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Testimony Concerning the “JOBS Act in Action Part II: Overseeing Effective Implementation of the JOBS Act at the SEC” (Mary L. Schapiro, Chairman — June 28, 2012)SEC Adopts New Procedures for Reviewing Clearing Submissions Under Dodd-Frank Act — June 28, 2012Pension Funds as Owners and Investors: A Voice for Working Families (Luis A. Aguilar, Commissioner — June 27, 2012)Remarks to the IRI 2012 Government, Legal & Regulatory Conference (Susan Nash, Associate Director, Division of Investment Management — June 26, 2012) Testimony on “Perspectives on Money Market Mutual Fund Reforms” (Mary L. Schapiro, Chairman — June 21, 2012)Testimony on “Examining Bank Supervision and Risk Management in Light of JPMorgan Chase’s Trading Loss” (Mary L. Schapiro, Chairman — June 19, 2012)SEC Chief James Kroeker to Leave the Commission — June 20, 2012SEC Adopts Rule Requiring Listing Standards for Compensation Committees and Compensation Advisers — June 20, 2012SEC Names Thomas Butler as Director of New Office of Credit Ratings — June 15, 2012 Remarks at the Meeting of the Investor Advisory Committee (Mary L. Schapiro, Chairman — June 12, 2012)Investor Voices Renewed: The New Investor Advisory Committee (Luis A. Aguilar, Commissioner — June 12, 2012)SEC Issues “Roadmap” on Phase In of Derivatives Regulation — June 11, 2012Outline of Dodd-Frank Act and JOBS Act (Lori Schock, Director, Office of Investor Education and Advocacy — June 9, 2012)Remarks at the Conference on Current Topics in Financial Regulation, Organized by the Center for the Study of Financial Regulation, University of Notre Dame (Elisse B. Walter, Commissioner — June 8, 2012)Risk Assessment at the U.S. Securities & Exchange Commission (Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation — June 5, 2012)SEC Approves Proposals to Address Extraordinary Volatility in Individual Stocks and Broader Stock Market — June 1, 2012Jon Rymer Named Interim Inspector General — May 30, 2012Testimony on Implementing Derivatives Reform: Reducing Systemic Risk and Improving Market Oversight (Mary L. Schapiro, Chairman — May 22, 2012)James McNamara Named Managing Executive of SEC's Division of Trading and Markets — May 18, 2012Erica Williams Named SEC's Deputy Chief of Staff — May 17, 2012James Burns Named Deputy Director in SEC's Division of Trading and Markets — May 17, 2012Remarks at AICPA Council Spring Meeting (Troy A. Paredes, Commissioner — May 17, 2012)Testimony on "Examining the Settlement Practices of U.S. Financial Regulators" (Robert Khuzami, Director, Division of Enforcement — May 17, 2012)Remarks at the 37th International Organization of Securities Commissions Annual Conference (Elisse B. Walter, Commissioner — May 16, 2012)Statement Regarding Commission Approval of MSRB Rule G-17 Interpretive Notice (Daniel M. Gallagher, Commissioner, and Troy A. Paredes, Commissioner — May 14, 2012)Statement Concerning Publication by IOSCO on April 27, 2012 of the "Consultation Report of the IOSCO Standing Committee 5 on Money Market Funds: Money Market Fund Systemic Risk Analysis and Reform Options" (Luis A. Aguilar, Commissioner; Troy A. Paredes, Commissioner; Daniel M. Gallagher, Commissioner — May 11, 2012)Advocating for Greater Federal and State Securities Regulatory Cooperation and Collaboration (Luis A. Aguilar, Commissioner — May 7, 2012)Joint Statement on Regulation of OTC Derivatives Markets — May 7, 2012SEC Reopens Comment Period for Proposed Amendments to Its Net Capital, Customer Protection, Books and Records, and Notification Rules for Broker-Dealers — May 3, 2012Address at the Private Equity International Private Fund Compliance Forum (Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations — May 2, 2012)George Canellos Named Deputy Director of SEC Enforcement Division — April 30, 2012Testimony on "SEC Oversight" (Mary L. Schapiro, Chairman — April 25, 2012)Testimony on The Collapse of MF Global: Lessons Learned and Policy Implications (Robert Cook, Director, Division of Trading and Markets — April 24, 2012)Volcker Rule Conformance Period Clarified — April 19, 2012 SEC Names Diane C. Blizzard as Associate Director for Regulatory Policy and Investment Adviser Regulation — April 19, 2012Opening Statement for Title VII Intermediaries Release (Elisse B. Walter, Commissioner — April 18, 2012) SEC Adopts Rule Defining Swaps-Related Terms for Regulating Derivatives — April 18, 2012Opening Statement at SEC Open Meeting: Defining Swaps-Related Terms (Mary L. Schapiro, Chairman — April 18, 2012)Statement at Open Meeting to Adopt the Joint Final Rule, Joint Interim Final Rule, and Final Interpretations Regarding the Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant," and "Eligible Contract Participant" (Daniel M. Gallagher, Commissioner — April 18, 2012)Statement at Open Meeting to Adopt the Joint Final Rule, Joint Interim Final Rule, and Final Interpretations Regarding the Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant," and "Eligible Contract Participant" (Troy A. Paredes, Commissioner — April 18, 2012)Defining Security-Based Swap Dealers and Major Security-Based Swap Participants (Luis A. Aguilar, Commissioner — April 18, 2012)Testimony Concerning Economic Analysis in SEC Rulemaking (Mary L. Schapiro, Chairman — April 17, 2012)CPSS and IOSCO Issue Final Report on Principles for Financial Market Infrastructures and Seek Comment on Two Consultative Documents — April 16, 2012Remarks at the 44th Annual Rocky Mountain Securities Conference (Daniel M. Gallagher, Commissioner — April 13, 2012)Matthew Solomon Named Deputy Chief Litigation Counsel in SEC Enforcement Division — April 12, 2012Defrauded Investors Deserve Their Day in Court (Luis A. Aguilar, Commissioner — April 11, 2012)SEC Seeks Public Comment Prior to JOBS Act Rulemaking — April 11, 2012SEC Announces Members of New Investor Advisory Committee — April 9, 2012SEC Seeks Comment on Investor Testing Regarding Target Date Retirement Funds — April 3, 2012
Testimony Concerning the “JOBS Act in Action Part II: Overseeing Effective Implementation of the JOBS Act at the SEC” (Mary L. Schapiro, Chairman — June 28, 2012)SEC Adopts New Procedures for Reviewing Clearing Submissions Under Dodd-Frank Act — June 28, 2012Pension Funds as Owners and Investors: A Voice for Working Families (Luis A. Aguilar, Commissioner — June 27, 2012)Remarks to the IRI 2012 Government, Legal & Regulatory Conference (Susan Nash, Associate Director, Division of Investment Management — June 26, 2012) Testimony on “Perspectives on Money Market Mutual Fund Reforms” (Mary L. Schapiro, Chairman — June 21, 2012)Testimony on “Examining Bank Supervision and Risk Management in Light of JPMorgan Chase’s Trading Loss” (Mary L. Schapiro, Chairman — June 19, 2012)SEC Chief James Kroeker to Leave the Commission — June 20, 2012SEC Adopts Rule Requiring Listing Standards for Compensation Committees and Compensation Advisers — June 20, 2012SEC Names Thomas Butler as Director of New Office of Credit Ratings — June 15, 2012 Remarks at the Meeting of the Investor Advisory Committee (Mary L. Schapiro, Chairman — June 12, 2012)Investor Voices Renewed: The New Investor Advisory Committee (Luis A. Aguilar, Commissioner — June 12, 2012)SEC Issues “Roadmap” on Phase In of Derivatives Regulation — June 11, 2012Outline of Dodd-Frank Act and JOBS Act (Lori Schock, Director, Office of Investor Education and Advocacy — June 9, 2012)Remarks at the Conference on Current Topics in Financial Regulation, Organized by the Center for the Study of Financial Regulation, University of Notre Dame (Elisse B. Walter, Commissioner — June 8, 2012)Risk Assessment at the U.S. Securities & Exchange Commission (Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation — June 5, 2012)SEC Approves Proposals to Address Extraordinary Volatility in Individual Stocks and Broader Stock Market — June 1, 2012Jon Rymer Named Interim Inspector General — May 30, 2012Testimony on Implementing Derivatives Reform: Reducing Systemic Risk and Improving Market Oversight (Mary L. Schapiro, Chairman — May 22, 2012)James McNamara Named Managing Executive of SEC's Division of Trading and Markets — May 18, 2012Erica Williams Named SEC's Deputy Chief of Staff — May 17, 2012James Burns Named Deputy Director in SEC's Division of Trading and Markets — May 17, 2012Remarks at AICPA Council Spring Meeting (Troy A. Paredes, Commissioner — May 17, 2012)Testimony on "Examining the Settlement Practices of U.S. Financial Regulators" (Robert Khuzami, Director, Division of Enforcement — May 17, 2012)Remarks at the 37th International Organization of Securities Commissions Annual Conference (Elisse B. Walter, Commissioner — May 16, 2012)Statement Regarding Commission Approval of MSRB Rule G-17 Interpretive Notice (Daniel M. Gallagher, Commissioner, and Troy A. Paredes, Commissioner — May 14, 2012)Statement Concerning Publication by IOSCO on April 27, 2012 of the "Consultation Report of the IOSCO Standing Committee 5 on Money Market Funds: Money Market Fund Systemic Risk Analysis and Reform Options" (Luis A. Aguilar, Commissioner; Troy A. Paredes, Commissioner; Daniel M. Gallagher, Commissioner — May 11, 2012)Advocating for Greater Federal and State Securities Regulatory Cooperation and Collaboration (Luis A. Aguilar, Commissioner — May 7, 2012)Joint Statement on Regulation of OTC Derivatives Markets — May 7, 2012SEC Reopens Comment Period for Proposed Amendments to Its Net Capital, Customer Protection, Books and Records, and Notification Rules for Broker-Dealers — May 3, 2012Address at the Private Equity International Private Fund Compliance Forum (Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations — May 2, 2012)George Canellos Named Deputy Director of SEC Enforcement Division — April 30, 2012Testimony on "SEC Oversight" (Mary L. Schapiro, Chairman — April 25, 2012)Testimony on The Collapse of MF Global: Lessons Learned and Policy Implications (Robert Cook, Director, Division of Trading and Markets — April 24, 2012)Volcker Rule Conformance Period Clarified — April 19, 2012 SEC Names Diane C. Blizzard as Associate Director for Regulatory Policy and Investment Adviser Regulation — April 19, 2012Opening Statement for Title VII Intermediaries Release (Elisse B. Walter, Commissioner — April 18, 2012) SEC Adopts Rule Defining Swaps-Related Terms for Regulating Derivatives — April 18, 2012Opening Statement at SEC Open Meeting: Defining Swaps-Related Terms (Mary L. Schapiro, Chairman — April 18, 2012)Statement at Open Meeting to Adopt the Joint Final Rule, Joint Interim Final Rule, and Final Interpretations Regarding the Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant," and "Eligible Contract Participant" (Daniel M. Gallagher, Commissioner — April 18, 2012)Statement at Open Meeting to Adopt the Joint Final Rule, Joint Interim Final Rule, and Final Interpretations Regarding the Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant," and "Eligible Contract Participant" (Troy A. Paredes, Commissioner — April 18, 2012)Defining Security-Based Swap Dealers and Major Security-Based Swap Participants (Luis A. Aguilar, Commissioner — April 18, 2012)Testimony Concerning Economic Analysis in SEC Rulemaking (Mary L. Schapiro, Chairman — April 17, 2012)CPSS and IOSCO Issue Final Report on Principles for Financial Market Infrastructures and Seek Comment on Two Consultative Documents — April 16, 2012Remarks at the 44th Annual Rocky Mountain Securities Conference (Daniel M. Gallagher, Commissioner — April 13, 2012)Matthew Solomon Named Deputy Chief Litigation Counsel in SEC Enforcement Division — April 12, 2012Defrauded Investors Deserve Their Day in Court (Luis A. Aguilar, Commissioner — April 11, 2012)SEC Seeks Public Comment Prior to JOBS Act Rulemaking — April 11, 2012SEC Announces Members of New Investor Advisory Committee — April 9, 2012SEC Seeks Comment on Investor Testing Regarding Target Date Retirement Funds — April 3, 2012