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    Securities and Exchange Commission Enforcement

    Robert Khuzami announced a series of new measures to strengthen Security Exchange Commission investigative and regulatory efforts. He also introduced several unit chiefs who would oversee…

    197 views
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    Users' Perspectives to Oversight of Credit Rating Agencies

    Panelists talked about credit ratings and the use of credit rating services by various corporations. Among the topics they addressed were the accuracy and quality of information provided by credit rating agencies, the…

    93 views
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    Approaches to Improve Credit Rating Agency Oversight

    The Securities and Exchange Commission held a meeting on government oversight of credit rating agencies. Among the topics of discussion were accountability and disciplinary action, over-reliance on credit agencies, and…

    214 views
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    Corporations and Credit Rating Usage

    The panel talked about the role of the credit rating agencies in economic growth, the difficulties in getting started in the credit rating industry, the regulations of the industry, and logistical barriers faced by the…

    139 views
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    Securities and Exchange Commission Meeting

    The Securities and Exchange Commission held a meeting to consider whether to propose “short sale price test rules” or the so-called “uptick rule” or other methods of restricting short sales…

    199 views
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    Modernizing Financial Disclosure Rules

    A panel discussion was held on methods that modern technology could be used to more effectively provide investors with data about companies. Joseph Grundfest participated by remote video.

    94 views
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    Managing Retirement Income

    The U.S. Securities and Exchange Commission held its third annual Seniors Summit on tips and information to help senior investors ensure their money is protected and used as desired after…

    172 views
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    SEC Enforcement Activities

    SEC Chairman Christopher Cox talked about SEC oversight and enforcement activities, and recent developments in the financial markets.

    127 views
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    Financial Reporting Improvements

    The Securites and Exchange Commission (SEC) Advisory Committee on Improvements to Financial Reporting released its final report. Committee members responded to questions from the press.

    110 views
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    Seniors Summit on Investment Fraud

    The Securities and Exchange Commission held a summit to examine possible policies to protect older Americans from investment fraud and abusive sales practices. Among the topics they…

    122 views
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    Investors and Securities Markets

    Chairman Cox hosted a roundtable discussion on investors and securities markets. Seven former Securities and Exchange Commission chairmen discussed challenges faced during their chairmanships,…

    42 views
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    Security and Exchange Commissioner Address

    The day after his official swearing-in as Security and Exchange Commissioner, Mr. Cox spoke to employees about the role of the SEC, its commitment to investors, and the place of federal…

    18 views
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    Investor Summit Part 2

    As part of an information symposium about the Securities and Exchange Commission’s regulatory agenda in the wake of recent events, Chairman Pitt moderated a panel discussion about the Securities…

    23 views
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    Investor Summit Part 1

    As part of an information symposium about the Securities and Exchange Commission’s regulatory agenda in the wake of recent events, regulators, consumer representatives, and financial…

    54 views
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    Accounting Regulations

    Mr. Pitts spoke to reporters about efforts by the Securities and Exchange Commission to revive public faith in their oversight responsibilities following the collapse of the Enron…

    33 views
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    Individual Investors and Securities Regulation

    Mr. Levitt talked about the rights and obligations of individual investors. Among the topics he addressed were how to ascertain appropriate levels of risk, brokerage fees and commissions,…

    32 views
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    Year 2000 Computers: On-Line Securities

    Financial experts spoke to reporters about preparations the financial markets had made to avoid any potential computer problems resulting from the date change on January 1, 2000. Among the…

    53 views
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    Mutual Fund Fees and Disclosures

    25 views
  • Last Aired

    Investors' Town Meeting

    The Securities and Exchange Commission hosted a series of town meetings around the United States. At this meeting in Philadelphia SEC Chairman Arthur Leavitt talked about the risks and rewards of…

    19 views