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Commission Speeches and Public Statements Archive: 1996
This index lists speeches and other public statements by the Chairman, Commissioners, and Staff of the SEC, which cover a wide range of topics concerning the state of the markets and the Commission's regulatory agenda.
Speeches and Statements by:
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1996 Speeches by the Chairman and Commissioners
| Date |
Title |
Author |
| Fourth Quarter |
| Dec. 10, 1996 |
"The Accountant's Critical Eye" – Remarks of Chairman Arthur Levitt at the 24th Annual National Conference on Current SEC Developments, American Institute of Certified Public Accountants, Washington, D.C. |
Chairman Arthur Levitt |
| Dec. 3, 1996 |
Remarks of Commissioner Norman Johnson to the Investment Company Institute in Washington, D.C. |
Commissioner Norman S. Johnson |
| Nov. 10, 1996 |
"Cultural Change on Wall Street: The Race to the Top" – Remarks of Chairman Arthur Levitt before the Securities Industry Association, Boca Raton, Florida |
Chairman Arthur Levitt |
| Nov. 8, 1996 |
"Suits Against Lawyers" – Remarks of Commissioner Norman Johnson to the American Bar Association Federal Securities Law Committee, Washington, D.C. |
Commissioner Norman S. Johnson |
| Third Quarter |
| Sep. 18, 1996 |
"Regulatory Response to Change" – Remarks of Chairman Arthur Levitt at the International Organization of Securities Commissions, Montreal, Quebec, Canada |
Chairman Arthur Levitt |
| Sep. 13, 1996 |
"Small Business Makes a Large Contribution" – Remarks of Chairman Arthur Levitt, Los Angeles Venture Association Town Meeting, Los Angeles, Calif. |
Chairman Arthur Levitt |
| Sep. 9, 1996 |
"The SEC and NASAA: Working Together to Protect Investors" – Remarks of Chairman Arthur Levitt before the North American Securities Administrators Association, Salt Lake City, Utah |
Chairman Arthur Levitt |
| Aug. 28, 1996 |
Opening Statement of Chairman Arthur Levitt, Regarding Adoption of Order Execution Rules, at an Open Meeting of the Securities and Exchange Commission, Washington, D.C. |
Chairman Arthur Levitt |
| Aug. 8, 1996 |
Statement by Chairman Arthur Levitt Regarding the NASD, at a Press Conference at the U.S. Securities and Exchange Commission, Washington, D.C. |
Chairman Arthur Levitt |
| Second Quarter |
| Jun. 26, 1996 |
"Toward Better Disclosure" – Remarks of Commissioner Isaac C. Hunt, Jr., at the American Society of Corporate Secretaries 50th National Conference, Seattle, Washington |
Commissioner Isaac C. Hunt, Jr. |
| Jun. 11, 1996 |
"Investor Protection: Tips From an SEC Insider" – Remarks of Chairman Arthur Levitt, Investors' Town Meeting, Philadelphia, Pa. |
Chairman Arthur Levitt |
| Jun. 6, 1996 |
"The Guardians of Financial Truth" – Remarks of Chairman Arthur Levitt, SEC and Financial Reporting Institute, University of Southern California, Pasadena |
Chairman Arthur Levitt |
| May 31, 1996 |
"What Level of Protection is Appropriate for Brokerage Firms in Preparing Form U-5s – Qualified or Absolute Immunity?" – Remarks of Commissioner Isaac C. Hunt, Jr., before the New York Stock Exchange, New York City |
Commissioner Isaac C. Hunt, Jr. |
| May 22, 1996 |
"From Security to Self-Reliance: American Investors in the 1990s" – Remarks of Chairman Arthur Levitt before the Investment Company Institute, Washington, D.C. |
Chairman Arthur Levitt |
| May 17, 1996 |
"Why Protect Investors?" – Remarks of Chairman Arthur Levitt, Commonwealth Club, San Francisco, California |
Chairman Arthur Levitt |
| May 8, 1996 |
Remarks of Chairman Levitt before the National Federation of Municipal Analysts, Baltimore, Maryland |
Chairman Arthur Levitt |
| Apr. 29, 1996 |
"The Federal-State Relationship in Securities Regulation" Remarks of Commissioner Steven M.H. Wallman before the SEC/NASAA Section 19(c) Conference, Washington Court Hotel, Washington, D.C. |
Commissioner Steven M.H. Wallman |
| Apr. 26, 1996 |
"Market Oversight in the 1990s" – Remarks of Chairman Arthur Levitt before the Public Securities Association, White Sulphur Springs, West Virginia. |
Chairman Arthur Levitt |
| Apr. 24, 1996 |
"Investor Interests As The Common Interest: The SEC's Campaign For Fair Trading Practices" – Remarks of Chairman Arthur Levitt at the Economic Club of Chicago, Chicago, Illinois |
Chairman Arthur Levitt |
| Apr. 19, 1996 |
"The Impact of the SEC on Financial Reporting" – Remarks of Commissioner Isaac C. Hunt before the Ohio Council – Institute of Management Accountants, 22nd Annual Professional Development Conference, Kent State University, Akron, Ohio |
Commissioner Isaac C. Hunt, Jr. |
| First Quarter |
| Mar. 28, 1996 |
"Shareholders Interests as the Director's Touchstone" – Remarks of Chairman Arthur Levitt at the Directors' College, Stanford Law School, Palo Alto, California |
Chairman Arthur Levitt |
| Mar. 20, 1996 |
"The SEC Today: An Accent On Individual Investors" – Remarks of Chairman Arthur Levitt, Before the Public Pension Investment Policy Conference, New York, N.Y. |
Chairman Arthur Levitt |
| Mar. 18, 1996 |
"Our Partnership To Improve Practices" – Remarks of Chairman Arthur Levitt Before the Securities Industry Association's Compliance and Legal Division, Palm Desert, California |
Chairman Arthur Levitt |
| Mar. 4, 1996 |
"Regulating in a World of Technological and Global Change" Remarks of Commissioner Steven M.H. Wallman before the Institute of International Bankers, Four Seasons Hotel, Washington, D.C. |
Commissioner Steven M.H. Wallman |
| Feb. 15, 1996 |
"The Future of Accounting and Financial Reporting Part II: The Colorized Approach" – Remarks of Commissioner Steven M.H. Wallman, at the 1996 AICPA Conference, Washington, D.C. |
Commissioner Steven M.H. Wallman |
| Jan. 26, 1996 |
"Speeding Up Settlement: The Next Frontier" – Remarks of Chairman Arthur Levitt at the Symposium on Risk Reduction in Payments, Clearance and Settlement Systems, New York City |
Chairman Arthur Levitt |
| Jan. 24, 1996 |
"Final Thoughts On Litigation Reform" – Remarks of Chairman Arthur Levitt at the 23rd Annual Securities Regulation Institute, San Diego, California |
Chairman Arthur Levitt |
1996 Speeches by Commission Staff
| Date |
Title |
Author |
| Fourth Quarter |
| Dec. 10-11, 1996 |
"Developments in the Division of Corporation Finance" – Remarks of Douglas Tanner, Associate Chief Accountant, at the 24th Annual National Conference on Current SEC Developments, American Institute of Certified Public Accountants, Washington, D.C. |
Douglas Tanner, Associate Chief Accountant |
| Dec. 10-11, 1996 |
"International Reporting Issues in the Division of Corporation Finance" – Remarks of Wayne E. Carnall, Associate Director – Accounting Operations, at the 24th Annual National Conference on Current SEC Developments, American Institute of Certified Public Accountants, Washington, D.C. |
Wayne E. Carnall, Associate Director – Accounting Operations |
| Dec. 10-11, 1996 |
"Developments in the Division of Corporation Finance" – Remarks of Leslie A. Overton, Assistant Chief Accountant, at the 24th Annual National Conference on Current SEC Developments, American Institute of Certified Public Accountants, Washington, D.C. |
Leslie A. Overton, Assistant Chief Accountant |
| Dec. 10-11, 1996 |
"Developments in the Division of Corporation Finance" – Remarks of Wayne E. Carnall, Associate Director – Accounting Operations, at the 24th Annual National Conference on Current SEC Developments, American Institute of Certified Public Accountants, Washington, D.C. |
Wayne E. Carnall, Associate Director – Accounting Operations |
| Dec. 10-11, 1996 |
"Developments in the Division of Corporation Finance" – Remarks of Kurt R. Hohl, Associate Chief Accountant, at the AICPA 1996 Twenty-Fourth Annual National Conference on Current SEC Developments, Washington, D.C. |
Kurt R. Hohl, Associate Chief Accountant |
| Dec. 10-11, 1996 |
Remarks of Stephen M. Swad, Deputy Chief Accountant, Office of the Chief Accountant, at the 24th Annual National Conference on Current SEC Developments, American Institute of Certified Public Accountants, Washington, D.C. |
Stephen M. Swad, Deputy Chief Accountant, Office of the Chief Accountant |
| Dec. 10-11, 1996 |
"Self Regulation, Consulting Services and Auditor Independence" – Remarks of William R. McLucas, Director of the Division of Enforcement, at the 24th Annual National Conference on Current SEC Developments, American Institute of Certified Public Accountants, Washington, D.C. |
William R. McLucas, Director of the Division of Enforcement |
| Dec. 10-11 1996 |
"Dangerous Ideas" – Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the 24th Annual National Conference on Current SEC Developments, American Institute of Certified Public Accountants, Washington, D.C. |
Michael H. Sutton, Chief Accountant of the Commission |
| Dec. 10-11, 1996 |
Remarks of Robert C. Lipe, Academic Fellow, Office of the Chief Accountant, at the 24th Annual National Conference on Current SEC Developments, American Institute of Certified Public Accountants, Washington, D.C. |
Robert C. Lipe, Academic Fellow, Office of the Chief Accountant |
| Dec. 3, 1996 |
"This Year in Funds: The Responsibilities of Prosperity" – Remarks of Barry P. Barbash, Director of the Division of Investment Management, at the 1996 ICI Securities Law Procedures Conference, Washington, D.C. |
Barry P. Barbash, Director of the Division of Investment Management |
| Nov. 25, 1996 |
"The Role of Financial Reporting in US Capital Markets" – Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the New York University Leonard M. Stern School of Business, New York, NY |
Michael H. Sutton, Chief Accountant of the Commission |
| Nov. 8, 1996 |
"Current Financial Reporting Issues" – Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the 21st Annual National Conference on Banks and Savings Institutions, held by the American Institute of Certified Public Accountants, Washington, D.C. |
Michael H. Sutton, Chief Accountant of the Commission |
| Nov. 7, 1996 |
"Insurance Products: Challenges for the Future" – Remarks of Barry P. Barbash, Director of the Division of Investment Management, at the 14th Annual Advanced ALI-ABA Conference on Life Insurance Company Products, Washington, D.C. |
Barry P. Barbash, Director of the Division of Investment Management |
| Third Quarter |
| Aug. 16, 1996 |
"Current Financial Reporting Issues: Challenges and Opportunities" – Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the Meeting of the American Accounting Association, Chicago, Illinois
(REVISED TEXT 8-21-96) |
Michael H. Sutton, Chief Accountant of the Commission |
| Aug. 14, 1996 |
"Auditor Independence: The Challenge of Fact and Appearance" – Remarks of Michael H. Sutton, Chief Accountant of the Commission, at the 1996 Annual Meeting of the American Accounting Association, Chicago, Illinois
(REVISED TEXT 8-21-96) |
Michael H. Sutton, Chief Accountant of the Commission |
| Second Quarter |
| No speeches given. |
| First Quarter |
| Feb. 16, 1996 |
"Developments in the Division of Corporation Finance" – Remarks of Michael Schoenfeld, Assistant Chief Accountant, Division of Corporation Finance, at the 1996 AICPA Conference on SEC Developments, Washington, D.C. |
Michael Schoenfeld, Assistant Chief Accountant, Division of Corporation Finance |
| Feb. 16, 1996 |
"Working With SEC Staff in the Registration and Filing Process" – Remarks of Melanie A. Fowler, Assistant Chief Accountant, Division of Corporation Finance, at the 1996 AICPA Conference on SEC Developments, Washington, D.C. |
Melanie A. Fowler, Assistant Chief Accountant, Division of Corporation Finance |
| Feb. 16, 1996 |
"International Reporting Issues in the Division of Corporation Finance" – Remarks of Wayne E. Carnall, Associate Director – Accounting Operations, Division of Corporation Finance, at the 1996 AICPA Conference on SEC Developments, Washington, D.C. |
Wayne E. Carnall, Associate Director – Accounting Operations |
| Feb. 16, 1996 |
"Developments in the Division of Corporation Finance" – Remarks of Wayne E. Carnall, Associate Director – Accounting Operations, Division of Corporation Finance, at the 1996AICPA Conference on SEC Developments, Washington, D.C. |
Wayne E. Carnall, Associate Director – Accounting Operations |
| Feb. 16, 1996 |
"Developments in the Division of Corporation Finance" – Remarks of Christine Q. Davine, Associate Chief Accountant, Division of Corporation Finance, at the 1996 AICPA Conference on SEC Developments, Washington, D.C. |
Christine Q. Davine, Associate Chief Accountant, Division of Corporation Finance |
| Feb. 15, 1996 |
Remarks of Terry D. Warfield, Academic Accounting Fellow, Office of the Chief Accountant, at the 1996 AICPA Conference on SEC Developments, Washington, D.C. |
Terry D. Warfield, Academic Accounting Fellow, Office of the Chief Accountant |
| Feb. 15, 1996 |
Remarks of the Chief Accountant, Michael H. Sutton, at the 1996 AICPA Conference on SEC Developments, Washington, D.C. |
Michael H. Sutton, Chief Accountant of the Commission |
| Jan. 30, 1996 |
"Municipal Securities Law Enforcement: A Current Assessment" – Remarks of William R. McLucas, Director, Division of Enforcement, before the Government Finance Officers Association |
William R. McLucas, Director, Division of Enforcement |
http://www.sec.gov/news/speech/speecharchive/1996speech.shtml
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