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2010

Third Quarter — 2010

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Testimony on Implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act by the U.S. Securities and Exchange Commission (Mary L. Schapiro, Chairman — September 30, 2010)Fee Rate Advisory #2 for Fiscal Year 2011 — September 29, 2010Remarks at the Security Traders Association 77th Annual Conference and Business Meeting (Troy A. Paredes, Commissioner — September 24, 2010)Testimony Concerning Investigating and Prosecuting Fraud After the Fraud Enforcement and Recovery Act (Robert Khuzami, Director, Division of Enforcement — September 22, 2010)Administrative Law Judge James T. Kelly to Retire After 11 Years at SEC — September 21, 2010Remarks Before the Security Traders Association (Mary L. Schapiro, Chairman — September 22, 2010)Statement at SEC Field Hearing on the State of the Municipal Securities Market (Elisse B. Walter, Commissioner — September 21, 2010)Opening Statement at the SEC Open Meeting (Mary L. Schapiro, Chairman — September 17, 2010)Statement at SEC Open Meeting Regarding Proposing Release on Short-Term Borrowings Disclosure and Guidance on Presentation of Liquidity and Capital Resources Disclosures in MD&A (Kathleen L. Casey, Commissioner — September 17, 2010)Statement at Open Meeting to Adopt Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis and to Propose Amendments Regarding Short-Term Borrowings Disclosure (Troy A. Paredes, Commissioner — September 17, 2010)“Rules Alone Will Not Stop Obfuscation of the Balance Sheet” (Luis A. Aguilar, Commissioner — September 17, 2010)SEC Proposes Measures to Enhance Short-Term Borrowing Disclosure to Investors — September 17, 2010"Legislative Proposals to Address Concerns Over the SEC's New Confidentiality Provision" (Mary L. Schapiro, Chairman — September 16, 2010)Regulatory Flexibility Agenda (33-9141)Diversity in the Boardroom Is Important and, Unfortunately, Still Rare (Luis A. Aguilar, Commissioner — September 16, 2010)J.W. Mike Starr Named Deputy Chief Accountant for Policy Support and Market Monitoring in Office of Chief Accountant — September 14, 2010"Strengthening Our Equity Market Structure" (Mary L. Schapiro, Chairman — September 7, 2010)Brian Breheny, Deputy Director in Division of Corporation Finance, to Leave After Seven Years at SEC — August 30, 2010John Ramsay Named Deputy Director in Division of Trading and Markets — August 30, 2010Christopher R. Conte, Associate Director of Enforcement, to Leave After Nearly 18 Years at SEC — August 30, 2010Statement at Open Meeting to Adopt Amendments Regarding Facilitating Shareholder Director Nominations (Kathleen L. Casey, Commissioner — August 25, 2010)A Measured Approach to Facilitating Director Nominations by Shareholders (Luis A. Aguilar, Commissioner — August 25, 2010)Statement at Open Meeting to Adopt the Final Rule Regarding Facilitating Shareholder Director Nominations (“Proxy Access”) (Troy A. Paredes, Commissioner — August 25, 2010)Opening Statement at the SEC Open Meeting (Elisse B. Walter, Commissioner — August 25, 2010)Opening Statement at the SEC Open Meeting (Mary L. Schapiro, Chairman — August 25, 2010)Statement From Chairman Schapiro on Financial Accounting Foundation Developments — August 24, 2010Sunshine Act Meeting Notice — August 20, 2010Andrew J. Donohue to Leave SEC After Four Years Leading Division of Investment Management — August 17, 2010SEC, CFTC to Host August 20 Roundtable on Clearing and Listing of Swaps and Security-Based Swaps — August 13, 2010Opening Statement at CFTC-SEC Joint Advisory Committee Meeting (Mary L. Schapiro, Chairman — August 11, 2010)Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Announces Agenda/Participants for August 11 Meeting — August 6, 2010Office of the Chief Accountant Names Academic Fellows — August 5, 2010Shira Pavis Minton Named SEC Ethics Counsel — August 5, 2010 Testimony Concerning Oversight of the U.S. Securities and Exchange Commission: Evaluating Present Reforms and Future Challenges (Mary L. Schapiro, Chairman — July 20, 2010)Matthew Martens Named Chief Litigation Counsel in SEC Division of Enforcement — August 2, 2010SEC Chairman Schapiro Announces Open Process for Regulatory Reform Rulemaking — July 27, 2010Moving Forward: The Next Phase in Financial Regulatory Reform (Mary L. Schapiro, Chairman — July 27, 2010)Joint CFTC-SEC Advisory Committee On Emerging Regulatory Issues (34-62552)Testimony Concerning Continuing Oversight on International Cooperation to Modernize Financial Regulation (Kathleen L. Casey, Commissioner — July 20, 2010)Statement Regarding the Registered Asset-Backed Securities Market (Meredith Cross, Director, Division of Corporation Finance — July 22, 2010)Opening Statement at SEC Open Meeting—Amendments to Form ADV (Final Rule) (Elisse B. Walter, Commissioner — July 21, 2010)SEC Releases Report of the Life Settlements Task Force — July 22, 2010David W. Blass Named SEC Associate General Counsel for Legal Policy — July 21, 2010SEC Proposes Measures to Improve Regulation of Fund Distribution Fees and Provide Better Disclosure for Investors — July 21, 2010SEC Approves Disclosure Form Changes to Provide Investors Greater Information About Their Investment Advisers — July 21, 2010"Working Toward Fairness and Transparency in Distribution Costs" (Luis A. Aguilar, Commissioner — July 21, 2010)"Better Arming Investors and the SEC with the Ability to Evaluate and Assess Investment Advisers" (Luis A. Aguilar, Commissioner — July 21, 2010)Statement at Open Meeting to Propose Amendments Regarding Mutual Fund Distribution Fees (Rule 12b-1) (Troy A. Paredes, Commissioner — July 21, 2010)Statement at Open Meeting to Adopt Amendments Regarding Part 2 of Form ADV (Troy A. Paredes, Commissioner — July 21, 2010)Opening Statement at SEC Open Meeting — Mutual Fund Distribution Fees (Rule 12b-1 Fees) (Elisse B. Walter, Commissioner — July 21, 2010) Opening Statement at SEC Open Meeting — Mutual Fund Distribution Fees (Rule 12b-1 Fees) (Kathleen L. Casey, Commissioner — July 21, 2010)Opening Statement at the SEC Open Meeting—Form ADV Amendments (Mary L. Schapiro, Chairman — July 21, 2010)Opening Statement at the SEC Open Meeting—12b-1 Fees (Mary L. Schapiro, Chairman — July 21, 2010)Division of Corporation Finance Filing Review Process — July 2010Paula Dubberly Named to New Deputy Director Position in Division of Corporation Finance — July 16, 2010SEC Adds Units to Oversee Financial Institutions, Asset-Backed Securities, New Financial Products and Trends — July 16, 2010Remarks at News Conference Announcing Landmark $550 Million Goldman Sachs Settlement (Robert Khuzami and Lorin Reisner, Division of Enforcement — July 15, 2010)SEC Votes to Seek Public Comment on U.S. Proxy System — July 14, 2010Press Release Enforcement Chief Counsel Joan McKown to Leave SEC — July 14, 2010Statement at SEC Open Meeting (Mary L. Schapiro, Chairman — July 14, 2010)Statement at SEC Open Meeting (Luis A. Aguilar, Commissioner — July 14, 2010) Statement at Open Meeting on Proxy Mechanics Concept Release (Kathleen L. Casey, Commissioner — July 14, 2010)Chief Information Officer Charles Boucher to Leave SEC — July 12, 2010Remarks at the National Conference of the Society of Corporate Secretaries and Governance Professionals (Mary L. Schapiro, Chairman — July 9, 2010)Sunshine Act Meeting Notice — July 7, 2010Supervisory Cooperation: The Next Frontier for International Securities Regulation (Elisse B. Walter, Commissioner — July 6, 2010)