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Statement by SEC Commissioners: Statement Regarding Volcker Rule Comment Period (Daniel M. Gallagher, Commissioner and Troy A. Paredes, Commissioner — December 23, 2011)SEC Adopts Dodd-Frank Mine Safety Disclosure Requirements — December 21, 2011SEC Adopts Net Worth Standard for Accredited Investors Under Dodd-Frank Act — December 21, 2011Remarks at the Transatlantic Corporate Governance Dialogue (Mary Schapiro, Chairman — December 15, 2011)'SEC Reform After Dodd-Frank and the Financial Crisis' (Daniel M. Gallagher, Commissioner — December 14, 2011) Remarks Before the ICI 2011 Securities Law Developments Conference (Eileen Rominger, Director, Division of Investment Management — December 13, 2011)Joint Statement on Regulation of OTC Derivatives Markets — December 9, 2011SEC Announces National Seminar for Compliance Officers and Senior Personnel at Investment Management Firms — December 8, 2011Luis A. Aguilar Sworn In for Second Term as SEC Commissioner — December 8, 2011Testimony on 'H.R. 1148, the Stop Trading on Congressional Knowledge Act' (Robert Khuzami, Director, Division of Enforcement — December 6, 2011)SEC Names Eric Pan as Associate Director in Office of International Affairs — December 6, 2011Testimony on 'Continued Oversight of the Implementation of the Wall Street Reform Act' (Mary L. Schapiro, Chairman — December 6, 2011)2011 AICPA National Conference on Current SEC and PCAOB DevelopmentsStatement on the Application of Insider Trading Law to Trading by Members of Congress and Their Staffs (Robert Khuzami, Director, Division of Enforcement — December 1, 2011)Testimony on Dodd-Frank Act Implementation (Mary L. Schapiro, Chairman — December 1, 2011)Testimony on 'Spurring Job Growth Through Capital Formation While Protecting Investors' (Meredith B. Cross, Director, Division of Corporation Finance, and Lona Nallengara, Deputy Director, Division of Corporation Finance — December 1, 2011)SEC Staff and FINRA Issue Risk Alert on Broker-Dealer Branch Office Inspections — November 30, 2011Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation (Daniel Gallagher, Commissioner — November 17, 2011)Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation (Troy A. Paredes, Commissioner — November 17, 2011)Facilitating Small Business Capital Formation Does Not Need to Be at the Expense of Protecting Investors (Luis A. Aguilar, Commissioner — November 17, 2011)Testimony on 'Management and Structural Reforms at the SEC: A Progress Report' (Various SEC Directors — November 16, 2011)SEC Staff Paper, An Analysis of IFRS in Practice — November 16, 2011SEC Staff Paper, A Comparison of U.S. GAAP and IFRS — November 16, 2011SEC Hosts Nationwide Shadowing Event for High School Finance Students — November 15, 2011SEC Approves New Rules to Toughen Listing Standards for Reverse Merger Companies — November 9, 2011SEC Enforcement Division Produces Record Results in Safeguarding Investors and Markets — November 9, 2011Daniel Gallagher Sworn in as SEC CommissionerRemarks Before the FINRA Institute at Wharton Certified Regulatory and Compliance Professional (CRCP) Program (Elisse B. Walter, Commissioner — November 8, 2011)Remarks at SIFMA's 2011 Annual Meeting (Mary L. Schapiro, Chairman — November 7, 2011)Speech by SEC Chairman: Remarks at Stanford Center on Longevity — FINRA Investor Education Foundation Conference (Mary L. Schapiro, Chairman — November 3, 2011)Brian Bussey Named Associate Director for Derivatives Policy and Trading Practices in Division of Trading and Markets — October 27, 2011SEC Names Peter Curley as Associate Director for Clearance and Settlement in Division of Trading and Markets — October 27, 2011SEC Approves Confidential Private Fund Risk Reporting — October 26, 2011Opening Statement at SEC Open Meeting: Private Fund Systemic Risk Reporting (Mary L. Schapiro, Chairman — October 26, 2011)Statement at Open Meeting to Adopt Form PF (Tony A. Paredes, Commissioner — October 26, 2011)'Obtaining Reliable Information Regarding Private Fund Advisers' (Luis A. Aguilar, Commissioner — October 26, 2011) Andrew J. Bowden Named Head of SEC's National Investment Adviser/Investment Company Examination Program — October 21, 2011SEC to Hold Annual Government-Business Forum on Small Business Capital Formation — October 21, 2011Testimony on Market Micro-Structure: An Examination of ETFs (Eileen Rominger, Director, Division of Investment Management — October 19, 2011)SEC Staff to Hold Roundtable on 'Measurement Uncertainty in Financial Reporting' — October 18, 2011SEC and FSA Co-Host International Roundtable on Market Structures — October 14, 2011SEC Advisory Committee on Small and Emerging Companies to Hold First Meeting on October 31 — October 13, 2011SEC and FSA Hold Strategic Dialogue Meeting — October 13, 2011Opening Statement at SEC Open Meeting: Item 1 — Prohibitions and Restrictions on Proprietary Trading (Mary L. Schapiro, Chairman — October 12, 2011)Statement at Open Meeting to Propose Rules Regarding Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (Troy A. Paredes, Commissioner — October 12, 2011)Regulating Key Players in Security-Based Swaps (Luis A. Aguilar, Commissioner — October 12, 2011)Statement at Open Meeting to Propose Rules Regarding Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (the "Volcker Rule") (Troy A. Paredes, Commissioner — October 12, 2011)SEC Proposes Rules for Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants — October 12, 2011 Protecting the Financial System and Aligning the Interests of Banks and Their Customers (Luis A. Aguilar, Commissioner — October 12, 2011) Opening Remarks Regarding the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (Proposed Rules 15Fb1-1 Through 15Fb6-1) (Elisse B. Walter, Commissioner — October 12, 2011)Statement at SEC Open Meeting: Item 2 — Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants (Mary L. Schapiro, Chairman — October 12, 2011)SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading — October 12, 2011Michael A. Conley Named SEC's Deputy General Counsel — October 4, 2011
Statement by SEC Commissioners: Statement Regarding Volcker Rule Comment Period (Daniel M. Gallagher, Commissioner and Troy A. Paredes, Commissioner — December 23, 2011)SEC Adopts Dodd-Frank Mine Safety Disclosure Requirements — December 21, 2011SEC Adopts Net Worth Standard for Accredited Investors Under Dodd-Frank Act — December 21, 2011Remarks at the Transatlantic Corporate Governance Dialogue (Mary Schapiro, Chairman — December 15, 2011)'SEC Reform After Dodd-Frank and the Financial Crisis' (Daniel M. Gallagher, Commissioner — December 14, 2011) Remarks Before the ICI 2011 Securities Law Developments Conference (Eileen Rominger, Director, Division of Investment Management — December 13, 2011)Joint Statement on Regulation of OTC Derivatives Markets — December 9, 2011SEC Announces National Seminar for Compliance Officers and Senior Personnel at Investment Management Firms — December 8, 2011Luis A. Aguilar Sworn In for Second Term as SEC Commissioner — December 8, 2011Testimony on 'H.R. 1148, the Stop Trading on Congressional Knowledge Act' (Robert Khuzami, Director, Division of Enforcement — December 6, 2011)SEC Names Eric Pan as Associate Director in Office of International Affairs — December 6, 2011Testimony on 'Continued Oversight of the Implementation of the Wall Street Reform Act' (Mary L. Schapiro, Chairman — December 6, 2011)2011 AICPA National Conference on Current SEC and PCAOB DevelopmentsStatement on the Application of Insider Trading Law to Trading by Members of Congress and Their Staffs (Robert Khuzami, Director, Division of Enforcement — December 1, 2011)Testimony on Dodd-Frank Act Implementation (Mary L. Schapiro, Chairman — December 1, 2011)Testimony on 'Spurring Job Growth Through Capital Formation While Protecting Investors' (Meredith B. Cross, Director, Division of Corporation Finance, and Lona Nallengara, Deputy Director, Division of Corporation Finance — December 1, 2011)SEC Staff and FINRA Issue Risk Alert on Broker-Dealer Branch Office Inspections — November 30, 2011Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation (Daniel Gallagher, Commissioner — November 17, 2011)Remarks at the 2011 SEC Government-Business Forum on Small Business Capital Formation (Troy A. Paredes, Commissioner — November 17, 2011)Facilitating Small Business Capital Formation Does Not Need to Be at the Expense of Protecting Investors (Luis A. Aguilar, Commissioner — November 17, 2011)Testimony on 'Management and Structural Reforms at the SEC: A Progress Report' (Various SEC Directors — November 16, 2011)SEC Staff Paper, An Analysis of IFRS in Practice — November 16, 2011SEC Staff Paper, A Comparison of U.S. GAAP and IFRS — November 16, 2011SEC Hosts Nationwide Shadowing Event for High School Finance Students — November 15, 2011SEC Approves New Rules to Toughen Listing Standards for Reverse Merger Companies — November 9, 2011SEC Enforcement Division Produces Record Results in Safeguarding Investors and Markets — November 9, 2011Daniel Gallagher Sworn in as SEC CommissionerRemarks Before the FINRA Institute at Wharton Certified Regulatory and Compliance Professional (CRCP) Program (Elisse B. Walter, Commissioner — November 8, 2011)Remarks at SIFMA's 2011 Annual Meeting (Mary L. Schapiro, Chairman — November 7, 2011)Speech by SEC Chairman: Remarks at Stanford Center on Longevity — FINRA Investor Education Foundation Conference (Mary L. Schapiro, Chairman — November 3, 2011)Brian Bussey Named Associate Director for Derivatives Policy and Trading Practices in Division of Trading and Markets — October 27, 2011SEC Names Peter Curley as Associate Director for Clearance and Settlement in Division of Trading and Markets — October 27, 2011SEC Approves Confidential Private Fund Risk Reporting — October 26, 2011Opening Statement at SEC Open Meeting: Private Fund Systemic Risk Reporting (Mary L. Schapiro, Chairman — October 26, 2011)Statement at Open Meeting to Adopt Form PF (Tony A. Paredes, Commissioner — October 26, 2011)'Obtaining Reliable Information Regarding Private Fund Advisers' (Luis A. Aguilar, Commissioner — October 26, 2011) Andrew J. Bowden Named Head of SEC's National Investment Adviser/Investment Company Examination Program — October 21, 2011SEC to Hold Annual Government-Business Forum on Small Business Capital Formation — October 21, 2011Testimony on Market Micro-Structure: An Examination of ETFs (Eileen Rominger, Director, Division of Investment Management — October 19, 2011)SEC Staff to Hold Roundtable on 'Measurement Uncertainty in Financial Reporting' — October 18, 2011SEC and FSA Co-Host International Roundtable on Market Structures — October 14, 2011SEC Advisory Committee on Small and Emerging Companies to Hold First Meeting on October 31 — October 13, 2011SEC and FSA Hold Strategic Dialogue Meeting — October 13, 2011Opening Statement at SEC Open Meeting: Item 1 — Prohibitions and Restrictions on Proprietary Trading (Mary L. Schapiro, Chairman — October 12, 2011)Statement at Open Meeting to Propose Rules Regarding Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (Troy A. Paredes, Commissioner — October 12, 2011)Regulating Key Players in Security-Based Swaps (Luis A. Aguilar, Commissioner — October 12, 2011)Statement at Open Meeting to Propose Rules Regarding Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (the "Volcker Rule") (Troy A. Paredes, Commissioner — October 12, 2011)SEC Proposes Rules for Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants — October 12, 2011 Protecting the Financial System and Aligning the Interests of Banks and Their Customers (Luis A. Aguilar, Commissioner — October 12, 2011) Opening Remarks Regarding the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (Proposed Rules 15Fb1-1 Through 15Fb6-1) (Elisse B. Walter, Commissioner — October 12, 2011)Statement at SEC Open Meeting: Item 2 — Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants (Mary L. Schapiro, Chairman — October 12, 2011)SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading — October 12, 2011Michael A. Conley Named SEC's Deputy General Counsel — October 4, 2011