Competitive Practices

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"In Search of Transparency, Accountability, and Competition: The Regulation of Credit Rating Agencies" blog
Speech by SEC Commissioner: "In Search of Transparency, Accountability, and Competition: The Regulation of Credit Rating Agencies" by Commissioner Kathleen L. Casey U.S. Securities and Exchange Commission Remarks at "The SEC Speaks in 2009" Washington, D.C. February 6, 2009

Good morning. I appreciate the opportunity to be with you. Before I continue, I must remind you that my remarks today are my own and do not represent the views of the SEC or my fellow commissioners.

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Remarks at News Teleconference Announcing Enforcement Action Against Former N.Y. State Official and Top Political Advisor blog
Speech by SEC Chairman: Remarks at News Teleconference Announcing Enforcement Action Against Former N.Y. State Official and Top Political Advisor by Chairman Mary L. Schapiro U.S. Securities and Exchange Commission March 19, 2009

Good afternoon. And thank you Attorney General [Andrew] Cuomo. This has been an excellent coordinated effort by our two agencies. We look forward to continuing to work closely together on this and other investigations.

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Statement at News Conference Announcing Fraud Charges Against Former Countrywide Executives blog
Speech by SEC Staff: Statement at News Conference Announcing Fraud Charges Against Former Countrywide Executives by Robert Khuzami Director, Division of Enforcement U.S. Securities and Exchange Commission Washington, D.C. June 4, 2009

Good afternoon. Thank you for coming.

My name is Robert Khuzami, and I am the Director of the SEC's Division of Enforcement.

I am joined by my colleagues up here on the dais. It is their skill and hard work that have brought us here today. I will introduce them at the conclusion of my remarks.

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USCS, Dept of Commerce: Doing Business in the EU resource Agency Web Sites OCEG Reviewed

The U.S. Commercial Service web site includes the EU Country Commercial Guide, the International Property Rights Protection Toolkit and a Directory of Business Service Providers.

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Statement at SEC Open Meeting Regarding Money Market Fund Reform blog
Speech by SEC Commissioner: Statement at SEC Open Meeting Regarding Money Market Fund Reform by Commissioner Kathleen L. Casey U.S. Securities and Exchange Commission Washington, D.C. June 24, 2009

Good morning. I want to join Chairman Schapiro in recognizing the Division of Investment Management and the offices of General Counsel and Economic Analysis for their contributions to this proposing release. And I want to commend the Chairman for taking up this critical rulemaking in such a timely way.

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Remarks at the Open Meeting of the U.S. Securities & Exchange Commission Regarding Money Market Fund Reform blog
Speech by SEC Commissioner: Remarks at the Open Meeting of the U.S. Securities & Exchange Commission Regarding Money Market Fund Reform by Commissioner Troy A. Paredes U.S. Securities and Exchange Commission Washington, D.C. June 24, 2009

Thank you, Chairman Schapiro.

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"Building a Stable and Efficient Financial System" blog
Speech by SEC Chairman: "Building a Stable and Efficient Financial System" by Chairman Mary L. Schapiro U.S. Securities and Exchange Commission Address to the Investment Company Institute ICI General Membership Meeting Washington, D.C.
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Statement at Treasury Department Press Briefing on OTC Derivatives blog
Speech by SEC Chairman: Statement at Treasury Department Press Briefing on OTC Derivatives by Chairman Mary L. Schapiro U.S. Securities and Exchange Commission Washington, D.C. May 13, 2009

Thank you, Secretary Geithner.

As many of you know, we are all working hard to effectively reform our financial regulatory landscape. And, in the process, better police the financial markets and restore investor confidence.

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Strengthening Examination Oversight: Changes to Regulatory Examinations blog
Speech by SEC Staff: Strengthening Examination Oversight: Changes to Regulatory Examinations by Lori A. Richards Director, Office of Compliance Inspections and Examinations U.S. Securities and Exchange Commission SIFMA Compliance and Legal Division St. Louis Regional Seminar The New World of Compliance and Legal
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Statement at SEC Open Meeting blog
Speech by SEC Chairman: Statement at SEC Open Meeting by Chairman Mary L. Schapiro U.S. Securities and Exchange Commission Washington, D.C. May 14, 2009

Good Morning. This is an open meeting of the U.S. Securities and Exchange Commission on May 14, 2009. Today, we are considering a recommendation from the Division of Investment Management that the Commission propose rules to strengthen the custody controls that apply to investment advisers.

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