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U.S. Securities and Exchange Commission

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:   Wednesday, October 17 (10:00 a.m.)
What:   Open Meeting
See Sunshine Act Notice
Where:   SEC Headquarters, Auditorium
100 F Street, NE
Washington, D.C. 20549
Contact:   Office of the Secretary
(202) 551-5400

Public Appearances by Officials

October 2012

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

When:   Tuesday, October 16 (9:15–10:15 a.m.)
Who:   Robert Cook, Director, Division of Trading and Markets
What:   Advance Swaps & Other Derivatives 2012
Where:   New York, New York
Contact:   Lauren Nocta
(212) 590-8881
lnocta@pli.edu

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

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

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

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.)
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.)
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 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

When:   Monday, October 22, 2012, 9:00 a.m. Eastern 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:   SEC Headquarters, 100 F Street NE, Hearing Room 2, Washington, DC 20549
Contact:   Office of Administrative Law Judges, (202) 551-6030

 

http://www.sec.gov/about/upcoming-events.htm


Modified: 10/12/2012