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SEC Congressional Statements and Testimony Archive: 2003
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
Additional Archives
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| Date |
Testimony |
| Fourth Quarter |
| Nov. 20, 2003 |
Stephen M. Cutler, Before the Senate Committee on Banking, Housing, and Urban Affairs, re: Recent Commission Activity To Combat Misconduct Relating to Mutual Funds |
| Nov. 20, 2003 |
Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing, and Urban Affairs, re: Improving the Governance of the New York Stock Exchange |
| Nov. 18, 2003 |
Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, re: Regulatory Reforms To Protect Our Nation's Mutual Fund Investors |
| Nov. 4, 2003 |
Stephen M. Cutler, Director, Division of Enforcement, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, re: Recent Commission Activity to Combat Misconduct Relating to Mutual Funds |
| Nov. 3, 2003 |
Stephen M. Cutler, Director, Division of Enforcement, Oral Testimony Before the Senate Subcommittee on Financial Management, the Budget, and International Security, Committee on Governmental Affairs, re: Recent Commission Activity to Combat Misconduct Relating to Mutual Funds |
| Nov. 3, 2003 |
Stephen M. Cutler, Director, Division of Enforcement, Before the Senate Subcommittee on Financial Management, the Budget, and International Security, Committee on Governmental Affairs, re: Recent Commission Activity to Combat Misconduct Relating to Mutual Funds |
| Nov. 3, 2003 |
Paul F. Roye, Director, Division of Investment Management, Oral Testimony Before the Senate Subcommittee on Financial Management, the Budget and International Security, Committee on Governmental Affairs, re: Initiatives to Address Concerns in the Mutual Fund Industry |
| Nov. 3, 2003 |
Paul F. Roye, Director, Division of Investment Management, Before the Senate Subcommittee on Financial Management, the Budget and International Security, Committee on Governmental Affairs, re: Initiatives to Address Concerns in the Mutual Fund Industry |
| Oct. 30, 2003 |
Chairman William H. Donaldson, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises re: Market Structure Issues |
| Oct. 20, 2003 |
Written Statement of the Commission, Before the Subcommittee on Oversight and Investigations, Committee on Financial Services, United States House of Representatives re: Performance of the Securities Markets During the Northeast Power Outage and Hurricane Isabel |
| Oct. 15, 2003 |
Chairman William H. Donaldson, Before the Subcommittee on Securities and Investment of the Senate Committee on Banking, Housing, and Urban Affairs, re: Market Structure Issues |
| Third Quarter |
| Sep. 30, 2003 |
Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, re: Recent Commission Activity To Enhance Investor Protections |
| Sep. 17, 2003 |
Chairman William H. Donaldson, Before the House Committee on Financial Services, re: The Commission's Efforts to Strengthen the Accounting Profession |
| Sep. 9, 2003 |
Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, re: Implementation of the Sarbanes-Oxley Act of 2002 |
| Jul. 23, 2003 |
Peter Derby, Managing Executive for Operations (accompanied by James M. McConnell, Executive Director), Before the House Subcommittee on Government Efficiency and Financial Management, Committee on Government Reform, re: Strategic Planning and Operational Effectiveness |
| Second Quarter |
| Jun. 18, 2003 |
Paul F. Roye, Director, Division of Investment Management, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, re: the Mutual Funds Integrity and Fee Transparency Act of 2003,
H.R. 2420 |
| Jun. 5, 2003 |
Stephen M. Cutler, Director, Division of Enforcement, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, re: The Securities Fraud Deterrence and Investor Restitution Act, H.R. 2179 |
| May 22, 2003 |
Chairman William H. Donaldson, Before the House Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises Committee on Financial Services, re: The Long and Short of Hedge Funds: Effects of Strategies for Managing Market Risk |
| May 7, 2003 |
Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, re: Global Research Analyst Settlement |
| May 6, 2003 |
Chairman William H. Donaldson, Before the House Committee on Government Reform, re: H.R. 1836, the "Civil Service and National Security Personnel Improvement Act" |
| Apr. 10, 2003 |
Chairman William H. Donaldson, Before the Senate Committee on Banking, Housing and Urban Affairs, on April 10, 2003, Concerning Investor Protection Implications of Hedge Funds |
| Apr. 8, 2003 |
Chairman William H. Donaldson, Before the Senate Subcommittee on Commerce, Justice, State and the Judiciary, Committee on Appropriations, on April 8, 2003, Concerning Appropriations for Fiscal 2004 |
| Apr. 2, 2003 |
Annette L. Nazareth, Director, Division of Market Regulation, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Rating the Rating Agencies: The State of Transparency and Competition |
| First Quarter |
| Mar. 13, 2003 |
Chairman William H. Donaldson, Before the Subcommittee on Commerce, Justice, State, and the Judiciary, Committee on Appropriations, United States House of Representatives, re: Appropriations for Fiscal 2004 |
| Mar. 6, 2003 |
James M. McConnell, Executive Director, Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises of the House Committee on Financial Services, re: H.R. 658, the "Accountant, Compliance, and Enforcement Staffing Act of 2003" |
| Feb. 26, 2003 |
Stephen M. Cutler, Director, Division of Enforcement, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Returning Funds to Defrauded Investors |
| Feb. 12, 2003 |
Robert L. D. Colby, Deputy Director, Division of Market Regulation, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Recovery and Renewal: Protecting the Capital Markets Against Terrorism Post 9/11 |
http://www.sec.gov/news/testimony/testarchive/2003test.shtml
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