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SEC Staff Issues Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization — September 30, 2011SEC Staff Issues Risk Alert on Master/Sub-account Risks — September 29, 2011SEC to Hold Roundtable on Conflict Minerals — September 28, 2011Kara Novaco Brockmeyer Named Chief of FCPA Unit — September 27, 2011SEC to Publish for Public Comment Updated Market-Wide Circuit Breaker Proposals to Address Extraordinary Market Volatility — September 27, 2011Testimony Concerning “Potential Conflicts of Interest at the SEC: The Becker Case” (Mary L. Schapiro, Commissioner — September 22, 2011)Testimony on “Legislative Proposals to Facilitate Small Business Capital Formation and Job Creation” (Meredith B. Cross, Director, Division of Corporation Finance, and Lona Nallengara, Deputy Director, Division of Corporation Finance — September 21, 2011)SEC Announces Roundtable on Microcap Securities — September 19, 2011SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Asset-Backed Securities Transactions — September 19, 2011Opening Statement at SEC Open Meeting — Conflicts of Interest Relating to Certain Securitizations (Mary Schapiro, Chairman — September 19, 2011)Statement at Open Meeting to Propose Rule Amendments to Prohibit Conflicts of Interest in Certain Securitizations (Troy A. Paredes, Commissioner — September 19, 2011)Statement at Open Meeting Prohibiting Firms From Designing Transactions to Fail (Luis A. Aguilar, Commissioner — September 19, 2011)Testimony on “Fixing the Watchdog: Legislative Proposals to Improve and Enhance the Securities and Exchange Commission” (Mary L. Schapiro, Chairman — September 15, 2011)Testimony on Crowdfunding and Capital Formation (Meredith B. Cross, Director, Division of Corporation Finance — September 15, 2011)Statement of Commissioner Aguilar Regarding the Urgent Need to Re-establish the Investor Advisory Committee (Luis A. Aguilar, Commissioner — September 13, 2011)SEC Announces Formation of Advisory Committee on Small and Emerging Companies — September 13, 2011SEC to Seek Comment on Review of Existing Regulations — September 6, 2011Statement by SEC Chairman Mary L. Schapiro on Proxy Access Litigation — September 6, 2011SEC Seeks Public Comment on Use of Derivatives by Mutual Funds and Other Investment Companies — August 31, 2011SEC Seeks Public Comment on Asset-Backed Issuers and Mortgage-Related Pools Under Investment Company Act — August 31, 2011Opening Statement at SEC Open Meeting Item 1 — Use of Derivatives by Funds (Mary L. Shapiro, Chairman — August 31, 2011)Opening Statement at SEC Open Meeting Item 2 — Asset-Backed Issuers and Mortgage-Related Pools Funds (Mary L. Shapiro, Chairman — August 31, 2011)Fee Rate Advisory #2 for Fiscal Year 2012 — August 31, 2011SEC Names Kathleen Weiss Hanley as Deputy Chief Economist and Deputy Director of Riskfin — August 29, 2011SEC and CFTC Seek Public Input for Joint Stable Value Contract Study — August 19, 2011SEC's New Whistleblower Program Takes Effect Today — August 12, 2011Remarks at Georgetown University (Sean X. McKessy, Chief, Office of the Whistleblower — August 11, 2011)U.S. and Chinese Regulators Meet in Beijing on Audit Oversight Cooperation — August 8, 2011Commissioner Casey to Leave SECTestimony on “Federal Leased Property: Are Federal Agencies Getting a Bad Deal?” (Jeffrey Heslop, Chief Operating Officer — August 4, 2011)Statement at SEC Field Hearing on the State of the Municipal Securities Market (Elisse B. Walter, Commissioner — July 29, 2011)Testimony Concerning Oversight of the Credit Rating Agencies Post-Dodd-Frank (John Ramsay, Deputy Director, Division of Trading and Markets — July 27, 2011)SEC Staff Issues Summary Report of Sweep Examination of Structured Products Sold to Retail Investors — July 27, 2011Statement at Open Commission Meeting — Re-proposal of Shelf Eligibility Conditions for Asset-Backed Securities and Other Additional Requests for Comment (Kathleen L. Casey, Commissioner — July 26, 2011)Statement at Open Commission Meeting — Adoption of Final Rules Relating to Security Ratings (Kathleen L. Casey, Commissioner — July 26, 2011)SEC Adopts Large Trader Reporting Regime — July 26, 2011SEC Adopts New Short Form Criteria to Replace Credit Ratings — July 26, 2011 SEC Re-proposes New Shelf Eligibility Requirements for Asset-Backed Securities — July 26, 2011Opening Remarks Regarding the Adoption of Large Trader Reporting Requirements (Elisse B. Walter, Commissioner — July 26, 2011)Statement at Open Meeting to Adopt a Final Rule Regarding Security Ratings for Forms S-3 and F-3 Eligibility (Troy A. Paredes, Commissioner — July 26, 2011) Continued Efforts to Improve the Regulation of Asset-Backed Securities (Luis A. Aguilar, Commissioner — July 26, 2011)A Step Toward Enhanced Market Surveillance (Luis A. Aguilar, Commissioner — July 26, 2011)Re-designing the Eligibility Criteria for Short-Form Registration (Luis A. Aguilar, Commissioner — July 26, 2011)Opening Statement at SEC Open Meeting: Item 1 — Large Trader Reporting (Mary L. Schapiro, Chairman — July 26, 2011)Opening Statement at SEC Open Meeting: Item 2 — Security Ratings (Mary L. Schapiro, Chairman — July 26, 2011)Opening Statement at SEC Open Meeting: Item 3 — Shelf-Eligibility Requirements for Asset-Backed Securities (Mary L. Schapiro, Chairman — July 26, 2011)David Blass Named Chief Counsel in SEC Division of Trading and Market — July 21, 2011Testimony on “Enhanced Oversight After the Financial Crisis: The Wall Street Reform Act at One Year” (Mary L. Schapiro, Chairman — July 21, 2011)Joint Public Roundtable on International Issues Relating to the Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act — July 21, 2011Remarks Before the Financial Stability Oversight Council Meeting (Mary L. Shapiro, Chairman — July 18, 2011)SEC Announces July 29 Field Hearing on the State of the Municipal Securities Market — July 15, 2011Remarks Before the Women in Finance Symposium (Mary L. Shapiro, Chairman — July 12, 2011)SEC Issues Order Raising Performance Fee Rule Dollar Limit to Adjust for Inflation — July 12, 2011SEC Provides Additional Guidance, Interim Relief and Exemptions for Security-Based Swaps Under Dodd-Frank Act — July 1, 2011
SEC Staff Issues Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization — September 30, 2011SEC Staff Issues Risk Alert on Master/Sub-account Risks — September 29, 2011SEC to Hold Roundtable on Conflict Minerals — September 28, 2011Kara Novaco Brockmeyer Named Chief of FCPA Unit — September 27, 2011SEC to Publish for Public Comment Updated Market-Wide Circuit Breaker Proposals to Address Extraordinary Market Volatility — September 27, 2011Testimony Concerning “Potential Conflicts of Interest at the SEC: The Becker Case” (Mary L. Schapiro, Commissioner — September 22, 2011)Testimony on “Legislative Proposals to Facilitate Small Business Capital Formation and Job Creation” (Meredith B. Cross, Director, Division of Corporation Finance, and Lona Nallengara, Deputy Director, Division of Corporation Finance — September 21, 2011)SEC Announces Roundtable on Microcap Securities — September 19, 2011SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Asset-Backed Securities Transactions — September 19, 2011Opening Statement at SEC Open Meeting — Conflicts of Interest Relating to Certain Securitizations (Mary Schapiro, Chairman — September 19, 2011)Statement at Open Meeting to Propose Rule Amendments to Prohibit Conflicts of Interest in Certain Securitizations (Troy A. Paredes, Commissioner — September 19, 2011)Statement at Open Meeting Prohibiting Firms From Designing Transactions to Fail (Luis A. Aguilar, Commissioner — September 19, 2011)Testimony on “Fixing the Watchdog: Legislative Proposals to Improve and Enhance the Securities and Exchange Commission” (Mary L. Schapiro, Chairman — September 15, 2011)Testimony on Crowdfunding and Capital Formation (Meredith B. Cross, Director, Division of Corporation Finance — September 15, 2011)Statement of Commissioner Aguilar Regarding the Urgent Need to Re-establish the Investor Advisory Committee (Luis A. Aguilar, Commissioner — September 13, 2011)SEC Announces Formation of Advisory Committee on Small and Emerging Companies — September 13, 2011SEC to Seek Comment on Review of Existing Regulations — September 6, 2011Statement by SEC Chairman Mary L. Schapiro on Proxy Access Litigation — September 6, 2011SEC Seeks Public Comment on Use of Derivatives by Mutual Funds and Other Investment Companies — August 31, 2011SEC Seeks Public Comment on Asset-Backed Issuers and Mortgage-Related Pools Under Investment Company Act — August 31, 2011Opening Statement at SEC Open Meeting Item 1 — Use of Derivatives by Funds (Mary L. Shapiro, Chairman — August 31, 2011)Opening Statement at SEC Open Meeting Item 2 — Asset-Backed Issuers and Mortgage-Related Pools Funds (Mary L. Shapiro, Chairman — August 31, 2011)Fee Rate Advisory #2 for Fiscal Year 2012 — August 31, 2011SEC Names Kathleen Weiss Hanley as Deputy Chief Economist and Deputy Director of Riskfin — August 29, 2011SEC and CFTC Seek Public Input for Joint Stable Value Contract Study — August 19, 2011SEC's New Whistleblower Program Takes Effect Today — August 12, 2011Remarks at Georgetown University (Sean X. McKessy, Chief, Office of the Whistleblower — August 11, 2011)U.S. and Chinese Regulators Meet in Beijing on Audit Oversight Cooperation — August 8, 2011Commissioner Casey to Leave SECTestimony on “Federal Leased Property: Are Federal Agencies Getting a Bad Deal?” (Jeffrey Heslop, Chief Operating Officer — August 4, 2011)Statement at SEC Field Hearing on the State of the Municipal Securities Market (Elisse B. Walter, Commissioner — July 29, 2011)Testimony Concerning Oversight of the Credit Rating Agencies Post-Dodd-Frank (John Ramsay, Deputy Director, Division of Trading and Markets — July 27, 2011)SEC Staff Issues Summary Report of Sweep Examination of Structured Products Sold to Retail Investors — July 27, 2011Statement at Open Commission Meeting — Re-proposal of Shelf Eligibility Conditions for Asset-Backed Securities and Other Additional Requests for Comment (Kathleen L. Casey, Commissioner — July 26, 2011)Statement at Open Commission Meeting — Adoption of Final Rules Relating to Security Ratings (Kathleen L. Casey, Commissioner — July 26, 2011)SEC Adopts Large Trader Reporting Regime — July 26, 2011SEC Adopts New Short Form Criteria to Replace Credit Ratings — July 26, 2011 SEC Re-proposes New Shelf Eligibility Requirements for Asset-Backed Securities — July 26, 2011Opening Remarks Regarding the Adoption of Large Trader Reporting Requirements (Elisse B. Walter, Commissioner — July 26, 2011)Statement at Open Meeting to Adopt a Final Rule Regarding Security Ratings for Forms S-3 and F-3 Eligibility (Troy A. Paredes, Commissioner — July 26, 2011) Continued Efforts to Improve the Regulation of Asset-Backed Securities (Luis A. Aguilar, Commissioner — July 26, 2011)A Step Toward Enhanced Market Surveillance (Luis A. Aguilar, Commissioner — July 26, 2011)Re-designing the Eligibility Criteria for Short-Form Registration (Luis A. Aguilar, Commissioner — July 26, 2011)Opening Statement at SEC Open Meeting: Item 1 — Large Trader Reporting (Mary L. Schapiro, Chairman — July 26, 2011)Opening Statement at SEC Open Meeting: Item 2 — Security Ratings (Mary L. Schapiro, Chairman — July 26, 2011)Opening Statement at SEC Open Meeting: Item 3 — Shelf-Eligibility Requirements for Asset-Backed Securities (Mary L. Schapiro, Chairman — July 26, 2011)David Blass Named Chief Counsel in SEC Division of Trading and Market — July 21, 2011Testimony on “Enhanced Oversight After the Financial Crisis: The Wall Street Reform Act at One Year” (Mary L. Schapiro, Chairman — July 21, 2011)Joint Public Roundtable on International Issues Relating to the Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act — July 21, 2011Remarks Before the Financial Stability Oversight Council Meeting (Mary L. Shapiro, Chairman — July 18, 2011)SEC Announces July 29 Field Hearing on the State of the Municipal Securities Market — July 15, 2011Remarks Before the Women in Finance Symposium (Mary L. Shapiro, Chairman — July 12, 2011)SEC Issues Order Raising Performance Fee Rule Dollar Limit to Adjust for Inflation — July 12, 2011SEC Provides Additional Guidance, Interim Relief and Exemptions for Security-Based Swaps Under Dodd-Frank Act — July 1, 2011