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Speeches and Testimony

April 4, 2005

Mary L. Schapiro

Remarks at the SIA Compliance & Legal Division Conference
March 17, 2005

Linda Fienberg

Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises Committee on Financial Services United States House of Representatives
February 2, 2005

Douglas Shulman

Remarks From the Bond Market Association Legal and Compliance Conference
November 4, 2004

Robert R. Glauber

Remarks From the NASD SIA Annual Conference, Boca Raton, FL
October 15, 2004

Robert R. Glauber

Remarks From the NASD Fall Securities Conference Speech
October 14, 2004

Mary L. Schapiro

Remarks From the 2004 NASD Fall Securities Conference
September 30, 2004

Mary L. Schapiro

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

Elisse B. Walter

Remarks From the 27th Annual SIA Sales and Marketing Conference on Current NASD Regulatory Issues on Sales and Marketing
June 17, 2004

Douglas Shulman

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

Robert R. Glauber

Remarks From the 2004 NASD Spring Securities Conference
May 12, 2004

Mary L. Schapiro

Remarks From the 2004 NASD Spring Securities Conference
March 22, 2004

Mary L. Schapiro

Remarks From the SIA Compliance & Legal Conference, Phoenix, AZ
March 10, 2004

Mary L. Schapiro

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 3, 2004

Robert R. Glauber

From the Bond Market Association Legal and Compliance Conference
November 20, 2003

Robert R. Glauber

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 6, 2003

Mary L. Schapiro

Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises House Financial Services Committee Hearing on Mutual Fund Trading Abuses
November 3, 2003

Mary L. Schapiro

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

Robert R. Glauber

Remarks From the 2003 NASD Fall Securities Conference
September 16, 2003

Robert R. Glauber

Remarks From the 45th Annual Meeting of the National Association for Business Economics
June 5, 2003

Mary L. Schapiro

Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises On H.R. 2179 (Securities Fraud Deterrence and Investor Restitution Act)
May 7, 2003

Robert R. Glauber

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 1, 2003

Robert R. Glauber

Remarks From the 2003 NASD Spring Securities Conference
May 1, 2003

Mary L. Schapiro

Remarks From the 2003 NASD Spring Securities Conference
April 28, 2003

Robert R. Glauber

Remarks From the Final Global Settlement Press Conference in Washington DC.
April 9, 2003

Mary L. Schapiro

Remarks From the SIA C&L Annual Seminar, Lake Buena Vista, FL

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