Securities and Exchange Commission Historical Society
85th ANNIVERSARY OF THE U.S. SECURITIES AND EXCHANGE COMMISSION

SAVE THE DATE - MONDAY, JUNE 3, 2019

Commemoration Dinner, Washington, DC
Contact 202-756-5015 to reserve a seat/table.

Live Webcast
October 3, 2018

MORGAN LEWIS PRESENTS 2018
A Conversation with Stephanie Avakian and Steven Peikin

Official Portraits of Stephanie Avakian and Steven Peikin
Images: SEC.gov

The Securities and Exchange Commission Historical Society and Morgan Lewis will host the co-directors of the SEC Division of Enforcement for a discussion about the trends in today's regulatory landscape with a look ahead to tomorrow.

The conversation with Stephanie Avakian and Steven Peikin will focus on timely topics such as cyber, retail investor protection, and key enforcement cases and priorities. Timed with the turn of the SEC's fiscal year, the discussion will also provide insight into the division's agenda for the upcoming year.



Speakers

Stephanie Avakian
Co-Director, Division of Enforcement Securities and Exchange Commission
Steven Peikin
Co-Director, Division of Enforcement Securities and Exchange Commission
Susan D. Resley
Partner, Securities Enforcement Practice, Morgan, Lewis & Bockius LLP
Ben A. Indek
Partner, Securities Enforcement Practice, Morgan, Lewis & Bockius LLP
New in the Museum
Oral History

February 21, 2018
Mark Fitterman


Thanks to a grant from Morgan, Lewis and Bockius LLP, the oral history of Mark Fitterman has now been added to the collection. From 1974 to 1995, Fitterman served in various roles at the SEC, eventually becoming Associate Director in the Division of Market Regulation. He worked on implementing the 1975 Act Amendments, including establishing a National Market System and the Municipal Securities Rulemaking Board. He also was in charge of oversight and inspections of the exchanges, investment advisors, and broker dealers prior to creation of a dedicated office for this function.

See all Oral Histories >>
Program

June 1, 2018
Regulation and Market Structure from ATS to NMS

Curb Traders - New York - 1916

Watch the video broadcast discussion between moderator Dr. Ken Durr and 3 former directors of SEC's Division of Trading and Markets -- Richard G. Ketchum, Dr. Richard R. Lindsey, and Annette Nazareth.

The panel examines the reshaping of the equities markets from the mid-1990s to mid-2000s, from Reg ATS (Alternative Trading System) through Reg NMS (National Market System), distinguishing the role of regulation, market innovation, and chance, in driving these changes.

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.