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Commission Speeches and Public Statements Archive: 1999

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.

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1999 Speeches by the Chairman and Commissioners

Date Title Author
Fourth Quarter
Dec. 9, 1999 Remarks of Commissioner Paul R. Carey to the Investment Company Institute Procedures Conference Commissioner Paul R. Carey
Dec. 7, 1999 Remarks of Commissioner Isaac C. Hunt, Jr., at the 27th Annual AICPA National Conference on Current SEC Developments, Washington, D.C. Commissioner Isaac C. Hunt, Jr.
Nov. 20, 1999 "Common Sense Investing in the 21st Century Marketplace" – Remarks of Chairman Arthur Levitt at the SEC Investors' Town Meeting, Albuquerque, N.Mex. Chairman Arthur Levitt
Nov. 4, 1999 Remarks of Commissioner Isaac C. Hunt, Jr., before the 31st Annual Institute on Securities Regulation Commissioner Isaac C. Hunt, Jr.
Nov. 4, 1999 "Best Execution: Promise of Integrity, Guardian of Competition" – Remarks of Chairman Arthur Levitt to the Securities Industry Association, Boca Raton, Fla. Chairman Arthur Levitt
Oct. 28, 1999 "Electronic Trading Technology's Impact on the Fixed-Income Markets" – Remarks of Commissioner Laura S. Unger at the The Bond Market Association, Fifth Annual Legal and Compliance Seminar, New York, N.Y. Commissioner Laura S. Unger
Oct. 22, 1999 Remarks of Commissioner Isaac C. Hunt, Jr., before the Fifth Annual Advanced ALI-ABA Course on Investment Management Regulation Commissioner Isaac C. Hunt, Jr.
Oct. 19, 1999 Remarks of Chairman Arthur Levitt on Proposals Concerning Mergers and Acquisitions, SEC Headquarters, Washington, D.C.
(Additional material available: Fact Sheet on Regulation of Takeovers and Shareholder Communications/Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings.)
Chairman Arthur Levitt
Oct. 18, 1999 "Quality Information: The Lifeblood of Our Markets" – Remarks of Chairman Arthur Levitt at the Economic Club of New York, New York, N.Y. Chairman Arthur Levitt
Oct. 16, 1999 "Financial Self-Defense: Tips From an SEC Insider" – Remarks of Chairman Arthur Levitt at the Boston Globe's "Moneymatters" Personal Finance Conference, Boston, Mass. Chairman Arthur Levitt
Oct. 14, 1999 Remarks of Chairman Arthur Levitt at the Municipal Market Roundtable, SEC Headquarters, Washington, D.C. Chairman Arthur Levitt
Oct. 7, 1999 Remarks of Commissioner Laura S. Unger to the Federal Reserve Bank of New York, New York, N.Y. Commissioner Laura S. Unger
Oct. 7, 1999 "Corporate Governance in a Global Arena" – Remarks of Chairman Arthur Levitt to the American Council on Germany, New York, N.Y. Chairman Arthur Levitt
Oct. 7, 1999 Remarks of Chairman Arthur Levitt to the Panel on Audit Effectiveness of the Public Oversight Board, Public Oversight Hearings, New York, N.Y. Chairman Arthur Levitt
Oct. 1, 1999 Remarks of Commissioner Norman S. Johnson to the Corporate Bar Association, Stamford, Conn. Commissioner Norman S. Johnson
Third Quarter
Sep. 28, 1999 Remarks of Commissioner Isaac C. Hunt, Jr., before the Hellenic Capital Market Commission and the American-Hellenic Chamber of Commerce Commissioner Isaac C. Hunt, Jr.
Sep. 23, 1999 "Dynamic Markets, Timeless Principles" – Remarks of Chairman Arthur Levitt at Columbia Law School, New York, N.Y. Chairman Arthur Levitt
Sep. 22, 1999 "Regulating on Internet Time" – Remarks of Commissioner Laura S. Unger at the Conference on Integrating Technological Advances for Online Brokerages, New York, N.Y. Commissioner Laura S. Unger
Sep. 17, 1999 Remarks of Chairman Arthur Levitt to the President's Council on Year 2000 Conversion, Financial Sector Group Year 2000 Summit, Washington, D.C. Chairman Arthur Levitt
Sep. 14, 1999 Remarks of Commissioner Laura S. Unger at the National Regulatory Services Fall 1999 Compliance Conference, Santa Fe, N.Mex. Commissioner Laura S. Unger
Sep. 13, 1999 "Small Business: The Lifeblood of Our Nation's Economy" – Remarks of Commissioner Norman S. Johnson at the 18th Annual Government-Business Forum on Small Business Capital Formation, Washington, D.C. Commissioner Norman S. Johnson
Sep. 10, 1999 "Does the Internet Empower or Just Excite Investors?" – Remarks of Commissioner Laura S. Unger at the Harvard Club, New York, N.Y. Commissioner Laura S. Unger
Aug. 20, 1999 "Recent Developments at the SEC" – Remarks of Commissioner Norman S. Johnson at the Utah Bar Securities Section, Jackson, Wyoming Commissioner Norman S. Johnson
Second Quarter
Jun. 29, 1999 "An Essential Next Step in the Evolution of Corporate Governance" – Remarks of Chairman Arthur Levitt at the Audit Committee Symposium, New York, N.Y. Chairman Arthur Levitt
Jun. 25, 1999 "Getting to Know You: Dealing with the Wired Investor" – Remarks of Commissioner Laura S. Unger at the American Society of Corporate Secretaries, Greenbrier, W.Va. Commissioner Laura S. Unger
Jun. 22, 1999 "The Internet – Will it be the end of the stock market as we know it?" – Remarks of Commissioner Laura S. Unger at the National Press Club Commissioner Laura S. Unger
Jun. 11, 1999 "Raising Capital in Bits and Bytes" – Remarks of Commissioner Laura S. Unger at the Ninth Annual New England Securities Law Conference Commissioner Laura S. Unger
May 23, 1999 "Common Sense Investing in the 21st Century Marketplace" – Remarks of Chairman Arthur Levitt at the Los Angeles Times 3rd Annual Investment Strategies Conference, Los Angeles, Calif. Chairman Arthur Levitt
May 19, 1999 Remarks of Chairman Arthur Levitt to the Committee for Economic Development, New York, N.Y. Chairman Arthur Levitt
May 4, 1999 "Plain Talk About On-Line Investing" – Remarks of Chairman Arthur Levitt at the National Press Club Chairman Arthur Levitt
Apr. 23, 1999 "Corporate Communications Without Violations: How Much Should Issuers Tell Their Analysts and When" – Remarks of Commissioner Laura S. Unger at the 19th Annual Ray Garrett Jr. Corporate and Securities Law Institute, Chicago, Ill. Commissioner Laura S. Unger
Apr. 29, 1999 Remarks of Commissioner Norman S. Johnson at the Harvard Club, "The Directors Roundtable", in New York, N.Y. Commissioner Norman S. Johnson
Apr. 26, 1999 "Financial Literacy and Role of the Media" – Remarks of Chairman Arthur Levitt at the Media Studies Center, New York, N.Y. Chairman Arthur Levitt
Apr. 23, 1999 Remarks of Chairman Arthur Levitt Before the Bond Market Association, San Francisco, Calif. Chairman Arthur Levitt
Apr. 13, 1999 Remarks of Chairman Arthur Levitt Before the Securities Industry Association's Legal and Compliance Seminar, Boca Raton, Fla. Chairman Arthur Levitt
Apr. 7, 1999 "After-hours Trading: Are Retail Investors Ready for Prime Time?" – Remarks of Commissioner Laura S. Unger at the 1999 Arthur Page Society Spring Seminar, New York Stock Exchange Commissioner Laura S. Unger
First Quarter
Mar. 30, 1999 "In the Best Interests of Beneficiaries: Trust and Public Funds" – Remarks of Chairman Arthur Levitt at the 1999 Annual Meeting of the Council of Institutional Investors, Washington, D.C. Chairman Arthur Levitt
Mar. 24, 1999 "SEC Update: Closing the Millennium On an Uptick" – Remarks of Commissioner Laura S. Unger at the Third Annual Washington Conference of the Security Traders Association Commissioner Laura S. Unger
Mar. 22, 1999 Remarks of Chairman Arthur Levitt to the Directors' College 1999, Stanford Law School, Stanford University, Stanford, Calif. Chairman Arthur Levitt
Mar. 22, 1999 "Keeping Faith with the Shareholder Interest: Strengthening the Role of Independent Directors of Mutual Funds" – Remarks of Chairman Arthur Levitt at the Mutual Funds and Investment Management Conference, Palm Springs, Calif. Chairman Arthur Levitt
Mar. 17, 1999 "Regulation of U.S. Equity Markets: Implications for Innovation, Competition, & Efficiency" – Remarks of Commissioner Laura S. Unger at the Baruch Conference Commissioner Laura S. Unger
Mar. 6, 1999 "Current SEC Developments: Managed Earnings' and 'The Year of the Accountant'" – Remarks of Commissioner Norman S. Johnson at the Utah State Bar Mid-Year Convention, St. George, Utah Commissioner Norman S. Johnson
Feb. 26, 1999 "How Best Can SEC.gov Regulate Securities.com?" – Remarks of Commissioner Laura S. Unger at "The SEC Speaks in 1999," sponsored by the Practicing Law Institute, Washington, D.C. Commissioner Laura S. Unger
Feb. 26, 1999 "The Year of the Accountant" – Remarks of Commissioner Norman S. Johnson at "The SEC Speaks in 1999," sponsored by the Practicing Law Institute, Washington, D.C. Commissioner Norman S. Johnson
Feb. 26, 1999 "Navigating the Sea of Communications" – Remarks of Commissioner Isaac C. Hunt, Jr., at "The SEC Speaks in 1999," sponsored by the Practicing Law Institute, Washington, D.C. Commissioner Isaac C. Hunt, Jr.
Feb. 23, 1999 Opening Remarks of Chairman Arthur Levitt at the SEC Roundtable on the Role of Independent Investment Company Directors, Washington, D.C. Chairman Arthur Levitt
Feb. 18, 1999 "Rethinking Information About Issuers in the Age of the Internet" – Remarks of Commissioner Laura S. Unger at the University of Texas School of Law 21st Annual Conference on Securities Regulation and Business Law Commissioner Laura S. Unger
Jan. 28, 1999 "Social Security Privatization" – Remarks of Commissioner Paul R. Carey before the 11th Annual Conference of the National Academy of Social Insurance, Washington, D.C. Commissioner Paul R. Carey
Jan. 25, 1999 "Customer Expectations Online: Are They Your Obligations?" – Remarks of Commissioner Laura S. Unger at the American Conference Institute's National Conference on Securities Trading on the Internet, New York, N.Y. Commissioner Laura S. Unger
Jan. 20, 1999 "Current Regulatory and Enforcement Developments Affecting the Accounting Profession" – Remarks of Commissioner Norman Johnson at the 26th Annual Securities Regulation Institute Conference San Diego, California Commissioner Norman S. Johnson

1999 Speeches by Commission Staff

Date Title Author
Fourth Quarter
Dec. 9, 1999 "Mutual Funds – A Century of Success; Challenges and Opportunities for the Future" – Remarks of Paul F. Roye, Director, Division of Investment Management, at the Securities Law Developments Conference, ICI Education Foundation, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Dec. 8, 1999 "International Reporting Issues" – Remarks by Craig C. Olinger, Deputy Chief Accountant, Division of Corporation Finance, at the 27th Annual AICPA National Conference on Current SEC Developments, Washington, D.C. Craig C. Olinger, Deputy Chief Accountant
Dec. 8, 1999 "Current Accounting Projects" – Remarks by Jane B. Adams, Deputy Chief Accountant, Office of the Chief Accountant, at the 27th Annual AICPA National Conference on Current SEC Developments, Washington, D.C. Jane B. Adams, Deputy Chief Accountant, Office of the Chief Accountant
Dec. 8, 1999 "Current Accounting Projects" – Remarks by Scott A. Taub, Professional Accounting Fellow, Office of the Chief Accountant, at the 27th Annual AICPA National Conference on Current SEC Developments, Washington, D.C. Scott A. Taub, Professional Accounting Fellow, Office of the Chief Accountant
Dec. 7, 1999 "Behind the Numbers of the SEC's Recent Financial Fraud Cases" – Remarks of Richard H. Walker, Director, Division of Enforcement, at the 27th Annual AICPA National Conference on Current SEC Developments, Washington, D.C. Richard H. Walker, Director, Division of Enforcement
Dec. 7, 1999 "21st Century Financial Reporting – Bringing Back the Q" – Remarks of Lynn E. Turner, Chief Accountant of the Commission, at the 27th Annual AICPA National Conference on Current SEC Developments, Washington, D.C. Lynn Turner, Chief Accountant
Nov. 17, 1999 "On-Line Brokerage: Staying on the Right Side of the Line" – Remarks of Richard H. Walker, Director, Division of Enforcement, Before the SIA Legal and Compliance Division, New York, N.Y. Richard H. Walker, Director, Division of Enforcement
Nov. 15, 1999 "20th Century Myths" – Remarks of Lynn E. Turner, Chief Accountant of the Commission, at New York University, N.Y. Lynn Turner, Chief Accountant
Nov. 13, 1999 "Views Into the Crystal Ball" – Remarks of Brian Lane, Director, Division of Corporation Finance, to the Committee on Federal Regulation of Securities, American Bar Association Brian Lane, Director, Division of Corporation Finance
Nov. 11, 1999 "Variable Products: New Challenges for a Changing Marketplace" – Remarks of Paul F. Roye, Director, Division of Investment Management, at the ALI-ABA Conference on Life Insurance Products: Current Securities, Tax, ERISA, and State Regulatory Issues, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Nov. 9, 1999 "Quality–Tomorrow and Today" – Remarks of Lynn E. Turner, Chief Accountant of the Commission, to the AICPA National Conference on Banks and Saving Institutions Lynn Turner, Chief Accountant
Nov. 8, 1999 Remarks of Paul F. Roye, Director, Division of Investment Management, Before the Society of American Business Editors & Writers Conference on Personal Finance, Las Vegas, Nev. Paul F. Roye, Director, Division of Investment Management
Nov. 5, 1999 "Reflections on Times Past, Times to Come" Remarks by Lynn E. Turner, Chief Accountant of the Commission at the 10th Annual Conference on Financial Reporting, University of California at Berkley, Calif. Lynn Turner, Chief Accountant
Oct. 28, 1999 "Avoiding Complacency, Advocating Reform: The Commission's Independent Fund Directors Initiative" – Remarks of Paul F. Roye, Director, Division of Investment Management, Before the Investment Company Institute's 1999 Investment Company Directors Conference, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Oct. 19, 1999 "SEC Broker-Dealer Examination Priorities for the Year 2000" – Remarks of Lori Richards, Director of Office of Compliance Inspections and Examinations, Before the Securities Industry Association, Compliance and Legal Division Lori Richards, Director, Office of Compliance Inspections and Examinations
Oct. 9, 1999 Remarks of Richard H. Walker, Director, Division of Enforcement, to the Panel on Audit Effectiveness, New York, N.Y. Richard H. Walker, Director, Division of Enforcement
Oct. 7, 1999 Remarks of Lynn E. Turner, Chief Accountant of the Commission, to the Panel on Audit Effectiveness, New York, N.Y. Lynn Turner, Chief Accountant
Oct. 1, 1999 "Securities Laws and the Municipal Market: Points Every Issuer Should Keep in Mind" – Remarks of Paul S. Maco, Director, Office of Municipal Securities, before the New York State Government Finance Officers Association, West Point, N.Y. Paul S. Maco, Director, Office of Municipal Securities
Third Quarter
Sep. 14–16, 1999 "Giving the Dirt on Land-Based Financings" – Remarks of Paul S. Maco, Director, and Stephen J. Weinstein, Attorney Fellow, Office of Municipal Securities, to the Municipal Securities Rulemaking Board, Forum on Land-Secured Disclosure Paul S. Maco, Director, Office of Municipal Securities, Stephen Weinstein, Attorney, Office of Municipal Securities
Second Quarter
Jun. 29, 1999 Remarks of Mary N. Simpkins, Senior Counsel, Office of Municipal Securities, to the Mississippi Municipal Association, Biloxi, Mississippi Mary N. Simpkins, Senior Counsel, Office of Municipal Securities
Jun. 28, 1999 "Variable Products: Industry Success, Industry Responsibilities" – Remarks of Paul F. Roye, Director, Division of Investment Management, at the National Association for Variable Annuities Regulatory Affairs Conference Paul F. Roye, Director, Division of Investment Management
Jun. 14, 1999 Remarks of Lynn E. Turner, Chief Accountant of the Commission, at the SEC Institute, New York, N.Y. Lynn Turner, Chief Accountant
Jun. 10, 1999 "Our Shared Responsibilities for Fund Compliance" – Remarks of Lori Richards, Director of Office of Compliance Inspections and Examinations, Before the 1999 Mutual Fund Compliance Conference, Investment Company Institute Lori Richards, Director, Office of Compliance Inspections and Examinations
Jun. 7, 1999 "Securities Laws and the Municipal Market: Points Every Market Participant Should Keep in Mind" – Remarks of Paul S. Maco, Director, Office of Municipal Securities, Before the Florida Government Finance Officers Association, Naples, Fla. Paul S. Maco, Director, Office of Municipal Securities
May 21, 1999 "Maintaining the Pillars of Protection in the New Millennium" – Remarks of Paul F. Roye, Director, Division of Investment Management, Before the Investment Company Institute, 1999 General Membership, Washington, D.C. Paul F. Roye, Director, Division of Investment Management
Apr. 23, 1999 "Right to the End" – Remarks of Lynn E. Turner, Chief Accountant, at the "Ethics Under Stress" Conference of the American Institute of CPAs, American Accounting Association, National Association of State Boards of Accountancy, Arlington, Va. Lynn Turner, Chief Accountant
Apr. 23, 1999 "Meeting the Compliance Challenge", Remarks of Paul F. Roye, Director, Division of Investment Management, Before the Investment Counsel Association of America, Scottsdale, Ariz. Paul F. Roye, Director, Division of Investment Management
Apr. 22, 1999 "Cookie Jar Reserves" – Remarks of Walter P. Schuetze, Chief Accountant, Division of Enforcement, at the 19th Annual Ray Garrett, Jr., Corporate and Securities Law Institute, sponsored by the Corporate Counsel Center of Northwestern University School of Law, Chicago, Ill. Walter P. Schuetze, Chief Accountant, Division of Enforcement
Apr. 22, 1999 "The Securities Act Reform Project: Improving Capital Formation in Our Markets" – Remarks of Brian Lane, Director, Division of Corporation Finance, at the 19th Annual Ray Garrett, Jr., Corporate and Securities Law Institute, sponsored by the Corporate Counsel Center of Northwestern University School of Law, Chicago, Ill. Brian Lane, Director, Division of Corporation Finance
Apr. 22, 1999 "From Roundtable to Reform: Thoughts on How to Improve Fund Governance" – Remarks of Paul F. Roye, Director, Division of Investment Management, Before the Practising Law Institute, The `40 Act Institute, New York, N.Y. Paul F. Roye, Director, Division of Investment Management
Apr. 8, 1999 "Financial Reporting Issues Critical to European SEC Registrants/Users of US GAAP" – Remarks of Lynn E. Turner, Chief Accountant, at the European FASB-SEC Financial Reporting Conference, Frankfurt, Germany Lynn Turner, Chief Accountant
Apr. 5, 1999 "A Bull Market in Securities Fraud?", Remarks of Richard Walker, Director, Division of Enforcement, at the National Press Club, Washington, D.C. Richard H. Walker, Director, Division of Enforcement
First Quarter
Feb. 27, 1999 "Implementing Continuous Improvement in Financial Reporting" – Remarks of Lynn E. Turner, Chief Accountant of the Commission, at "The SEC Speaks in 1999," sponsored by the Practicing Law Institute, Washington, D.C. Lynn Turner, Chief Accountant
Feb. 10, 1999 "Initiatives for Improving the Quality of Financial Reporting" – Remarks of Lynn E. Turner, Chief Accountant of the Commission, at the New York Society of Security Analysts, Inc., New York, N.Y. Lynn Turner, Chief Accountant
Feb. 10, 1999 "Making Financial Statements Real: Recent Problems in the Accounting for Purchased In-Process Research and Development" – Remarks of Lynn E. Turner, Chief Accountant of the Commission, at the Software and Service Industry Analyst Group, New York, N.Y. Lynn Turner, Chief Accountant
Jan. 26, 1999 "Pay-To-Play and Public Pension Plans" – Remarks of Robert E. Plaze, Associate Director, Division of Investment Management, at the Annual Joint Legislative Meeting of the National Association of State Retirement Administrators, National Conference on Public Employee Retirement Systems and the National Council on Teacher Retirement, Washington, D.C. Robert E. Plaze, Associate Director, Division of Investment Management

http://www.sec.gov/news/speech/speecharchive/1999speech.shtml


Modified: 04/23/2003