #1 for Fiscal Year 2011 — April 30, 2010Protecting Investors by Requiring that Advice-Givers Stay True to the Fiduciary Framework (Luis A. Aguilar, Commissioner — April 29, 2010)Testimony Before the Subcommittee on Financial Services and General Government (Mary L. Schapiro, Chairman — April 28, 2010Luncheon Address Before a Meeting of the Business Law Section of the American Bar Association Committee on Federal Regulation of Securities (Andrew J. Donohue, Director, Division of Investment Management — April 24, 2010)Notice of Meeting of SEC Investor Advisory Committee (May 17, 2010) — April 26, 2010Keynote Speech to the National Organization of Investment Professionals (James A. Brigagliano, Deputy Director, Division of Trading and Markets — April 19, 2010)Statement on the Independence of the Securities and Exchange Commission (Mary L. Schapiro, Chairman — April 21, 2010)Testimony Concerning the Lehman Brothers Examiner's Report (Mary L. Schapiro, Chairman — April 20, 2010)Statement From Chairman Schapiro on OIG Report 526: "Investigation of the SEC's Response to Concerns Regarding Robert Allen Stanford's Alleged Ponzi Scheme" — April 16, 2010Regulatory Reform That Optimizes the Regulation of Systemic Risk (Luis A. Aguilar, Commissioner — April 16, 2010)Statement Concerning Agency Self-Funding (Mary L. Schapiro, Chairman — April 15, 2010)SEC Proposes New Measures to Protect Investors in Options Markets — April 14, 2010SEC Proposes Large Trader Reporting System — April 14, 2010Opening Statement at the SEC Open Meeting — Large Trader Reporting System (Mary L. Schapiro, Chairman — April 14, 2010)Opening Statement at the SEC Open Meeting — Access to Listed Options (Mary L. Schapiro, Chairman — April 14, 2010)The Need for Effective Surveillance (Luis A. Aguilar, Commissioner — April 14, 2010)Ensuring Fair, Transparent, and Efficient Options Markets (Luis A. Aguilar, Commissioner — April 14, 2010)Statement at Open Meeting to Propose a Large Trader Reporting System (Troy A. Paredes, Commissioner — April 14, 2010)Statement at Open Meeting to Propose Amendments to Rule 610 of Regulation NMS (Options Access) (Troy A. Paredes, Commissioner — April 14, 2010)Opening Remarks Regarding Large Trader Reporting Requirement (Elisse B. Walter, Commissioner — April 14, 2010)Opening Remarks Regarding Amendments to Rule 610 With Respect to Listed Options (Elisse B. Walter, Commissioner — April 14, 2010)Remarks Before the Practising Law Institute's Investment Management Institute 2010 (Andrew J. Donohue, Director, Division of Investment Management — April 8, 2010)Statement at Open Meeting (Kathleen L. Casey, Commissioner — April 7, 2010)Opening Remarks Regarding Asset-Backed Securities (Elisse B. Walter, Commissioner — April 7, 2010)SEC Proposes Rules to Increase Investor Protections in Asset-Backed Securities — April 7, 2010Statement at Open Meeting Regarding Proposed Rules Concerning Asset-Backed Securities (Troy A. Paredes, Commissioner — April 7, 2010)Opening Statement at the SEC Open Meeting (Mary L. Schapiro, Chairman — April 7, 2010)Addressing the Information Asymmetry in the Securitization Market to Put Investors and the Economy on Safer Footing (Luis A. Aguilar, Commissioner — April 7, 2010)Sunshine Act Meeting Notice — April 7, 2010Kathleen Griffin Named SEC's First Chief Compliance Officer — April 1, 2010