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2011

First Quarter — 2011

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Agencies Seek Public Comment on Risk Retention Proposal — March 30, 2011 Statement Regarding Credit Risk Retention (Mary L. Schapiro, Chairman — March 30, 2011) Statement Regarding Compensation Consultants and Compensation Committee Listing Standards (Mary L. Schapiro, Chairman — March 30, 2011) Realigning Incentives in the Securitization Market (Luis A. Aguilar, Commissioner — March 30, 2011)Improving Executive Compensation Decision Making (Luis A. Aguilar, Commissioner — March 30, 2011)Statement at Open Commission Meeting: Credit Risk Retention and Listing Standards for Compensation Committees (Kathleen L. Casey, Commissioner — March 30, 2011) Statement at Open Meeting to Propose Rule Amendments Regarding Credit Risk Retention in Asset Securitizations (Troy A. Paredes, Commissioner — March 30, 2011) Statement at Open Meeting to Propose Amendments Regarding Listing Standards for Compensation Committees (Troy A. Paredes, Commissioner — March 30, 2011) Exemplifying Fundamentals — Back to Basics (Luis A. Aguilar, Commissioner — March 28, 2011) Remarks at SIFMA’s Compliance and Legal Society Annual Seminar (Mary L. Schapiro, Chairman — March 23, 2011)Remarks at SIFMA’s Compliance and Legal Society Annual Seminar (Robert Khuzami, Director, Division of Enforcement — March 23, 2011) Testimony Before the Subcommittee on Financial Services and General Government (Mary Schapiro, Chairman — March 15, 2011) Testimony on the Financial Management, Work Force Management and Internal Operations of the U.S. Securities and Exchange Commission (Mary L. Schapiro, Chairman — March 10, 2011) Remarks Before the 2011 Investment Adviser Compliance Conference (Troy A. Paredes, Commissioner — March 10, 2011)Statement From Chairman Schapiro on Independent Consultant Report of SEC Organization and Operations — March 10, 2011Testimony Before the Subcommittee on Securities, Insurance, and Investment (Mary Schapiro, Chairman — March 10, 2011) Testimony on Budget and Management of the U.S. Securities and Exchange Commission (March 10, 2011) U.S. Regulators Encourage Comments on CPSS-IOSCO Consultative Report on Principles for Financial Market Infrastructures — March 10, 2011 Testimony on Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act by the U.S. Securities and Exchange Commission (Mary L. Schapiro, Chairman — March 3, 2011)Statement Regarding Incentive-Based Compensation Rules Pursuant to Section 956 of Dodd-Frank (Kathleen L. Casey, Commissioner — March 2, 2011)Statement at SEC Open Commission Meeting: Clearing Agency Standards for Operation and Governance (Kathleen L. Casey, Commissioner — March 2, 2011)Opening Statement — SEC Open Meeting: Proposed Rules on Incentive-Based Compensation (Mary L. Schapiro, Chairman — March 2, 2011) Opening Statement Regarding Proposal to Remove Credit Rating References From Investment Company Act Rules and Forms (Mary L. Schapiro, Chairman — March 2, 2011) Opening Statement Regarding Proposed Rules for Operation and Governance of Clearing Agencies (Mary L. Schapiro, Chairman — March 2, 2011)Statement at SEC Open Meeting: Allow the Regulators to Regulate (Luis A. Aguilar, Commissioner — March 2, 2011) Statement at Open Meeting to Propose Rules Regarding Incentive-Based Compensation Arrangements (Troy A. Paredes, Commissioner — March 2, 2011)Statement at Open Meeting to Propose Rules Regarding Clearing Agency Standards for Operation and Governance (Troy A. Paredes, Commissioner — March 2, 2011) Statement at Open Meeting to Propose Rules Regarding References to Credit Ratings in Certain Investment Company Act Rules and Forms (Troy A. Paredes, Commissioner — March 2, 2011)Opening Remarks Regarding Incentive-Based Compensation Arrangements (Elisse B. Walter, Commissioner — March 2, 2011) Fee Rate Advisory #6 for Fiscal Year 2011 — March 2, 2011Sunshine Act Meeting Notice — February 24, 2011SEC Executive Director Diego Ruiz to Leave Agency — February 18, 2011Sean McKessy Named Head of Whistleblower Office — February 18, 2011Remarks at the DirectWomen Board Institute (Elisse B. Walter, Commissioner — February 10, 2011) Lona Nallengara Named Deputy Director in SEC Division of Corporation Finance — February 17, 2011Testimony 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 — February 17, 2011)Testimony on Implementation of Titles VII and VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act by the U.S. Securities and Exchange Commission (Mary L. Schapiro, Chairman — February 15, 2011)Remarks at the CCOutreach National Seminar (Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations — February 8, 2011) Statement From Chairman Schapiro on Proposed Budget for SEC — February 14, 2011A Tale of Two Studies: Investment Management Institute Keynote Remarks (Elisse B. Walter, Commissioner — February 10, 2011)Testimony Before the Subcommittee on Financial Services and General Government, Committee on Appropriations, U.S. House of Representatives (H. David Kotz, Inspector General — February 10, 2011)Opening Statement — SEC Open Meeting (Mary L. Schapiro, Chairman — February 9, 2011) “The Search for an Appropriate Substitute to Credit Ratings” (Luis A. Aguilar, Commissioner — February 9, 2011) Statement at Open Meeting to Propose Rules Regarding Security Ratings (Troy A. Paredes, Commissioner — February 9, 2011)Statement at SEC Open Meeting Regarding Proposing Release on Security Ratings (Kathleen L. Casey, Commissioner — February 9, 2011) Remarks at the CCOutreach National Seminar (Mary L. Schapiro, Chairman — February 8, 2011)News Conference Remarks (Robert Khuzami, Director of the SEC’s Division of Enforcement — February 8, 2011)Remarks at The SEC Speaks in 2011 (Elisse B. Walter, Commissioner — February 4, 2011) Remarks at The SEC Speaks in 2011 (Troy A. Paredes, Commissioner — February 4, 2011)Setting Forth Aspirations for 2011: Address to Practising Law Institute’s SEC Speaks in 2011 Program (Luis A. Aguilar, Commissioner — February 4, 2011) Address to Practising Law Institute's SEC Speaks in 2011 Program (Kathleen L. Casey, Commissioner — February 4, 2011) Evolving to Meet the Needs of Investors Address to Practising Law Institute’s SEC Speaks in 2011 Program (Mary L. Schapiro, Chairman — February 4, 2011)Mark Cahn Named SEC General Counsel — February 4, 2011Sunshine Act Meeting Notice — February 2, 2011SEC Proposes Rules for Security-Based Swap Execution Facilities — February 2, 2011Opening Statement — SEC Open Meeting (Mary L. Schapiro, Chairman — February 2, 2011)Statement at Open Meeting to Propose Rules Regarding the Registration and Regulation of Security-Based Swap Execution Facilities (Regulation SB SEF) (Troy A. Paredes, Commissioner — February 2, 2011)Bringing Trading in Security-Based Swaps Under Regulatory Oversight (Luis A. Aguilar, Commissioner — February 2, 2011)Sunshine Act Meeting Notice — January 26, 2011Cathy H. Ahn Named Deputy in SEC's Office of the Secretary — January 25, 2011SEC Adopts Rules for Say-on-Pay and Golden Parachute Compensation as Required Under Dodd-Frank Act — January 25, 2011SEC Proposes Private Fund Systemic Risk Reporting Rule — January 25, 2011SEC Proposes Net Worth Standard for Accredited Investors Under Dodd-Frank Act — January 25, 2011Statement at Open Meeting to Adopt a Final Rule Regarding Shareholder Approval of Executive Compensation and Golden Parachute Compensation (Troy A. Paredes, Commissioner — January 25, 2011)Statement at Open Meeting to Propose Rules Regarding Net Worth Standard for Accredited Investors (Troy A. Paredes, Commissioner — January 25, 2011)Opening Statement — SEC Open Meeting: Net Worth Standard for Accredited Investors (Mary L. Schapiro, Chairman — January 25, 2011)Opening Statement — SEC Open Meeting: Private Fund Systemic Risk Reporting (Mary L. Schapiro, Chairman — January 25, 2011)Opening Statement — SEC Open Meeting: Say-On-Pay and Golden Parachute Compensation (Mary L. Schapiro, Chairman — January 25, 2011)Statement at SEC Open Meeting — Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF (Kathleen L. Casey, Commissioner — January 25, 2011)Statement at SEC Open Meeting Regarding Adopting Releases on Net Worth Standard for Accredited Investors and Shareholder Approval of Executive Compensation and Golden Parachute Compensation (Kathleen L. Casey, Commissioner — January 25, 2011)Statement Regarding Study on Investment Advisers and Broker-Dealers (Kathleen L. Casey and Troy A. Paredes, Commissioner — January 21, 2011)Opening Statement — SEC Open Meeting (Mary L. Schapiro, Chairman — January 20, 2011)Statement Regarding Adopting Releases on Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Act and Issuer Review of Assets in Offerings of Asset-Backed Securities (Kathleen L. Casey, Commissioner — January 20, 2011)Effecting Real Due Diligence in the Asset-Backed Securities Markets (Luis A. Aguilar, Commissioner — January 20, 2011)Statement Regarding Issuer Review of Assets in Offerings of Asset-Backed Securities (Troy A. Paredes, Commissioner — January 20, 2011)Jonathan S. Sokobin Named Acting Director of the SEC's Division Of Risk, Strategy and Financial Innovation — January 20, 2011Statement on Study Enhancing Investment Adviser Examinations (Required by Section 914 of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act) (Elisse B. Walter, Commissioner — January 2011)SEC Names Eileen Rominger as Director of Division of Investment Management — January 18, 2011SEC Appoints James R. Doty as Chairman, Jay D. Hanson and Lewis H. Ferguson as Members of PCAOB — January 7, 2011