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SEC Proposes Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants — June 29, 2011Keynote Address at the Society of Corporate Secretaries and Governance Professionals 65th Annual Conference (Kathleen L. Casey, Commissioner — June 29, 2011)Statement at Open Meeting to Propose Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (Troy A. Paredes, Commissioner — June 29, 2011)Opening Statement at SEC Open Meeting (Mary Schapiro, Chairman — June 29, 2011)Bringing Transparency and Fair Dealing to the Market for Security-Based Swaps (Luis A. Aguilar, Commissioner — June 29, 2011Opening Statement at SEC Open Meeting: (1) Rules Implementing Amendments to the Advisers Act of 1940 (Final Rules); (2) Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers (Final Rules) (Elisse B. Walter, Commissioner — June 22, 2011)Sunshine Act Meeting Notice — June 22, 2011SEC Adopts Dodd-Frank Act Amendments to Investment Advisers Act (Mary L. Schapiro, Chairman — June 22, 2011)SEC Adopts Rule Under Dodd-Frank Act Defining "Family Offices" (Mary L. Schapiro, Chairman — June 22, 2011)Statement at Open Meeting to Adopt Final Rules Regarding Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers and Final Rules Implementing Amendments to the Investment Advisers Act of 1940 (Troy A. Paredes, Commissioner — June 22, 2011) Statement at Open Meeting to Adopt a Final Rule Excluding a "Family Office" From the Definition of "Investment Adviser" (Troy A. Paredes, Commissioner — June 22, 2011)"Moving From Proposal to Implementation: The Changing Adviser Landscape" (Luis A. Aguilar, Commissioner — June 22, 2011) Statement at SEC Open Meeting: Item #3 — Family Offices (Mary L. Schapiro, Chairman — June 22, 2011)Opening Statement at SEC Open Meeting: Dodd-Frank Act Amendments to the Investment Advisers Act (Mary L. Schapiro, Chairman — June 22, 2011)Statement at SEC Open Meeting — Rules Implementing Amendments to the Investment Advisers Act of 1940; Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers (Kathleen L. Casey, Commissioner — June 22, 2011)Remarks Before the American Securitization Forum 2011 Annual Meeting (Mary L. Schapiro, Chairman — June 22, 2011)Testimony on "Financial Regulatory Reform: The International Context" (Mary L. Schapiro, Chairman — June 16, 2011)Statement at Open Meeting to Propose Rule Amendments Regarding Broker-Dealer Reports (Troy A. Paredes, Commissioner — June 15, 2011) SEC Concludes That Certain Stanford Ponzi Scheme Investors Are Entitled to Protections of SIPA — June 15, 2011SEC Provides Guidance and Temporary Relief Regarding Security-Based Swap Provisions of Dodd-Frank Act — June 15, 2011Opening Statement at SEC Open Meeting: Proposals to Amend Rule 17a-5 (Mary L. Schapiro, Chairman — June 15, 2011)Protecting Investors and Their Assets (Luis A. Aguilar, Commissioner — June 15, 2011)SEC Proposes Ways to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets — June 15, 2011 Remarks Before the Bennett S. LeBow College of Business at Drexel University (Mary L. Schapiro, Chairman — June 11, 2011)SEC-CFTC Staffs to Host Public Roundtable Discussion on Proposed Dealer and Major Participant Definitions Under Dodd-Frank Act — June 10, 2011 SEC Announces Steps to Address One-Year Effective Date of Title VII of Dodd-Frank Act — June 10, 2011SEC Proposes Exemptions From Registration Requirements for Security-Based Swaps Issued by Certain Clearing Agencies — June 10, 2011 An Inflection Point: The SEC and the Current Financial Reform Landscape (Luis A. Aguilar, Commissioner — June 10, 2011)Remarks at the Symposium on "Hedge Fund Regulation and Current Developments" (Troy A. Paredes, Commissioner — June 8, 2011)Sunshine Act Meeting Notice — June 8, 2011Agencies Extend Comment Period on Risk Retention Proposed Rulemaking — June 7, 2011Remarks at the University of Southern California SEC and Financial Reporting Institute Conference (James L. Kroeker, Chief Accountant — June 5, 2011)SEC, FINRA Warn Retail Investors About Investing in Structured Notes With Principal Protection — June 2, 2011SEC Charges Former NASDAQ Managing Director With Insider Trading — May 26, 2011Adoption of Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 (Kathleen L. Casey, Commissioner — May 25, 2011)Statement at Open Commission Meeting: Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings (Kathleen L. Casey, Commissioner — May 25, 2011)SEC Adopts Rules to Establish Whistleblower Program — May 25, 2011SEC Proposes Rule to Disqualify Felons and Bad Actors From Securities Offerings — May 25, 2011Excluding Established Wrongdoers From Engaging in Rule 506 Transactions (Luis A. Aguilar, Commissioner — May 25, 2011)Incentivizing Whistleblowers to Bring Fraud to Light (Luis A. Aguilar, Commissioner — May 25, 2011)Statement at Open Meeting to Propose Rules Regarding Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings (Troy A. Paredes, Commissioner — May 25, 2011)Statement at Open Meeting to Adopt Final Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 (Troy A. Paredes, Commissioner — May 25, 2011)Opening Statement — Open Meeting — Final Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 (Elisse B. Walter, Commissioner — May 25, 2011)Remarks Before the Financial Accounting Foundation’s 2011 Annual Board of Trustees Dinner (Mary L. Schapiro, Chairman — May 24, 2011)Opening Statement at SEC Open Meeting: Item 2 — Whistleblower Program (Mary L. Schapiro, Chairman — May 25, 2011)Opening Statement at SEC Open Meeting: Item 1 — Felons and Bad Actors (Mary L. Schapiro, Chairman — May 25, 2011)Vanderbilt Professor Craig Lewis Named SEC Chief Economist and Director of RiskFin Division — May 20, 2011Proposed Rules for Nationally Recognized Statistical Rating Organizations (Kathleen L. Casey, Commissioner — May 18, 2011)Remarks at InvestEd Investor Education Conference (Lori J. Schock, Director, Office of Investor Education and Advocacy — May 15, 2011)Sunshine Act Meeting Notice — May 18, 2011SEC Proposes Rules to Increase Transparency and Improve Integrity of Credit Ratings — May 18, 2011Opening Statement at SEC Open Meeting (Mary Schapiro, Chairman — May 18, 2011)Continuing to Improve the Quality, Transparency, and Reliability of Credit Ratings (Luis A. Aguilar, Commissioner — May 18, 2011)"The Stanford Ponzi Scheme: Lessons for Protecting Investors From the Next Securities Fraud" (Julie Preuitt, Fort Worth Regional Office — May 13, 2011)"The Stanford Ponzi Scheme: Lessons for Protecting Investors From the Next Securities Fraud" (Robert Khuzami, Director, Division of Enforcement, and Carlo di Florio, Director, Office of Compliance Inspections and Examinations — May 13, 2011)Testimony on Monitoring Systemic Risk and Promoting Financial Stability (Mary L. Schapiro, Chairman — May 12, 2011)Sunshine Act Meeting Notice — May 11, 2011SEC Seeks Public Comment to Assist in Study on Assigned Credit Ratings — May 10, 2011SEC Publishes Notice Regarding Inflation Indexing of Performance Fee RuleRemarks Before the Money Market Funds and Systemic Risk Roundtable (Mary L. Schapiro, Chairman — May 10, 2011Testimony on the Future of Capital Formation (Mary L. Schapiro, Chairman — May 10, 2011)Notification of Completion of Exchange Act Filing Reviews — May 9, 2011Remarks Before the Investment Company Institute's General Membership Meeting (Mary L. Shapiro, Chairman — May 6, 2011)Sunshine Act Meeting Notice — May 2, 2011James R. Burns Named SEC Deputy Chief of Staff — May 4, 2011SEC Testimony on the President's FY 2012 Budget Request for the SEC (Mary L. Shapiro, Chairman — May 4, 2011)Keynote Address at the National Federation of Municipal Analysts (NFMA) Twenty-Eighth Annual Conference (Elisse B. Walter, Commissioner — May 4, 2011)SEC Seeks Public Comment on Short Sale Disclosure — May 4, 2011The Abysmal Lack of Diversity in Corporate Boardrooms Is Growing Worse (Luis A. Aguilar, Commissioner — May 2, 2011)An Update on Diversity and Financial Literacy (Luis A. Aguilar, Commissioner — April 30, 2011)SEC Proposes Product Definitions for Swaps — April 27, 2011SEC Proposes Rule Amendments to Remove Credit Rating References in Exchange Act Rules — April 27, 2011 Statement at Open Meeting to Propose Rule Amendments Regarding Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 (Troy A. Paredes, Commissioner — April 27, 2011)Statement at SEC Open Meeting: Product Definitions and Regulation of Mixed Swaps (Kathleen L. Casey, Commissioner — April 27, 2011)Opening Remarks Regarding Proposed Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 (Elisse B. Walter, Commissioner — April 27, 2011)Removal of Credit Rating References From Exchange Act Rules (Kathleen L. Casey, Commissioner — April 27, 2011) SEC Open Meeting: Item 1 — Product Definitions (Mary L. Shapiro, Chairman — April 27, 2011) SEC Open Meeting: Item 2 — Ratings Removals (Mary L. Shapiro, Chairman — April 27, 2011) Danger Ahead — Reducing Protections in Our Net Capital Rule (Luis A. Aguilar, Commissioner — April 27, 2011)Defining the Perimeter of Swap Regulation to Ensure Effective Oversight (Luis A. Aguilar, Commissioner — April 27, 2011)Sunshine Act Meeting Notice — April 21, 2011Still Fighting for Inclusion and Equal Opportunity (Luis A. Aguilar, Commissioner — April 21, 2011)Sunshine Act Meeting Notice — April 20, 2011SEC Announces Roundtable on International Financial Reporting Standards — April 20, 2011Julius Leiman-Carbia Named Head of SEC’s National Broker-Dealer Examination Program — April 20, 2011SEC Seeks Public Comment on Effective Investor Education Programs — April 19, 2011Testimony on Understanding the Implications and Consequences of the Proposed Rule on Risk Retention (Meredith Cross, Director, Division of Corporation Finance — April 14, 2011)Testimony on the Financial Stability Oversight Council (Robert Cook, Director, Division of Trading and Markets — April 14, 2011)Testimony on "Building the New Derivatives Regulatory Framework: Oversight of Title VII of the Dodd-Frank Act" by the U.S. Securities and Exchange Commission (Mary L. Shapiro, Chairman — April 12, 2011)CFTC and SEC Staffs to Host Public Roundtable Discussion on Dodd-Frank Implementation — April 12, 2011Publication of Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives — April 8, 2011Commission Announces a Roundtable Discussion Regarding Money Market Funds and Systemic Risk — April 8, 2011Remarks before the Society of American Business Editors and Writers (Mary L. Schapiro, Chairman — April 8, 2011)Testimony Concerning the Role of the Accounting Profession in Preventing Another Financial Crisis (James L. Kroeker, Chief Accountant — April 6, 2011) SEC Announces Filing of Limit Up-Limit Down Proposal to Address Extraordinary Market Volatility — April 5, 2011Facilitating Real Capital Formation (Luis A. Aguilar, Commissioner — April 4, 2011)
SEC Proposes Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants — June 29, 2011Keynote Address at the Society of Corporate Secretaries and Governance Professionals 65th Annual Conference (Kathleen L. Casey, Commissioner — June 29, 2011)Statement at Open Meeting to Propose Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (Troy A. Paredes, Commissioner — June 29, 2011)Opening Statement at SEC Open Meeting (Mary Schapiro, Chairman — June 29, 2011)Bringing Transparency and Fair Dealing to the Market for Security-Based Swaps (Luis A. Aguilar, Commissioner — June 29, 2011Opening Statement at SEC Open Meeting: (1) Rules Implementing Amendments to the Advisers Act of 1940 (Final Rules); (2) Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers (Final Rules) (Elisse B. Walter, Commissioner — June 22, 2011)Sunshine Act Meeting Notice — June 22, 2011SEC Adopts Dodd-Frank Act Amendments to Investment Advisers Act (Mary L. Schapiro, Chairman — June 22, 2011)SEC Adopts Rule Under Dodd-Frank Act Defining "Family Offices" (Mary L. Schapiro, Chairman — June 22, 2011)Statement at Open Meeting to Adopt Final Rules Regarding Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers and Final Rules Implementing Amendments to the Investment Advisers Act of 1940 (Troy A. Paredes, Commissioner — June 22, 2011) Statement at Open Meeting to Adopt a Final Rule Excluding a "Family Office" From the Definition of "Investment Adviser" (Troy A. Paredes, Commissioner — June 22, 2011)"Moving From Proposal to Implementation: The Changing Adviser Landscape" (Luis A. Aguilar, Commissioner — June 22, 2011) Statement at SEC Open Meeting: Item #3 — Family Offices (Mary L. Schapiro, Chairman — June 22, 2011)Opening Statement at SEC Open Meeting: Dodd-Frank Act Amendments to the Investment Advisers Act (Mary L. Schapiro, Chairman — June 22, 2011)Statement at SEC Open Meeting — Rules Implementing Amendments to the Investment Advisers Act of 1940; Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers (Kathleen L. Casey, Commissioner — June 22, 2011)Remarks Before the American Securitization Forum 2011 Annual Meeting (Mary L. Schapiro, Chairman — June 22, 2011)Testimony on "Financial Regulatory Reform: The International Context" (Mary L. Schapiro, Chairman — June 16, 2011)Statement at Open Meeting to Propose Rule Amendments Regarding Broker-Dealer Reports (Troy A. Paredes, Commissioner — June 15, 2011) SEC Concludes That Certain Stanford Ponzi Scheme Investors Are Entitled to Protections of SIPA — June 15, 2011SEC Provides Guidance and Temporary Relief Regarding Security-Based Swap Provisions of Dodd-Frank Act — June 15, 2011Opening Statement at SEC Open Meeting: Proposals to Amend Rule 17a-5 (Mary L. Schapiro, Chairman — June 15, 2011)Protecting Investors and Their Assets (Luis A. Aguilar, Commissioner — June 15, 2011)SEC Proposes Ways to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets — June 15, 2011 Remarks Before the Bennett S. LeBow College of Business at Drexel University (Mary L. Schapiro, Chairman — June 11, 2011)SEC-CFTC Staffs to Host Public Roundtable Discussion on Proposed Dealer and Major Participant Definitions Under Dodd-Frank Act — June 10, 2011 SEC Announces Steps to Address One-Year Effective Date of Title VII of Dodd-Frank Act — June 10, 2011SEC Proposes Exemptions From Registration Requirements for Security-Based Swaps Issued by Certain Clearing Agencies — June 10, 2011 An Inflection Point: The SEC and the Current Financial Reform Landscape (Luis A. Aguilar, Commissioner — June 10, 2011)Remarks at the Symposium on "Hedge Fund Regulation and Current Developments" (Troy A. Paredes, Commissioner — June 8, 2011)Sunshine Act Meeting Notice — June 8, 2011Agencies Extend Comment Period on Risk Retention Proposed Rulemaking — June 7, 2011Remarks at the University of Southern California SEC and Financial Reporting Institute Conference (James L. Kroeker, Chief Accountant — June 5, 2011)SEC, FINRA Warn Retail Investors About Investing in Structured Notes With Principal Protection — June 2, 2011SEC Charges Former NASDAQ Managing Director With Insider Trading — May 26, 2011Adoption of Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 (Kathleen L. Casey, Commissioner — May 25, 2011)Statement at Open Commission Meeting: Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings (Kathleen L. Casey, Commissioner — May 25, 2011)SEC Adopts Rules to Establish Whistleblower Program — May 25, 2011SEC Proposes Rule to Disqualify Felons and Bad Actors From Securities Offerings — May 25, 2011Excluding Established Wrongdoers From Engaging in Rule 506 Transactions (Luis A. Aguilar, Commissioner — May 25, 2011)Incentivizing Whistleblowers to Bring Fraud to Light (Luis A. Aguilar, Commissioner — May 25, 2011)Statement at Open Meeting to Propose Rules Regarding Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings (Troy A. Paredes, Commissioner — May 25, 2011)Statement at Open Meeting to Adopt Final Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 (Troy A. Paredes, Commissioner — May 25, 2011)Opening Statement — Open Meeting — Final Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 (Elisse B. Walter, Commissioner — May 25, 2011)Remarks Before the Financial Accounting Foundation’s 2011 Annual Board of Trustees Dinner (Mary L. Schapiro, Chairman — May 24, 2011)Opening Statement at SEC Open Meeting: Item 2 — Whistleblower Program (Mary L. Schapiro, Chairman — May 25, 2011)Opening Statement at SEC Open Meeting: Item 1 — Felons and Bad Actors (Mary L. Schapiro, Chairman — May 25, 2011)Vanderbilt Professor Craig Lewis Named SEC Chief Economist and Director of RiskFin Division — May 20, 2011Proposed Rules for Nationally Recognized Statistical Rating Organizations (Kathleen L. Casey, Commissioner — May 18, 2011)Remarks at InvestEd Investor Education Conference (Lori J. Schock, Director, Office of Investor Education and Advocacy — May 15, 2011)Sunshine Act Meeting Notice — May 18, 2011SEC Proposes Rules to Increase Transparency and Improve Integrity of Credit Ratings — May 18, 2011Opening Statement at SEC Open Meeting (Mary Schapiro, Chairman — May 18, 2011)Continuing to Improve the Quality, Transparency, and Reliability of Credit Ratings (Luis A. Aguilar, Commissioner — May 18, 2011)"The Stanford Ponzi Scheme: Lessons for Protecting Investors From the Next Securities Fraud" (Julie Preuitt, Fort Worth Regional Office — May 13, 2011)"The Stanford Ponzi Scheme: Lessons for Protecting Investors From the Next Securities Fraud" (Robert Khuzami, Director, Division of Enforcement, and Carlo di Florio, Director, Office of Compliance Inspections and Examinations — May 13, 2011)Testimony on Monitoring Systemic Risk and Promoting Financial Stability (Mary L. Schapiro, Chairman — May 12, 2011)Sunshine Act Meeting Notice — May 11, 2011SEC Seeks Public Comment to Assist in Study on Assigned Credit Ratings — May 10, 2011SEC Publishes Notice Regarding Inflation Indexing of Performance Fee RuleRemarks Before the Money Market Funds and Systemic Risk Roundtable (Mary L. Schapiro, Chairman — May 10, 2011Testimony on the Future of Capital Formation (Mary L. Schapiro, Chairman — May 10, 2011)Notification of Completion of Exchange Act Filing Reviews — May 9, 2011Remarks Before the Investment Company Institute's General Membership Meeting (Mary L. Shapiro, Chairman — May 6, 2011)Sunshine Act Meeting Notice — May 2, 2011James R. Burns Named SEC Deputy Chief of Staff — May 4, 2011SEC Testimony on the President's FY 2012 Budget Request for the SEC (Mary L. Shapiro, Chairman — May 4, 2011)Keynote Address at the National Federation of Municipal Analysts (NFMA) Twenty-Eighth Annual Conference (Elisse B. Walter, Commissioner — May 4, 2011)SEC Seeks Public Comment on Short Sale Disclosure — May 4, 2011The Abysmal Lack of Diversity in Corporate Boardrooms Is Growing Worse (Luis A. Aguilar, Commissioner — May 2, 2011)An Update on Diversity and Financial Literacy (Luis A. Aguilar, Commissioner — April 30, 2011)SEC Proposes Product Definitions for Swaps — April 27, 2011SEC Proposes Rule Amendments to Remove Credit Rating References in Exchange Act Rules — April 27, 2011 Statement at Open Meeting to Propose Rule Amendments Regarding Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 (Troy A. Paredes, Commissioner — April 27, 2011)Statement at SEC Open Meeting: Product Definitions and Regulation of Mixed Swaps (Kathleen L. Casey, Commissioner — April 27, 2011)Opening Remarks Regarding Proposed Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 (Elisse B. Walter, Commissioner — April 27, 2011)Removal of Credit Rating References From Exchange Act Rules (Kathleen L. Casey, Commissioner — April 27, 2011) SEC Open Meeting: Item 1 — Product Definitions (Mary L. Shapiro, Chairman — April 27, 2011) SEC Open Meeting: Item 2 — Ratings Removals (Mary L. Shapiro, Chairman — April 27, 2011) Danger Ahead — Reducing Protections in Our Net Capital Rule (Luis A. Aguilar, Commissioner — April 27, 2011)Defining the Perimeter of Swap Regulation to Ensure Effective Oversight (Luis A. Aguilar, Commissioner — April 27, 2011)Sunshine Act Meeting Notice — April 21, 2011Still Fighting for Inclusion and Equal Opportunity (Luis A. Aguilar, Commissioner — April 21, 2011)Sunshine Act Meeting Notice — April 20, 2011SEC Announces Roundtable on International Financial Reporting Standards — April 20, 2011Julius Leiman-Carbia Named Head of SEC’s National Broker-Dealer Examination Program — April 20, 2011SEC Seeks Public Comment on Effective Investor Education Programs — April 19, 2011Testimony on Understanding the Implications and Consequences of the Proposed Rule on Risk Retention (Meredith Cross, Director, Division of Corporation Finance — April 14, 2011)Testimony on the Financial Stability Oversight Council (Robert Cook, Director, Division of Trading and Markets — April 14, 2011)Testimony on "Building the New Derivatives Regulatory Framework: Oversight of Title VII of the Dodd-Frank Act" by the U.S. Securities and Exchange Commission (Mary L. Shapiro, Chairman — April 12, 2011)CFTC and SEC Staffs to Host Public Roundtable Discussion on Dodd-Frank Implementation — April 12, 2011Publication of Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives — April 8, 2011Commission Announces a Roundtable Discussion Regarding Money Market Funds and Systemic Risk — April 8, 2011Remarks before the Society of American Business Editors and Writers (Mary L. Schapiro, Chairman — April 8, 2011)Testimony Concerning the Role of the Accounting Profession in Preventing Another Financial Crisis (James L. Kroeker, Chief Accountant — April 6, 2011) SEC Announces Filing of Limit Up-Limit Down Proposal to Address Extraordinary Market Volatility — April 5, 2011Facilitating Real Capital Formation (Luis A. Aguilar, Commissioner — April 4, 2011)