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Upcoming Events
This page provides a schedule of the upcoming public events including open meetings of the Commission, public appearances of senior SEC officials, including the Chairman, Commissioners, and senior staff members, and other public occasions. For additional information on events, please call the contact numbers listed. Please note that events are subject to change.
SEC Meetings and Other Events
All SEC open meetings and many other public events are webcast. Captioning is provided for these webcasts. Reasonable accommodations for persons with disabilities attending an event in person can be arranged by submitting a request to DisabilityProgramOfficer@SEC.gov at least three business days in advance.
October 2012
| When: |
Tuesday, October 2 (10 a.m. - 4:30 p.m.)
Previously scheduled for Friday, September 14 |
| What: |
Technology and Trading Roundtable: Promoting Stability in Today's Markets
See Press Releases: 2012-182 (agenda) and 2012-202 (panelists) |
| Where: |
SEC Headquarters
100 F Street NE, Room L-006 (Multi-purpose Room)
Washington, DC 20549 |
| Contact: |
Arisa Tinaves
(202) 551-5676 |
Public Appearances by Officials
October 2012
| When: |
Tuesday, October 2 (11:00 - 12:00 p.m.) |
| Who: |
Andrew Calamari, Acting Regional Director for the New York Office |
| What: |
PLI-White Collar Crime 2012: Prosecutors and Regulators Speaks |
| Where: |
New York, New York |
| Contact: |
Kimberly McCaw
(212) 824-5802
kmccaw@pli.edu |
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| When: |
Thursday, October 4 |
| Who: |
Commissioner Daniel Gallagher (Keynote) (8:45 a.m. - 9:15 a.m.)
Robert W. Cook, Director, Division of Trading and Markets (9:15 a.m. - 10:15 a.m.)
Gregg Berman, Senior Advisor to the Director, Division of Trading and Markets (10:45 a.m. - 12:00 p.m.)
James Burns, Deputy Director, Division of Trading and Markets, (1:30 - 2:30 p.m.)
David Shillman, Associate Director, Division of Trading and Markets, (2:30 - 3:30 p.m.) |
| What: |
13th Annual Market Structure Conference |
| Where: |
New York Marriott Downtown
85 West Albany Street
New York, New York, 10006 |
| Contact: |
Jeana Zamanski
(202) 962-7384
jzamanski@sifma.org |
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| When: |
Wednesday, October 10 (10:15 - 11:00 a.m.) |
| Who: |
Donald M. Hoerl Regional Director, Denver Regional Office
|
| What: |
Rocky Mountain Region Investor Fraud Summit |
| Where: |
Denver, Colorado |
| Contact: |
Matt Kirsch
(303) 454-0318
Matthew.Kirsch@usdoj.gov |
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| When: |
Tuesday, October 16 (12:45 p.m. - 1:15 p.m.) |
| Who: |
David Bergers, Director, Boston Regional Office |
| What: |
Investment Adviser Fall Compliance Workshop (Speaker) |
| Where: |
Boston, Massachusetts |
| Contact: |
Paul D. Glenn
(202) 293-4222
Paul.Glenn@investmentadviser.org |
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| When: |
Thursday, October 18 (8:30 a.m. - 5:00 p.m.) |
| Who: |
Commissioner Luis A. Aguilar (Keynote) (8:30 a.m.)
Kara Novaco Brockmeyer, Chief, SEC Enforcement Division's Foreign Corrupt Practices Act Unit
Scott Friestad, Associate Director, Division of Enforcement (panelist) |
| What: |
Securities Enforcement Forum 2012 |
| Where: |
Mayflower Hotel
1127 Connecticut Avenue NW
Washington, D.C. 20036 |
| Contact: |
Bruce Carton
(424) 236-2538
http://www.securitiesdocket.com |
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| When: |
Thursday, October 18 (4:30 - 6:00 p.m.) |
| Who: |
Eric Bustillo, Regional Director, Miami Regional Office |
| What: |
ABA Section of International Law 2012 Fall Meeting |
| Where: |
Miami Beach, Florida |
| Contact: |
Patricia Gaul
(202) 662.1094
Patricia.Gaul@americanbar.org |
|
| When: |
Friday, October 26 (8:30 a.m.)) |
| Who: |
Mark Cahn, General Counsel, Office of the General Counsel |
| What: |
Los Angeles County Bar Association's 45th Annual Securities Regulation Seminar |
| Where: |
Los Angeles, California |
| Contact: |
Simon M. Lorne
212-841-4114
simon.lorne@mlp.com |
|
| When: |
Wednesday, October 24 (8:30 - 10:30 a.m.) |
| Who: |
David Bergers, Director, Boston Regional Office |
| What: |
The Directors Roundtable Institute |
| Where: |
Boston, Massachusetts |
| Contact: |
Karen Todd
(727) 483-2067
karen.f.todd@gmail.com |
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| When: |
Tuesday, October 30 |
| Who: |
Carlo di Florio, JD, Director, OCIE (Keynote) (8:20 a.m. - 9:00 a.m.)
Bruce Karpati, JD, Chief, Asset Management National Unit (9:00 a.m. - 9:50 a.m.)
James Burns, JD, Deputy Director, Division of Trading and Markets (1:15 p.m. – 2:05 p.m.)
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| What: |
Regulatory Compliance Association: Compliance, Risk & Enforcement 2012 |
| Where: |
The Pierre Hotel
2 East 61st Street at Fifth Avenue
New York, New York |
| Contact: |
Kate Chatterson
(646) 415-4272
kchatterson@rcaonline.org |
November 2012
| When: |
Friday, November 2 |
| Who: |
Commissioner Daniel Gallagher (Keynote) (8:45 a.m. - 9:15 a.m.)
James Burns, Deputy Director, Division of Trading and Markets, (10:15 a.m. - 11:15 a.m.)
Robert W. Cook, Director, Division of Trading and Markets (11:30 a.m. - 12:30 p.m.)
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| What: |
ICI Capital Markets Conference |
| Where: |
New York Marriott Downtown
85 West Street
New York, New York 10006 |
| Contact: |
Rachel McTague
(202) 371-5413
rmctague@ici.org |
Public Hearings in Administrative Proceedings
To obtain a sign language interpreter contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.
October 2012
| When: |
Tuesday, October 2, 2012, 10:00 a.m. Central Daylight Time |
| Who: |
Chief Administrative Law Judge Brenda P. Murray |
| What: |
Hearing in the matter of optionsXpress, Inc., et al., Administrative Proceeding File No. 3-14848 |
| Where: |
Everett M. Dirksen U.S. Courthouse, 219 S. Dearborn Street, Courtroom #1801, Chicago, IL 60604 |
| Contact: |
Office of Administrative Law Judges, (202) 551-6030 |
|
| When: |
Tuesday, October 9, 2012, 9:30 a.m. Atlantic Standard Time |
| Who: |
Chief Administrative Law Judge Brenda P. Murray |
| What: |
Hearing in the matter of Miguel A. Ferrer and Carlos J. Ortiz, Administrative Proceeding File No. 3-14862 |
| Where: |
U.S. District Court, Federico Degetau Federal Bldg., 4th Floor, Courtroom 9, 150 Carlos Chardón Ave., Hato Rey, Puerto Rico |
| Contact: |
Office of Administrative Law Judges, (202) 551-6030 |
http://www.sec.gov/about/upcoming-events.htm
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