Securities and Exchange Commission Historical Society
Sponsorship Information: This program kicks off our fundraising drive to support construction of the SEC Enforcement Gallery and Irving Pollack Exhibit. Contact j.cobb@sechistorical.org to discuss opportunities for recognition as a permanent sponsor of one of these important historical projects.
Program

In partnership with The Securities Law Section-Federal Bar Association and The Association of Securities and Exchange Commission Alumni

Recorded Tuesday, April 3, 2018.

Roundtable of Current and Former SEC Enforcement Directors


Presenters:
Stephanie Avakian
Robert S. Khuzami
Stanley Sporkin
Andrew J. Ceresney
William R. McLucas
Linda Chatman Thomsen
Stephen M. Cutler
Gary G. Lynch
Steven Peikin
Richard H. Walker

Moderator:
Dr. Harwell Wells, Professor, Temple University Beasley School of Law

Insights into SEC Enforcement: The directors will discuss key issues and challenges that occurred during their tenure ranging from the origin of the FCPA through the development of insider trading and the impact of technology on the markets and the retail investor, giving insight into the overall development and direction of the SEC's enforcement program.



Save the Date
June 1, 2018, 12:00 -1:00 PM

US SEC, Washington, DC
Regulation and Market Structure from ATS to NMS

Featuring former Division Directors of Trading and Markets: Annette Nazareth, Richard Ketchum and Richard Lindsey

Part of constructing a new Gallery on Market Structure

New in the Museum
New Gallery

December 1, 2017
Investment Company Regulation: The Intricacies of an "Enlightened Partnership"

The Investment Company Gallery is the museum's 16th permanent gallery. The gallery shows how investment companies and their financial products - a cornerstone of American finance - have evolved over the last 75 years through a complex interplay between investment advisers, fund managers, and federal regulators.

Visit the Gallery
Deloitte Fireside Chat

November 15, 2017
Evolving Role of the Auditor

Moderator Tom Davenport, Professor, Babson College, along with Dan Sunderland, Chief Auditor, Deloitte & Touche LLP and Will Bible, Partner, Deloitte & Touche LLP.

Watch The Recording
Exhibit

Retrospective
Harold M. Williams

Chairman, U.S. Securities and Exchange Commission April 18, 1977 - March 1, 1981

A.A. Sommer, Jr. and Harold Williams, November 1977

Visit the Exhibit

Permission for Use

The virtual museum and archive is copyrighted by the SEC Historical Society. The Society reserves the right to restrict access to or use of the museum by any user at any time.

Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.

Material used with the Society's permission should be credited to: www.sechistorical.org.