New Members, Board of Trustees (full roster)
New Members, Board of Advisors* (full roster)
* The Board of Advisors is a corps of committed volunteers who, while not subject to the governance and fiduciary responsibilities of the Board of Trustees, work individually and as a group to advance the mission and work of the SEC Historical Society.
Watch the archived 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.
Hear about the origins of the FCPA, 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.
Panelists: Stephanie Avakian and Steven Peikin, and former division directors Andrew J. Ceresney, Stephen Cutler, Robert Khuzami, Gary Lynch, William McLucas, Stanley Sporkin, Linda Thomsen, and Richard Walker. Moderator: Dr. Harwell Wells.
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.