finra

October 20, 2014 -   Remarks at NSCP 2014 National Conference
September 17, 2014 -   Remarks From the Financial Policy Joint Conference on Market Fragmentation, Fragility and Fees
September 16, 2014 -   Remarks From the Financial Policy Joint Conference on Market Fragmentation, Fragility and Fees
June 18, 2014 -   Remarks From SIFMA Tech 2014
May 19, 2014 -   Remarks From the 2014 FINRA Annual Conference
February 06, 2014 -   Remarks From the NACUBO 2014 Endowment and Debt Management Forum
October 28, 2013 -   Remarks From the SIFMA C&L New York Regional Seminar
October 03, 2013 -   Remarks From the Council for Economic Education
May 29, 2013 -   Remarks About the National Financial Capability Study
May 21, 2013 -   Remarks From the FINRA Annual Conference
April 09, 2013 -   Remarks From the National Compliance Outreach Program for Broker-Dealers
March 14, 2013 -   Remarks From the Consumer Federation of America Consumer Assembly
November 15, 2012 -   Statement for the Record for Senate Special Committee on Aging Hearing
November 15, 2012 -   Remarks From the Investment Program Association Fall Conference
October 24, 2012 -   Remarks From the PLI Seminar on Broker-Dealer Regulation and Enforcement 2012
October 11, 2012 -   Remarks From the Bond Dealers Association Annual Conference
September 27, 2012 -   Remarks From the SIFMA Complex Products Forum
September 27, 2012 -   Remarks From the SIFMA Complex Products Forum
September 20, 2012 -   Remarks From the Security Traders Association Annual Conference
June 25, 2012 -   Remarks From the IRI Government, Legal and Regulatory Conference
June 06, 2012 -   Testimony Before the Committee on Financial Services
May 21, 2012 -   Remarks From the FINRA Annual Conference
April 24, 2012 -   Testimony Before the Committee on Banking, Housing, and Urban Affairs
February 01, 2012 -   Remarks From the Global Diversity Leadership Exchange
December 15, 2011 -   Testimony Before the Subcommittee on Oversight and Investigations
December 14, 2011 -   Testimony Before the Subcommittee on Securities, Insurance, and Investment
December 08, 2011 -   Testimony Before the Committee on Agriculture
November 03, 2011 -   Remarks From the Research Center on the Prevention of Financial Fraud 2011 Conference
October 13, 2011 -   Remarks From the STA Annual Conference
October 05, 2011 -   Remarks From the Financial Services Institute Advocacy Summit
September 13, 2011 -   Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
June 28, 2011 -   Remarks From the IRI Government, Legal and Regulatory Conference
May 24, 2011 -   Remarks From the FINRA Annual Conference
May 13, 2011 -   Testimony Before the Subcommittee on Oversight and Investigations Committee on Financial Services
March 22, 2011 -   Remarks From the SIFMA Compliance and Legal Division's Annual Seminar
March 07, 2011 -   Remarks From FINRA Fixed Income Conference
February 08, 2011 -   Remarks From the CCOutreach BD National Seminar
December 08, 2010 -   Testimony Before the Subcommittee on Securities, Insurance, and Investment
May 26, 2010 -   Remarks From the 2010 FINRA Annual Conference
May 20, 2010 -   Testimony Before the Committee on Banking, Housing, and Urban Affairs
May 13, 2010 -   Remarks From the Women in Housing and Finance Luncheon
May 07, 2010 -   Remarks From the SIFMA Compliance & Legal Division's Annual Seminar
April 29, 2010 -   Remarks From the IRI Government & Regulatory Affairs Conference
March 09, 2010 -   Remarks From FINRA Fixed Income Conference
December 15, 2009 -   Remarks on the National Financial Capability Study Release
November 18, 2009 -   Remarks From the XBRL US National Conference
October 27, 2009 -   Remarks From the SIFMA Annual Meeting
October 08, 2009 -   Remarks From the ALI-ABA Conference
October 06, 2009 -   Testimony Before the Committee on Financial Services
October 02, 2009 -   Remarks From the Fordham University Ethics and Regulatory Conference
September 02, 2009 -   Statement Before the SEC/CFTC Joint Meeting on Harmonization of Regulation
August 17, 2009 -   Testimony Before the Committee on Banking, Housing, and Urban Affairs
June 25, 2009 -   Testimony Before the Subcommittee on Financial Institutions and Consumer Credit
June 17, 2009 -   Remarks From the Exchequer Club
June 08, 2009 -   Remarks From the NAVA Government & Regulatory Affairs Conference
May 01, 2009 -   Remarks at the New York University Pollack Center for Law and Business
March 26, 2009 -   Testimony Before the Committee on Banking, Housing, and Urban Affairs
March 23, 2009 -   Remarks From the SIFMA Compliance & Legal Division's Annual Seminar
February 04, 2009 -   Testimony Before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
January 27, 2009 -   Testimony Before the Committee on Banking, Housing, and Urban Affairs
December 18, 2008 -   Remarks with President-Elect Obama
October 23, 2008 -   Remarks From the FINRA Fall Securities Conference
October 21, 2008 -   Remarks From the ACLI Annual Conference
October 14, 2008 -   Remarks From the Ethics and Leadership Lecture at Dominican University
September 22, 2008 -   Remarks From the SEC's Third Annual Senior Summit
September 18, 2008 -   Testimony Concerning Auction Rate Securities Markets
September 10, 2008 -   Remarks From the New York Regulation and Compliance Conference
July 16, 2008 -   Testimony Before the Special Committee on Aging United States Senate
June 26, 2008 -   Remarks From the Women in Housing and Finance Luncheon
June 03, 2008 -   Remarks From NAVA Conference
March 07, 2008 -   Remarks From the CCOutreach BD National Seminar
February 08, 2008 -   Remarks From the William O. Douglas Award Presentation at ASECA Annual Dinner
November 09, 2007 -   Remarks From the SIFMA Annual Meeting
October 11, 2007 -   Remarks From the FINRA Fall Securities Conference
October 04, 2007 -   Remarks From the STA Annual Conference
September 26, 2007 -   Remarks From the Distinguished Speaker Series, Georgetown University McDonough School of Business
September 10, 2007 -   Remarks From the SEC Seniors Summit
June 20, 2007 -   Remarks From The Exchequer Club
May 23, 2007 -   Remarks From the 16th Annual NASD Spring Securities Conference
May 17, 2007 -   Testimony Before the Senate Banking Committee Hearing on Regulatory Consolidation
May 11, 2007 -   Remarks From the ICI General Membership Meeting
May 07, 2007 -   Remarks From the NASD Foundation-Tuck School of Business Symposium on Marketing Investor Education
April 25, 2007 -   Remarks From the SIFMA Independent Firms Conference
March 27, 2007 -   Remarks From the Mutual Funds and Investment Management Conference
March 26, 2007 -   Remarks From the SIFMA Compliance and Legal Division's 38th Annual Seminar
March 14, 2007 -   Remarks From the U.S. Chamber of Commerce
January 27, 2007 -   Remarks to the Securities Traders Association
December 01, 2006 -   Remarks From the Women's Leadership Program at The Wharton Club of DC
November 28, 2006 -   Remarks From the Securities and Exchange Commission News Conference Regarding NASD and NYSE Regulatory Consolidation
November 16, 2006 -   Remarks From the NASD Fall Securities Conference
November 09, 2006 -   Remarks From the SIFMA Launch Meeting 2006
October 12, 2006 -   Remarks From the STA 73rd Annual Conference & Business Meeting
September 28, 2006 -   Testimony Before the Committee on Financial Services Subcommittee on Financial Institutions and Consumer Credit Hearing on Financial Literacy United States House of Representatives
September 18, 2006 -   Remarks From the NASAA Annual Conference
September 13, 2006 -   Remarks From the Financial Services Institute Third Annual Public Policy Day
August 04, 2006 -   Remarks From the 2006 Annual Meeting of the Certified Financial Planner Board of Standards, Inc.
July 17, 2006 -   Remarks From the SEC Seniors Summit
June 21, 2006 -   Remarks From the Harvard Business School Global Leadership Forum
May 19, 2006 -   Remarks From the 2006 NASD Spring Securities Conference
May 19, 2006 -   Remarks From the Bond Market Association Annual Meeting
May 18, 2006 -   Remarks From the ICI Annual Meeting
May 18, 2006 -   Testimony Before the Committee on Financial Services Subcommittee on Oversight and Investigations, Hearing on the Financial Services, Needs of Military Personnel and Their Families
May 18, 2006 -   Remarks From the 2006 NASD Spring Securities Conference
May 09, 2006 -   Remarks From the Securities & Investment Institute
April 04, 2006 -   Remarks From the SIA Small Firms Forum
March 29, 2006 -   Testimony Before the Committee on Aging United States Senate Hearing on Elderly Investment Fraud
March 20, 2006 -   Remarks From the SIA Compliance & Legal Division Annual Conference
March 09, 2006 -   Testimony Before the Committee on Banking, Housing and Urban Affairs United States Senate Hearing on Self-Regulatory Organizations
January 09, 2006 -   Remarks From the NASAA Enforcement Conference
December 13, 2005 -   Remarks From the ICI Securities Law Conference
November 18, 2005 -   Remarks From the 2005 Fall Securities Conference
November 17, 2005 -   Testimony Before the Senate Committee on Banking, Housing and Urban Affairs on Military Sales
November 17, 2005 -   Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services on Self-Regulatory Organizations: Exploring the Need for Reform
November 17, 2005 -   Remarks From the 2005 NASD Fall Securities Conference
November 17, 2005 -   Remarks From the 2005 NASD Fall Securities Conference
November 11, 2005 -   Remarks From the Securities Industry Association Annual Meeting
September 23, 2005 -   Remarks From the SIA Mutual Fund Reform Conference
September 19, 2005 -   Remarks From the SIA Soft Dollars and Institutional Brokerage Conference
May 26, 2005 -   Remarks From the 2005 NASD Spring Securities Conference
May 25, 2005 -   Remarks From the 2005 NASD Spring Securities Conference
May 20, 2005 -   Remarks From the SIA Market Structure Conference
April 20, 2005 -   Remarks From the Bond Market Association Annual Meeting on Navigating the Changing Climate in Fixed-Income Products
April 07, 2005 -   Remarks From the Independent Directors Council Directors Workshop
April 04, 2005 -   Remarks From the SIA Compliance & Legal Division Conference
March 17, 2005 -   Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises Committee on Financial Services United States House of Representatives
February 02, 2005 -   Remarks From the Bond Market Association Legal and Compliance Conference
November 04, 2004 -   Remarks From the NASD SIA Annual Conference, Boca Raton, FL
October 15, 2004 -   Remarks From the NASD Fall Securities Conference Speech
October 14, 2004 -   Remarks From the 2004 NASD Fall Securities Conference
September 30, 2004 -   Testimony Before the United States Senate Committee on Government Affairs Subcommittee on Financial Management, The Budget, and International Security Hearing to Review 529 College Savings Plans
September 28, 2004 -   Remarks From the 27th Annual SIA Sales and Marketing Conference on Current NASD Regulatory Issues on Sales and Marketing
June 17, 2004 -   Testimony Before the United States Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs on An Overview of the Regulation of the Bond Markets
May 12, 2004 -   Remarks From the 2004 NASD Spring Securities Conference
May 12, 2004 -   Remarks From the 2004 NASD Spring Securities Conference
March 22, 2004 -   Remarks From the SIA Compliance & Legal Conference, Phoenix, AZ
March 10, 2004 -   Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
February 03, 2004 -   From the Bond Market Association Legal and Compliance Conference
November 20, 2003 -   Testimony Before the Senate Committee on Banking, Housing, and Urban Affairs Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry
November 06, 2003 -   Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises House Financial Services Committee Hearing on Mutual Fund Trading Abuses
November 03, 2003 -   Testimony Before the Subcommittee on Financial Management, the Budget and International Security Senate Committee on Government Affairs Hearing on Mutual Fund Trading Abuses
October 16, 2003 -   Remarks From the 2003 NASD Fall Securities Conference
September 17, 2003 -   Remarks From the 45th Annual Meeting of the National Association for Business Economics
June 05, 2003 -   Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises On H.R. 2179 (Securities Fraud Deterrence and Investor Restitution Act)
May 07, 2003 -   Testimony Before the United States Senate Committee on Banking, Housing and Urban Affairs Hearing on the Global Settlement of Conflicts of Interest Between Research and Investment Banking
May 01, 2003 -   Remarks From the 2003 NASD Spring Securities Conference
May 01, 2003 -   Remarks From the 2003 NASD Spring Securities Conference
April 28, 2003 -   Remarks From the Final Global Settlement Press Conference in Washington DC.
April 09, 2003 -   Remarks From the SIA C&L Annual Seminar, Lake Buena Vista, FL
March 06, 2003 -   Testimony Before the House Financial Services Committee Subcommittee on Capital Markets
February 04, 2003 -   Remarks From The Bond Market Association's Eighth Annual Legal & Compliance Conference, New York, NY
November 07, 2002 -   Remarks From the Securities Industry Association Annual Meeting
October 22, 2002 -   Remarks From the NASD Fall Securities Conference, San Diego, CA
October 03, 2002 -   Testimony Before the Senate Committee on Banking, Housing and Urban Affairs Hearing on Money Laundering
June 07, 2002 -   Remarks From the Securities Industry Association Market Structure Conference
May 23, 2002 -   Testimony Before the U.S. House of Representatives Committee on Financial Services Subcommittee on Investigations and Oversight
April 23, 2002 -   Remarks From the NASD Regulation Spring Securities Conference, Washington, DC
April 09, 2002 -   Remarks From the 2002 SIA Research and Regulation Conference, New York, NY
March 05, 2002 -   Written Testimony Before the Senate Committee on Banking, Housing and Urban Affairs Hearing on Accounting and Investor Protection Issues Raised by Enron And Other Public Companies
March 05, 2002 -   Oral Statement Before the Senate Committee on Banking, Housing and Urban Affairs Hearing on Accounting and Investor Protection Issues Raised by Enron And Other Public Companies
February 27, 2002 -   Written Testimony Before the Senate Committee on Governmental Affairs Hearing On Analyst Independence
February 27, 2002 -   Oral Statement Before the Senate Committee on Governmental Affairs Hearing On Analyst Independence
January 09, 2002 -   Remarks From the Bond Market Association Legal and Compliance Conference
November 13, 2001 -   Remarks From the A. A. Sommer Lecture - Fordham Law School, New York, NY
October 18, 2001 -   Remarks From the 8th Annual Securities Industry Conference at Pace University
September 20, 2001 -   Testimony Before the Senate Committee on Banking, Housing and Urban Affairs Hearing On The Condition of the U.S. Financial Markets
March 19, 2001 -   Remarks From the Annual Conference of the Securities Industry Association Compliance & Legal Division
November 21, 2000 -   Letter to Members Regarding 2000 NASDR Fall Securities Conference Fall Securities Conference Remarks
November 17, 2000 -   Remarks at NASD Regulation Fall Securities Conference San Francisco, California
October 12, 2000 -   Remarks From the STA Annual Conference, Boca Raton, Florida
September 13, 2000 -   Testimony Before the Finance and Hazardous Materials Subcommittee of the House Commerce Committee on Organized Crime in the Securities Markets
April 26, 2000 -   Remarks From the NASD Regulation Spring Securities Conference, Washington, DC
February 25, 2000 -   Testimony Before the Permanent Subcommittee on Investigations Senate Committee on Governmental Affairs on the Securities Day-Trading Industry
October 22, 1999 -   Remarks From the NASD Regulation Fall Securities Conference, Seattle, Washington
September 16, 1999 -   Testimony Before the Permanent Subcommittee on Investigations Senate Committee on Governmental Affairs on the Securities Day Trading Industry
May 04, 1999 -   Remarks From the Society of American Business Editors and Writers' (SABEW) 36th Annual Conference
February 25, 1999 -   Remarks From the ASECA's 7th Annual William O. Douglas Awards Dinner Honoring Stephen Hammerman
November 17, 1998 -   Remarks From the ASECA.s 7th Annual William O. Douglas Awards Dinner Honoring Stephen Hammerman, Washington, DC
November 05, 1998 -   Remarks From the NASD Regulation Fall Securities Conference, San Francisco, California
November 06, 1997 -   Remarks From the NASD Regulation Fall Securities Conference, Phoenix, Arizona
October 16, 1997 -   Presentation Before the Bond Market Association
October 08, 1997 -   Testimony Before a Subcommittee of Financial Institutions and Consumer Credit of the Banking and Financial Services Committee
September 25, 1997 -   Remarks From the District 7 Compliance Seminar, Atlanta, Georgia
September 22, 1997 -   Testimony Before the Senate Permanent Subcommittee on Investigations on Micro-Cap Stock Fraud
August 12, 1997 -   Testimony Before the New York State Attorney General's Public Hearings on Micro-Cap Stock Fraud
March 18, 1997 -   Remarks From the SIA Compliance & Legal Conference, Orlando, Florida
March 11, 1997 -   Remarks From the SIA Securities Industry Institute
November 07, 1996 -   Remarks From the American Association of Certified Public Accountants Conference of Banks and Savings Institutions on Strengthening Corporate Governance
May 16, 1996 -   Remarks From the Spring Securities Conferences on NASDR "Best Practices"
April 29, 1996 -   Remarks From the NASAA Spring Conference on New Beginnings: Developing the Regulatory Partnership
April 03, 1996 -   Remarks From the Owen Distinguished Lecture Series at Vanderbilt University

October 20, 2014 -   Remarks at NSCP 2014 National Conference
September 17, 2014 -   Remarks From the Financial Policy Joint Conference on Market Fragmentation, Fragility and Fees
September 16, 2014 -   Remarks From the Financial Policy Joint Conference on Market Fragmentation, Fragility and Fees
June 18, 2014 -   Remarks From SIFMA Tech 2014
May 19, 2014 -   Remarks From the 2014 FINRA Annual Conference
February 06, 2014 -   Remarks From the NACUBO 2014 Endowment and Debt Management Forum
October 28, 2013 -   Remarks From the SIFMA C&L New York Regional Seminar
October 03, 2013 -   Remarks From the Council for Economic Education
May 29, 2013 -   Remarks About the National Financial Capability Study
May 21, 2013 -   Remarks From the FINRA Annual Conference
April 09, 2013 -   Remarks From the National Compliance Outreach Program for Broker-Dealers
March 14, 2013 -   Remarks From the Consumer Federation of America Consumer Assembly
November 15, 2012 -   Statement for the Record for Senate Special Committee on Aging Hearing
November 15, 2012 -   Remarks From the Investment Program Association Fall Conference
October 24, 2012 -   Remarks From the PLI Seminar on Broker-Dealer Regulation and Enforcement 2012
October 11, 2012 -   Remarks From the Bond Dealers Association Annual Conference
September 27, 2012 -   Remarks From the SIFMA Complex Products Forum
September 27, 2012 -   Remarks From the SIFMA Complex Products Forum
September 20, 2012 -   Remarks From the Security Traders Association Annual Conference
June 25, 2012 -   Remarks From the IRI Government, Legal and Regulatory Conference
June 06, 2012 -   Testimony Before the Committee on Financial Services
May 21, 2012 -   Remarks From the FINRA Annual Conference
April 24, 2012 -   Testimony Before the Committee on Banking, Housing, and Urban Affairs
February 01, 2012 -   Remarks From the Global Diversity Leadership Exchange
December 15, 2011 -   Testimony Before the Subcommittee on Oversight and Investigations
December 14, 2011 -   Testimony Before the Subcommittee on Securities, Insurance, and Investment
December 08, 2011 -   Testimony Before the Committee on Agriculture
November 03, 2011 -   Remarks From the Research Center on the Prevention of Financial Fraud 2011 Conference
October 13, 2011 -   Remarks From the STA Annual Conference
October 05, 2011 -   Remarks From the Financial Services Institute Advocacy Summit
September 13, 2011 -   Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
June 28, 2011 -   Remarks From the IRI Government, Legal and Regulatory Conference
May 24, 2011 -   Remarks From the FINRA Annual Conference
May 13, 2011 -   Testimony Before the Subcommittee on Oversight and Investigations Committee on Financial Services
March 22, 2011 -   Remarks From the SIFMA Compliance and Legal Division's Annual Seminar
March 07, 2011 -   Remarks From FINRA Fixed Income Conference
February 08, 2011 -   Remarks From the CCOutreach BD National Seminar
December 08, 2010 -   Testimony Before the Subcommittee on Securities, Insurance, and Investment
May 26, 2010 -   Remarks From the 2010 FINRA Annual Conference
May 20, 2010 -   Testimony Before the Committee on Banking, Housing, and Urban Affairs
May 13, 2010 -   Remarks From the Women in Housing and Finance Luncheon
May 07, 2010 -   Remarks From the SIFMA Compliance & Legal Division's Annual Seminar
April 29, 2010 -   Remarks From the IRI Government & Regulatory Affairs Conference
March 09, 2010 -   Remarks From FINRA Fixed Income Conference
December 15, 2009 -   Remarks on the National Financial Capability Study Release
November 18, 2009 -   Remarks From the XBRL US National Conference
October 27, 2009 -   Remarks From the SIFMA Annual Meeting
October 08, 2009 -   Remarks From the ALI-ABA Conference
October 06, 2009 -   Testimony Before the Committee on Financial Services
October 02, 2009 -   Remarks From the Fordham University Ethics and Regulatory Conference
September 02, 2009 -   Statement Before the SEC/CFTC Joint Meeting on Harmonization of Regulation
August 17, 2009 -   Testimony Before the Committee on Banking, Housing, and Urban Affairs
June 25, 2009 -   Testimony Before the Subcommittee on Financial Institutions and Consumer Credit
June 17, 2009 -   Remarks From the Exchequer Club
June 08, 2009 -   Remarks From the NAVA Government & Regulatory Affairs Conference
May 01, 2009 -   Remarks at the New York University Pollack Center for Law and Business
March 26, 2009 -   Testimony Before the Committee on Banking, Housing, and Urban Affairs
March 23, 2009 -   Remarks From the SIFMA Compliance & Legal Division's Annual Seminar
February 04, 2009 -   Testimony Before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
January 27, 2009 -   Testimony Before the Committee on Banking, Housing, and Urban Affairs
December 18, 2008 -   Remarks with President-Elect Obama
October 23, 2008 -   Remarks From the FINRA Fall Securities Conference
October 21, 2008 -   Remarks From the ACLI Annual Conference
October 14, 2008 -   Remarks From the Ethics and Leadership Lecture at Dominican University
September 22, 2008 -   Remarks From the SEC's Third Annual Senior Summit
September 18, 2008 -   Testimony Concerning Auction Rate Securities Markets
September 10, 2008 -   Remarks From the New York Regulation and Compliance Conference
July 16, 2008 -   Testimony Before the Special Committee on Aging United States Senate
June 26, 2008 -   Remarks From the Women in Housing and Finance Luncheon
June 03, 2008 -   Remarks From NAVA Conference
March 07, 2008 -   Remarks From the CCOutreach BD National Seminar
February 08, 2008 -   Remarks From the William O. Douglas Award Presentation at ASECA Annual Dinner
November 09, 2007 -   Remarks From the SIFMA Annual Meeting
October 11, 2007 -   Remarks From the FINRA Fall Securities Conference
October 04, 2007 -   Remarks From the STA Annual Conference
September 26, 2007 -   Remarks From the Distinguished Speaker Series, Georgetown University McDonough School of Business
September 10, 2007 -   Remarks From the SEC Seniors Summit
June 20, 2007 -   Remarks From The Exchequer Club
May 23, 2007 -   Remarks From the 16th Annual NASD Spring Securities Conference
May 17, 2007 -   Testimony Before the Senate Banking Committee Hearing on Regulatory Consolidation
May 11, 2007 -   Remarks From the ICI General Membership Meeting
May 07, 2007 -   Remarks From the NASD Foundation-Tuck School of Business Symposium on Marketing Investor Education
April 25, 2007 -   Remarks From the SIFMA Independent Firms Conference
March 27, 2007 -   Remarks From the Mutual Funds and Investment Management Conference
March 26, 2007 -   Remarks From the SIFMA Compliance and Legal Division's 38th Annual Seminar
March 14, 2007 -   Remarks From the U.S. Chamber of Commerce
January 27, 2007 -   Remarks to the Securities Traders Association
December 01, 2006 -   Remarks From the Women's Leadership Program at The Wharton Club of DC
November 28, 2006 -   Remarks From the Securities and Exchange Commission News Conference Regarding NASD and NYSE Regulatory Consolidation
November 16, 2006 -   Remarks From the NASD Fall Securities Conference
November 09, 2006 -   Remarks From the SIFMA Launch Meeting 2006
October 12, 2006 -   Remarks From the STA 73rd Annual Conference & Business Meeting
September 28, 2006 -   Testimony Before the Committee on Financial Services Subcommittee on Financial Institutions and Consumer Credit Hearing on Financial Literacy United States House of Representatives
September 18, 2006 -   Remarks From the NASAA Annual Conference
September 13, 2006 -   Remarks From the Financial Services Institute Third Annual Public Policy Day
August 04, 2006 -   Remarks From the 2006 Annual Meeting of the Certified Financial Planner Board of Standards, Inc.
July 17, 2006 -   Remarks From the SEC Seniors Summit
June 21, 2006 -   Remarks From the Harvard Business School Global Leadership Forum
May 19, 2006 -   Remarks From the 2006 NASD Spring Securities Conference
May 19, 2006 -   Remarks From the Bond Market Association Annual Meeting
May 18, 2006 -   Remarks From the ICI Annual Meeting
May 18, 2006 -   Testimony Before the Committee on Financial Services Subcommittee on Oversight and Investigations, Hearing on the Financial Services, Needs of Military Personnel and Their Families
May 18, 2006 -   Remarks From the 2006 NASD Spring Securities Conference
May 09, 2006 -   Remarks From the Securities & Investment Institute
April 04, 2006 -   Remarks From the SIA Small Firms Forum
March 29, 2006 -   Testimony Before the Committee on Aging United States Senate Hearing on Elderly Investment Fraud
March 20, 2006 -   Remarks From the SIA Compliance & Legal Division Annual Conference
March 09, 2006 -   Testimony Before the Committee on Banking, Housing and Urban Affairs United States Senate Hearing on Self-Regulatory Organizations
January 09, 2006 -   Remarks From the NASAA Enforcement Conference
December 13, 2005 -   Remarks From the ICI Securities Law Conference
November 18, 2005 -   Remarks From the 2005 Fall Securities Conference
November 17, 2005 -   Testimony Before the Senate Committee on Banking, Housing and Urban Affairs on Military Sales
November 17, 2005 -   Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services on Self-Regulatory Organizations: Exploring the Need for Reform
November 17, 2005 -   Remarks From the 2005 NASD Fall Securities Conference
November 17, 2005 -   Remarks From the 2005 NASD Fall Securities Conference
November 11, 2005 -   Remarks From the Securities Industry Association Annual Meeting
September 23, 2005 -   Remarks From the SIA Mutual Fund Reform Conference
September 19, 2005 -   Remarks From the SIA Soft Dollars and Institutional Brokerage Conference
May 26, 2005 -   Remarks From the 2005 NASD Spring Securities Conference
May 25, 2005 -   Remarks From the 2005 NASD Spring Securities Conference
May 20, 2005 -   Remarks From the SIA Market Structure Conference
April 20, 2005 -   Remarks From the Bond Market Association Annual Meeting on Navigating the Changing Climate in Fixed-Income Products
April 07, 2005 -   Remarks From the Independent Directors Council Directors Workshop
April 04, 2005 -   Remarks From the SIA Compliance & Legal Division Conference
March 17, 2005 -   Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises Committee on Financial Services United States House of Representatives
February 02, 2005 -   Remarks From the Bond Market Association Legal and Compliance Conference
November 04, 2004 -   Remarks From the NASD SIA Annual Conference, Boca Raton, FL
October 15, 2004 -   Remarks From the NASD Fall Securities Conference Speech
October 14, 2004 -   Remarks From the 2004 NASD Fall Securities Conference
September 30, 2004 -   Testimony Before the United States Senate Committee on Government Affairs Subcommittee on Financial Management, The Budget, and International Security Hearing to Review 529 College Savings Plans
September 28, 2004 -   Remarks From the 27th Annual SIA Sales and Marketing Conference on Current NASD Regulatory Issues on Sales and Marketing
June 17, 2004 -   Testimony Before the United States Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs on An Overview of the Regulation of the Bond Markets
May 12, 2004 -   Remarks From the 2004 NASD Spring Securities Conference
May 12, 2004 -   Remarks From the 2004 NASD Spring Securities Conference
March 22, 2004 -   Remarks From the SIA Compliance & Legal Conference, Phoenix, AZ
March 10, 2004 -   Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
February 03, 2004 -   From the Bond Market Association Legal and Compliance Conference
November 20, 2003 -   Testimony Before the Senate Committee on Banking, Housing, and Urban Affairs Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry
November 06, 2003 -   Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises House Financial Services Committee Hearing on Mutual Fund Trading Abuses
November 03, 2003 -   Testimony Before the Subcommittee on Financial Management, the Budget and International Security Senate Committee on Government Affairs Hearing on Mutual Fund Trading Abuses
October 16, 2003 -   Remarks From the 2003 NASD Fall Securities Conference
September 17, 2003 -   Remarks From the 45th Annual Meeting of the National Association for Business Economics
June 05, 2003 -   Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises On H.R. 2179 (Securities Fraud Deterrence and Investor Restitution Act)
May 07, 2003 -   Testimony Before the United States Senate Committee on Banking, Housing and Urban Affairs Hearing on the Global Settlement of Conflicts of Interest Between Research and Investment Banking
May 01, 2003 -   Remarks From the 2003 NASD Spring Securities Conference
May 01, 2003 -   Remarks From the 2003 NASD Spring Securities Conference
April 28, 2003 -   Remarks From the Final Global Settlement Press Conference in Washington DC.
April 09, 2003 -   Remarks From the SIA C&L Annual Seminar, Lake Buena Vista, FL
March 06, 2003 -   Testimony Before the House Financial Services Committee Subcommittee on Capital Markets
February 04, 2003 -   Remarks From The Bond Market Association's Eighth Annual Legal & Compliance Conference, New York, NY
November 07, 2002 -   Remarks From the Securities Industry Association Annual Meeting
October 22, 2002 -   Remarks From the NASD Fall Securities Conference, San Diego, CA
October 03, 2002 -   Testimony Before the Senate Committee on Banking, Housing and Urban Affairs Hearing on Money Laundering
June 07, 2002 -   Remarks From the Securities Industry Association Market Structure Conference
May 23, 2002 -   Testimony Before the U.S. House of Representatives Committee on Financial Services Subcommittee on Investigations and Oversight
April 23, 2002 -   Remarks From the NASD Regulation Spring Securities Conference, Washington, DC
April 09, 2002 -   Remarks From the 2002 SIA Research and Regulation Conference, New York, NY
March 05, 2002 -   Written Testimony Before the Senate Committee on Banking, Housing and Urban Affairs Hearing on Accounting and Investor Protection Issues Raised by Enron And Other Public Companies
March 05, 2002 -   Oral Statement Before the Senate Committee on Banking, Housing and Urban Affairs Hearing on Accounting and Investor Protection Issues Raised by Enron And Other Public Companies
February 27, 2002 -   Written Testimony Before the Senate Committee on Governmental Affairs Hearing On Analyst Independence
February 27, 2002 -   Oral Statement Before the Senate Committee on Governmental Affairs Hearing On Analyst Independence
January 09, 2002 -   Remarks From the Bond Market Association Legal and Compliance Conference
November 13, 2001 -   Remarks From the A. A. Sommer Lecture - Fordham Law School, New York, NY
October 18, 2001 -   Remarks From the 8th Annual Securities Industry Conference at Pace University
September 20, 2001 -   Testimony Before the Senate Committee on Banking, Housing and Urban Affairs Hearing On The Condition of the U.S. Financial Markets
March 19, 2001 -   Remarks From the Annual Conference of the Securities Industry Association Compliance & Legal Division
November 21, 2000 -   Letter to Members Regarding 2000 NASDR Fall Securities Conference Fall Securities Conference Remarks
November 17, 2000 -   Remarks at NASD Regulation Fall Securities Conference San Francisco, California
October 12, 2000 -   Remarks From the STA Annual Conference, Boca Raton, Florida
September 13, 2000 -   Testimony Before the Finance and Hazardous Materials Subcommittee of the House Commerce Committee on Organized Crime in the Securities Markets
April 26, 2000 -   Remarks From the NASD Regulation Spring Securities Conference, Washington, DC
February 25, 2000 -   Testimony Before the Permanent Subcommittee on Investigations Senate Committee on Governmental Affairs on the Securities Day-Trading Industry
October 22, 1999 -   Remarks From the NASD Regulation Fall Securities Conference, Seattle, Washington
September 16, 1999 -   Testimony Before the Permanent Subcommittee on Investigations Senate Committee on Governmental Affairs on the Securities Day Trading Industry
May 04, 1999 -   Remarks From the Society of American Business Editors and Writers' (SABEW) 36th Annual Conference
February 25, 1999 -   Remarks From the ASECA's 7th Annual William O. Douglas Awards Dinner Honoring Stephen Hammerman
November 17, 1998 -   Remarks From the ASECA.s 7th Annual William O. Douglas Awards Dinner Honoring Stephen Hammerman, Washington, DC
November 05, 1998 -   Remarks From the NASD Regulation Fall Securities Conference, San Francisco, California
November 06, 1997 -   Remarks From the NASD Regulation Fall Securities Conference, Phoenix, Arizona
October 16, 1997 -   Presentation Before the Bond Market Association
October 08, 1997 -   Testimony Before a Subcommittee of Financial Institutions and Consumer Credit of the Banking and Financial Services Committee
September 25, 1997 -   Remarks From the District 7 Compliance Seminar, Atlanta, Georgia
September 22, 1997 -   Testimony Before the Senate Permanent Subcommittee on Investigations on Micro-Cap Stock Fraud
August 12, 1997 -   Testimony Before the New York State Attorney General's Public Hearings on Micro-Cap Stock Fraud
March 18, 1997 -   Remarks From the SIA Compliance & Legal Conference, Orlando, Florida
March 11, 1997 -   Remarks From the SIA Securities Industry Institute
November 07, 1996 -   Remarks From the American Association of Certified Public Accountants Conference of Banks and Savings Institutions on Strengthening Corporate Governance
May 16, 1996 -   Remarks From the Spring Securities Conferences on NASDR "Best Practices"
April 29, 1996 -   Remarks From the NASAA Spring Conference on New Beginnings: Developing the Regulatory Partnership
April 03, 1996 -   Remarks From the Owen Distinguished Lecture Series at Vanderbilt University