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SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, 2012 PCAOB Forums on Auditing in the Small Business Environment — December 2012)SEC Issues Investor Bulletin to Help Investors Assess Municipal Bond Credit Risk — December 26, 2012SEC Approves New Rules Regarding Lost Holders of Securities — December 21, 2012Paul Beswick Named SEC Chief Accountant — December 21, 2012Enforcement Priorities in the Alternative Space (Bruce Karpati, Chief, SEC Enforcement Division’s Asset Management Unit — December 18, 2012)Risk Modeling at the SEC: The Accounting Quality Model (Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation — December 13, 2012)Lona Nallengara Named Acting Director of SEC's Division of Corporation Finance — December 17, 2012John Ramsay Named Acting Director of SEC's Division of Trading and Markets — December 17, 2012Danforth Townley Named Attorney Fellow in SEC's Division of Investment Management — December 13, 2012Testimony on Title VII Implementation (Robert Cook, Director, Division of Trading and Markets — December 12, 2012)SEC Chief of Staff Didem A. Nisanci to Leave Agency — December 12, 2012Jennifer McHugh Named Senior Advisor in SEC’s Division of Investment Management — December 11, 2012Remarks to the ALI CLE 2012 Conference on Investment Adviser Regulation: Legal and Compliance Forum on Institutional Advisory Services (Norm Champ, Director, Division of Investment Management — December 6, 2012)SEC Completes 18th Annual International Enforcement Institute — December 6, 20122012 AICPA National Conference on Current SEC and PCAOB DevelopmentsStatement on Money Market Funds as to Recent Developments (Luis A. Aguilar, Commissioner — December 5, 2012Trading and Markets Director Robert Cook to Leave SEC — December 5, 2012General Counsel Mark Cahn to Leave SEC — December 5, 2012Joint Press Statement of Leaders on Operating Principles and Areas of Exploration in the Regulation of the Cross-Border OTC Derivatives Market — December 4, 2012Division of Corporation Finance Director Meredith Cross to Leave SEC — December 4, 2012SEC Staff to Host Decimalization Roundtable — December 3, 2012SEC Chairman Mary Schapiro to Step Down Next Month — November 26, 2012Remarks at the 2012 SEC Government-Business Forum on Small Business Capital Formation (Elisse B. Walter, Commissioner — November 15, 2012)Remarks at the Financial Stability Oversight Council Meeting (Mary L. Schapiro, Chairman — November 13, 2012)Remarks at the 2012 SEC Government-Business Forum on Small Business Capital Formation (Troy A. Paredes, Commissioner — November 15, 2012)Effective Small Business Capital Formation Requires Investor Protection to Foster Investor Confidence (Luis Aguilar, Commissioner — November 15, 2012)SEC Issues Staff Summary Report of Examinations of Nationally Recognized Statistical Rating Organizations — November 15, 2012SEC Receives More Than 3,000 Whistleblower Tips in FY2012 — November 15, 2012Remarks During News Briefing About SEC-DOJ FCPA Guide (Robert Khuzami, Director of the SEC's Division of Enforcement — November 14, 2012) SEC's Enforcement Program Continues to Show Strong Results in Safeguarding Investors and Markets — November 14, 2012SEC Approves Further Regulatory Relief and Assistance for Hurricane Sandy Victims — November 14, 2012SEC and Justice Department Release FCPA Guide — November 14, 2012SEC Announces Assistance to Filers Affected by Hurricane Sandy — November 5, 2012Remarks to the ALI CLE 2012 Conference on Life Insurance Company Products (Norm Champ, Director, Division of Investment Management — November 1, 2012)Chairman Schapiro Statement on Reopening of Securities Markets — October 31, 2012Remarks at the George Washington University Center for Law, Economics and Finance Fourth Annual Regulatory Reform Symposium (Mary L. Schapiro, Chairman — October 26, 2012)Keynote Address at the National Society of Compliance Professionals National Meeting (Daniel M. Gallagher, Commissioner — October 23, 2012)Conflicts of Interest and Risk Governance (Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations — October 22, 2012)SEC Adopts Standards for Risk Management and Operations of Clearing Agencies — October 22, 2012More Than 1,500 Private Fund Advisers Registered With the SEC Since Passage of the Financial Reform Law — October 19, 2012Taking a No-Nonsense Approach to Enforcing the Federal Securities Laws (Luis A. Aguilar, Commissioner — October 18, 2012)Protecting Our Economy Demands Adequate Capital and Margin Requirements for Security-Based Swaps (Luis A. Aguilar, Commissioner — October 17, 2012)Opening Statement at the SEC Open Meeting (Mary L. Schapiro, Chairman — October 17, 2012)Opening Statement at the SEC Open Meeting (Daniel M. Gallagher, Commissioner — October 17, 2012) SEC Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants — October 17, 2012Andrew Calamari Named Director of New York Regional Office — October 17, 2012Remarks at 2012 New England Securities Conference (Mary L. Schapiro, Chairman — October 11, 2012)Pamela Dyson Named SEC's Deputy Chief Information Officer — October 11, 2012“Time for a Fresh Look at Equity Market Structure and Self-Regulation” (Daniel M. Gallagher, Commissioner — October 4, 2012)Introductory Remarks at SEC’s Market Technology Roundtable (Mary L. Schapiro, Chairman — October 2, 2012)Bringing Municipal Bond Trading Into the Light (Elisse B. Walter, Commissioner — October 1, 2012)
SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, 2012 PCAOB Forums on Auditing in the Small Business Environment — December 2012)SEC Issues Investor Bulletin to Help Investors Assess Municipal Bond Credit Risk — December 26, 2012SEC Approves New Rules Regarding Lost Holders of Securities — December 21, 2012Paul Beswick Named SEC Chief Accountant — December 21, 2012Enforcement Priorities in the Alternative Space (Bruce Karpati, Chief, SEC Enforcement Division’s Asset Management Unit — December 18, 2012)Risk Modeling at the SEC: The Accounting Quality Model (Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation — December 13, 2012)Lona Nallengara Named Acting Director of SEC's Division of Corporation Finance — December 17, 2012John Ramsay Named Acting Director of SEC's Division of Trading and Markets — December 17, 2012Danforth Townley Named Attorney Fellow in SEC's Division of Investment Management — December 13, 2012Testimony on Title VII Implementation (Robert Cook, Director, Division of Trading and Markets — December 12, 2012)SEC Chief of Staff Didem A. Nisanci to Leave Agency — December 12, 2012Jennifer McHugh Named Senior Advisor in SEC’s Division of Investment Management — December 11, 2012Remarks to the ALI CLE 2012 Conference on Investment Adviser Regulation: Legal and Compliance Forum on Institutional Advisory Services (Norm Champ, Director, Division of Investment Management — December 6, 2012)SEC Completes 18th Annual International Enforcement Institute — December 6, 20122012 AICPA National Conference on Current SEC and PCAOB DevelopmentsStatement on Money Market Funds as to Recent Developments (Luis A. Aguilar, Commissioner — December 5, 2012Trading and Markets Director Robert Cook to Leave SEC — December 5, 2012General Counsel Mark Cahn to Leave SEC — December 5, 2012Joint Press Statement of Leaders on Operating Principles and Areas of Exploration in the Regulation of the Cross-Border OTC Derivatives Market — December 4, 2012Division of Corporation Finance Director Meredith Cross to Leave SEC — December 4, 2012SEC Staff to Host Decimalization Roundtable — December 3, 2012SEC Chairman Mary Schapiro to Step Down Next Month — November 26, 2012Remarks at the 2012 SEC Government-Business Forum on Small Business Capital Formation (Elisse B. Walter, Commissioner — November 15, 2012)Remarks at the Financial Stability Oversight Council Meeting (Mary L. Schapiro, Chairman — November 13, 2012)Remarks at the 2012 SEC Government-Business Forum on Small Business Capital Formation (Troy A. Paredes, Commissioner — November 15, 2012)Effective Small Business Capital Formation Requires Investor Protection to Foster Investor Confidence (Luis Aguilar, Commissioner — November 15, 2012)SEC Issues Staff Summary Report of Examinations of Nationally Recognized Statistical Rating Organizations — November 15, 2012SEC Receives More Than 3,000 Whistleblower Tips in FY2012 — November 15, 2012Remarks During News Briefing About SEC-DOJ FCPA Guide (Robert Khuzami, Director of the SEC's Division of Enforcement — November 14, 2012) SEC's Enforcement Program Continues to Show Strong Results in Safeguarding Investors and Markets — November 14, 2012SEC Approves Further Regulatory Relief and Assistance for Hurricane Sandy Victims — November 14, 2012SEC and Justice Department Release FCPA Guide — November 14, 2012SEC Announces Assistance to Filers Affected by Hurricane Sandy — November 5, 2012Remarks to the ALI CLE 2012 Conference on Life Insurance Company Products (Norm Champ, Director, Division of Investment Management — November 1, 2012)Chairman Schapiro Statement on Reopening of Securities Markets — October 31, 2012Remarks at the George Washington University Center for Law, Economics and Finance Fourth Annual Regulatory Reform Symposium (Mary L. Schapiro, Chairman — October 26, 2012)Keynote Address at the National Society of Compliance Professionals National Meeting (Daniel M. Gallagher, Commissioner — October 23, 2012)Conflicts of Interest and Risk Governance (Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations — October 22, 2012)SEC Adopts Standards for Risk Management and Operations of Clearing Agencies — October 22, 2012More Than 1,500 Private Fund Advisers Registered With the SEC Since Passage of the Financial Reform Law — October 19, 2012Taking a No-Nonsense Approach to Enforcing the Federal Securities Laws (Luis A. Aguilar, Commissioner — October 18, 2012)Protecting Our Economy Demands Adequate Capital and Margin Requirements for Security-Based Swaps (Luis A. Aguilar, Commissioner — October 17, 2012)Opening Statement at the SEC Open Meeting (Mary L. Schapiro, Chairman — October 17, 2012)Opening Statement at the SEC Open Meeting (Daniel M. Gallagher, Commissioner — October 17, 2012) SEC Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants — October 17, 2012Andrew Calamari Named Director of New York Regional Office — October 17, 2012Remarks at 2012 New England Securities Conference (Mary L. Schapiro, Chairman — October 11, 2012)Pamela Dyson Named SEC's Deputy Chief Information Officer — October 11, 2012“Time for a Fresh Look at Equity Market Structure and Self-Regulation” (Daniel M. Gallagher, Commissioner — October 4, 2012)Introductory Remarks at SEC’s Market Technology Roundtable (Mary L. Schapiro, Chairman — October 2, 2012)Bringing Municipal Bond Trading Into the Light (Elisse B. Walter, Commissioner — October 1, 2012)