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Division of Corporation Finance Filing Review Process — December 2009SEC Proposes Rule Amendments to Facilitate Access to Capital Markets — December 22, 2009Remarks at the 2009 NSCP National Meeting (John H. Walsh, Acting Director, Office of Compliance Inspections and Examinations — October 5, 2009)Slide Presentation: SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers — December 2009Custody of Funds or Securities of Clients by Investment Advisers (Final Rule) (Elisse B. Walter, Commissioner — December 16, 2009)Opening Statement at SEC Open Meeting — Proxy Disclosure Enhancements (Elisse B. Walter, Commissioner — December 16, 2009)Fee Rate Advisory #4 for Fiscal Year 2010 — December 17, 2009Statement at SEC Open Meeting on Proxy Disclosure Enhancements Rule Adoption (Kathleen L. Casey, Commissioner — December 16, 2009)Statement at Open Meeting to Adopt Amendments Regarding Proxy Disclosure Enhancements (Troy A. Paredes, Commissioner — December 16, 2009)Statement at Open Meeting to Adopt Amendments Regarding Custody of Funds or Securities of Clients by Investment Advisers (Troy A. Paredes, Commissioner — December 16, 2009)SEC Approves Enhanced Disclosure About Risk, Compensation and Corporate Governance — December 16, 2009SEC Approves Stronger Safeguards to Protect Clients’ Assets Controlled by Investment Advisers — December 16, 2009Statement at SEC Open Meeting on Providing Disclosure About Risk, Compensation and Corporate Governance Matters (Mary L. Schapiro, Chairman — December 16, 2009)Statement at SEC Open Meeting on Strengthening Safeguards to Protect Clients’ Assets Controlled by Investment Advisers (Mary L. Schapiro, Chairman — December 16, 2009)The Need to Strengthen Custodial Practices to Protect Investors and Their Assets (Luis A. Aguilar, Commissioner — December 16, 2009)Moving Toward More Informed Shareholder Voting (Luis A. Aguilar, Commissioner — December 16, 2009)SEC Re-Opens Public Comment Period for Shareholder Director Nomination Proposal — December 14, 2009Statement Before the Capital Markets, Insurance, and Government Sponsored Enterprises Subcommittee, United States House of Representatives (Michael A. Conley, Deputy Solicitor — December 9, 2009)Special Advisor and Former Deputy Director of the Division of Enforcement George Curtis Leaves SEC — December 7, 20092009 AICPA National Conference on Current SEC and PCAOB Developments"The Consumer in the Financial Services Revolution" (Mary L. Schapiro, Chairman — December 3, 2009)SEC Names Senior Officials to Investor Education and Advocacy Efforts — November 19, 2009Remarks at 2009 SEC Government-Business Forum on Small Business Capital Formation (Troy A. Paredes, Commissioner — November 19, 2009)Remarks Before Catholic Law School Annual Securities Alumni Luncheon (Daniel M. Gallagher, Jr., Co-Acting Director, Division of Trading and Markets — November 12, 2009)Lessons From the Financial Crisis for Financial Reporting, Standard Setting and Rule Making (Kathleen L. Casey, Commissioner — November 17, 2009)Remarks at Department of Justice Press Conference (Robert S. Khuzami, Director, Division of Enforcement — November 17, 2009)President Obama Establishes Interagency Financial Fraud Enforcement Task Force — November 17, 2009Federal Regulators Issue Final Model Privacy Notice Form — November 17, 2009Paul Beswick Named SEC Deputy Chief Accountant in Charge of Accounting Group — November 13, 2009Keynote Address at the Independent Directors Council Investment Company Directors Conference (Andrew J. Donohue, Director, Division of Investment Management — November 12, 2009)Robert W. Cook Named Director of SEC Division of Trading and Markets — November 10, 2009Executive Compensation Disclosure: Observations on the 2009 Proxy Season and Expectations for 2010 (Shelley Parratt, Deputy Director, Division of Corporation Finance — November 9, 2009)Remarks at the Closing of the International Institute for Enforcement and Market Oversight (Elisse B. Walter, Commissioner — November 6, 2009)Remarks Before the ALI-ABA (American Law Institute/American Bar Association) Conference on Life Insurance Company Products (Andrew J. Donohue, Director, Division of Investment Management — November 6, 2009)Applying the Lessons (Mary L. Schapiro, Chairman — November 5, 2009)Remarks at November 5, 2009 Press Conference (Robert Khuzami, Director, SEC Division of Enforcement — November 5, 2009)Investors Deserve Sustainable Reform — Not More of the Same (Luis A. Aguilar, Commissioner — November 6, 2009)Statement by Chairman Schapiro on IASB and FASB Commitment to Improve IFRS and U.S. GAAP and to Bring About Their Convergence — November 5, 2009Address to the Practising Law Institute's 41st Annual Institute on Securities Regulation (Mary Schapiro, Chairman — November 4, 2009)Fee Rate Advisory #3 for Fiscal Year 2010 — October 30, 2009"The Power of the Shareholder & the Rise of Corporate Democracy" (Luis A. Aguilar, Commissioner — October 29, 2009)Regulation of the Municipal Securities Market: Investors Are Not Second-Class Citizens (Elisse B. Walter, Commissioner — October 28, 2009)"The Road to Investor Confidence" (Mary Schapiro, Chairman — October 27, 2009)SEC to Hold Small Business Capital Formation Forum on November 19 — October 22, 2009Remarks Before the Symposium on "The Past, Present, and Future of the SEC" (Troy A. Paredes, Commissioner — October 16, 2009)SEC Launches Investor.gov: Agency's First-Ever Web Site Devoted Exclusively to Investor Education — October 22, 2009Address Before the Solutions Forum on Fraud (Mary L. Schapiro, Chairman — October 22, 2009)Opening Remarks Regarding Dark Pools (Elisse B. Walter, Commissioner — October 21, 2009)SEC Issues Proposals to Shed Greater Light on Dark Pools — October 21, 2009Statement at SEC Open Meeting to Propose Amendments Regarding the Regulation of “Dark Pools” (Troy A. Paredes, Commissioner — October 21, 2009)Senior Supervisors Group Issues Report on Risk Management Practices — October 21, 2009 Market Structure Reform Should Be Guided by Values of Fairness, Transparency, and Efficiency (Luis A. Aguilar, Commissioner — October 21, 2009) Statement at Open Meeting (Kathleen L. Casey, Commissioner — October 21, 2009)Statement on Dark Pool Regulation Before the Commission Open Meeting (Mary L. Schapiro, Chairman — October 21, 2009)Remarks at the Trader Forum 2009 Fall Workshop: Securities Markets and Regulatory Reform (James A. Brigagliano, Co-Acting Director, Division of Trading and Markets — October 8, 2009)Remarks at Press Conference (Robert Khuzami, Director, SEC Division of Enforcement — October 16, 2009)Remarks Concerning Regulatory Harmonization Report (Mary L. Schapiro, Chairman — October 16, 2009)Remarks at the Center for the Study of International Business Law at Brooklyn Law School Breakfast Roundtable (Elisse B. Walter, Commissioner — October 9, 2009)CFTC and SEC Issue Joint Report on Regulatory Harmonization — October 16, 2009Adam Storch Named Managing Executive of SEC’s Enforcement Division — October 16, 2009Barry Walters Named Chief Freedom of Information Act and Privacy Act Officer — October 15, 2009Sunshine Act Meeting — October 14, 2009Government-Business Forum on Small Business Capital Formation — October 13, 2009Creating Reform That Is Sustainable for Investors (Luis A. Aguilar, Commissioner — October 9, 2009)Remarks at the University of Rochester’s Presidential Symposium on the Future of Financial Regulation (Mary L. Schapiro, Chairman — October 10, 2009)Remarks Before the Hofstra Journal of International Business Law Conference on Investment Management Law (Andrew J. Donohue, Director, Division of Investment Management — October 9, 2009)Remarks at IOSCO Technical Committee Conference (Mary L. Schapiro, Chairman — October 8, 2009)"SEC Rulemaking — 'Advancing the Law' to Protect Investors" (Elisse B. Walter, Commissioner — October 2, 2009)Statement of Commissioner Luis A. Aguilar Regarding His Commitment to Implementation of Sarbanes-Oxley Section 404(b) (Luis A. Aguilar, Commissioner — October 2, 2009)Study of the Sarbanes-Oxley Act of 2002 Section 404 Internal Control Over Financial Reporting Requirements — September 2009Small Public Companies to Begin Providing Audited Assessment of Internal Controls Over Financial Reporting in Nine Months — October 2, 2009Testimony Concerning International Cooperation to Modernize Financial Regulation (Kathleen L. Casey, Commissioner — September 30, 2009)Testimony Concerning "Reforming Credit Rating Agencies" (Daniel M. Gallagher, Co-Acting Director, Division of Trading and Markets — September 30, 2009)SEC and CFTC Chairmen Issue Update on Harmonization Report (September 30, 2009)Opening Statement, Day Two of the Securities Lending and Short Sale Roundtable (Mary L. Schapiro, Chairman — September 30, 2009)Opening Statement, Day One of the Securities Lending and Short Sale Roundtable (Mary L. Schapiro, Chairman — September 29, 2009)Fee Rate Advisory #2 for Fiscal Year 2010 — September 28, 2009SEC Announces Panelists for Securities Lending and Short Sale Roundtable — September 25, 2009Address to Financial Services Roundtable — 2009 Fall Conference (Mary L. Schapiro, Chairman — September 24, 2009)SEC Conducts Regional Securities Market Oversight Training Program in Africa — September 24, 2009Remarks Before SIFMA's 14th Annual Fixed Income Legal & Compliance Conference (Troy A. Paredes, Commissioner — September 24, 2009)Remarks Before the Investment Company Institute's Annual Capital Markets Conference (Troy A. Paredes, Commissioner — September 24, 2009)Testimony Concerning "Recent Innovations in Securitization" (Paula Dubberly, Associate Director, Division of Corporation Finance — September 24, 2009) Sunshine Act Meeting — September 21, 2009Luncheon Address at IA Week/IA Watch's 9th Annual IA Compliance Fall Conference 2009 (Andrew J. Donohue, Director, Division of Investment Management — September 21, 2009)Address to Conference on "The Future of Global Finance" (Mary L. Schapiro, Chairman — September 18, 2009)Staff Statements at SEC Open Meeting — NRSROs (Dan Gallagher, Randall Roy, Penelope Saltzman, Michael Gaw, and Blair Petrillo — September 17, 2009)Opening Statement at SEC Open Meeting — NRSROs (Elisse B. Walter, Commissioner — September 17, 2009)Statement at Open Meeting Regarding Nationally Recognized Statistical Rating Organizations (Troy A. Paredes, Commissioner — September 17, 2009)Reinvigorating Credit Rating Agencies to Maintain a Vital Investor Protection (Luis A. Aguilar, Commissioner — September 17, 2009)Opening Statement at SEC Open Meeting — Flash Orders (Elisse B. Walter, Commissioner — September 17, 2009)Statement at Open Meeting to Propose Amendments to Eliminate Flash Orders (Troy A. Paredes, Commissioner — September 17, 2009)Opening Statement Before the Commission Open Meeting (Mary L. Schapiro, Chairman — September 17, 2009)Address to Transatlantic Corporate Governance Dialogue — 2009 Conference (Mary L. Schapiro, Chairman — September 17, 2009)SEC Proposes Flash Order Ban — September 17, 2009Statement at SEC Open Meeting (Kathleen L. Casey, Commissioner — September 17, 2009)SEC Votes on Measures to Further Strengthen Oversight of Credit Rating Agencies — September 17, 2009Interactive Data Public Test Suite — September 17, 2009Statement Before the Commission Open Meeting — Flash Orders (Mary L. Schapiro, Chairman — September 17, 2009)SEC Announces New Division of Risk, Strategy, and Financial Innovation — September 16, 2009SEC and UK FSA Discuss Approaches to Global Regulatory Requirements — September 16, 2009SEC Investor Advisory Committee Forms Subcommittees to Tackle Ambitious Agenda on Behalf of Investors — September 15, 2009SEC to Hold Securities Lending and Short Sale Roundtable — September 11, 2009Testimony Concerning the SEC's Failure to Identify the Bernard L. Madoff Ponzi Scheme and How to Improve SEC Performance (Robert Khuzami, Director, Division of Enforcement, and John Walsh, Acting Director, Office of Compliance Inspections and Examinations — September 10, 2009)Testimony Before the U.S. Senate Committee on Banking, Housing and Urban Affairs (H. David Kotz, Inspector General — September 10, 2009)Diversity in the Boardroom Yields Dividends (Luis A. Aguilar, Commissioner — September 10, 2009)Statement on the Inspector General's Report Regarding the Bernard Madoff Fraud (Mary L. Schapiro, Chairman — September 4, 2009)Remarks Before the Joint Meeting of the SEC and the CFTC on Harmonization of Regulation (Elisse B. Walter, Commissioner — September 2, 2009)Opening Remarks Before the SEC-CFTC Joint Meetings on Regulation Harmonization (Mary L. Schapiro, Chairman — September 2, 2009)SEC and CFTC Announce Participants for Joint Meetings on Regulation Harmonization — September 1, 2009Chairman Schapiro Issues Open Letter to Broker-Dealer CEOs — August 31, 2009Sunshine Act Meeting Notice — August 25, 2009James L. Kroeker Named Chief Accountant at SEC — August 25, 2009 Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification (33-9062A)Joint Meetings on Harmonization of Regulation (34-60539)SEC Seeks Comment on Alternative Uptick Rule — August 17, 2009 Eric J. Spitler Named Counselor to the Chairman and Director of the Office of Legislative and Intergovernmental Affairs — August 11, 2009Remarks to the New York City Bar Association (Robert Khuzami, Director, Division of Enforcement — August 5, 2009)Notice Regarding the Requirement to Use eXtensible Business Reporting Language Format to Make Publicly Available the Information Required Pursuant to Rule 17g-2(d) of the Exchange Act (34-60451)Testimony Concerning "Protecting Shareholders and Enhancing Public Confidence by Improving Corporate Governance" (Meredith B. Cross, Director, Division of Corporation Finance — July 29, 2009)Statement at SEC Open Meeting (Kathleen L. Casey, Commissioner — July 22, 2009)Announcement From the SEC Investor Advisory Committee — July 29, 2009SEC Takes Steps to Curtail Abusive Short Sales and Increase Market Transparency — July 27, 2009)Restoring Investors' Voices — The Launch of Investor Advisory Committee (Luis A. Aguilar, Commissioner — July 27, 2009)Testimony Concerning Regulation of Systemic Risk (Mary L. Schapiro, Chairman (Mary L. Schapiro, Chairman — July 23, 2009)Reducing the Temptation of Advisers to Misuse Political Contributions (Luis A. Aguilar, Commissioner — July 22, 2009)Statement at SEC Open Meeting (Troy A. Paredes, Commissioner — July 22, 2009)SEC Proposes Measures to Curtail "Pay to Play" Practices — July 22, 2009)"Regulatory Perspectives on the Obama Administration's Financial Regulatory Reform Proposals" (Mary L. Schapiro, Chairman — July 22, 2009)Statement at SEC Open Meeting (Mary L. Schapiro, Chairman — July 22, 2009)A Step Forward in Protecting Investors in Municipal Securities (Luis A. Aguilar, Commissioner — July 15, 2009)Testimony Concerning Regulating Hedge Funds and Other Private Investment Pools (Andrew J. Donohue, Director, Division of Investment Management — July 15, 2009)Statement at SEC Open Meeting (Elisse B. Walter, Commissioner — July 15, 2009)SEC Votes to Propose Rules Enhancing Municipal Securities Disclosure — July 15, 2009Opening Statement Before the Commission Open Meeting (Mary L. Schapiro, Chairman — July 15, 2009)The New Financial Landscape: Lesson of the Financial Crisis (Ethiopis Tafara, Director, Office of International Affairs — July 14, 2009)Testimony Concerning SEC Oversight: Current State and Agenda (Mary L. Schapiro, Chairman — July 14, 2009)Statement for the Record by the U.S. Securities and Exchange Commission — July 13, 2009Remarks at Corporate Directors Forum (Troy A. Paredes, Commissioner — July 13, 2009)Lori Richards, Director of the Office of Compliance Inspections and Examinations, to Leave SEC — July 8, 2009Notice of Meeting of SEC Investor Advisory Committee (33-9049)Lorin L. Reisner to Join SEC Enforcement Division — July 2, 2009Office of the Chief Accountant Names Academic Fellows — July 2, 2009Division Statement Before the Commission Open Meeting: Proxy Disclosure and Solicitation Enhancements (Sean Harrison, Special Counsel, U.S. Securities and Exchange Commission — July 1, 2009)Division Statement Before the Commission Open Meeting: Shareholder Approval of Executive Compensation of TARP Recipients (John Harrington, Attorney-Adviser, U.S. Securities and Exchange Commission — July 1, 2009)Statement at the Open Meeting of the Securities and Exchange Commission (Luis A. Aguilar, Commissioner — July 1, 2009)Statement at SEC Open Meeting (Mary L. Schapiro, Chairman — July 1, 2009)Open Meeting Statement (Elisse B. Walter, Commissioner — July 1, 2009)SEC Proposes Measures to Improve Corporate Governance and Enhance Investor Confidence — July 1, 2009Statement at Open Meeting (Troy A. Paredes, Commissioner — July 1, 2009)"The American Corporation and its Shareholders: Dooryard Visits Disallowed" (Elisse B. Walter, Commissioner — June 27, 2009)Opening Statement at Open Meeting on Money Market Fund Reform (Elisse B. Walter, Commissioner — June 24, 2009)Welcoming Remarks Before the 34th IOSCO Annual Conference (Kathleen L. Casey, Commissioner, U. S. Securities and Exchange Commission and Chairman, IOSCO Technical Committee — June 10, 2009)Remarks at the Open Meeting of the U.S. Securities and Exchange Commission Regarding Money Market Fund Reform (Troy A. Paredes, Commissioner — June 24, 2009)Statement at SEC Open Meeting Regarding Money Market Fund Reform (Kathleen L. Casey, Commissioner — June 24, 2009)Strengthening the Money Market Framework With Investors in Mind (Luis A. Aguilar, Commissioner — June 24, 2009)SEC Proposes Rule Amendments to Strengthen Regulatory Framework for Money Market Funds — June 24, 2009Statement at SEC Open Meeting (Mary L. Schapiro, Chairman — June 24, 2009) Remarks at Conference on "Shareholder Rights, the 2009 Proxy Season, and the Impact of Shareholder Activism" (Troy A. Paredes, Commissioner — June 23, 2009)Testimony Concerning Regulation of Over-The-Counter Derivatives (Mary L. Schapiro, Chairman — June 22, 2009)Address Before the New York Financial Writers' Association Annual Awards Dinner (Mary L. Schapiro, Chairman — June 18, 2009)Statement at SEC-DOL Hearing on Target Date Funds (Mary L. Schapiro, Chairman — June 18, 2009)Strengthening Examination Oversight: Changes to Regulatory Examinations (Lori A. Richards, Director, Office of Compliance Inspections and Examinations — June 17, 2009)Improving the Role of the Securities Regulators in a Changing Global Financial System (Mary L. Schapiro, Chairman — June 11, 2009)Testimony Concerning the Oversight and Regulation of Executive Compensation (Brian V. Breheny, Deputy Director, Division of Corporation Finance — June 11, 2009)Chairman Schapiro Statement on Executive Compensation — June 10, 2009Notice of Federal Advisory Committee EstablishmentSEC Office of the Chief Accountant Releases Staff Accounting Bulletin — June 4, 2009Testimony Before the Subcommittee on Financial Services and General Government (Mary L. Schapiro, Chairman — June 2, 2009)SEC Announces Creation of Investor Advisory Committee — June 3, 2009Reversing Course — Putting Investors First in Regulatory Reform (Luis A. Aguilar, Commissioner — June 3, 2009)The Road Ahead: Short Sale Regulation for Today's Markets (James A. Brigagliano, Co-Acting Director, Division of Trading and Markets — May 5, 2009)SEC Takes Steps to Strengthen Existing Rules Governing Securities Trading by Personnel — May 22, 2009SEC, DOL Accepting Requests to Participate in Joint Hearing Examining Target Date Funds — May 22, 2009Hearing on Target Date Funds and Similar Investment Options (IC-28725) — May 19, 2009SEC Votes to Propose Rule Amendments to Facilitate Rights of Shareholders to Nominate Directors — May 20, 2009Statement at Open Meeting to Propose Amendments Regarding Facilitating Shareholder Director Nominations (Troy A. Paredes, Commissioner — May 20, 2009)Statement at SEC Open Meeting on Facilitating Shareholder Director Nominations (Elisse B. Walter, Commissioner — May 20, 2009)Statement at SEC Open Meeting on Facilitating Shareholder Director Nominations (Luis A. Aguilar, Commissioner — May 20, 2009)Opening Remarks at the SEC Open Meeting (Lillian Brown, Senior Special Counsel, Division of Corporation Finance — May 20, 2009)Keynote Address to the 2009 SIFMA Market Structure Conference (James A. Brigagliano, Co-Acting Director, Division of Trading and Markets — May 20, 2009)Statement at SEC Open Meeting on Facilitating Shareholder Director Nominations (Mary L. Schapiro, Chairman — May 20, 2009)EDGAR Submission Type SH-ER Information Table Fillable PDF Form (Version 2.0) — May 18, 2009SEC to Hold Public Seminar on New Interactive Data Reporting Requirements — May 18, 2009Director of Legislative and Intergovernmental Affairs William Schulz to Leave SEC — May 14, 2009SEC Proposes Rule Amendments to Strengthen Safeguards of Investor Funds Controlled by Investment Advisers — May 14, 2009Statement at SEC Open Meeting (Kathleen L. Casey, Commissioner — May 14, 2009)Statement at SEC Open Meeting (Mary L. Schapiro, Chairman — May 14, 2009)Remarks at SEC Open Meeting (Troy A. Paredes, Commissioner — May 14, 2009)Statement at Treasury Department Press Briefing on OTC Derivatives (Mary L. Schapiro, Chairman — May 13, 2009)SEC, DOL to Hold Joint Hearing Examining Target Date Funds — May 12, 2009SEC's Oversight of the Adviser Industry Bolsters Investor Protection (Luis A. Aguilar, Commissioner — May 7, 2009)DRAFT EDGAR Submission Type SH-ER Information Table Fillable PDF Form (Version 2.0) — May 11, 2009EDGAR to Validate Submission Type SH-ER Information Table XML Documents — May 11, 2009"Building a Stable and Efficient Financial System" (Mary L. Schapiro, Chairman — May 8, 2009)Remarks at the Security Traders Association 13th Annual Washington Conference (Troy A. Paredes, Commissioner — May 6, 2009)Opening Statement at May 5, 2009, Roundtable on Short Selling (Mary L. Schapiro, Chairman — May 5, 2009)Remarks Before the Mutual Fund Directors Forum Ninth Annual Policy Conference (Troy A. Paredes, Commissioner — May 4, 2009)Address to Mutual Fund Directors Forum Ninth Annual Policy Conference: Critical Issues for Investment Company Directors (Mary L. Schapiro, Chairman — May 4, 2009)Fee Rate Advisory #1 for Fiscal Year 2010 — April 30, 2009SEC Announces New Initiative to Identify and Assess Risks in Financial Markets — April 30, 2009Office of the Chief Accountant Selects Four Professional Accounting Fellows — April 29, 2009NASAA Members and the SEC — United in the Public Interest and Making Investors a Priority (Luis A. Aguilar, Commissioner — April 28, 2009)"Equalizing Opportunities for All Americans to Participate in Financial Services" (Luis A. Aguilar, Commissioner — April 27, 2009)Address to the Society of American Business Editors and Writers (Mary L. Schapiro, Chairman — April 27, 2009)SEC to Hold Roundtable on May 5 to Examine Short Sale Price Test and Circuit Breaker Restrictions — April 24, 2009Making Investors a Priority in Regulatory Reform (Luis A. Aguilar, Commissioner — April 17, 2009)Investment Company Act of 1940: Regulatory Gap Between Paradigm and Reality? (Andrew J. Donohue, Director, Division of Investment Management — April 17, 2009)Statement at SEC Roundtable on Credit Rating Agencies (Mary L. Schapiro, Chairman — April 15, 2009)Office of the Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin — April 14, 2009Meredith Cross Named New Director of SEC Division of Corporation Finance — April 13, 2009Remarks at the National Economists Club: Securities Markets and Regulatory Reform (Erik R. Sirri, Director, Division of Trading and Markets — April 9, 2009)Statement Before the Commission Open Meeting (Kathleen L. Casey, Commissioner — April 8, 2009)Statement Before the Commission Open Meeting (Troy A. Paredes, Commissioner — April 8, 2009)Statement Before the Commission Open Meeting (Luis A. Aguilar, Commissioner — April 8, 2009)SEC Seeks Comments on Short Sale Price Test and Circuit Breaker Restrictions — April 8, 2009Opening Statement Before the Commission Open Meeting (Mary L. Schapiro, Chairman — April 8, 2009)Address to the Council of Institutional Investors (Mary L. Schapiro, Chairman — April 6, 2009)Keynote Address at the Practising Law Institute's Investment Management Institute 2009 (Andrew J. Donohue, Director, Division of Investment Management — April 2, 2009)Erik R. Sirri, Director of Division of Trading and Markets, to Leave SEC — March 31, 2009Testimony Concerning Enhancing Investor Protection and Regulation of the Securities Markets (Mary L. Schapiro, Chairman — March 26, 2009)Testimony Concerning Exploring the Balance Between Increased Credit Availability and Prudent Lending Standards (James L. Kroeker, Acting Chief Accountant — March 25, 2009)SEC Announces Panelists and Agenda for Credit Rating Agencies Roundtable — March 24, 2009Didem Nisanci Named SEC Chief of Staff — March 24, 2009Notice to Form SH Filers — XML Errors — Need to Identify and Correct — March 23, 2009Keynote Address, Investment Company Institute, 2009 Mutual Funds and Investment Management Conference (Andrew J. Donohue, Director, Division of Investment Management — March 23, 2009)Remarks at the 2009 Southeastern Securities Conference (Troy A. Paredes, Commissioner — March 19, 2009)"Reinvigorating the Enforcement Program to Restore Investor Confidence" (Luis A. Aguilar, Commissioner — March 18, 2009)Testimony Concerning Lessons Learned in Risk Management Oversight at Federal Financial Regulators (Erik Sirri, Director, Division of Trading and Markets — March 18, 2009)SEC Names Julie Zelman Davis as Deputy Director of Legislative Affairs — March 16, 2009SEC Approves Exemptions Allowing Chicago Mercantile Exchange to Operate as Central Counterparty for Credit Default Swaps — March 13, 2009"Principles to Help Guide Financial Regulatory Reform" — Remarks Before the Institute of International Bankers (Elisse B. Walter, Commissioner — March 2, 2009)A Few Observations Based On International Regulatory Conversations (Ethiopis Tafara, Director, Office of International Affairs — February 23, 2009)"Compliance in Today's Environment: Step Up to the Challenge" — Remarks Before the IA Compliance Best Practices Summit 2009 (Lori A. Richards, Director, Office of Compliance Inspections and Examinations — March 12, 2009)Testimony Concerning Mark-to-Market Accounting: Practices and Implications (James L. Kroeker, Acting Chief Accountant — March 12, 2009)Testimony Before the Subcommittee on Financial Services and General Government (Mary Schapiro, Chairman — March 11, 2009)Remarks at the CCOutreach BD National Seminar (Troy A. Paredes, Commissioner — March 10, 2009)Remarks at the 2nd Annual CCOutreach BD National Seminar (Mary L. Schapiro, Chairman — March 10, 2009)Senior Supervisors Group Issues Report on Management of Recent Credit Default Swap Credit Events — March 9, 2009SEC Approves Exemptions Allowing ICE US Trust LLC to Operate as Central Counterparty for Credit Default Swaps — March 6, 2009SEC Roundtable to Examine Oversight of Credit Rating Agencies — March 6, 2009SEC Warns Investors and Financial Firms of Government Impersonators — March 2, 2009Robert Khuzami Named SEC Director of Enforcement — February 19, 2009Notice to New EDGAR Filers and Form D Filers — February 17, 2009Restoring Investor Trust Through Corporate Governance — Remarks Before the Practicing Law Institute (Elisse B. Walter, Commissioner — February 18, 2009)Enforcement Director Linda Chatman Thomsen to Leave SEC — February 9, 2009In Search of Transparency, Accountability, and Competition: The Regulation of Credit Rating Agencies (Kathleen L. Casey, Commissioner — February 6, 2009)Increasing Accountability and Transparency to Investors (Luis A. Aguilar, Commissioner — February 6, 2009)Remarks at "The SEC Speaks in 2009" (Troy A. Paredes, Commissioner — February 6, 2009)Remarks at "The SEC Speaks in 2009" (Elisse B. Walter, Commissioner — February 6, 2009)Address to Practising Law Institute's "SEC Speaks in 2009" Program (Mary L. Schapiro, Chairman — February 6, 2009)David M. Becker Named SEC General Counsel and Senior Policy Director — February 6, 2009Robert Colby, Deputy Director of Trading and Markets Division, to Leave SEC After 27 Years of Service — February 2, 2009Remarks at the Security Traders Association of Chicago Mid-Winter Meeting (Elizabeth K. King, Associate Director, Division of Trading & Markets — January 23, 2009)Mary Schapiro Sworn in as Chairman of SEC — January 27, 2009Remarks at the Investment Company Institute's Board of Governor's Winter Meeting (Luis A. Aguilar, Commissioner — January 26, 2009)Peter Uhlmann to Step Down as SEC Chief of Staff — January 19, 2009SEC Staff Extends Sarbanes-Oxley Survey to January 31 — January 16, 2009The Future of Financial Reporting (William Lutz, Director, 21st Century Disclosure Initiative — January 15, 2009)Empowering the Markets Watchdog to Effect Real Results (Luis A. Aguilar, Commissioner — January 10, 2009)Address at the Mutual Fund Directors Forum Third Annual Directors' Institute (Andrew J. Donohue, Director, Division of Investment Management — January 13, 2009)James L. Kroeker Named Acting Chief Accountant — January 6, 2009Shelley Parratt Named Acting Director of SEC's Division of Corporation Finance — January 5, 2009
Division of Corporation Finance Filing Review Process — December 2009SEC Proposes Rule Amendments to Facilitate Access to Capital Markets — December 22, 2009Remarks at the 2009 NSCP National Meeting (John H. Walsh, Acting Director, Office of Compliance Inspections and Examinations — October 5, 2009)Slide Presentation: SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers — December 2009Custody of Funds or Securities of Clients by Investment Advisers (Final Rule) (Elisse B. Walter, Commissioner — December 16, 2009)Opening Statement at SEC Open Meeting — Proxy Disclosure Enhancements (Elisse B. Walter, Commissioner — December 16, 2009)Fee Rate Advisory #4 for Fiscal Year 2010 — December 17, 2009Statement at SEC Open Meeting on Proxy Disclosure Enhancements Rule Adoption (Kathleen L. Casey, Commissioner — December 16, 2009)Statement at Open Meeting to Adopt Amendments Regarding Proxy Disclosure Enhancements (Troy A. Paredes, Commissioner — December 16, 2009)Statement at Open Meeting to Adopt Amendments Regarding Custody of Funds or Securities of Clients by Investment Advisers (Troy A. Paredes, Commissioner — December 16, 2009)SEC Approves Enhanced Disclosure About Risk, Compensation and Corporate Governance — December 16, 2009SEC Approves Stronger Safeguards to Protect Clients’ Assets Controlled by Investment Advisers — December 16, 2009Statement at SEC Open Meeting on Providing Disclosure About Risk, Compensation and Corporate Governance Matters (Mary L. Schapiro, Chairman — December 16, 2009)Statement at SEC Open Meeting on Strengthening Safeguards to Protect Clients’ Assets Controlled by Investment Advisers (Mary L. Schapiro, Chairman — December 16, 2009)The Need to Strengthen Custodial Practices to Protect Investors and Their Assets (Luis A. Aguilar, Commissioner — December 16, 2009)Moving Toward More Informed Shareholder Voting (Luis A. Aguilar, Commissioner — December 16, 2009)SEC Re-Opens Public Comment Period for Shareholder Director Nomination Proposal — December 14, 2009Statement Before the Capital Markets, Insurance, and Government Sponsored Enterprises Subcommittee, United States House of Representatives (Michael A. Conley, Deputy Solicitor — December 9, 2009)Special Advisor and Former Deputy Director of the Division of Enforcement George Curtis Leaves SEC — December 7, 20092009 AICPA National Conference on Current SEC and PCAOB Developments"The Consumer in the Financial Services Revolution" (Mary L. Schapiro, Chairman — December 3, 2009)SEC Names Senior Officials to Investor Education and Advocacy Efforts — November 19, 2009Remarks at 2009 SEC Government-Business Forum on Small Business Capital Formation (Troy A. Paredes, Commissioner — November 19, 2009)Remarks Before Catholic Law School Annual Securities Alumni Luncheon (Daniel M. Gallagher, Jr., Co-Acting Director, Division of Trading and Markets — November 12, 2009)Lessons From the Financial Crisis for Financial Reporting, Standard Setting and Rule Making (Kathleen L. Casey, Commissioner — November 17, 2009)Remarks at Department of Justice Press Conference (Robert S. Khuzami, Director, Division of Enforcement — November 17, 2009)President Obama Establishes Interagency Financial Fraud Enforcement Task Force — November 17, 2009Federal Regulators Issue Final Model Privacy Notice Form — November 17, 2009Paul Beswick Named SEC Deputy Chief Accountant in Charge of Accounting Group — November 13, 2009Keynote Address at the Independent Directors Council Investment Company Directors Conference (Andrew J. Donohue, Director, Division of Investment Management — November 12, 2009)Robert W. Cook Named Director of SEC Division of Trading and Markets — November 10, 2009Executive Compensation Disclosure: Observations on the 2009 Proxy Season and Expectations for 2010 (Shelley Parratt, Deputy Director, Division of Corporation Finance — November 9, 2009)Remarks at the Closing of the International Institute for Enforcement and Market Oversight (Elisse B. Walter, Commissioner — November 6, 2009)Remarks Before the ALI-ABA (American Law Institute/American Bar Association) Conference on Life Insurance Company Products (Andrew J. Donohue, Director, Division of Investment Management — November 6, 2009)Applying the Lessons (Mary L. Schapiro, Chairman — November 5, 2009)Remarks at November 5, 2009 Press Conference (Robert Khuzami, Director, SEC Division of Enforcement — November 5, 2009)Investors Deserve Sustainable Reform — Not More of the Same (Luis A. Aguilar, Commissioner — November 6, 2009)Statement by Chairman Schapiro on IASB and FASB Commitment to Improve IFRS and U.S. GAAP and to Bring About Their Convergence — November 5, 2009Address to the Practising Law Institute's 41st Annual Institute on Securities Regulation (Mary Schapiro, Chairman — November 4, 2009)Fee Rate Advisory #3 for Fiscal Year 2010 — October 30, 2009"The Power of the Shareholder & the Rise of Corporate Democracy" (Luis A. Aguilar, Commissioner — October 29, 2009)Regulation of the Municipal Securities Market: Investors Are Not Second-Class Citizens (Elisse B. Walter, Commissioner — October 28, 2009)"The Road to Investor Confidence" (Mary Schapiro, Chairman — October 27, 2009)SEC to Hold Small Business Capital Formation Forum on November 19 — October 22, 2009Remarks Before the Symposium on "The Past, Present, and Future of the SEC" (Troy A. Paredes, Commissioner — October 16, 2009)SEC Launches Investor.gov: Agency's First-Ever Web Site Devoted Exclusively to Investor Education — October 22, 2009Address Before the Solutions Forum on Fraud (Mary L. Schapiro, Chairman — October 22, 2009)Opening Remarks Regarding Dark Pools (Elisse B. Walter, Commissioner — October 21, 2009)SEC Issues Proposals to Shed Greater Light on Dark Pools — October 21, 2009Statement at SEC Open Meeting to Propose Amendments Regarding the Regulation of “Dark Pools” (Troy A. Paredes, Commissioner — October 21, 2009)Senior Supervisors Group Issues Report on Risk Management Practices — October 21, 2009 Market Structure Reform Should Be Guided by Values of Fairness, Transparency, and Efficiency (Luis A. Aguilar, Commissioner — October 21, 2009) Statement at Open Meeting (Kathleen L. Casey, Commissioner — October 21, 2009)Statement on Dark Pool Regulation Before the Commission Open Meeting (Mary L. Schapiro, Chairman — October 21, 2009)Remarks at the Trader Forum 2009 Fall Workshop: Securities Markets and Regulatory Reform (James A. Brigagliano, Co-Acting Director, Division of Trading and Markets — October 8, 2009)Remarks at Press Conference (Robert Khuzami, Director, SEC Division of Enforcement — October 16, 2009)Remarks Concerning Regulatory Harmonization Report (Mary L. Schapiro, Chairman — October 16, 2009)Remarks at the Center for the Study of International Business Law at Brooklyn Law School Breakfast Roundtable (Elisse B. Walter, Commissioner — October 9, 2009)CFTC and SEC Issue Joint Report on Regulatory Harmonization — October 16, 2009Adam Storch Named Managing Executive of SEC’s Enforcement Division — October 16, 2009Barry Walters Named Chief Freedom of Information Act and Privacy Act Officer — October 15, 2009Sunshine Act Meeting — October 14, 2009Government-Business Forum on Small Business Capital Formation — October 13, 2009Creating Reform That Is Sustainable for Investors (Luis A. Aguilar, Commissioner — October 9, 2009)Remarks at the University of Rochester’s Presidential Symposium on the Future of Financial Regulation (Mary L. Schapiro, Chairman — October 10, 2009)Remarks Before the Hofstra Journal of International Business Law Conference on Investment Management Law (Andrew J. Donohue, Director, Division of Investment Management — October 9, 2009)Remarks at IOSCO Technical Committee Conference (Mary L. Schapiro, Chairman — October 8, 2009)"SEC Rulemaking — 'Advancing the Law' to Protect Investors" (Elisse B. Walter, Commissioner — October 2, 2009)Statement of Commissioner Luis A. Aguilar Regarding His Commitment to Implementation of Sarbanes-Oxley Section 404(b) (Luis A. Aguilar, Commissioner — October 2, 2009)Study of the Sarbanes-Oxley Act of 2002 Section 404 Internal Control Over Financial Reporting Requirements — September 2009Small Public Companies to Begin Providing Audited Assessment of Internal Controls Over Financial Reporting in Nine Months — October 2, 2009Testimony Concerning International Cooperation to Modernize Financial Regulation (Kathleen L. Casey, Commissioner — September 30, 2009)Testimony Concerning "Reforming Credit Rating Agencies" (Daniel M. Gallagher, Co-Acting Director, Division of Trading and Markets — September 30, 2009)SEC and CFTC Chairmen Issue Update on Harmonization Report (September 30, 2009)Opening Statement, Day Two of the Securities Lending and Short Sale Roundtable (Mary L. Schapiro, Chairman — September 30, 2009)Opening Statement, Day One of the Securities Lending and Short Sale Roundtable (Mary L. Schapiro, Chairman — September 29, 2009)Fee Rate Advisory #2 for Fiscal Year 2010 — September 28, 2009SEC Announces Panelists for Securities Lending and Short Sale Roundtable — September 25, 2009Address to Financial Services Roundtable — 2009 Fall Conference (Mary L. Schapiro, Chairman — September 24, 2009)SEC Conducts Regional Securities Market Oversight Training Program in Africa — September 24, 2009Remarks Before SIFMA's 14th Annual Fixed Income Legal & Compliance Conference (Troy A. Paredes, Commissioner — September 24, 2009)Remarks Before the Investment Company Institute's Annual Capital Markets Conference (Troy A. Paredes, Commissioner — September 24, 2009)Testimony Concerning "Recent Innovations in Securitization" (Paula Dubberly, Associate Director, Division of Corporation Finance — September 24, 2009) Sunshine Act Meeting — September 21, 2009Luncheon Address at IA Week/IA Watch's 9th Annual IA Compliance Fall Conference 2009 (Andrew J. Donohue, Director, Division of Investment Management — September 21, 2009)Address to Conference on "The Future of Global Finance" (Mary L. Schapiro, Chairman — September 18, 2009)Staff Statements at SEC Open Meeting — NRSROs (Dan Gallagher, Randall Roy, Penelope Saltzman, Michael Gaw, and Blair Petrillo — September 17, 2009)Opening Statement at SEC Open Meeting — NRSROs (Elisse B. Walter, Commissioner — September 17, 2009)Statement at Open Meeting Regarding Nationally Recognized Statistical Rating Organizations (Troy A. Paredes, Commissioner — September 17, 2009)Reinvigorating Credit Rating Agencies to Maintain a Vital Investor Protection (Luis A. Aguilar, Commissioner — September 17, 2009)Opening Statement at SEC Open Meeting — Flash Orders (Elisse B. Walter, Commissioner — September 17, 2009)Statement at Open Meeting to Propose Amendments to Eliminate Flash Orders (Troy A. Paredes, Commissioner — September 17, 2009)Opening Statement Before the Commission Open Meeting (Mary L. Schapiro, Chairman — September 17, 2009)Address to Transatlantic Corporate Governance Dialogue — 2009 Conference (Mary L. Schapiro, Chairman — September 17, 2009)SEC Proposes Flash Order Ban — September 17, 2009Statement at SEC Open Meeting (Kathleen L. Casey, Commissioner — September 17, 2009)SEC Votes on Measures to Further Strengthen Oversight of Credit Rating Agencies — September 17, 2009Interactive Data Public Test Suite — September 17, 2009Statement Before the Commission Open Meeting — Flash Orders (Mary L. Schapiro, Chairman — September 17, 2009)SEC Announces New Division of Risk, Strategy, and Financial Innovation — September 16, 2009SEC and UK FSA Discuss Approaches to Global Regulatory Requirements — September 16, 2009SEC Investor Advisory Committee Forms Subcommittees to Tackle Ambitious Agenda on Behalf of Investors — September 15, 2009SEC to Hold Securities Lending and Short Sale Roundtable — September 11, 2009Testimony Concerning the SEC's Failure to Identify the Bernard L. Madoff Ponzi Scheme and How to Improve SEC Performance (Robert Khuzami, Director, Division of Enforcement, and John Walsh, Acting Director, Office of Compliance Inspections and Examinations — September 10, 2009)Testimony Before the U.S. Senate Committee on Banking, Housing and Urban Affairs (H. David Kotz, Inspector General — September 10, 2009)Diversity in the Boardroom Yields Dividends (Luis A. Aguilar, Commissioner — September 10, 2009)Statement on the Inspector General's Report Regarding the Bernard Madoff Fraud (Mary L. Schapiro, Chairman — September 4, 2009)Remarks Before the Joint Meeting of the SEC and the CFTC on Harmonization of Regulation (Elisse B. Walter, Commissioner — September 2, 2009)Opening Remarks Before the SEC-CFTC Joint Meetings on Regulation Harmonization (Mary L. Schapiro, Chairman — September 2, 2009)SEC and CFTC Announce Participants for Joint Meetings on Regulation Harmonization — September 1, 2009Chairman Schapiro Issues Open Letter to Broker-Dealer CEOs — August 31, 2009Sunshine Act Meeting Notice — August 25, 2009James L. Kroeker Named Chief Accountant at SEC — August 25, 2009 Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification (33-9062A)Joint Meetings on Harmonization of Regulation (34-60539)SEC Seeks Comment on Alternative Uptick Rule — August 17, 2009 Eric J. Spitler Named Counselor to the Chairman and Director of the Office of Legislative and Intergovernmental Affairs — August 11, 2009Remarks to the New York City Bar Association (Robert Khuzami, Director, Division of Enforcement — August 5, 2009)Notice Regarding the Requirement to Use eXtensible Business Reporting Language Format to Make Publicly Available the Information Required Pursuant to Rule 17g-2(d) of the Exchange Act (34-60451)Testimony Concerning "Protecting Shareholders and Enhancing Public Confidence by Improving Corporate Governance" (Meredith B. Cross, Director, Division of Corporation Finance — July 29, 2009)Statement at SEC Open Meeting (Kathleen L. Casey, Commissioner — July 22, 2009)Announcement From the SEC Investor Advisory Committee — July 29, 2009SEC Takes Steps to Curtail Abusive Short Sales and Increase Market Transparency — July 27, 2009)Restoring Investors' Voices — The Launch of Investor Advisory Committee (Luis A. Aguilar, Commissioner — July 27, 2009)Testimony Concerning Regulation of Systemic Risk (Mary L. Schapiro, Chairman (Mary L. Schapiro, Chairman — July 23, 2009)Reducing the Temptation of Advisers to Misuse Political Contributions (Luis A. Aguilar, Commissioner — July 22, 2009)Statement at SEC Open Meeting (Troy A. Paredes, Commissioner — July 22, 2009)SEC Proposes Measures to Curtail "Pay to Play" Practices — July 22, 2009)"Regulatory Perspectives on the Obama Administration's Financial Regulatory Reform Proposals" (Mary L. Schapiro, Chairman — July 22, 2009)Statement at SEC Open Meeting (Mary L. Schapiro, Chairman — July 22, 2009)A Step Forward in Protecting Investors in Municipal Securities (Luis A. Aguilar, Commissioner — July 15, 2009)Testimony Concerning Regulating Hedge Funds and Other Private Investment Pools (Andrew J. Donohue, Director, Division of Investment Management — July 15, 2009)Statement at SEC Open Meeting (Elisse B. Walter, Commissioner — July 15, 2009)SEC Votes to Propose Rules Enhancing Municipal Securities Disclosure — July 15, 2009Opening Statement Before the Commission Open Meeting (Mary L. Schapiro, Chairman — July 15, 2009)The New Financial Landscape: Lesson of the Financial Crisis (Ethiopis Tafara, Director, Office of International Affairs — July 14, 2009)Testimony Concerning SEC Oversight: Current State and Agenda (Mary L. Schapiro, Chairman — July 14, 2009)Statement for the Record by the U.S. Securities and Exchange Commission — July 13, 2009Remarks at Corporate Directors Forum (Troy A. Paredes, Commissioner — July 13, 2009)Lori Richards, Director of the Office of Compliance Inspections and Examinations, to Leave SEC — July 8, 2009Notice of Meeting of SEC Investor Advisory Committee (33-9049)Lorin L. Reisner to Join SEC Enforcement Division — July 2, 2009Office of the Chief Accountant Names Academic Fellows — July 2, 2009Division Statement Before the Commission Open Meeting: Proxy Disclosure and Solicitation Enhancements (Sean Harrison, Special Counsel, U.S. Securities and Exchange Commission — July 1, 2009)Division Statement Before the Commission Open Meeting: Shareholder Approval of Executive Compensation of TARP Recipients (John Harrington, Attorney-Adviser, U.S. Securities and Exchange Commission — July 1, 2009)Statement at the Open Meeting of the Securities and Exchange Commission (Luis A. Aguilar, Commissioner — July 1, 2009)Statement at SEC Open Meeting (Mary L. Schapiro, Chairman — July 1, 2009)Open Meeting Statement (Elisse B. Walter, Commissioner — July 1, 2009)SEC Proposes Measures to Improve Corporate Governance and Enhance Investor Confidence — July 1, 2009Statement at Open Meeting (Troy A. Paredes, Commissioner — July 1, 2009)"The American Corporation and its Shareholders: Dooryard Visits Disallowed" (Elisse B. Walter, Commissioner — June 27, 2009)Opening Statement at Open Meeting on Money Market Fund Reform (Elisse B. Walter, Commissioner — June 24, 2009)Welcoming Remarks Before the 34th IOSCO Annual Conference (Kathleen L. Casey, Commissioner, U. S. Securities and Exchange Commission and Chairman, IOSCO Technical Committee — June 10, 2009)Remarks at the Open Meeting of the U.S. Securities and Exchange Commission Regarding Money Market Fund Reform (Troy A. Paredes, Commissioner — June 24, 2009)Statement at SEC Open Meeting Regarding Money Market Fund Reform (Kathleen L. Casey, Commissioner — June 24, 2009)Strengthening the Money Market Framework With Investors in Mind (Luis A. Aguilar, Commissioner — June 24, 2009)SEC Proposes Rule Amendments to Strengthen Regulatory Framework for Money Market Funds — June 24, 2009Statement at SEC Open Meeting (Mary L. Schapiro, Chairman — June 24, 2009) Remarks at Conference on "Shareholder Rights, the 2009 Proxy Season, and the Impact of Shareholder Activism" (Troy A. Paredes, Commissioner — June 23, 2009)Testimony Concerning Regulation of Over-The-Counter Derivatives (Mary L. Schapiro, Chairman — June 22, 2009)Address Before the New York Financial Writers' Association Annual Awards Dinner (Mary L. Schapiro, Chairman — June 18, 2009)Statement at SEC-DOL Hearing on Target Date Funds (Mary L. Schapiro, Chairman — June 18, 2009)Strengthening Examination Oversight: Changes to Regulatory Examinations (Lori A. Richards, Director, Office of Compliance Inspections and Examinations — June 17, 2009)Improving the Role of the Securities Regulators in a Changing Global Financial System (Mary L. Schapiro, Chairman — June 11, 2009)Testimony Concerning the Oversight and Regulation of Executive Compensation (Brian V. Breheny, Deputy Director, Division of Corporation Finance — June 11, 2009)Chairman Schapiro Statement on Executive Compensation — June 10, 2009Notice of Federal Advisory Committee EstablishmentSEC Office of the Chief Accountant Releases Staff Accounting Bulletin — June 4, 2009Testimony Before the Subcommittee on Financial Services and General Government (Mary L. Schapiro, Chairman — June 2, 2009)SEC Announces Creation of Investor Advisory Committee — June 3, 2009Reversing Course — Putting Investors First in Regulatory Reform (Luis A. Aguilar, Commissioner — June 3, 2009)The Road Ahead: Short Sale Regulation for Today's Markets (James A. Brigagliano, Co-Acting Director, Division of Trading and Markets — May 5, 2009)SEC Takes Steps to Strengthen Existing Rules Governing Securities Trading by Personnel — May 22, 2009SEC, DOL Accepting Requests to Participate in Joint Hearing Examining Target Date Funds — May 22, 2009Hearing on Target Date Funds and Similar Investment Options (IC-28725) — May 19, 2009SEC Votes to Propose Rule Amendments to Facilitate Rights of Shareholders to Nominate Directors — May 20, 2009Statement at Open Meeting to Propose Amendments Regarding Facilitating Shareholder Director Nominations (Troy A. Paredes, Commissioner — May 20, 2009)Statement at SEC Open Meeting on Facilitating Shareholder Director Nominations (Elisse B. Walter, Commissioner — May 20, 2009)Statement at SEC Open Meeting on Facilitating Shareholder Director Nominations (Luis A. Aguilar, Commissioner — May 20, 2009)Opening Remarks at the SEC Open Meeting (Lillian Brown, Senior Special Counsel, Division of Corporation Finance — May 20, 2009)Keynote Address to the 2009 SIFMA Market Structure Conference (James A. Brigagliano, Co-Acting Director, Division of Trading and Markets — May 20, 2009)Statement at SEC Open Meeting on Facilitating Shareholder Director Nominations (Mary L. Schapiro, Chairman — May 20, 2009)EDGAR Submission Type SH-ER Information Table Fillable PDF Form (Version 2.0) — May 18, 2009SEC to Hold Public Seminar on New Interactive Data Reporting Requirements — May 18, 2009Director of Legislative and Intergovernmental Affairs William Schulz to Leave SEC — May 14, 2009SEC Proposes Rule Amendments to Strengthen Safeguards of Investor Funds Controlled by Investment Advisers — May 14, 2009Statement at SEC Open Meeting (Kathleen L. Casey, Commissioner — May 14, 2009)Statement at SEC Open Meeting (Mary L. Schapiro, Chairman — May 14, 2009)Remarks at SEC Open Meeting (Troy A. Paredes, Commissioner — May 14, 2009)Statement at Treasury Department Press Briefing on OTC Derivatives (Mary L. Schapiro, Chairman — May 13, 2009)SEC, DOL to Hold Joint Hearing Examining Target Date Funds — May 12, 2009SEC's Oversight of the Adviser Industry Bolsters Investor Protection (Luis A. Aguilar, Commissioner — May 7, 2009)DRAFT EDGAR Submission Type SH-ER Information Table Fillable PDF Form (Version 2.0) — May 11, 2009EDGAR to Validate Submission Type SH-ER Information Table XML Documents — May 11, 2009"Building a Stable and Efficient Financial System" (Mary L. Schapiro, Chairman — May 8, 2009)Remarks at the Security Traders Association 13th Annual Washington Conference (Troy A. Paredes, Commissioner — May 6, 2009)Opening Statement at May 5, 2009, Roundtable on Short Selling (Mary L. Schapiro, Chairman — May 5, 2009)Remarks Before the Mutual Fund Directors Forum Ninth Annual Policy Conference (Troy A. Paredes, Commissioner — May 4, 2009)Address to Mutual Fund Directors Forum Ninth Annual Policy Conference: Critical Issues for Investment Company Directors (Mary L. Schapiro, Chairman — May 4, 2009)Fee Rate Advisory #1 for Fiscal Year 2010 — April 30, 2009SEC Announces New Initiative to Identify and Assess Risks in Financial Markets — April 30, 2009Office of the Chief Accountant Selects Four Professional Accounting Fellows — April 29, 2009NASAA Members and the SEC — United in the Public Interest and Making Investors a Priority (Luis A. Aguilar, Commissioner — April 28, 2009)"Equalizing Opportunities for All Americans to Participate in Financial Services" (Luis A. Aguilar, Commissioner — April 27, 2009)Address to the Society of American Business Editors and Writers (Mary L. Schapiro, Chairman — April 27, 2009)SEC to Hold Roundtable on May 5 to Examine Short Sale Price Test and Circuit Breaker Restrictions — April 24, 2009Making Investors a Priority in Regulatory Reform (Luis A. Aguilar, Commissioner — April 17, 2009)Investment Company Act of 1940: Regulatory Gap Between Paradigm and Reality? (Andrew J. Donohue, Director, Division of Investment Management — April 17, 2009)Statement at SEC Roundtable on Credit Rating Agencies (Mary L. Schapiro, Chairman — April 15, 2009)Office of the Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin — April 14, 2009Meredith Cross Named New Director of SEC Division of Corporation Finance — April 13, 2009Remarks at the National Economists Club: Securities Markets and Regulatory Reform (Erik R. Sirri, Director, Division of Trading and Markets — April 9, 2009)Statement Before the Commission Open Meeting (Kathleen L. Casey, Commissioner — April 8, 2009)Statement Before the Commission Open Meeting (Troy A. Paredes, Commissioner — April 8, 2009)Statement Before the Commission Open Meeting (Luis A. Aguilar, Commissioner — April 8, 2009)SEC Seeks Comments on Short Sale Price Test and Circuit Breaker Restrictions — April 8, 2009Opening Statement Before the Commission Open Meeting (Mary L. Schapiro, Chairman — April 8, 2009)Address to the Council of Institutional Investors (Mary L. Schapiro, Chairman — April 6, 2009)Keynote Address at the Practising Law Institute's Investment Management Institute 2009 (Andrew J. Donohue, Director, Division of Investment Management — April 2, 2009)Erik R. Sirri, Director of Division of Trading and Markets, to Leave SEC — March 31, 2009Testimony Concerning Enhancing Investor Protection and Regulation of the Securities Markets (Mary L. Schapiro, Chairman — March 26, 2009)Testimony Concerning Exploring the Balance Between Increased Credit Availability and Prudent Lending Standards (James L. Kroeker, Acting Chief Accountant — March 25, 2009)SEC Announces Panelists and Agenda for Credit Rating Agencies Roundtable — March 24, 2009Didem Nisanci Named SEC Chief of Staff — March 24, 2009Notice to Form SH Filers — XML Errors — Need to Identify and Correct — March 23, 2009Keynote Address, Investment Company Institute, 2009 Mutual Funds and Investment Management Conference (Andrew J. Donohue, Director, Division of Investment Management — March 23, 2009)Remarks at the 2009 Southeastern Securities Conference (Troy A. Paredes, Commissioner — March 19, 2009)"Reinvigorating the Enforcement Program to Restore Investor Confidence" (Luis A. Aguilar, Commissioner — March 18, 2009)Testimony Concerning Lessons Learned in Risk Management Oversight at Federal Financial Regulators (Erik Sirri, Director, Division of Trading and Markets — March 18, 2009)SEC Names Julie Zelman Davis as Deputy Director of Legislative Affairs — March 16, 2009SEC Approves Exemptions Allowing Chicago Mercantile Exchange to Operate as Central Counterparty for Credit Default Swaps — March 13, 2009"Principles to Help Guide Financial Regulatory Reform" — Remarks Before the Institute of International Bankers (Elisse B. Walter, Commissioner — March 2, 2009)A Few Observations Based On International Regulatory Conversations (Ethiopis Tafara, Director, Office of International Affairs — February 23, 2009)"Compliance in Today's Environment: Step Up to the Challenge" — Remarks Before the IA Compliance Best Practices Summit 2009 (Lori A. Richards, Director, Office of Compliance Inspections and Examinations — March 12, 2009)Testimony Concerning Mark-to-Market Accounting: Practices and Implications (James L. Kroeker, Acting Chief Accountant — March 12, 2009)Testimony Before the Subcommittee on Financial Services and General Government (Mary Schapiro, Chairman — March 11, 2009)Remarks at the CCOutreach BD National Seminar (Troy A. Paredes, Commissioner — March 10, 2009)Remarks at the 2nd Annual CCOutreach BD National Seminar (Mary L. Schapiro, Chairman — March 10, 2009)Senior Supervisors Group Issues Report on Management of Recent Credit Default Swap Credit Events — March 9, 2009SEC Approves Exemptions Allowing ICE US Trust LLC to Operate as Central Counterparty for Credit Default Swaps — March 6, 2009SEC Roundtable to Examine Oversight of Credit Rating Agencies — March 6, 2009SEC Warns Investors and Financial Firms of Government Impersonators — March 2, 2009Robert Khuzami Named SEC Director of Enforcement — February 19, 2009Notice to New EDGAR Filers and Form D Filers — February 17, 2009Restoring Investor Trust Through Corporate Governance — Remarks Before the Practicing Law Institute (Elisse B. Walter, Commissioner — February 18, 2009)Enforcement Director Linda Chatman Thomsen to Leave SEC — February 9, 2009In Search of Transparency, Accountability, and Competition: The Regulation of Credit Rating Agencies (Kathleen L. Casey, Commissioner — February 6, 2009)Increasing Accountability and Transparency to Investors (Luis A. Aguilar, Commissioner — February 6, 2009)Remarks at "The SEC Speaks in 2009" (Troy A. Paredes, Commissioner — February 6, 2009)Remarks at "The SEC Speaks in 2009" (Elisse B. Walter, Commissioner — February 6, 2009)Address to Practising Law Institute's "SEC Speaks in 2009" Program (Mary L. Schapiro, Chairman — February 6, 2009)David M. Becker Named SEC General Counsel and Senior Policy Director — February 6, 2009Robert Colby, Deputy Director of Trading and Markets Division, to Leave SEC After 27 Years of Service — February 2, 2009Remarks at the Security Traders Association of Chicago Mid-Winter Meeting (Elizabeth K. King, Associate Director, Division of Trading & Markets — January 23, 2009)Mary Schapiro Sworn in as Chairman of SEC — January 27, 2009Remarks at the Investment Company Institute's Board of Governor's Winter Meeting (Luis A. Aguilar, Commissioner — January 26, 2009)Peter Uhlmann to Step Down as SEC Chief of Staff — January 19, 2009SEC Staff Extends Sarbanes-Oxley Survey to January 31 — January 16, 2009The Future of Financial Reporting (William Lutz, Director, 21st Century Disclosure Initiative — January 15, 2009)Empowering the Markets Watchdog to Effect Real Results (Luis A. Aguilar, Commissioner — January 10, 2009)Address at the Mutual Fund Directors Forum Third Annual Directors' Institute (Andrew J. Donohue, Director, Division of Investment Management — January 13, 2009)James L. Kroeker Named Acting Chief Accountant — January 6, 2009Shelley Parratt Named Acting Director of SEC's Division of Corporation Finance — January 5, 2009