SEC Congressional Testimony: 2009

This collection of files contains Congressional testimony given by members of the SEC. The following material is currently available:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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Date	Testimony	Speaker
Fourth Quarter
Dec. 11, 2009	Testimony Concerning Events Surrounding Bank of America’s Acquisition of Merrill Lynch, Before the House Oversight and Government Reform Committee and Domestic Policy Subcommittee	Robert Khuzami, Director, Division of Enforcement
Dec. 9, 2009	Testimony Concerning Mortgage Fraud, Securities Fraud, and the Financial Meltdown: Prosecuting Those Responsible, Before the United States Senate Committee on the Judiciary	Robert Khuzami, Director, Division of Enforcement
Dec. 9, 2009	Statement Before the Capital Markets, Insurance, and Government Sponsored Enterprises Subcommittee, United States House of Representatives	Michael A. Conley, Deputy Solicitor
Nov. 17, 2009	Testimony Concerning the Discussion Draft of The Financial Stability Improvement Act of 2009, Before the Committee on Agriculture, United States House of Representatives	Commissioner Elisse B. Walter
Oct. 28, 2009	Testimony Concerning Dark Pools, Flash Orders, High Frequency Trading, and Other Market Structure Issues, Before the United States Senate Special Committee on Aging	James A. Brigagliano Co-Acting Director, Division of Trading and Markets
Oct. 28, 2009	Testimony Concerning Target Date Funds, Before the United States Senate Special Committee on Aging	Andrew J. Donohue Director, Division of Investment Management
Oct. 7, 2009	Testimony Concerning the Over-the-Counter Derivatives Markets Act of 2009, Before the House Committee on Financial Services	Henry T. C. Hu, Director of the Division of Risk, Strategy, and Financial Innovation
Third Quarter
Sep. 30, 2009	Testimony Concerning "Reforming Credit Rating Agencies", Before the United States House of Representatives Committee on Financial Services and Subcommittee on Capital Markets, Insurance and Government-Sponsored Enterprises	Daniel M. Gallagher Co-Acting Director, Division of Trading and Markets
Sep. 30, 2009	Testimony Concerning International Cooperation to Modernize Financial Regulation, Before the United States Senate Banking Subcommittee on Security and International Trade and Finance	Commissioner Kathleen L. Casey
Sep. 24, 2009	Testimony Concerning "Recent Innovations in Securitization", Before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the United States House of Representatives Committee on Financial Services	Paula Dubberly, Associate Director, Division of Corporation Finance
Sep. 22, 2009	Testimony Concerning the Over-the-Counter Derivatives Markets Act of 2009, Before the House Committee on Agriculture	Chairman Mary L. Schapiro
Sep. 10, 2009	Testimony Concerning the SEC's Failure to Identify the Bernard L. Madoff Ponzi Scheme and How to Improve SEC Performance, Before the United States Senate Committee on Banking, Housing, and Urban Affairs	Robert Khuzami, Director, Division of Enforcement, and John Walsh, Acting Director, Office of Compliance Inspections and Examinations
Sep. 10, 2009	Testimony Before the U.S. Senate Committee on Banking, Housing and Urban Affairs	H. David Kotz, Inspector General
Aug. 5, 2009	Statement for the Record by the Securities and Exchange Commission, Before the United States Senate Committee on Banking, Housing and Urban Affairs	Chairman and Commissioners
Jul. 29, 2009	Testimony Concerning "Protecting Shareholders and Enhancing Public Confidence by Improving Corporate Governance", Before the Subcommittee on Securities, Insurance, and Investment of the United States Senate Committee on Banking, Housing and Urban Affairs	Meredith B. Cross, Director, Division of Corporation Finance
Jul. 23, 2009	Testimony Concerning Regulation of Systemic Risk, Before the United States Senate Committee on Banking, Housing and Urban Affairs	Chairman Mary L. Schapiro
Jul. 22, 2009	Testimony Concerning Regulatory Perspectives on the Obama Administration's Financial Regulatory Reform Proposals, Before the United States House of Representatives Committee on Financial Services	Chairman Mary L. Schapiro
Jul. 15, 2009	Testimony Concerning Regulating Hedge Funds and Other Private Investment Pools, Before the Subcommittee on Securities, Insurance, and Investment of the U.S. Senate Committee on Banking, Housing, and Urban Affairs	Andrew J. Donohue, Director, Division of Investment Management
Jul. 14, 2009	Testimony Concerning SEC Oversight: Current State and Agenda, Before the Subcommittee on Capital Markets, Insurance and Government-Sponsored Enterprises, Committee on Financial Services, United States House of Representatives	Chairman Mary L. Schapiro
Jul. 13, 2009	Statement for the Record by the Securities and Exchange Commission, Before the Subcommittee on Oversight and Investigations, Committee on Financial Services, U.S. House of Representatives	Chairman and Commissioners
Second Quarter
Jun. 22, 2009	Testimony Concerning Regulation of Over-The-Counter Derivatives, Before the Subcommittee on Securities, Insurance, and Investment, Committee on Banking, Housing and Urban Affairs, United States Senate	Chairman Mary L. Schapiro
Jun. 11, 2009	Testimony Concerning the Oversight and Regulation of Executive Compensation, Before the United States House of Representatives Committee on Financial Services	Brian V. Breheny, Deputy Director, Division of Corporation Finance
Jun. 2, 2009	Testimony Before the Subcommittee on Financial Services and General Government, U.S. Senate Committee on Appropriations; see also Appendix	Chairman Mary Schapiro
May 21, 2009	Testimony Concerning Legislative Proposals to Improve the Efficiency and Oversight of Municipal Finance	Martha Mahan Haines, Assistant Director, Division of Trading and Markets
May 7, 2009	Testimony Concerning Strengthening the SEC's Vital Enforcement Responsibilities, Before the U.S. Senate Banking, Housing, and Urban Affairs Subcommittee on Securities, Insurance, and Investment	Robert Khuzami, Director, Division of Enforcement
First Quarter
Mar. 26, 2009	Testimony Concerning Enhancing Investor Protection and Regulation of the Securities Markets, Before the U.S. Senate Committee on Banking, Housing and Urban Affairs; see also Appendix	Chairman Mary L. Schapiro
Mar. 25, 2009	Testimony Concerning Exploring the Balance Between Increased Credit Availability and Prudent Lending Standards, Before the United States House of Representatives Committee on Financial Services	James L. Kroeker, Acting Chief Accountant
Mar. 20, 2009	Testimony Concerning Securities Law Enforcement In The Current Financial Crisis, Before the United States House of Representatives Committee on Financial Services	Commissioner Elisse B. Walter
Mar. 18, 2009	Testimony Concerning Lessons Learned in Risk Management Oversight at Federal Financial Regulators, Before the Subcommittee on Subcommittee on Securities, Insurance and Investment of the U.S. Senate Committee on Banking, Housing and Urban Affairs, United States Senate	Erik Sirri, Director, Division of Trading and Markets
Mar. 12, 2009	Testimony Concerning Mark-to-Market Accounting: Practices and Implications, Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the House Committee on Financial Services	James L. Kroeker, Acting Chief Accountant
Mar. 11, 2009	Testimony Before the Subcommittee on Financial Services and General Government, U.S. House of Representatives Committee on Appropriations	Chairman Mary Schapiro
Feb. 4, 2009	Testimony Concerning Investor Protection and Securities Fraud, Before the U.S. House of Representatives Committee on Financial Services and Subcommittee on Capital Markets, Insurance and Government-Sponsored Enterprises	Andrew J. Donohue, Lori Richards, Erik Sirri, Linda Chatman Thomsen and Andrew Vollmer
Jan. 27, 2009	Testimony Concerning Investigations and Examinations by the Securities and Exchange Commission and Issues Raised by the Bernard L. Madoff Investment Securities Matter, Before the U.S. Senate Committee on Banking, Housing and Urban Affairs	Linda Chatman Thomsen, Director, Director, Division Of Enforcement
Jan. 27, 2009	Testimony Concerning the Securities and Exchange Commission and Issues Raised by the Bernard L. Madoff Investment Securities Matter, Before the U.S. Senate Committee on Banking, Housing and Urban Affairs	Lori A. Richards, Director, Office of Compliance Inspections and Examinations
Jan. 5, 2009	Testimony Before the U.S. House of Representatives Committee on Financial Services	H. David Kotz, Inspector General

http://www.sec.gov/news/testimony/testarchive/2009test.shtml