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# Other

# SEC Webcasts

                            June 3, 2021                       

## Past Webcasts — Select Meeting Type

2024 | 2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002

## 2024 Webcasts

### SEC-NASAA-Georgia Secretary Of State Joint Investor Roundtable

**Wednesday, March 27 and Thursday, March 28, 2024, 1:00 p.m.**
                                  - Sunshine Act Notice
                                  - Agenda

### Investor Advisory Committee

**Thursday, March 7, 2024, 10:00 a.m.**
                                  - Sunshine Act Notice
                                  - Agenda
                                  - Webcast Archive  (Part 1)
                                  - Webcast Archive  (Part 2)

### Open Meeting

**Wednesday, March 6, 2024, 9:45 a.m.**
                                  - Sunshine Act Notice
                                  - Agenda
                                  - Fact Sheet: Climate-Related Disclosure
                                  - Fact Sheet: Disclosure of Order Execution Information
                                  - Webcast Archive

### 2024 SEC Investor Advocacy Clinic

**Friday, March 1, 2024, 11:15 a.m.**
                                    - Agenda
                                    - Bios
                                    - Webcast Archive

### Small Business Capital Formation Advisory Committee Meeting

**Tuesday, February 27, 2024, 10:00 a.m. ET**
                                    - Sunshine Act Notice
                                    - Agenda

### Open Meeting

**Wednesday, February 6, 2024, 10:00 a.m.**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Date and Time Change Notice - February 6, 2024 at 10 a.m.
                                    - Webcast Archive

### Open Meeting

**Wednesday, January 24, 2024, 10:00 a.m.**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Time Change Notice
                                    - Webcast Archive

## 2023 Webcasts

### Open Meeting

**Wednesday, December 13, 2023, 10:00 a.m.**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Fact Sheet: Improving Risk Management and Increasing Clearing in U.S. Treasuries
                                    - Webcast Archive

### Investor Advisory Committee

**Thursday, December 7, 2023, 10:30 a.m.**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Draft recommendation regarding Digital Engagement Practices
                                    - Presentation by Professor Elizabeth Goldman
                                    - Presentation by Dr. Inger Daniels-Hollar, PhD 
                                    - Presentation by Tim Ranzetta
                                    - Presentation by Dr. Annamaria Lusardi, PhD
                                    - Presentation by Gerri M. Walsh
                                    - Webcast Archive  (Part 1)
                                    - Webcast Archive  (Part 2)

### Small Business Capital Formation Advisory Committee Meeting

**Wednesday, November 29, 2023, 10:00 a.m. ET**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Webcast Archive  (Part 1)
                                    - Webcast Archive  (Part 2)

### Open Meeting

**Wednesday, October 18, 2023, 10:00 a.m.**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Fact Sheet: Volume-Based Exchange Transaction Pricing for NMS Stocks
                                    - Webcast Archive

### Open Meeting

**Friday, October 13, 2023, 9:30 a.m.**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Fact Sheet: Reporting of Securities Loans
                                    - Fact Sheet: Short Position and Activity Reporting
                                    - Webcast Archive

### Investor Advisory Committee

**Thursday, September 21, 2023, 10:00 a.m.**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Webcast Archive  (Part 1)
                                    - Webcast Archive  (Part 2)

### Open Meeting

**Wednesday, September 20, 2023, 10:00 a.m.**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Webcast Archive

### Small Business Capital Formation Advisory Committee Meeting

**Tuesday, September 19, 2023, 10:00 a.m. ET**
                                    - Sunshine Act Notice
                                    - Press Release
                                    - Agenda
                                    - Webcast Archive

### Open Meeting

**Wednesday, September 6, 2023, 10:00 a.m.**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Fact Sheet - CAT NMS Plan Amendment: Funding Model
                                    - Webcast Archive

### Open Meeting

**Wednesday, August 23, 2023, 10:00 a.m.**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Exemption From National Securities Association Membership
                                    - Private Fund Adviser Reforms
                                    - Webcast Archive

### Open Meeting

**Wednesday, July 26, 2023, 10:00 a.m.**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Fact Sheet: Public Company Cybersecurity Disclosures
                                    - Fact Sheet: Conflicts of Interest and Predictive Data Analytics
                                    - Fact Sheet: Internet Adviser Registration Reforms
                                    - Webcast Archive

### Open Meeting

**Wednesday, July 12, 2023, 10:00 a.m.**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Fact Sheet: Money Market Fund Reforms
                                    - Fact Sheet: Proposed Enhancements to the Broker-Dealer Customer Protection Rule
                                    - Webcast Archive

### Investor Advocacy Committee

**Thursday, June 22, 2023, 10:00 a.m. ET**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Webcast Archive  (Part 1)
                                    - Webcast Archive  (Part 2)

### Small Business Capital Formation Advisory Committee Meeting

**Wednesday, June 14, 2023, 10:00 a.m. ET**
                                    - Sunshine Act Notice
                                    - Press Release
                                    - Agenda
                                    - Webcast Archive  (Part 1)
                                    - Webcast Archive  (Part 2)

### Open Meeting

**Wednesday, June 7, 2023, 10:00 a.m. ET**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Meeting Change Notice
                                    - Fact Sheets: 	                                       - SBS Fraud & Manipulation; CCO Independence                                          - Final Rule
                                      - Removal of References to Credit Ratings From Regulation M                                          - Final Rule
                                    - Webcast Archive

### Conference On Emerging Trends In Asset Management

**Friday, May 19, 2023, 10:00 a.m. ET**
                                    - Conference Speaker Details
                                    - Webcast Archive  (Part 1)
                                    - Webcast Archive  (Part 2)
                                    - Webcast Archive  (Part 3)

### Open Meeting

**Wednesday, May 17, 2023, 10:00 a.m. ET**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Fact Sheet
                                    - Webcast Archive

### Municipal Securities Disclosure Conference

**Wednesday, May 10, 2023, 9:30 a.m. ET**
                                    - Agenda
                                    - Webcast Archive

### Open Meeting

**Wednesday, May 3, 2023, 10:00 a.m. ET**
                                    - Sunshine Act Notice
                                    - Agenda
                                    - Fact Sheet: Share Repurchase Disclosure Modernization
                                    - Fact Sheet: Amendments to Form PF
                                    - Webcast Archive

### Compliance Outreach Regional Seminar For IA/IC Senior Officers

**Wednesday, April 26, 2023, 12:00 p.m.**
                                      - Agenda

### Open Meeting

**Wednesday, April 14, 2023, 10:00 a.m.**
                                        - Sunshine Act Notice
                                        - Agenda
                                        - Webcast Archive

### 2023 SEC Investor Advocacy Clinic

**Wednesday, March 29, 2023, 11:00 a.m.**
                                          - Webcast Archive

### Open Meeting

**Wednesday, March 22, 2023, 10:00 a.m.**
                                          - Sunshine Act Notice - Change
                                          - Sunshine Act Notice
                                          - Agenda (Updated)
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, March 15, 2023, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Fact Sheet: Proposed Enhancements to Regulation S-P
                                          - Fact Sheet: Addressing Cybersecurity Risks
                                          - Fact Sheet: Regulation SCI: Proposed Expansion and Updates
                                          - Webcast Archive

### Investor Advisory Committee

**Thursday, March 2, 2023, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Draft Recommendation on Account Statements
                                          - Webcast Archive  (Part 1)
                                          - Webcast Archive  (Part 2)

### Open Meeting

**Wednesday, February 15, 2023, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Fact Sheet: Reducing Risk in Clearance and Settlement
                                          - Fact Sheet: Safeguarding Advisory Client Assets
                                          - Webcast Archive

### Small Business Capital Formation Advisory Committee Meeting

**Tuesday, February 7, 2023, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Webcast Archive  (Part 1)
                                          - Webcast Archive  (Part 2)

### Open Meeting

**Wednesday, January 25, 2023, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Fact Sheet
                                          - Webcast Archive

## 2022 Webcasts

### Open Meeting

**Wednesday, December 14, 2022, 11:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Time Change Notice
                                          - Fact Sheet: Insider Trading Arrangements and Related Disclosure
                                          - Fact Sheet: Disclosure of Order Execution Information
                                          - Fact Sheet: Tick Sizes, Access Fees, and Transparency of Better Priced Orders
                                          - Fact Sheet: Enhancing Order Competition
                                          - Fact Sheet: Regulation Best Execution
                                          - Webcast Archive  (Part 1)
                                          - Webcast Archive  (Part 2)

### Investor Advisory Committee

**Thursday, December 8, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive  (Part 1)
                                          - Webcast Archive  (Part 2)

### The Registration Statement of American CryptoFed DAO LLC

**Thursday, December 1, 2022, 10:00 a.m.Friday, December 2, 2022, 10:00 a.m.Tuesday, December 6, 2022, 11:00 a.m.Wednesday, January 18, 2023, 10:00 a.m.Thursday, January 19, 2023, 10:00 a.m.**
                                          - Press Release
                                          - Order

### 2022 Compliance Outreach Regional Program for Investment Advisers and Investment Companies

**Tuesday, November 15, 2022, 8:30 a.m.**
                                          - Agenda

### Open Meeting

**Wednesday, November 2, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, October 26, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          -  Fact Sheet: Recovery of Erroneously Awarded Compensation 
                                          -  Fact Sheet: Shareholder Reports for Mutual Funds and ETFs; Fee Information in Investment Company Advertisements 
                                          -  Fact Sheet: Outsourcing by Investment Advisers 
                                          - Webcast Archive

### Small Business Capital Formation Advisory Committee Meeting

**Thursday, October 13, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Press Release
                                          - Agenda
                                          - Webcast Archive  (Part 1)
                                          - Webcast Archive  (Part 2)

### Open Meeting

**Wednesday, October 12, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Fact Sheet: Final Amendments to Electronic Recordkeeping Requirements
                                          - Webcast Archive

### Investor Advisory Committee

**Wednesday, September 21, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda  
                                          - Webcast Archive  (Part 1)
                                          - Webcast Archive  (Part 2)

### Open Meeting

**Wednesday, September 14, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Fact Sheet: Improving Risk Management and Increasing Clearing in U.S. Treasuries
                                          - Webcast Archive

### Open Meeting

**Wednesday, August 10, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Fact Sheet: SEC/CFTC Proposed Amendments to Form PF
                                          - Webcast Archive

### Small Business Capital Formation Advisory Committee Meeting

**Tuesday, August 2, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Webcast Archive

### Open Meeting

**Wednesday, July 13, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Fact Sheet: Shareholder Proposals under Rule 14a-8: Proposed Rules
                                          - Fact Sheet: Proxy Voting Advice
                                          - Webcast Archive

### Investor Advisory Committee

**Thursday, June 9, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Panelist Info
                                          - Draft Recommendation on Protecting Older Investors
                                          - Draft Recommendation on Investor Clinic Funding
                                          - Webcast Archive  (Part 1)
                                          - Webcast Archive  (Part 2)

### Open Meeting

**Wednesday, May 25, 2022, 1:00 p.m.**
                                          - Sunshine Notice
                                          - Agenda
                                          - Fact Sheet: Amendments to the Fund “Names Rule”
                                          - Fact Sheet: ESG Disclosures for Investment Advisers and Investment Companies
                                          - Webcast Archive

### Ninth Annual Conference on Financial Market Regulation

**Friday, May 6, 2022, 9:00 a.m.**

### Small Business Capital Formation Advisory Committee Meeting

**Friday, May 6, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice  
                                          - Webcast Archive  (Part 1)
                                          - Webcast Archive  (Part 2)

### Older Investor Roundtable

**Thursday, April 28, 2022, 10:00 a.m.**
                                          - Agenda

### Open Meeting

**Wednesday, April 6, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Fact Sheet
                                          - Webcast Archive

### 2022 SEC Investor Advocacy Clinic Summit: Virtual Outreach Event

**Thursday, March 31, 2022, 10:00 a.m.**
                                          - Agenda

### Open Meeting

**Wednesday, March 30, 2022, 11:30 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Fact Sheet
                                          - Webcast Archive

### Open Meeting

**Monday, March 21, 2022, 11:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Fact Sheet
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, March 10, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Panelist Info
                                          - Webcast Archive  (Part 1)
                                          - Webcast Archive  (Part 2)

### Open Meeting

**Wednesday, March 9, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Fact Sheet
                                          - Webcast Archive

### Small Business Capital Formation Advisory Committee Meeting

**Thursday, February 10, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Webcast Archive  (Part 1)
                                          - Webcast Archive  (Part 2)

### Open Meeting

**Wednesday, February 9, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Sunshine Act Change Notice
                                          - Agenda  (Revised)
                                          - Webcast Archive

### Open Meeting

**Wednesday, January 26, 2022, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

## 2021 Webcasts

### Open Meeting

**Wednesday, December 15, 2021, 10:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda  (Updated Dec. 9, 2021)
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, December 2, 2021**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Panelist Info
                                          - Draft Recommendation of the Investor-as-Purchaser Subcommittee on IRAs
                                          - Webcast Archive - Part 1
                                          - Webcast Archive - Part 2

### Open Meeting

**Wednesday, November 17, 2021, 11:00 a.m.**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Fact Sheet: Universal Proxy Rules for Director Elections
                                          - Fact Sheet: Proxy Voting Advice

### Small Business Capital Formation Advisory Committee Meeting

**Tuesday, November 16, 2021**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Press Release
                                          - Agenda
                                          - Alicia Robb Report on Rural Entrepreneurship
                                          - Elevate Ventures (from speaker Phil Lodato)
                                          - State Small Business Credit Initiative Presentation
                                          - Webcast Archive

### AAC Attorney Panel

**Wednesday, November 10, 2021**
                                          - Webcast Archive

### Division of Enforcement Director Gurbir Grewal at the 53rd Annual Institute on Securities Regulation

**Friday, November 5, 2021**
                                          - Webcast Archive

### Asset Management Advisory Committee

**Wednesday, November 3, 2021**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Press Release and Agenda
                                          - Report and Recommendations on Regulatory Approach for Small Advisers and Funds
                                          - Recommendations of the Evolution of Advice Subcommittee
                                          - Webcast Archive

### Asset Management Advisory Committee

**Thursday, October 28, 2021**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Press Release and Agenda
                                          - Evolution of Advice Subcommittee Presentation
                                          - Personetics Autonomous Finance Presentation
                                          - Draft Observations and Recommendations of the Small Advisers and Small Funds subcommittee
                                          - Panelist Bios
                                          - Webcast Archive

### SEC Focus

**Friday, October 15, 2021**
                                          - Webcast Archive

### Chair Gensler Remarks at the U.S. House Committee on Financial Services

**Tuesday, October 5, 2021**
                                          - Testimony Before the United States House of Representatives Committee on Financial Services
                                          - Webcast Archive

### Open Meeting

**Wednesday, September 29, 2021**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Small Business Capital Formation Advisory Committee

**Monday, September 27, 2021**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive - Part 1
                                          - Webcast Archive - Part 2

### Asset Management Advisory Committee

**Monday, September 27, 2021**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Webcast Archive - Part 1
                                          - Webcast Archive - Part 2

### Chair Gensler Senate Hearing

**Tuesday, September 14, 2021**
                                          - Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, September 9, 2021**
                                          - Agenda
                                          - Meeting Notice
                                          - Investor Advisory Committee
                                          - Draft Recommendation of the Investor-as-Purchaser and Investor-as-Owner Subcommittees on SPACs
                                          - Draft Recommendation of the Investor-as-Owner Subcommittee on 10b5-1 Plans
                                          - Webcast Archive - Part 1
                                          - Webcast Archive - Part 2

### Virtual Outreach

**Wednesday, August 25, 2021**
                                          - Webcast Archive

### HBCU Sustainability Panel

**Thursday, August 19, 2021**
                                          - Webcast Archive

### Asset Management Advisory Committee

**Wednesday, July 7, 2021**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive - Part 1
                                          - Webcast Archive - Part 2
                                          - Background Materials                                              - Recommendations of the Diversity and Inclusion Subcommittee of AMAC
                                            - Ethic Inc Presentation
                                            - eMoney Presentation
                                            - Recommendations of the ESG Subcommittee of AMAC
                                            - Interim Report of Subcommittee on Private Investments
                                            - Panelist Bios
                                            - Kitces Presentation

### Investor Advisory Committee Meeting

**Thursday, June 10, 2021**
                                          - Agenda
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Panelist Biographies
                                          - Investor Advisory Committee
                                          - Webcast Archive - Part 1
                                          - Webcast Archive - Part 2

### Eighth Annual Conference on Financial Market Regulation

**Thursday & Friday, May 13-14, 2021**
                                          - Registration and Agenda
                                          - Webcast Archive Day 1
                                          - Webcast Archive Day 2

### Protecting Older Americans From Financial Fraud

**Wednesday, May 12, 2021**
                                          - Protecting Older Americans from Financial Fraud Flyer

### Small Business Capital Formation Advisory Committee

**Friday, April 30, 2021**
                                          - Sunshine Act Notice
                                          - Meeting Notice
                                          - Press Release
                                          - Agenda
                                          - Small Business Capital Formation Advisory Committee
                                          - Webcast Archive

### Join The Conversation: Raising Capital as a Tech Entrepreneur of Color

**Tuesday, April 27, 2021**
                                          - Tech Entrepreneurs of Color
                                          - Webcast Archive

### Financial Literacy and Career Day Program

**Wednesday April 21, 2021**
                                          - Webcast Archive

### Pride in the Federal Workplace

**Monday, March 22, 2021**
                                          - Pride in the Federal Workplace Flyer
                                          - Webcast Archive

### Asset Management Advisory Committee

**Friday, March 19, 2021**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Panelist Bios
                                          - Private Investments Meeting Slides
                                          - Asset Management Advisory Committee
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, March 11, 2021**
                                          - Agenda
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Small Business Capital Formation Advisory Committee

**Friday, January 29, 2021**
                                          - Sunshine Act Notice
                                          - Meeting Notice
                                          - Press Release
                                          - Agenda
                                          - Presentation: Office of the Advocate for Small Business Capital Formation - Overview of FY 2020 Annual Report
                                          - Presentation: Cass Sanford, OTC Markets Group, on Pulse of the Public Markets
                                          - Small Business Capital Formation Advisory Committee
                                          - Webcast Archive

## 2020 Webcasts

### Open Meeting

**Monday, December 21, 2020** (CANCELLED)
                                          - Sunshine Act Notice
                                          - Cancellation Notice

### Open Meeting

**Wednesday, December 16, 2020**
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Sunshine Act Change Notice
                                          - Webcast Archive

### Open Meeting

**Wednesday, December 9, 2020**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, December 3, 2020**
                                          - Agenda
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Asset Management Advisory Committee

**Tuesday, December 1, 2020**
                                          - Meeting Notice
                                          - Press Release and Agenda
                                          - Sunshine Act Notice
                                          - Asset Management Advisory Committee
                                          - Webcast Archive
                                          - Background Materials	                                             - Panelist Bios
                                            - Update from the ESG Subcommittee
                                            - Potential Recommendations of the ESG Subcommittee
                                            - Summary Draft: Preliminary Recommendations of ESG Subcommittee for the AMAC
                                            - Update from the Private Investments Subcommittee
                                          - Additional Background Materials	                                             - 10/15/2020 SASB SEC AMAC ESG Subcommittee FINAL

### Compliance Outreach Program National Seminar 2020

**Thursday, November 19, 2020, 12:00 pm ET**
                                          - Welcome Letter from Chairman Clayton
                                          - Press Release
                                          - Agenda
                                          - Speaker Bios
                                          - Webcast Archive

### Small Business Capital Formation Advisory Committee

**Monday, November 9, 2020**
                                          - Sunshine Act Notice
                                          - Meeting Notice
                                          - Press Release
                                          - Agenda
                                          - Small Business Capital Formation Advisory Committee
                                          - Webcast Archive

### Asset Management Advisory Committee

**Thursday, November 5, 2020**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Asset Management Advisory Committee
                                          - Webcast Archive

### Open Meeting

**~~Wednesday, November 4, 2020, 2:00 p.m.~~** (CANCELLED)
                                          - Sunshine Act Notice
                                          - Sunshine Act Change Notice
                                          - Sunshine Act Cancellation Notice

### Open Meeting

**Monday, November 2, 2020**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Virtual Panel Discussion with Dalia Blass and Market Participants

**Thursday, October 29, 2020**
                                          - Webcast Archive

### Open Meeting

**Wednesday, October 28, 2020**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Roundtable on Regulation Best Interest and Form CRS

**Monday, October 26, 2020**
                                          - Press Release and Agenda
                                          - Webcast Archive

### Joint Open Meeting: SEC and CFTC

**Thursday, October 22, 2020**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive  (link to CFTC YouTube video)

### Protecting Older Americans from Financial Fraud

**Thursday, October 15, 2020**
                                          - Event Flyer

### Roundtable on Interconnectedness and Risk in U.S. Credit Markets

**Wednesday, October 14, 2020**
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, October 7, 2020**
                                          - Sunshine Act Notice
                                          - Change in Start Time Notice
                                          - Agenda
                                          - Webcast Archive

### Your TSP Account – What to Think About When Nearing Retirement or Considering Leaving the Government

**Tuesday, October 6, 2010**
                                          - Webcast Archive
                                          - Slide Presentation

### How to Spot Financial Fraud: World Investor Week Educational Event

**Tuesday, October 6, 2020**
                                          - Public Flyer
                                          - Webcast Archive

### Fixed Income Market Structure Advisory Committee Meeting

**Monday, October 5, 2020**
                                          - Agenda
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Fixed Income Market Structure Advisory Committee
                                          - Webcast Archive
                                          - Meeting Materials
                                          - Preliminary Recommendation Regarding Defining Electronic Trading
                                          - Corporate Bond Market Presentations
                                          - Gilbert Garcia Presentation  Kumar Venkataraman Presentation  Sonali Theisen Presentation  Rick McVey Presentation  Lee Olesky Presentation
                                          - Municipal Securities Market Presentations
                                          - Municipal Securities Market Presentation  Lee Olesky Presentation
                                          - Bond Fund and ETF Presentations
                                          - Ananth Madhavan Presentation  Kumar Venkataraman Presentation

### Open Meeting (Cancelled)

**Wednesday, September 30, 2020**
                                          - Sunshine Act Notice
                                          - Cancellation Notice

### Investor Advisory Committee Meeting

**Thursday, September 24, 2020, 10:00 a.m. ET**
                                          - Agenda
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Recommendation of the Investor-as-Owner Subcommittee on COVID-19 Challenges to Going Concern Opinions and Audit/Controls Assessments
                                          - Webcast Archive

### Open Meeting

**Wednesday, September 23, 2020**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Seventh Annual Conference on Financial Market Regulation

**Thursday-Friday, September 17-18, 2020**
                                          - Agenda
                                          - Webcast Archive	                                             - September 17, 2020
                                            - September 18, 2020

### Asset Management Advisory Committee

**Wednesday, September 16, 2020**
                                          - Agenda
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - AMAC Spotlight Page
                                          - Background Materials	                                             - Panelist Bios
                                            - Update from the ESG Subcommittee
                                            - Update from the Private Investments Subcommittee
                                            - Memorandum – Academic Literature on Potential Benefits for Portfolio Efficiency of Private Equity Investments
                                            - Cambridge Associates – Private Investments
                                            - Hamilton Lane - Presentation
                                            - Prof. Lerner – Remarks to the SEC Asset Management Advisory Committee Private Investments Subcommittee
                                            - Prof. Phalippou – Track Record Marketing in Private Equity
                                            - Illinois State Treasurer – Presentation
                                            - Exchange-Traded Products Panel – Preliminary Recommendation
                                            - Operations Panel – COVID-19 Related Operational Issues
                                          - Webcast Archive

### Postponed - Open Meeting

**Wednesday, September 2, 2020**
                                          - Notice Postponing September 2 Meeting
                                          - Sunshine Act Notice

### Open Meeting

**Wednesday, August 26, 2020**
                                          - Sunshine Act Notice
                                          - Sunshine Act Change Notice
                                          - Agenda
                                          - Webcast Archive

### Contract Standard and Good Faith Effort Reviews Webinar

**Thursday, August 13, 2020**
                                          - Webinar Slides
                                          - SEC Contractor Workforce Diversity and Inclusion
                                          - Webcast Archive

### Open Meeting

**Wednesday, August 5, 2020**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### SEC Small Business Capital Formation Advisory Committee Meeting

**Tuesday, August 4, 2020**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Investing in Underrepresented Founders – What we can Learn from the Data  (Slide Presentation)
                                          - Small Business Capital Formation Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Wednesday, July 22, 2020**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Asset Management Advisory Committee

**Thursday, July 16, 2020**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - AMAC Spotlight page
                                          - Webcast Archive

### Emerging Markets Virtual Roundtable

**Thursday, July 9, 2020**
                                          - Press Release
                                          - Emerging Markets Spotlight page
                                          - Webcast Archive Part 1
                                          - Webcast Archive Part 2

### Virtual Discussion - Temporary Conditional Exemptive Order For Municipal Advisor Activities

**Tuesday, July 7, 2020**
                                          - Temporary Exemptive Order
                                          - Webcast Archive

### Virtual Roundtable On Q2 Reporting: A Discussion Of COVID-19 Related Disclosure Considerations

**Tuesday, June 30, 2020**
                                          - Webcast Archive

### New York Regional Office Educational Call on COVID-Related Fraud

**Tuesday, June 23, 2020**
                                          - Event Invitation
                                          - Webcast Archive

### Market Structure Discussion

**Monday, June 22, 2020**
                                          - Webcast Archive

### SEC’s Virtual Small Business Forum

**Thursday, June 18, 2020**
                                          - Additional Information
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Press Release
                                          - Webcast Archive

### Spotlight on Transparency: A Discussion of Secondary Market Municipal Securities Disclosure Practices

**Tuesday, June 16, 2020**
                                          - Agenda
                                          - Press Release
                                          - Slide Presentations	                                             - Mark Kim
                                            - Lisa Washburn
                                          - Webcast Archive

### Fixed Income Market Structure Advisory Committee Meeting

**Monday, June 1, 2020**
                                          - Sunshine Act Notice
                                          - Meeting Notice
                                          - Agenda
                                          - Fixed Income Market Structure Advisory Committee
                                          - Background Materials	                                             - Technology and Electronic Trading Subcommittee Preliminary Recommendation
                                            - Credit Ratings Subcommittee Preliminary Recommendation
                                            - Municipal Securities Transparency Subcommittee Preliminary Recommendation
                                            - A Survey of Microstructure of Fixed Income Markets
                                            - BondCliQ Presentation
                                            - FINRA Block Pilot Comment Summary
                                            - TRACE Transparency Considerations
                                            - Transparency Panel Presentation
                                          - Webcast Archive

### Securities and Exchange Commission Asset Management Advisory Committee

**Wednesday, May 27, 2020**
                                          - Sunshine Act Notice
                                          - Notice of Meeting
                                          - Press Release and Agenda
                                          - Background Materials	                                             - Update from the ESG Subcommittee
                                            - Update from the Private Investments Subcommittee
                                            - CaseyQuirk – Asset Management’s Pandemic Response
                                            - ICI – Fund Flows During COVID-19
                                            - PIMCO – Taxonomy of a Crisis
                                          - Asset Management Advisory Committee
                                          - Webcast Archive Part 1
                                          - Webcast Archive Part 2

### Investor Advisory Committee Meeting

**Thursday, May 21, 2020**
                                          - Agenda
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive

### SEC Small Business Capital Formation Advisory Committee Meeting

**Friday, May 8, 2020**
                                          - Sunshine Act Notice
                                          - Small Business Capital Formation Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Wednesday, May 6, 2020**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Monday, May 4, 2020**
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Wednesday, April 8, 2020**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, April 2, 2020**
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive

### SEC Small Business Capital Formation Advisory Committee Meeting

**Thursday, April 2, 2020**
                                          - Sunshine Act Notice
                                          - Press Release
                                          - Small Business Capital Formation Advisory Committee
                                          - Webcast Archive

### Diversity Assessment Report for Entities Regulated by the SEC

**Thursday, March 19, 2020**
                                          - Diversity and Inclusion in Regulated Entities
                                          - Slide Presentation
                                          - Webcast Archive

### Open Meeting (CANCELED)

**~~Wednesday, March 11, 2020~~**
                                          - Sunshine Act Notice
                                          - Cancellation Notice

### Spotlight on Transparency: A Discussion of Secondary Market Municipal Securities Disclosure Practices (CANCELED)

**~~Tuesday, March 10, 2020~~**
                                          - Press Release
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Cancellation Notice

### Open Meeting — CANCELED

**~~Wednesday, March 4, 2020~~**
                                          - Sunshine Act Notice
                                          - Sunshine Act Change Notice
                                          - Sunshine Act Cancellation Notice
                                          - Agenda

### Investor Advisory Committee Meeting

**Thursday, February 27, 2020**
                                          - Meeting Notice
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Fixed Income Market Structure Advisory Committee Meeting

**Monday, February 10, 2020**
                                          - Sunshine Act Notice
                                          - Meeting Notice
                                          - Background Materials	                                             - Discussion Document – Alternate Model and Other Potential Initiatives
                                            - Municipal Securities Transparency Subcommittee Preliminary Recommendation
                                            - Technology and Electronic Trading Subcommittee Preliminary Recommendation
                                          - Fixed Income Market Structure Advisory Committee
                                          - Webcast Archive

### SEC Small Business Capital Formation Advisory Committee Meeting

**Tuesday, February 4, 2020**
                                          - Notice of Meeting
                                          - Press Release
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Small Business Capital Formation Advisory Committee
                                          - Webcast Archive

### Investor Advisory Committee Telephonic Meeting

**Friday, January 24, 2020**
                                          - Agenda
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Office of the Advocate for Small Business Capital Formation Capital Call

**Thursday, January 23, 2020**
                                          - Capital Call
                                          - Office of the Advocate for Small Business Capital Formation
                                          - Webcast Archive

### Securities and Exchange Commission Asset Management Advisory Committee

**Tuesday, January 14, 2020**
                                          - Sunshine Act Notice
                                          - Notice of Meeting
                                          - Press Release
                                          - Background Materials	                                             - CaseyQuirk -- Remarks and Discussion
                                            - Empirical Research – Issues Facing U.S. Money Management Industry
                                            - McKinsey & Company – Global Trends in Asset Management
                                            - Key Global Regulatory Themes in Fund Management in the 2020s: A Personal Perspective
                                            - Apollo Global Management – SEC Asset Management Advisory Committee Presentation
                                            - Blackstone – Expanding Retail Access to Private Markets
                                          - Asset Management Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Wednesday, January 8, 2020**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

## 2019 Webcasts

### Open Meeting

**Wednesday, December 18, 2019**
                                          - Sunshine Act Notice
                                          - Sunshine Act Change Notice
                                          - Agenda
                                          - Revised Agenda
                                          - Webcast Archive

### SEC Small Business Capital Formation Advisory Committee Telephone Meeting

**Wednesday, December 11, 2019**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Webcast Archive

### State of Our Securities Markets Conference

**Wednesday, December 4, 2019**
                                          - Press Release
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Webcast Archive

### SEC Small Business Capital Formation Advisory Committee

**Tuesday, November 12, 2019**
                                          - Sunshine Act Meeting Notice
                                          - Notice of Meeting
                                          - Press Release and Agenda
                                          - Presentation: Kauffman Foundation: Access to Capital for Entrepreneurs
                                          - Presentation: Federal Reserve of New York: Small Business Credit Survey
                                          - Presentation: Blackstone: Retail Access to Private Markets
                                          - Webcast Archive

### A Conversation on Financial Readiness with SEC Chairman Jay Clayton and COL James J. Tuite, IV (US Army)

**Tuesday, November 12, 2019**
                                          - Press Release
                                          - Investing for Military
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, November 7, 2019**
                                          - Agenda
                                          - Press Release
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Tuesday, November 5, 2019**

~~Investment Adviser Advertisements; Compensation for Solicitations~~

                                          - Revised Sunshine Act Notice
                                          - Revised Agenda
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Fixed Income Market Structure Advisory Committee Meeting

**Monday, November 4, 2019**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Meeting Notice
                                          - Fixed Income Market Structure Advisory Committee
                                          - Background Materials	                                             - Background Information on Alternative Compensation Models for NRSROs
                                            - Dick-Nielsen and Rossi – The Cost of Immediacy for Corporate Bonds
                                            - Ottonello – The Impact of Benchmarking in Fixed Income Markets
                                            - IOSCO – Principles for Financial Benchmarks
                                          - Webcast Archive

### Open Meeting

~~**Wednesday, October 23, 2019** (CANCELLED)~~
                                          - Sunshine Act Cancellation Notice
                                          - Sunshine Act Notice
                                          - Agenda

### Building Financial and Personal Independence

**Tuesday, October 22, 2019**
                                          - Building Financial and Personal Independence
                                          - Webcast Archive

### Roundtable on Combating Elder Investor Fraud

**Thursday, October 3, 2019**
                                          - Sunshine Act Notice
                                          - Press Release
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**~~Wednesday, September 25, 2019, 10:00 a.m. ET~~ (CANCELLED)**
                                          - Sunshine Act Notice
                                          - Sunshine Act Notice - Cancellation
                                          - Agenda

### Investor Advisory Committee Meeting

**Thursday, September 19, 2019**
                                          - Agenda
                                          - Press Release
                                          - Meeting Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Open Meeting: Oral Argument

**Wednesday, September 18, 2019**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Investor Advisory Committee Telephonic Meeting

**Thursday, September 5, 2019**
                                          - Sunshine Act Meeting Notice
                                          - Agenda
                                          - Meeting Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Wednesday, August 21, 2019**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### 38th Annual Government-Business Forum

**Wednesday, August 14, 2019**
                                          - Press release
                                          - Agenda
                                          - Panelist Biographies
                                          - Government-Business Forum on Small Business Capital Formation
                                          - Sunshine Act Notice
                                          - Webcast Archive

### SEC Small Business Capital Formation Advisory Committee

**Tuesday, August 13, 2019**
                                          - Sunshine Act Meeting Notice
                                          - Notice of Meeting
                                          - Press Release
                                          - Small Business Capital Formation Advisory Committee
                                          - Presentation: Matt Swartz - Middle Market M&A: Proposed Changes to Reg S-X Rule 3-05
                                          - Presentation: Bill Korn - Comments on Proposal to Amend Rules 3-05 and 8-04
                                          - Presentation: Amendments to the Accelerated Filer and Large Accelerated Filer Definitions Proposing Release
                                          - Presentation: Charles Crain
                                          - Presentation: Mike Raab - Small Public Biotechs and Costs of Compliance with SarbanesOxley Section 404(b)
                                          - Webcast Archive

### Open Meeting

**Thursday, August 8, 2019 -- CANCELLED**
                                          - Sunshine Act Cancellation Notice
                                          - Sunshine Act Notice
                                          - Agenda

### Fixed Income Market Structure Advisory Committee Meeting

**Monday, July 29, 2019**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Meeting Notice
                                          - Corporate Bond Transparency Subcommittee - Preliminary Recommendation
                                          - Municipal Securities Transparency Subcommittee - Preliminary Recommendation
                                          - Statement of Matt Andresen
                                          - Fixed Income Market Structure Advisory Committee
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, July 25, 2019**
                                          - Sunshine Act Meeting Notice
                                          - Agenda
                                          - Meeting Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Roundtable on Short-Term / Long-Term Management of Public Companies

**Thursday, July 18, 2019**
                                          - Press Release
                                          - Request for Comment on Earnings Releases and Quarterly Reports
                                          - Webcast Archive

### 2019 National Compliance Outreach Program for Broker-Dealers

**Thursday, June 27, 2019**
                                          - Agenda
                                          - Speaker Biographies
                                          - Resource List
                                          - 2019 National Compliance Outreach Program for Broker-Dealers
                                          - Webcast Archive

### 2019 Compliance Outreach Regional Program for Investment Advisers and Investment Companies

**Tuesday, June 25, 2019**
                                          - 2019 Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers
                                          - Agenda
                                          - Webcast Archive

### World Elder Abuse Awareness Day Fifth Global Summit

**Tuesday, June 11, 2019**
                                          - Webcast Archive

### Fixed Income Market Structure Advisory Committee Telephone Meeting

**Tuesday, June 11, 2019**
                                          - Sunshine Act Notice
                                          - Meeting Notice
                                          - Webcast Archive

### 2019 Compliance Outreach Program Regional Seminar for Investment Adviser and Investment Company Senior Officers - New York Regional Office

**Tuesday, June 6, 2019**
                                          - Agenda
                                          - Speaker Biographies
                                          - 2019 Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers
                                          - Webcast Archive

### Open Meeting

**Wednesday, June 5, 2019**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Fintech Forum: Distributed Ledger Technology and Digital Assets

**Friday, May 31, 2019**
                                          - Press Release and Agenda
                                          - FinHub: Strategic Hub for Innovation and Financial Technology
                                          - Webcast Archive

### 2019 Compliance Outreach Program for Municipal Advisors

**Tuesday, May 21, 2019**
                                          - Agenda
                                          - Press Release  (rescheduled to May 21, 2019)
                                          - 2019 Compliance Outreach Program for Municipal Advisors
                                          - Webcast Archive

### Sixth Annual Conference on Financial Market Regulation

**Thursday, May 9, 2019, 1:45 p.m. - 5:15 p.m. ETFriday, May 9, 2019, 8:40 a.m. - 5:45 p.m. ET**
                                          - Announcement and Agenda

### Open Meeting

**Thursday, May 9, 2019**
                                          - Sunshine Act Notice
                                          - Sunshine Act Change Notice
                                          - Agenda
                                          - Revised Agenda
                                          - Webcast Archive

### SEC Small Business Roundtable

**Monday, May 6, 2019**
                                          - Sunshine Act Meeting Notice
                                          - Press Release
                                          - Webcast Archive

### SEC Small Business Capital Formation Advisory Committee

**Monday, May 6, 2019**
                                          - Sunshine Act Meeting Notice
                                          - Notice of Meeting
                                          - Webcast Archive

### Fixed Income Market Structure Advisory Committee Meeting

**Monday, April 15, 2019**
                                          - Sunshine Act Notice
                                          - Meeting Notice
                                          - Agenda
                                          - Technology and Electronic Trading Subcommittee – Preliminary Recommendation
                                          - Municipal Securities Transparency Subcommittee – Preliminary Recommendations
                                          - Spotlight on Fixed Income Market Structure Advisory Committee (FIMSAC)
                                          - Background Materials	                                             - ETFs and Bonds Funds Subcommittee Report
                                            - FINRA-2019-008
                                            - FINRA Regulatory Notice 19-12 (TRACE)
                                            - ARRC Second Report
                                            - ARRC FAQs
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, March 28, 2019**
                                          - Sunshine Act Meeting Notice
                                          - Meeting Notice
                                          - Press Release
                                          - Agenda
                                          - Recommendation of the Investor as Owner Subcommittee on Human Capital Management Disclosure
                                          - Investor Advisory Committee
                                          - Webcast Archive

## 2018 Webcasts

### Open Meeting

**Wednesday, December 19, 2018**
                                          - Sunshine Act Notice
                                          - Sunshine Act Notice - Deletion of Item
                                          - Sunshine Act Notice (posted December 18, 2018)
                                          - Agenda
                                          - Revised Agenda
                                          - Revised Agenda (updated December 18, 2018)
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, December 13, 2018**
                                          - Meeting Notice
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Webcast Archive

### SEC Government-Business Forum on Small Business Capital Formation

**Wednesday, December 12, 2018**
                                          - Discussion and Panelist Materials
                                          - Government-Business Forum on Small Business Capital Formation
                                          - Sunshine Act Notice

### Municipal Securities Disclosure Conference

**Thursday, December 6, 2018**
                                          - Agenda and Event Details
                                          - Sunshine Act Notice
                                          - Webcast Archive
                                          - Transcript

### Open Meeting

**Wednesday, December 5, 2018**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Sunshine Act Notice-Meeting Cancellation

### Roundtable on the Proxy Process

**Thursday, November 15, 2018**
                                          - Sunshine Act Notice
                                          - Agenda and Panelists
                                          - Proxy Process
                                          - Webcast Archive

### Investor Advisory CommitteePublic Telephonic Meeting

**Wednesday, November 7, 2018**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Webcast Archive

### Open Meeting

**Wednesday, October 31, 2018**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Sunshine Act Notice-Meeting Cancellation

### Fixed Income Market Structure Advisory Committee Meeting

**Monday, October 29, 2018**
                                          - Meeting Notice
                                          - Agenda
                                          - ETFs and Bond Funds Subcommittee – ETF Classification Preliminary Recommendation
                                          - ETFs and Bond Funds Subcommittee – Education and Data Preliminary Recommendation
                                          - Technology and Electronic Trading Subcommittee – Preliminary Recommendation
                                          - Webcast Archive
                                          - Background Materials	                                             - Morgan Stanley – M&Aking a Leveraged Balance Sheet
                                            - Morgan Stanley – Nature of the BBBeast
                                            - JP Morgan – The M&A Wave Risk & Reward
                                            - JP Morgan – How Big is the BBB-Risk
                                            - MSRB Staff – Analysis of Municipal Securities Pre-Trade Data from Alternative Trading Systems

### Roundtable On Market Data And Market Access

**Thursday, October 25, 2018 and Friday, October 26, 2018**
                                          - Roundtable Agenda
                                          - Sunshine Act Notice
                                          - Equity Market Structure Roundtables
                                          - Webcast Archive
                                          - Webcast Transcript, Part 1
                                          - Webcast Transcript, Part 2

### Integrated And Professional Acquisitions Support Service (IPASS) Industry Day

**Monday, October 15, 2018**
                                          - The event objectives are as follows:	                                             - Share the vision/ concept for the Integrated and Professional Acquisitions Support Services (IPASS) contract vehicle;
                                            - Engage in meaningful discussion with Industry about the market;
                                            - Foster exchange of ideas and best practices in order to get the best possible solution to meet the Government contractual requirements; and
                                            - Discuss solicitation rollout.

### Open Meeting

**Thursday, October 11, 2018**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### RISE of California: Retirement Investment Summit on Education

**Thursday, October 4, 2018**
                                          - Retirement Investment Summit on Education
                                          - Webcast Archive

### SEC Press Conference

**Thursday, September 27, 2018**
                                          - Webcast Archive

### Retail Investor Fraud Roundtable

**Wednesday, September 26, 2018**
                                          - Sunshine Act Notice
                                          - Equity Market Structure Roundtables
                                          - Press Release
                                          - Webcast Archive

### SEC-NYU Dialogue on Securities Market Regulation — High-Frequency Trading and Liquidity Resiliency

**Friday, September 21, 2018**
                                          - Meeting Announcement
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, September 13, 2018, 9:00 a.m. ET**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Draft of the Market Structure Subcommittee: Transaction Fee Pilot
                                          - Meeting Notice
                                          - Remarks by Ken Bertsch
                                          - Remarks by Arthur Crozier
                                          - Remarks by David A. Katz
                                          - Remarks by Deborah Majoras
                                          - Remarks by Brian Schorr
                                          - Remarks by John Zecca
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Wednesday, July 18, 2018**
                                          - Revised Sunshine Act Notice
                                          - Revised Agenda
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Fixed Income Market Structure Advisory Committee

**Monday, July 16, 2018**
                                          - Press Release
                                          - Agenda
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Fixed Income Market Structure Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Thursday, June 28, 2018**
                                          - Sunshine Act Notice
                                          - Sunshine Act Notice - Revised
                                          - Agenda
                                          - Agenda - Revised
                                          - Webcast Archive

### Investor Advisory Committee

**Thursday, June 14, 2018**
                                          - Press Release
                                          - Agenda
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Investing in America: Atlanta Town Hall Meeting

**Wednesday, June 13, 2018**
                                          - Investing in America: the SEC comes to you
                                          - Sunshine Act Notice
                                          - Webcast Archive

### World Elder Abuse Awareness Day (WEAAD) Conference

**Tuesday, June 5, 2018**
                                          - Webcast Archive

### Elder Justice Coordinating Council (EJCC) Meeting

**Tuesday, June 5, 2018**
                                          - Webcast Archive

### Open Meeting

**Tuesday, June 5, 2018**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Sunshine Act Notice (Revised)
                                          - Agenda (Revised)
                                          - Webcast Archive

### Roundtable on Market Structure for Thinly-Traded Securities

**Monday, April 23, 2018**
                                          - Sunshine Act Notice
                                          - Press Release
                                          - Equity Market Structure Roundtables
                                          - Webcast Archive, Part 1
                                          - Webcast Archive, Part 2

### Open Meeting

**Wednesday, April 18, 2018**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### National Compliance Outreach Seminar for Investment Companies and Investment Advisers

**Thursday, April 12, 2018**
                                          - Agenda
                                          - Compliance Outreach Program — National Seminar
                                          - Press Release
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Fixed Income Market Structure Advisory Committee

**Monday, April 9, 2018**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Transparency Subcommittee - Preliminary Recommendation
                                          - Transparency Subcommittee – Consideration of Block Masking and Trade Dissemination Times in the Municipal Bond Market
                                          - Transparency Considerations
                                          - FINRA Investor Education Foundation – Investors in the United States 2016
                                          - FINRA Investor Education Foundation – A Snapshot of Investor Households in America
                                          - Webcast Archive

### Open Meeting

**Wednesday, March 14, 2018**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Securities and Exchange Commission Evidence Summit

**Friday, March 10, 2017**
                                          - Agenda
                                          - Press Release
                                          - Notice of Conference
                                          - Sunshine Act Notice
                                          - Webcast Archive

### Investor Advisory Committee

**Thursday, March 8, 2018**
                                          - Meeting Notice
                                          - Meeting Notice Correction
                                          - Sunshine Act Meeting Notice
                                          - Agenda
                                          - Recommendation of the Investor as Owner Subcommittee: Dual Class and Other Entrenching Governance Structures in Public Companies
                                          - Recommendation of the Subcommittee of the Whole: Financial Support for Law School Clinics that Support Investors
                                          - Who Falls Prey to the Wolf of Wall Street?
                                          - The Twilight Zone: OTC Regulatory Regimes and Market Quality
                                          - Slides co-authored by Robert E. Roush
                                          - Remarks by Christian Leuz
                                          - Remarks by R. Cromwell Coulson
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Wednesday, February 21, 2018**
                                          - Sunshine Act Notice
                                          - CANCELLATION Notice

### SEC-NYU Dialogue On Securities Markets – Shareholder Engagement

**Friday, January 19, 2018, 9:10 a.m. ET**
                                          - Press Release
                                          - Sunshine Act Notice
                                          - Announcement with Agenda
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Fixed Income Market Structure Advisory Committee

**Thursday, January 11, 2018**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Press Release
                                          - Background Materials:	                                             - AllianceBernstein – Playing with Fire, The Bond Liquidity Crunch & What To Do About It 
                                            - Barclays – Behavior Modification
                                            - Barclays – Passive Aggression
                                            - BlackRock – The Next Generation Bond Market
                                            - Citi – Developments in Credit Market Liquidity
                                            - Citi – The U.S. Corporate Bond Risk Premium & Market Liquidity
                                            - Corporate bond market liquidity reports
                                            - Greenwich Associates – Innovations Ease Corporate Bond Trading
                                            - Vanguard – Innovation & Evolution in the Fixed Income Market
                                          - Fixed Income Market Structure Advisory Committee
                                          - Webcast Archive

## 2017 Webcasts

### Investor Advisory Committee

**Thursday, December 7, 2017**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Recommendation of the Investor as Purchaser Subcommittee: Promotion of Electronic Delivery and Development of a Summary Disclosure Document for Delivery of Investment Company Shareholder Reports
                                          - Discussion Draft Re: Cybersecurity and Risk Disclosure
                                          - Discussion Draft Re: Dual Class and Other Entrenching Governance Structures in Public Companies
                                          - Webcast Archive

### 36th Annual Government-Business Forum on Small Business Capital Formation

**Thursday, November 30, 2017**
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Press Release
                                          - Government-Business Forum on Small Business Capital Formation
                                          - Webcast Archive

### 2017 Compliance Outreach Program for Municipal Advisors

**Wednesday, November 8, 2017**
                                          - Agenda
                                          - Press Release
                                          - Speaker Biographies
                                          - Resource List
                                          - 2017 Compliance Outreach Program for Municipal Advisors
                                          - Webcast Archive

### Investor Advisory Committee

**Thursday, October 12, 2017**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Slides by Nancy Liao
                                          - Remarks by Jeff Bandman
                                          - Article by Nasdaq CEO
                                          - Remarks by Nicole Iannarone
                                          - Remarks by Qudsia Shafiq
                                          - Remarks by David White
                                          - Discussion Draft of the Investor as Purchaser Subcommittee (Oct. 2, 2017)	RE: Development of an Enhanced Notice Document for Delivery of Investment Company Shareholder Reports
                                          - Slides by Charles Callan
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Wednesday, October 11, 2017**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Advisory Committee on Small and Emerging Companies

**Wednesday, September 13, 2017**
                                          - Sunshine Act Notice
                                          - Meeting Notice
                                          - Press Release and Agenda
                                          - Presentation: William J. Newell, Sutro Biopharma -SOX 404(b): Costs of Compliance and Proposed Reforms
                                          - Presentation: Leonard L. Combs of PwC - SOX 404(b)
                                          - Presentation: Christine McCarthy and Steve Miller: Rule 701
                                          - Discussion Draft of ACSEC Final Report
                                          - Advisory Committee on Small and Emerging Companies
                                          - Webcast Archive

### SEC-NYU Dialogue on Securities Markets – Exchange-Traded Products (ETPs)

**Friday, September 8, 2017**
                                          - Sunshine Act Notice
                                          - Press Release
                                          - Agenda and Biographies
                                          - Webcast Archive

### Open Meeting

**Wednesday, August 15, 2017***Oral Argument in the Matter of Donald J. Anthony, Jr., Frank H. Chiappone, Richard D. Feldmann, William P. Gamello, Andrew G. Guzzetti, William F. Lex, Thomas E. Livingston, Brian T. Mayer, Philip S. Rabinovich, and Ryan C. Rogers*
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### 2017 National Compliance Outreach Program for Broker-Dealers

**Thursday, July 27, 2017**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Press Release
                                          - Speaker Biographies
                                          - Resource List
                                          - Information regarding seminar
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, June 22, 2017**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Remarks by Scott Kupor
                                          - Slides by Jeffrey M. Solomon
                                          - Report by EY
                                          - Article by Elisabeth de Fontenay
                                          - Remarks by John C. Coffee, Jr.
                                          - Outline by Jim Brau
                                          - Investor Advisory Committee
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Compliance Outreach Program Seminar for Investment Company and Investment Adviser Senior Officers (Chicago Seminar)

**Tuesday, June 13, 2017**
                                          - Press Release
                                          - Information regarding seminar
                                          - Agenda
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### SEC-NYU Dialogue on Securities Markets: Reviving the U.S. IPO Market

**Wednesday, May 10, 2017**
                                          - Agenda and Event Information
                                          - Webcast Archive

### Advisory Committee on Small and Emerging Companies

**Wednesday, May 10, 2017**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda and Press Release
                                          - Presentation: J. Bradford Eichler - Why Have We Seen a Slowdown in IPOS and What Could Drive an Increase?
                                          - Presentation: Robert L. Malin
                                          - Finders - Draft Recommendation
                                          - Secondary Market Liquidity in Reg A - Draft Recommendation
                                          - Advisory Committee on Small and Emerging Companies
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Equity Market Structure Advisory Committee

**Wednesday, April 5, 2017**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Equity Market Structure Advisory Committee
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Open Meeting

**Wednesday, March 22, 2017**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, March 9, 2017**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive
                                          - Presentations	                                             - Remarks by Prof. Annamaria Lusardi
                                            - Slides by Prof. Annamaria Lusardi
                                            - Slides by Brian Scholl
                                            - Remarks by David J. Berger
                                            - Remarks by Ken Bertsch

### Open Meeting

**Wednesday, March 1, 2017**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### SEC-NYU Dialogue on Securities Markets – Securities Crowdfunding in the U.S.

**Tuesday, February 28, 2017**
                                          - Sunshine Act Notice
                                          - Agenda and Biographies
                                          - Webcast Archive 1
                                          - Webcast Archive 2
                                          - Webcast Archive 3

### Advisory Committee on Small and Emerging Companies

**Wednesday, February 15, 2017**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Presentations:	                                             - Glen Giovannetti - EY - Why are more companies staying private?
                                            - James Hutchinson - Goodwin - Why are more companies staying private?
                                          - DRAFT Recommendation on Corporate Board Diversity
                                          - Advisory Committee on Small and Emerging Companies
                                          - Webcast Archive 1
                                          - Webcast Archive 2

## 2016 Webcasts

### Open Meeting

**Wednesday, December 14, 2016**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Investor Advisory Committee

**Thursday, December 8, 2016**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Investor Advisory Committee
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Advisory Committee on Small and Emerging Companies Telephone Meeting

**Wednesday, December 7, 2016**
                                          - Notice of Meeting
                                          - Agenda
                                          - Presentation by Mark Walsh on Small Business Administration Outreach
                                          - Draft recommendation on Board Diversity
                                          - Press Release
                                          - Advisory Committee on Small and Emerging Companies
                                          - Webcast Archive

### Equity Market Structure Advisory Committee

**Tuesday, November 29, 2016**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Equity Market Structure Advisory Committee
                                          - Agenda
                                          - Webcast Archive

### SEC Government-Business Forum on Small Business Capital Formation

**Thursday, November 17, 2016**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Press Release
                                          - Government-Business Forum on Small Business Capital Formation
                                          - Webcast Archive

### Open Meeting

**Tuesday, November 15, 2016**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Fintech Forum

**Monday, November 14, 2016**
                                          - Sunshine Act Notice
                                          - Press Release
                                          - Fintech Forum
                                          - Webcast Archives:  Part 1  |  Part 2

### 2016 Compliance Outreach Program for Municipal Advisors

**Thursday, November 10, 2016**
                                          - Agenda
                                          - Speaker Biographies
                                          - Resource List
                                          - 2016 Compliance Outreach Program for Municipal Advisors

### Open Meeting

**Wednesday, October 26, 2016**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Sunshine Act Notice - Time Change
                                          - Webcast Archive

### Open Meeting

**Thursday, October 13, 2016**
                                          - Sunshine Act Notice
                                          - Additional Item
                                          - Agenda
                                          - Webcast Archive

### Advisory Committee on Small and Emerging Companies

**Wednesday, October 5, 2016**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Presentation: Advancing Exemplary Board Leadership
                                          - Webcast Archive
                                          - Advisory Committee on Small and Emerging Companies

### Open Meeting

**Wednesday, September 28, 2016,**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, August 17, 2016**

Oral Argument in the Matter of Larry C. Grossman
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, August 3, 2016**

Oral Argument in the Matter of Harding Advisory LLC and Wing F. Chau
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Equity Market Structure Advisory Committee

**Tuesday, August 2, 2016**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Equity Market Structure Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Friday, July 22, 2016**

Oral Argument in the Matter of Thomas C. Gonnella
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Advisory Committee on Small and Emerging Companies

**Tuesday, July 19, 2016**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Draft Recommendation on the Accredited Investor Definition
                                          - Presentation: Regulation A Secondary Trading by Daniel Zinn
                                          - Presentation: Elio Motors
                                          - Webcast Archive
                                          - Advisory Committee on Small and Emerging Companies

### Investor Advisory Committee

**Thursday, July 14, 2016**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Wednesday, July 13, 2016**

*Summary Agenda*

*Discussion Agenda*
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Tuesday, July 12, 2016**

Oral Argument in the Matter of John J. Aesoph, CPA and Darren M. Bennett, CPA
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Equity Market Structure Advisory CommitteePublic Telephone Meeting

**Friday, July 8, 2016**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Equity Market Structure Advisory Committee
                                          - Webcast Archive

### Advisory Committee on Small and Emerging Companies Meeting

**Wednesday, May 18, 2016**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Advisory Committee on Small and Emerging Companies
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Open Meeting

**Wednesday, April 27, 2016**

Consolidated Audit Trail (Rule 613)
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Equity Market Structure Advisory Committee

**Tuesday, April 26, 2016**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Equity Market Structure Advisory Committee
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Compliance Outreach Program National Seminar

**Tuesday, April 19, 2016**
                                          - Agenda
                                          - Speaker Bios
                                          - Handouts	                                             - Panel I: National Exam Program Examination
                                            - Panel II: Private Fund Adviser Topics
                                          - Compliance Outreach Program
                                          - Webcast Archive 1
                                          - Webcast Archive 2
                                          - Webcast Archive 3

### Investor Advisory Committee Meeting

**Thursday, April 14, 2016**
                                          - Notice of Meeting
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Open Meeting

**Wednesday, April 13, 2016**
                                          - Sunshine Act Notice (Date Change)
                                          - Sunshine Act Notice (Original)
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Monday, March 21, 2016**

Oral Argument in the Matter of Edgar R. Page and PageOne Financial, Inc.
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, March 16, 2016**

Oral Argument in the Matter of Mohammed Riad and Kevin Timothy Swanson
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Monday, March 14, 2016, 10:00 a.m.**

Public Company Accounting Oversight Board 2016 Budget and Accounting Support Fee
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Monday, March 7, 2016**

Oral Argument in the Matter of J.S. Oliver Capital Management, L.P., and Ian O. Mausner
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Advisory Committee on Small and Emerging Companies Meeting

**Thursday, February 25, 2016**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Advisory Committee on Small and Emerging Companies
                                          - Webcast Archive

### Open Meeting

**Wednesday, February 10, 2016**

Application of the Title VII Security-Based Swap Dealer De Minimis Counting Requirements to Activity in the United States
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Monday, February 8, 2016**

Oral Argument in the Matter of Bernie Young
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Compliance Outreach Program for Municipal Advisors 2016

**Wednesday, February 3, 2016**
                                          - Agenda
                                          - Speaker Biographies
                                          - Resource List
                                          - Compliance Outreach Program for Municipal Advisors
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Equity Market Structure Advisory Committee

**Tuesday, February 2, 2016**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Equity Market Structure Advisory Committee
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, January 21, 2016**
                                          - Notice of Meeting
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Friday, January 15, 2016**

Oral Argument in the Matter of OptionsXpress, INC., and Jonathan I. Feldman
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

## 2015 Webcasts

### Open Meeting

**Friday, December 11, 2015**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### SEC Government-Business Forum on Small Business Capital Formation

**Thursday, November 19, 2015**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Forum Program
                                          - Discussion and Panelist Materials
                                          - Government-Business Forum on Small Business Capital Formation
                                          - Webcast Archive

### Open Meeting

**Wednesday, November 18, 2015**

Regulation of NMS Stock Alternative Trading Systems
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Friday, October 30, 2015**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Equity Market Structure Advisory Committee Meeting

**Tuesday, October 27, 2015**
                                          - Sunshine Act Notice
                                          - Meeting Notice
                                          - Agenda
                                          - Equity Market Structure Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Monday, October 26, 2015**

Oral Argument in the Matter of ZPR Investment Management, Inc. and Max E. Zavanelli
                                          - Sunshine Act Notice
                                          - Room Change Notice
                                          - Agenda
                                          - Webcast Archive

### Investor Advisory Committee Meeting

**Thursday, October 15, 2015**
                                          - Notice of Meeting
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive

### 75th Anniversary: Investment Company Act and the Investment Advisers Act

**Tuesday, September 29, 2015**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - 75th Anniversary Spotlight page
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Equity Market Structure Advisory Committee Meeting

**Thursday, September 24, 2015, 10:00 a.m. EDT**

The meeting has been postponed. Updated information will be posted once a new meeting date is confirmed.

### Advisory Committee on Small and Emerging Companies Meeting

**Wednesday, September 23, 2015**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Advisory Committee on Small and Emerging Companies
                                          - Webcast Archive

### Open Meeting

**Tuesday, September 22, 2015**

Open-End Fund Liquidity Risk Management Programs
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, August 5, 2015**
                                          - Webcast Archive

### Open Meeting

**Friday, July 31, 2015**

Oral Argument in the Matter of Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr.
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Investor Advisory Committee Quarterly Meeting

**Thursday, July 16, 2015**
                                          - Agenda
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Advisory Committee on Small and Emerging Companies Telephone Meeting

**Wednesday, July 15, 2015**
                                          - Disclosure Effectiveness Discussion Outline
                                          - Finders and other Intermediaries in Small Business Capital-Raising Transactions Discussion Topics
                                          - Advisory Committee on Small and Emerging Companies
                                          - Webcast Archive

### 2015 National Compliance Outreach Program for Broker-Dealers

**Tuesday, July 14, 2015**
                                          - Agenda
                                          - Press Release
                                          - The 2015 National Compliance Outreach Program for Broker-Dealer
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Open Meeting

**Wednesday, July 1, 2015**

Listing Standards for Recovery of Erroneously Awarded Compensation
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Monday, June 8, 2015**

Oral Argument in the Matter of Timbervest, LLC, Joel Barth Shapiro, Walter William Anthony Boden, III, Donald David Zell, Jr., and Gordon Jones II
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Advisory Committee on Small and Emerging Companies

**Wednesday, June 3, 2015**
                                          - Agenda
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Advisory Committee on Small and Emerging Companies
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Open Meeting

**Wednesday, May 20, 2015**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Equity Market Structure Advisory Committee Meeting

**Wednesday, May 13, 2015**
                                          - Meeting Notice
                                          - Sunshine Act Meeting Notice
                                          - Agenda
                                          - Equity Market Structure Advisory Committee Spotlight Page
                                          - Webcast Archive

### Open Meeting

**Wednesday, April 29, 2015**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Investor Advisory Committee

**Thursday April 9, 2015**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Notice of Meeting
                                          - Investor Advisory Committee
                                          - Webcast Archive

### Open Meeting

**Monday, March 30, 2015**
                                          - Sunshine Act Notice
                                          - Webcast Archive

### Open Meeting

**Wednesday, March 25, 2015**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Advisory Committee on Small and Emerging Companies

**Wednesday, March 4, 2015**
                                          - Agenda
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Advisory Committee on Small and Emerging Companies
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Proxy Voting Roundtable

**Thursday, February 19, 2015**
                                          - Agenda and Panelists
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Proxy Voting Roundtable
                                          - Webcast Archive
                                          - Unofficial Transcript

### Advisory Committee on Small and Emerging Companies

**Tuesday, February 17, 2015**
                                          - Notice of Meeting
                                          - Advisory Committee on Small and Emerging Companies

### Investor Advisory Committee

**Thursday, February 12, 2015**
                                          - Sunshine Act Notice
                                          - Notice of Meeting
                                          - Agenda
                                          - Investor Advisory Committee
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Open Meeting

**February 4, 2015**

Public Company Accounting Oversight Board 2015 Budget and Accounting Support Fee
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, January 14, 2015**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

## 2014 Webcasts

### Advisory Committee on Small and Emerging Companies

**Wednesday, December 17, 2014**
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - SEC Announces Agenda for Meeting of the Advisory Committee on Small and Emerging Companies
                                          - SEC Announces Next Meeting of the Advisory Committee on Small and Emerging Companies
                                          - Advisory Committee on Small and Emerging Companies
                                          - Transcript (pdf)  ( text )
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Open Meeting

**Thursday, November 20, 2014**

SEC Government-Business Forum on Small Business Capital Formation
                                          - Agenda
                                          - Program
                                          - Slide Presentations
                                          - Sunshine Act Notice
                                          - Government-Business Forum on Small Business Capital Formation
                                          - Webcast Archive

### SEC Government-Business Forum on Small Business Capital Formation

**Thursday, November 20, 2014**
                                          - Agenda
                                          - Program
                                          - Slide Presentations
                                          - Sunshine Act Notice
                                          - Government-Business Forum on Small Business Capital Formation
                                          - Webcast Archive

### Open Meeting

**Wednesday, November 19, 2014**

Regulation SCI
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Compliance Outreach Program for Municipal Advisors

**November 3, 2014**
                                          - Agenda
                                          - Compliance Outreach Program for Municipal Advisors
                                          - Unofficial Transcript
                                          - Webcast Archive

### Open Meeting

**Wednesday, October 22, 2014**

Credit Risk Retention
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Investor Advisory Committee

**Thursday, October 9, 2014**
                                          - Sunshine Act Notice
                                          - Notice of Meeting
                                          - Agenda
                                          - Investor Advisory Committee
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Open Meeting

**Wednesday, August 27, 2014**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Friday, July 25, 2014**

Oral Argument in the Matter of John P. Flannery and James D. Hopkins
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, July 23, 2014**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, June 25, 2014**

Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Investor Advisory Committee

**Thursday, July 10, 2014**
                                          - Sunshine Act Notice
                                          - Notice of Meeting
                                          - Agenda
                                          - Investor Advisory Committee
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Investor Advisory Committee

**Thursday, April 10, 2014**
                                          - Sunshine Act Notice
                                          - Notice of Meeting
                                          - Agenda
                                          - Investor Advisory Committee
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Cybersecurity Roundtable

**Wednesday, March 26, 2014**
                                          - Sunshine Act Notice
                                          - Notice of Meeting
                                          - Speaker Biographies
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Open Meeting

**Wednesday, March 12, 2014**

Standards for Covered Clearing Agencies
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, February 5, 2014**

Public Company Accounting Oversight Board 2014 Budget and Accounting Support Fee
                                          - Sunshine Act Notice - Deletion of an Item
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Investor Advisory Committee

**Friday, January 31, 2014, 10:00 a.m. - 4:00 p.m.**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Investor Advisory Committee
                                          - Webcast Archives 1
                                          - Webcast Archives 2

### Compliance Outreach Program National Seminar 2014

**Thursday, January 30, 2014**
                                          - Agenda
                                          - Speaker Biographies
                                          - Press Release
                                          - Compliance Outreach Program for Investment Advisers and Investment Companies
                                          - Webcast Archives 1
                                          - Webcast Archives 2
                                          - Webcast Archives 3
                                          - Webcast Archives 4

### Open Meeting

**CANCELLED: Wednesday, January 22, 2014**

Public Company Accounting Oversight Board 2014 Budget and Accounting Support Fee
                                          - Sunshine Act Notice of Cancellation of Meeting
                                          - Sunshine Act Notice
                                          - Agenda

## 2013 Webcasts

### Open Meeting

**Wednesday, December 18, 2013**

Proposed Rule Amendments for Small and Additional Issues Exemptions under Section 3(b) of the Securities Act of 1933
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Monday, December 16, 2013**

Oral Argument in the Matter of Absolute Potential, Inc., f/k/a Absolute Waste Services Inc.
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Proxy Advisory Services Roundtable

**Thursday, December 5, 2013**
                                          - Roundtable Notice
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Participants
                                          - Proxy Advisory Services Roundtable Spotlight Page
                                          - Webcast Archives

### Dodd-Frank Investor Advisory Committee

**Friday, November 22, 2013**
                                          - Notice of Meeting  (Press Release, Nov. 14, 2013)
                                          - Agenda
                                          - Investor Advisory Committee Spotlight Page
                                          - Webcast Archives

### Annual Government-Business Forum on Small Business Capital Formation

**Thursday, November 21, 2013**
                                          - SEC Announces Agenda and Panelists for Small Business Forum  (Press Release, Nov. 14, 2013)
                                          - SEC Announces Date for Annual Government-Business Forum on Small Business Capital Formation  (Press Release, Oct. 3, 2013)
                                          - Small Business Website
                                          - Webcast Archives

### Open Meeting

**Wednesday, October 23, 2013**

Crowdfunding
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### News Conference to Announce Launch of Market Structure Data and Analysis Website

**Wednesday, October 9, 2013**
                                          - Press Release
                                          - Market Structure Website
                                          - Webcast Archives

### Open Meeting

**Tuesday, October 8, 2013**

Oral Argument in the Matter of China-Biotics, Inc.
                                          - Agenda
                                          - Room Change Notice
                                          - Sunshine Act Notice
                                          - Webcast Archive

### Federal Women's Leadership Summit

**Monday, September 23, 2013**
                                          - Agenda
                                          - Speaker Biographies
                                          - Webcast Archives

### Open Meeting

**Wednesday, September 18, 2013**
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Webcast Archive

### Open Meeting

**Tuesday, September 17, 2013**

Oral Argument in the Matter of Montford and Company, Inc., d/b/a Montford Associates, and Ernest V. Montford, Sr.
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Webcast Archive

### Advisory Committee on Small and Emerging Companies Meeting

**Tuesday, September 17, 2013**
                                          - Agenda no longer available
                                          - Sunshine Act Notice
                                          - Notice of Meeting
                                          - Webcast Archives 1
                                          - Webcast Archives 2

### Investor Advisory Committee

**Thursday, July 25, 2013**
                                          - Sunshine Act Notice
                                          - Notice of Meeting
                                          - Agenda
                                          - Webcast Archives
                                          - Webcast Archives

### Open Meeting

**Wednesday, July 10, 2013**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meetings

**Wednesday, June 5, 2013**

Money Market Fund Reform; Amendments to Form PF
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Credit Ratings Roundtable

**Tuesday, May 14, 2013**
                                          - Sunshine Act Notice
                                          - Press Release 2013-71  (includes agenda)
                                          - Press Release 2013-27
                                          - Notice of Meeting
                                          - Credit Ratings Roundtable Spotlight page
                                          - Webcast Archives
                                          - Webcast Archives

### Open Meeting

**Wednesday, May 1, 2013**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Advisory Committee on Small and Emerging Companies

**Wednesday, May 1, 2013**
                                          - Sunshine Act Notice
                                          - Notice of Meeting
                                          - Press Release (includes agenda)
                                          - Webcast Archives 1
                                          - Webcast Archives 2

### Fixed Income Roundtable

**Tuesday, April 16, 2013**
                                          - Sunshine Act Notice
                                          - Fixed Income Markets
                                          - Agenda
                                          - Press Release 2013-48
                                          - Press Release 2013-29
                                          - Webcast Archives 1
                                          - Webcast Archives 2

### Dodd-Frank Investor Advisory Committee

**Thursday, April 11, 2013**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Notice of Meeting
                                          - Webcast Archives 1
                                          - Webcast Archives 2

### Open Meeting

**Wednesday, April 10, 2013**

Identify Theft Red Flags Rules
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### National Compliance Outreach Program for Broker-Dealers

**Tuesday, April 9, 2013**
                                          - Agenda
                                          - Press Release 2013-9
                                          - Webcast Archives 1
                                          - Webcast Archives 2

### Open Meeting

**Thursday, March 7, 2013**

Regulation Systems Compliance and Integrity
                                          - Sunshine Act Notice Announcing Date and Time Change
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, February 13, 2013**

Public Company Accounting Oversight Board 2013 Budget and Accounting Support Fee
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Decimalization Roundtable

**Tuesday, February 5, 2013**
                                          - Press Release (includes agenda and participant bios)
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Webcast Archives
                                          - Webcast Archives

### Advisory Committee on Small and Emerging Companies

**Friday, February 1, 2013**
                                          - Press Release (includes agenda)
                                          - Notice
                                          - Sunshine Act Notice
                                          - Webcast Archives 1
                                          - Webcast Archives 2

### Investor Advisory Committee

**Friday, January 18, 2013**
                                          - Notice
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archives
                                          - Webcast Archives

## 2012 Webcasts

### Government-Business Forum on Small Business Capital Formation

**Thursday, November 15, 2012**
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Press Release 2012-221  (includes agenda)
                                          - Press Release 2011-216
                                          - Government-Business Forum on Small Business Capital Formation, Overview
                                          - Webcast Archives 1
                                          - Webcast Archives 2

### Open Meeting

**Wednesday, October 17, 2012**

Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Telephonic Advisory Committee

**Friday, October 12, 2012**
                                          - General Solicitation and Advertising Recommendations
                                          - Meeting Notice
                                          - Minutes
                                          - Webcast Archives

### Technology and Trading Roundtable

**Tuesday, October 2, 2012**
                                          - Press Release 2012-202 (Panelists)
                                          - Press Release 2012-182 (Agenda)
                                          - Panelist Bios
                                          - Notice of Roundtable
                                          - Sunshine Act Notice
                                          - Transcript
                                          - Webcast Archives 1
                                          - Webcast Archives 2

### Investor Advisory Committee

**Friday, September 28, 2012**
                                          - Agenda
                                          - Meeting Notice
                                          - Sunshine Act Notice
                                          - Investor Advisory Committee Spotlight page
                                          - Webcast Archives 1
                                          - Webcast Archives 2

### Open Meeting

**Wednesday, August 29, 2012**

Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, August 22, 2012**
                                          - Sunshine Act Notice
                                          - Notice of Deletion of an Item
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, July 11, 2012**

Consolidated Audit Trail
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Investor Advisory Committee

**June 12, 2012**
                                          - Press Release Announcing Investor Advisory Committee Members
                                          - Sunshine Act Meeting Notice
                                          - Notice of Meeting
                                          - Agenda
                                          - Webcast Archives 1
                                          - Webcast Archives 2

### Advisory Committee on Small and Emerging Companies

**Friday, June 8, 2012**
                                          - Sunshine Act Meeting Notice
                                          - Notice of Meeting
                                          - Comments Received — File No. 265-27
                                          - Press Release and Agenda
                                          - Background Materials
                                          - Webcast Archives 1
                                          - Webcast Archives 2
                                          - Transcript of Meeting

### Open Meeting

**Wednesday, April 18, 2012**

Further Definition of "Swap Dealer," "Security-Based Swap Dealer" "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Advisory Committee on Small and Emerging Companies

**Wednesday, February 1, 2012**
                                          - Press Release 2012-19
                                          - Notice of Meeting
                                          - Agenda
                                          - Advisory Committee on Small and Emerging Companies Information Page
                                          - Draft Recommendations
                                          - Background Materials
                                          - Webcast Archives 1
                                          - Webcast Archives 2
                                          - Transcript of Meeting

### Compliance Outreach Program National Seminar

**Tuesday, January 31, 2012**
                                          - Agenda
                                          - Compliance Outreach Program National Seminar 2012
                                          - Compliance Outreach Program for Investment Advisers and Investment Companies
                                          - Slide Presentation by Erozan Kurtas
                                          - Webcast Archives 1
                                          - Webcast Archives 2

### Open Meeting

**Wednesday, January 11, 2012**

Public Company and Accounting Oversight Board 2012 Budget and Accounting Support Fee
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Advisory Committee on Small and Emerging Companies

**Friday, January 6, 2012 (Audio)**
                                          - Sunshine Act Notice
                                          - Notice of Meeting
                                          - Agenda
                                          - Press Release
                                          - Advisory Committee on Small and Emerging Companies
                                          - Webcast Archive

## 2011 Webcasts

### SEC Enforcement News Conference

**Friday, December 16, 2011, 11:45 a.m.**
                                          - Press Release 2011-267
                                          - SEC complaint vs. Freddie Mac executives
                                          - SEC complaint vs. Fannie Mae executives
                                          - Non-Prosecution Agreement — Freddie Mac
                                          - Non-Prosecution Agreement — Fannie Mae
                                          - Webcast Archive

### Open Meeting

**Cancelled: Tuesday, December 6, 2011**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Notice of Cancellation

### Government-Business Forum on Small Business Capital Formation

**Thursday, November 17, 2011, 9:00 a.m. - 1 p.m.**
                                          - Sunshine Act Notice
                                          - Press Release 2011-236
                                          - Press Release 2011-216
                                          - Government-Business Forum on Small Business Capital Formation, Overview
                                          - Forum Program
                                          - Agenda
                                          - Panelist Biographies
                                          - Webcast Archive

### Financial Reporting Series Roundtable

**Thursday, November 3, 2011**
                                          - Sunshine Act Notice
                                          - Overview
                                          - Press Release 2011-231
                                          - Press Release 2011-215
                                          - The SEC Chief Accountant Financial Reporting Series
                                          - Agenda
                                          - Transcript (unedited)
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Open Meeting

**Wednesday, November 2, 2011**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Advisory Committee on Small and Emerging Companies

**Monday, October 31, 2011**
                                          - Press Release 2011-222
                                          - Press Release 2011-207
                                          - Notice of Meeting
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Advisory Committee on Small and Emerging Companies Information Page
                                          - Presentation Slides (Overview)
                                          - Presentation Slides (Unregistered Offerings and the Regulation D Exemption)
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Open Meeting

**Wednesday, October 26, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Roundtable on Conflict Minerals

**Tuesday, October 18, 2011**
                                          - Press Release 2011-210
                                          - Press Release 2011-197
                                          - Notice of Roundtable
                                          - Agenda
                                          - Panelists
                                          - Panelist Bios
                                          - Transcript
                                          - Webcast Archive, Part 1
                                          - Webcast Archive, Part 2

### Roundtable on Microcap Securities

**Monday, October 17, 2011**
                                          - Press Release 2011-186
                                          - Press Release 2011-203
                                          - Notice of Roundtable
                                          - Agenda and Participants
                                          - Participant Bios
                                          - Transcript
                                          - Webcast Archive

### Open Meeting

**Wednesday, October 12, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Monday, September 19, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Notice of Deletion of an Item
                                          - Webcast Archive

### Open Meeting

**Wednesday, August 31, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, August 24, 2011**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Field Hearing on the State of Municipal Securities Market, Birmingham, Alabama

**Friday, July 29, 2011**
                                          - Spotlight page
                                          - Press Release
                                          - List of Participants
                                          - Panelist Statements
                                          - Agenda
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Open Meeting

**Tuesday, July 26, 2011**
                                          - Sunshine Act Notice
                                          - Notice of Item Deletion
                                          - Agenda
                                          - Webcast Archive

### CANCELLED: Open Meeting

**Tuesday, July 26, 2011**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Cancellation Notice

### CANCELLED: Open Meeting

**Thursday, July 14, 2011**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Cancellation Notice

### Roundtable on International Financial Reporting Standards

**Thursday, July 7, 2011**
                                          - Spotlight page
                                          - Press Release 2011-95
                                          - Press Release 2011-139
                                          - Agenda
                                          - Participants List
                                          - Transcript
                                          - Webcast Archives, Part 1
                                          - Webcast Archives, Part 2
                                          - Webcast Archives, Part 3

### Open Meeting

**Wednesday, June 29, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, June 22, 2011**
                                          - Sunshine Act Notice
                                          - Sunshine Act Meeting Notice: Time Change
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, June 15, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, May 25, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, May 18, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Roundtable Discussion on Money Market Funds and Systemic Risk

**Tuesday, May 10, 2011**
                                          - List of Participants
                                          - Agenda
                                          - Press Release
                                          - Sunshine Act Notice
                                          - Spotlight page
                                          - Webcast Archive

### Open Meeting

**Wednesday, April 27, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, March 30, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, March 2, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Wednesday, February 9, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### CCOutreach BD National Seminar

**Tuesday, February 8, 2011**
                                          - Agenda
                                          - Speaker Biographies
                                          - Resources
                                          - Webcast Archive 1
                                          - Webcast Archive 2

### Open Meeting

**Wednesday, February 2, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Tuesday, January 25, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

### Open Meeting

**Thursday, January 20, 2011**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast Archive

## 2010 Webcasts

### Open Meeting

**Wednesday, December 15, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Friday, December 3, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Friday, November 19, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### SEC Small Business Capital Formation Forum

**Thursday, November 18, 2010**
                                          - Agenda
                                          - Program

### Open Meeting

**Wednesday, November 3, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, October 13, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### *CCOutreach* Program Interactive Broadcast Seminar on Valuation

**Thursday, October 7, 2010**
                                          - Agenda

### Open Meeting

**Friday, September 17, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### CFTC-SEC Public Roundtable Discussions

**Wednesday, September 15, 2010**
                                          - Sunshine Act Notice
                                          - Meeting Notice
                                          - Agenda
                                          - List of Participants
                                          - Transcript

### Open Meeting

**Wednesday, August 25, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues

**Wednesday, August 11, 2010**
                                          - Sunshine Act Notice
                                          - Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
                                          - Agenda and Participants
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, July 21, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### News Conference

**Thursday, July 15, 2010**
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, July 14, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, June 30, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues

**Tuesday, June 22, 2010**
                                          - Sunshine Act Notice
                                          - Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
                                          - Agenda and Participants
                                          - Webcast no longer available.

### CANCELLED: Open Meeting

**Friday, June 18, 2010**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, June 16, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Mutual Fund XBRL Education Seminar

**Friday, June 4, 2010**
                                          - Press Release
                                          - Webcast no longer available.

### Market Structure Roundtable

**Wednesday, June 2, 2010**
                                          - Sunshine Act Notice
                                          - Agenda, Panelists, Statements
                                          - Webcast no longer available.
                                          - Transcript, Panel 1
                                          - Transcript, Panel 2
                                          - Transcript, Panel

### Open Meeting

**Wednesday, May 26, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues

**Monday, May 24, 2010**
                                          - Sunshine Act Notice  — Conforming Version (To Conform to Release Published in the Federal Register)
                                          - Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
                                          - Webcast Slide Presentation
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, April 14, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, April 7, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Tuesday, March 30, 2010**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.
                                          - Transcript

### Open Meeting

**Wednesday, February 24, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### CANCELLED: Open Meeting

**Monday, February 8, 2010**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, January 27, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, January 13, 2010**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Monday, January 11, 2010**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

## 2009 Webcasts

### Open Meeting

**Wednesday, December 16, 2009**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Government-Business Forum on Small Business Capital Formation

**Thursday, November 19, 2009**
                                          - Press Release
                                          - Agenda
                                          - Sunshine Act Notice
                                          - Webcast no longer available.

### Open Meeting

**Monday, November 2, 2009**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, October 21, 2009**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### SEC Investor Advisory Committee Open Meeting

**Monday, October 5, 2009**
                                          - Sunshine Act Notice
                                          - Webcast no longer available.

### Securities Lending and Short Sale Roundtable

**Tuesday, September 29 and Wednesday, September 30, 2009**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Day 1 Transcript
                                          - Day 2 Transcript
                                          - li> Spotlight on Short Sales
                                          - Webcast no longer available.

### Open Meeting

**Thursday, September 17, 2009**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Room Change Notice
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, September 16, 2009**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Thursday, September 3, 2009**
*(Joint Open Meeting with the Commodity Futures Trading Commission)*                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, September 2, 2009**
*(Joint Open Meeting with the Commodity Futures Trading Commission)*                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Investor Advisory Committee Open Meeting

**Monday, July 27, 2009**
                                          - Sunshine Act Notice
                                          - Spotlight on Investor Advisory Committee
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, July 22, 2009**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Tuesday, July 21, 2009**
*(Oral Arguments)*                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Monday, July 20, 2009**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, July 15, 2009**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, July 1, 2009**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, June 24, 2009**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Joint SEC/Department of Labor Hearing on Target Date Funds

Thursday, June 18, 2009
                                          - Press Release
                                          - Panelists and Agenda
                                          - Comments received by the SEC
                                          - Comments received by the DOL no longer available
                                          - Hearing Transcript
                                          - Webcast no longer available

### Public Seminar on New Interactive Data Reporting Requirements

**Wednesday, June 10, 2009**
                                          - Press Release
                                          - Webcast no longer available.

### Press Conference: SEC Files Fraud Charges Against Former Countrywide CEO Angelo Mozilo, Two Others

**Thursday, June 4, 2009**
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, May 20, 2009**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Thursday, May 14, 2009**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, May 13, 2009**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Roundtable to Examine Short Sale Price Test and Circuit Breaker Restrictions

**Tuesday, May 5, 2009**
                                          - Press Release
                                          - Agenda
                                          - Roundtable to Examine Short Sale Price Test and Circuit Breaker Restrictions
                                          - Webcast Archives

### Credit Rating Agencies Roundtable

**Wednesday, April 15, 2009**
                                          - Sunshine Act Meeting Notice
                                          - Agenda
                                          - Roundtable to Examine Oversight of Credit Rating Agencies
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, April 8, 2009**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### *CCOutreach BD* National Seminar Roundtable

**Tuesday, March 10, 2009**
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, January 7, 2009**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

## 2008 Webcasts

### Open Meeting

**Wednesday, December 17, 2008**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, December 3, 2008**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Mark-to-Market Accounting Roundtable

**Friday, November 21, 2008**
                                          - Spotlight on Fair Value Accounting Standards
                                          - Agenda and Biographies of Participants
                                          - Webcast no longer available.

### Government-Business Forum on Small Business Capital Formation

**Thursday, November 20, 2008**
                                          - Government-Business Forum on Small Business Capital Formation
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, November 19, 2008**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Notice of Item Deletion
                                          - Webcast no longer available.

### CCOutreach National Seminar for Investment Adviser and Investment Company Chief Compliance Officers

**November 13, 2008**
                                          - Agenda
                                          - Webcast no longer available.

### Roundtable on Mark-to-Market Accounting

**Wednesday, October 29, 2008**
                                          - Sunshine Act Notice
                                          - Spotlight on Fair Value Accounting Standards
                                          - Webcast Archives, Part 1
                                          - Webcast Archives, Part 2

### Roundtable on Modernizing the Securities and Exchange Commission's Disclosure System

**Wednesday, October 8, 2008**
                                          - Sunshine Act Notice
                                          - 21st Century Disclosure Initiative Roundtable
                                          - Webcast Archives, Part 1
                                          - Webcast Archives, Part 2

### Seniors Summit

**Monday, September 22, 2008**
                                          - Third Annual Seniors Summit
                                          - Webcast no longer available.

### *CCOutreach* Program Interactive Broadcast Seminar for Smaller Advisers

**Tuesday, September 16, 2008**
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Monday, September 8, 2008**
*(Oral Argument)*                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, August 27, 2008**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### SEC Chairman Christopher Cox to Hold News Conference With Australian Officials

**Monday, August 25, 2008**
                                          - Webcast no longer available.

### News Conference: SEC Chairman Cox to Unveil Futuristic Information Disclosure System for Investors and Markets

**Tuesday, August 19, 2008**
                                          - Webcast no longer available.

### News Conference: SEC To Announce Major Enforcement Action Involving Auction Rate Securities

**Thursday, August 7, 2008**
                                          - Webcast no longer available.

### Roundtable on International Financial Reporting Standards

**Monday, August 4, 2008**
                                          - Notice of Meeting
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Spotlight On: International Financial Reporting Standards "Roadmap"
                                          - Webcast Archives, Part 1
                                          - Webcast Archives, Part 2

### News Conference: Chairman Cox to Receive Final Report from SEC Advisory Committee on Improvements to Financial Reporting

**Friday, August 1, 2008**
                                          - Webcast no longer available.

### Public Meeting: Advisory Committee on Improvements to Financial Reporting

**Thursday, July 31, 2008**
                                          - Notice of Meeting
                                          - Agenda

### Open Meeting

**Wednesday, July 30, 2008**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Public Meeting: Advisory Committee on Improvements to Financial Reporting

**Friday, July 11, 2008**
                                          - Agenda
                                          - Notice of Meeting
                                          - Webcast no longer available.

### International Roundtable on Fair Value Accounting Standards

**Wednesday, July 9, 2008**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Spotlight on Roundtable on Fair Value Accounting Standards
                                          - Webcast no longer available.

### News Conference: Chairman Cox to Announce Findings in SEC Examinations of Credit Rating Agencies

**Tuesday, July 8, 2008**
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, June 25, 2008**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, June 11, 2008**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### International Roundtable on Interactive Data for Public Financial Reporting

**Tuesday, June 10, 2008**
                                          - Sunshine Act Notice
                                          - Webcast no longer available.

### Past Chairmen Roundtable

**Wednesday, June 4, 2008**
                                          - Press Release
                                          - Transcript
                                          - Webcast no longer available.

### News Conference

**Tuesday, June 3, 2008**
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, May 21, 2008**
*(Rescheduled from Wednesday, May 14, 2008)*                                          - Additional Item Notice
                                          - Additional Item Date Change Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, May 14, 2008**
*(Rescheduled from Monday, April 21, 2008)*                                          - Sunshine Act Notice
                                          - Date and Time Change Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Monday, May 5, 2008**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Public Meeting: Advisory Committee on Improvements to Financial Reporting

**Friday, May 2, 2008**
                                          - Notice of Room Change
                                          - Notice of Meeting

### Public Meeting: Advisory Committee on Improvements to Financial Reporting

**March 14, 2008**
                                          - Notice of Meeting
                                          - Agenda
                                          - Webcast no longer available.

### Public Meeting: Advisory Committee on Improvements to Financial Reporting

**March 13, 2008**
                                          - Notice of Meeting
                                          - Agenda
                                          - Webcast no longer available.

### Press Conference to discuss SEC-CFTC matters

**Tuesday, March 11, 2008**
                                          - Webcast no longer available.

### Broker-Dealer *CCOutreach* Program

**Friday, March 7, 2008**
                                          - Agenda

### Open Meeting

**Tuesday, March 4, 2008**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, February 13, 2008**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Advisory Committee on Improvements to Financial Reporting — Public Telephone Conference Meeting

**Monday, February 11, 2008**
                                          - See  Notice of Meeting  for access instructions  
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, January 30, 2008**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Advisory Committee Meeting on Improvements to Financial Reporting

**Friday, January 11, 2008**
                                          - Agenda
                                          - Draft Decision Memo
                                          - Webcast no longer available.

## 2007 Webcasts

### Open Meeting

**Tuesday, December 18, 2007**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### SEC Roundtable on Practical Issues Surrounding the Use of IFRS in the U.S. in Recent Years, and Its Potential Expanded Use in Future Years

**Monday, December 17, 2007**
                                          - Press Release No. 2007-261
                                          - Agenda
                                          - List of Participants
                                          - Spotlight on IFRS "Roadmap"
                                          - Webcast Archives, Part 1
                                          - Webcast Archives, Part 2

### SEC Roundtable on IFRS in the U.S. Markets

**Thursday, December 13, 2007**
                                          - Press Release No. 2007-261
                                          - Agenda
                                          - List of Participants
                                          - Spotlight on IFRS "Roadmap"
                                          - Webcast Archives, Part 1
                                          - Webcast Archives, Part 2

### Open Meeting

**Tuesday, December 11, 2007**
                                          - Sunshine Act Notice
                                          - Notice: Deletion of an Item
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, November 28, 2007**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Thursday, November 15, 2007**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### *CCOutreach* National Seminar

**Wednesday, November 14, 2007**
                                          - Agenda

### Advisory Committee Meeting on Improvements to Financial Reporting

**Friday, November 2, 2007**
                                          - Agenda

### Open Meeting

**Monday, October 1, 2007**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### News Conference on Major Announcement About Interactive Data in Financial Reporting

**Tuesday, September 25, 2007**
                                          - Media Advisory
                                          - Webcast no longer available.

### Government-Business Forum on Small Business Capital Formation

**Monday, September 24, 2007**
                                          - Press Release No. 2007-189
                                          - Government-Business Forum on Small Business Capital Formation
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, September 19, 2007**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Monday, September 10, 2007**
*(Seniors Summit)*                                          - Press Release No. 2007-160
                                          - Sunshine Act Notice
                                          - Webcast no longer available.

### Advisory Committee on Improvements to Financial Reporting

**Thursday, August 2, 2007**
                                          - Press Release No. 2007-154
                                          - Agenda
                                          - Record of Proceedings
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, July 25, 2007**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Unofficial Transcript
                                          - Webcast no longer available.

### Open Meeting

**Tuesday, July 24, 2007**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, July 11, 2007**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, June 20, 2007**
                                          - Sunshine Act Notice
                                          - Additional Item Notice
                                          - Agenda
                                          - Webcast no longer available.

### Roundtable Discussion Regarding Rule 12b-1

**Tuesday, June 19, 2007**
                                          - Press Release No. 2007-106
                                          - Unofficial Transcript
                                          - Spotlight on Rule 12b-1 Roundtable
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, June 13, 2007**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Webcast no longer available.

### Roundtable Discussions Regarding Mutual Recognition

**Tuesday, June 12, 2007**
                                          - Press Release No. 2007-105
                                          - Unofficial Transcript
                                          - Webcast no longer available.

### Roundtable on Proposals of Shareholders

**Friday, May 25, 2007**
                                          - Spotlight On: Roundtable Discussions Regarding the Proxy Process
                                          - Unofficial Transcript
                                          - Webcast no longer available.

### Roundtable Discussions Regarding the Proxy Process Part 2

**Thursday, May 24, 2007**
                                          - Roundtable on Proxy Voting Mechanics
                                          - Unofficial Transcript
                                          - Webcast no longer available.

### Former Chairmen Roundtable

**Wednesday, May 23, 2007**
                                          - Press Release No. 2007-98
                                          - Unofficial Transcript
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, May 23, 2007**
                                          - Sunshine Act Notice
                                          - Agenda
                                          - Unofficial Transcript
                                          - Webcast no longer available.

### Senior Investor Protection Symposium

**Friday, May 18, 2007**
                                          - Webcast no longer available.

### Roundtable Discussions Regarding the Proxy Process

**Monday, May, 7, 2007**
                                          - Sunshine Act Notice
                                          - Sunshine Act Time Change Notice  (relates to Closed Meeting only)
                                          - Press Release No. 2007-71
                                          - Agenda
                                          - Briefing Paper
                                          - List of Participants
                                          - Roundtable on the Federal Proxy Rules and State Corporation Law
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, April 4, 2007**
                                          - Sunshine Act Notice
                                          - Agenda for this Meeting
                                          - Unofficial Transcript
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, March 21, 2007**
                                          - News Digest Announcement
                                          - Sunshine Act Notice
                                          - Agenda for this Meeting
                                          - Webcast no longer available.

### Interactive Data Roundtable: Creating Interactive Data to Serve Investors

**Monday, March 19, 2007**
                                          - Press Release No. 2007-37
                                          - Webcast no longer available.

### News Conference to Announce Enforcement Actions with Chairman Christopher Cox and Enforcement Director Linda C. Thomsen

**Thursday, March 8, 2007**
                                          - Webcast no longer available.

### International Financial Reporting Standards "Roadmap" Roundtable

**Tuesday, March 6, 2007**
                                          - Press Release No. 2007-19
                                          - Agenda
                                          - List of Participants
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, February 7, 2007**
                                          - News Digest Announcement
                                          - Agenda for this Meeting
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, January 31, 2007**
*(2 meetings)*                                          - Sunshine Act Meeting Notice
                                          - Oral Argument (10:00 am)
                                          - Agenda for Open Meeting 
                                          - (2:00 pm)
                                          - Webcast no longer available.

## 2006 Webcasts

### Open Meeting

**Wednesday, December 13, 2006**
                                          - Sunshine Act Meeting Notice
                                          - Additional Item Notice
                                          - Agenda for this Meeting
                                          - Webcast no longer available.

### Open Meeting

**Monday, December 4, 2006**
                                          - Sunshine Act Meeting Notice
                                          - Revised Sunshine Act Meeting Notice
                                          - Agenda for this Meeting
                                          - Webcast no longer available.

### News Conference: Announcement on Consolidated Self-Regulation

**Tuesday, November 28, 2006**
                                          - Media Advisory
                                          - Webcast no longer available.

### *CCOutreach* National Seminar

**Tuesday, November 14, 2006**
                                          - *CCOutreach* Program
                                          - Press Release 2006-170
                                          - Agenda
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, October 18, 2006**
                                          - Sunshine Act Meeting Notice
                                          - Agenda for this Meeting
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, October 11, 2006**
                                          - News Digest Announcement
                                          - Agenda for this Meeting
                                          - Webcast no longer available.

### Interactive Data Roundtable

**Tuesday, October 3, 2006**
                                          - Press Release 2006-160
                                          - Press Release 2006-158
                                          - Webcast no longer available

### Government-Business Forum on Small Business Capital Formation

**Friday, September 29, 2006**
                                          - Forum Information
                                          - Agenda
                                          - Webcast no longer available.

### News Conference to Announce Modernization of Corporate Disclosure

**Monday, September 25, 2006**
                                          - Press Release 2006-158
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, September 20, 2006**
                                          - News Digest Announcement
                                          - Agenda for this Meeting
                                          - Webcast no longer available.

### Roundtable on the Regulation SHO Pilot

**Friday, September 15, 2006**
                                          - Roundtable Agenda
                                          - Transcript
                                          - Press Release No. 2006-94
                                          - Spotlight on Short Sales
                                          - Webcast no longer available.

### Open Meeting

**Wednesday, July 26, 2006**
                                          - Sunshine Act Meeting Notice
                                          - Agenda for this Meeting
                                          - Webcast no longer available.

### Press Conference

**Thursday, July 20, 2006**
                                          - Webcast Archives:  Windows Media

### Seniors Summit

**Monday, July 17, 2006**
                                          - Spotlight on Seniors Summit
                                          - Webcast Archives:  Windows Media

### Open Meeting

**Wednesday, July 12, 2006**
                                          - Sunshine Act Meeting Notice
                                          - Agenda for this Meeting
                                          - Webcast no longer available.

### Former Enforcement Directors' Roundtable

**Wednesday, June 14, 2006**
                                          - Notice for this event
                                          - Webcast no longer available.

### Interactive Data Roundtable

**Monday, June 12, 2006**
                                          - Agenda no longer available

### SEC Women Commissioners Panel

**Wednesday, May 31, 2006**
                                          - Webcast no longer available.

### Open Meeting

**Monday, May 22, 2006**
                                          - Sunshine Act Meeting Notice
                                          - Agenda for this Meeting
                                          - Webcast no longer available.

### Roundtable on Internal Control Reporting Requirements

**Wednesday, May 10, 2006**
                                          - See  Announcement, Press Release No. 2006-22
                                          - Agenda
                                          - Transcript
                                          - Spotlight On: Internal Control Reporting Provisions
                                          - Webcast Archives:  Part 1, Windows Media  |
                                          - Part 2,Webcast no longer available

### US SEC/Chinese Securities Regulatory Commission Ceremony to Announce Terms of Reference for Enhanced Dialogue

**Tuesday, May 2, 2006**
                                          - Webcast no longer available.

### Chairman's Remarks at Closing of 2006 International Institute for Securities Market Development

**Thursday, April 27, 2006**
                                          - Webcast no longer available.

### Advisory Committee Meeting on Smaller Public Companies, Washington, DC

**Thursday, April 20, 2006**
                                          - Advisory Committee on Smaller Public Companies
                                          - Webcast no longer available.

### Press Briefing on Subpoena Guidelines

**Wednesday, April 12, 2006**
                                          - Webcast Archives (audio)

### Advisory Committee Meeting on Smaller Public Companies, Washington, DC

**Wednesday, April 12, 2006**
                                          - Advisory Committee on Smaller Public Companies
                                          - Webcast no longer available.

### Advisory Committee Meeting on Smaller Public Companies, Washington, DC

**Tuesday, February 21, 2006**
                                          - Advisory Committee on Smaller Public Companies
                                          - Webcast no longer available.

### Open Meeting

**Monday, February 13, 2006**
                                          - Sunshine Act Meeting Notice
                                          - Agenda for this Meeting
                                          - Webcast no longer available.

### Open Meeting

**Monday, January 30, 2006**
                                          - Sunshine Act Meeting Notice
                                          - Agenda for this Meeting
                                          - Webcast no longer available.

### Open Meeting

**Tuesday, January 17, 2006**
                                          - Agenda for this meeting
                                          - Webcast no longer available.

## 2005 Webcasts

### Past Chairmen Roundtable, Washington, DC

**Tuesday, December 20, 2005**
                                          - Notice for this event
                                          - Webcast no longer available.

### Advisory Committee Meeting on Smaller Public Companies, Washington, DC

**Wednesday, December 14, 2005**
                                          - Advisory Committee on Smaller Public Companies
                                          - Webcast Archives:
                                          - Part 1:  Windows Media  	Part 2:  Windows Media

### Open Meeting

**Wednesday, December 14, 2005**
                                          - Agenda for this meeting  br>
                                          - Webcast Archives:  Windows Media

### Open Meeting

**Tuesday, November 29, 2005**
                                          - Agenda for this meeting
                                          - Webcast Archives:  Windows Media

### General Counsel Roundtable

**Thursday, November 17, 2005**
                                          - Announcement
                                          - Webcast no longer available.

### Open Meeting

**Monday, November 14, 2005**
                                          - Agenda for this meeting
                                          - Webcast Archives:  Windows Media

### *CCOutreach* National Seminar

**Tuesday, November 8, 2005**
                                          - *CCOutreach* Program

### Open Meeting

**Monday, October 31, 2005**
                                          - Agenda for this meeting
                                          - Webcast Archives:  Windows Media

### Advisory Committee Meeting on Smaller Public Companies, Washington, DC

**Monday, October 24 and Tuesday, October 25, 2005**
                                          - Advisory Committee on Smaller Public Companies
                                          - Webcast Archives:  	October 24 Part 1:  Windows Media  	October 24 Part 2:  Windows Media  	October 25 Part 1:  Windows Media  	October 25 Part 2:  Windows Media

### Advisory Committee Meeting on Smaller Public Companies, New York

**Friday, October 14, 2005**
                                          - Advisory Committee on Smaller Public Companies
                                          - Webcast Archives:  	Part 1:  Windows Media  	Part 2:  Windows Media

### Open Meeting

**Wednesday, September 21, 2005**
                                          - Agenda for this meeting
                                          - Webcast Archives:  Windows Media

### Advisory Committee Meeting on Smaller Public Companies, San Francisco

**Monday, September 19 and Tuesday, September 20, 2005**
                                          - Advisory Committee on Smaller Public Companies
                                          - Webcast Archives:  	September 19 Part 1:  Windows Media  	September 19 Part 2:  Windows Media

### Advisory Committee Meeting on Smaller Public Companies, Chicago

**Tuesday, August 9 and Wednesday, August 10, 2005**
                                          - Advisory Committee on Smaller Public Companies
                                          - Webcast Archives:  	August 9 Part 1:  Windows Media  	August 9 Part 2:  Windows Media  	August 10 Part 1:  Windows Media  	August 10 Part 2:  Windows Media

### Open Meeting

**Wednesday, June 29, 2005**
                                          - Agenda for this meeting
                                          - Sunshine Act Notice
                                          - Webcast Archives:  Windows Media

### Meeting of SEC Advisory Committee on Smaller Public Companies

**Thursday, June 16 and Friday, June 17, 2005**
                                          - Advisory Committee on Smaller Public Companies
                                          - Webcast Archives:  	June 16:  Windows Media  	June 17 Part 1:  Windows Media  	June 17 Part 2:  Windows Media

### Press Conference with Chairman William H. Donaldson

**Wednesday, June 1, 2005**
                                          - Press Release No. 2005-82

### Open Meeting

**Monday, May 23, 2005**
                                          - Agenda for this meeting
                                          - Webcast Archives:  Windows Media

### Roundtable on Implementation of Sarbanes-Oxley Internal Control Provisions

**Wednesday, April 13, 2005**
                                          - Press Release 2005-13
                                          - Press Release 2005-20
                                          - Additional Materials
                                          - Webcast no longer available.

### First Meeting of SEC Advisory Committee on Smaller Public Companies

**Tuesday, April 12, 2005**
                                          - Advisory Committee on Smaller Public Companies
                                          - Webcast Archives:  	Part 1:  Windows Media  	Part 2:  Windows Media

### Open Meeting

**Wednesday, April 6, 2005**
                                          - Agenda for this meeting
                                          - Webcast Archives:  Windows Media

### Open Meeting

**Tuesday, March 29, 2005**
                                          - Agenda for this meeting
                                          - Webcast Archives:  Windows Media

### Open Meeting

**Thursday, March 3, 2005**
                                          - Agenda for this meeting
                                          - Webcast Archives:  Windows Media

## 2004 Webcasts

### Open Meeting

**Wednesday, December 22, 2004**
                                          - Agenda for this meeting
                                          - Webcast Archives:  Windows Media

### Open Meeting

**Thursday, December 16, 2004**
                                          - Announcements  (in Press Rel. No. 2004-174)  	Webcast Archives:  Windows Media

### Open Meeting

**Wednesday, December 15, 2004**
                                          - Meeting agenda
                                          - Webcast Archives:  Windows Media

### Open Meeting

**Tuesday, November 9, 2004**
                                          - Agenda for this meeting  1
                                          - Webcast Archives:  Windows Media

### Open Meeting

**Tuesday, October 26, 2004**
                                          - Agenda for this meeting
                                          - Webcast Archives:  Windows Media

### Open Meeting

**Wednesday, October 13, 2004**
                                          - Agenda for this meeting
                                          - Webcast Archives:  Windows Media

### Open Meeting

**Wednesday, October 6, 2004**
                                          - Agenda for this meeting
                                          - Webcast Archives:  Windows Media

### Government-Business Forum on Small Business Capital Formation

**Monday, September 20, 2004**
                                          - Forum Agenda 
                                          - Press Release
                                          - Discussion Materials
                                          - Transcript
                                          - Webcast Archives:  	Part 1:  Windows Media  	Part 2:  Windows Media  	Part 3:  Windows Media

### Open Meeting

**Wednesday, August 18, 2004**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, July 14, 2004**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, June 23, 2004**
                                          - Agenda for this meeting

### Open Meeting

**Tuesday, June 15, 2004**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, June 2, 2004**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, May 26, 2004**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, April 28, 2004**
                                          - Agenda for this meeting

### Hearing on Regulation NMS

**Wednesday, April 21, 2004**
                                          - Agenda  (in Press Rel. No. 2004-52)
                                          - Additional Materials

### Open Meeting

**Tuesday, April 13, 2004**
                                          - Agenda for this meeting

### Open Meeting

Thursday, March 11, 2004
                                          - Agenda for this meeting

### Roundtable Discussion Re: Proposed Rules Relating to Security Holder Director Nominations

**Wednesday, March 10, 2004**
                                          - Announcement
                                          - Agenda
                                          - Additional Materials

### Open Meeting

**Wednesday, February 25, 2004**
                                          - Agenda for this meeting

### Open Meeting

**Tuesday, February 24, 2004**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, February 11, 2004**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, February 4, 2004**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, January 14, 2004**
                                          - Agenda for this meeting

## 2003 Webcasts

### Open Meeting

**Wednesday, December 17, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Thursday, December 4, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, December 3, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, November 19, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, October 29, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, October 22, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, October 8, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, September 24, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, September 17, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Thursday, September 11, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, September 10, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Thursday, August 7, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, August 6, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Thursday, July 31, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Thursday, July 24, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Thursday, July 10, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, June 25, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, June 4, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Tuesday, May 27, 2003**
                                          - Agenda for this meeting

### Roundtable on Hedge Funds

**Wednesday, May 14 and Thursday, May 15, 2003**
                                          - Initial Announcement
                                          - Agenda
                                          - Additional Materials

### Open Meeting

**Wednesday, April 30, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Thursday, April 24, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, April 23, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Friday, April 11, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, April 2, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Tuesday, April 1, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Thursday, February 6, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Tuesday, February 4, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Thursday, January 23, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, January 22, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, January 15, 2003**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, January 8, 2003**
                                          - Agenda for this meeting

## 2002 Webcasts

### Open Meeting

**Wednesday, December 18, 2002**
                                          - Agenda for this meeting

### Roundtables on the International Impact of Proposed Ruleson Auditor Independence and Attorney Conduct

**Tuesday, December 17, 2002**
                                          - Announcement
                                          - Transcript

### Open Meeting

**Wednesday, December 11, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Tuesday, November 26, 2002**
                                          - Agenda for this meeting

### SEC-SIA Anti-Money Laundering Webcast

**Monday, November 25, 2002**
                                          - Announcement & Procedure for Submitting Questions

### Open Meeting

**Tuesday, November 19, 2002**
                                          - Agenda for this meeting

### Credit Rating Agency Hearings

**Friday, November 15 and Thursday, November 21, 2002**
                                          - Announcement
                                          - Schedule
                                          - Participants and Comments

### Open Meeting

**Wednesday, November 13, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, November 6, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, October 30, 2002**
                                          - Agenda for this meeting

### Market Structure Hearings

**Tuesday, October 29 and Tuesday, November 12, 2002**
                                          - Initial Announcement
                                          - Schedule
                                          - Topics for Discussion
                                          - Participants

### Open Meeting

**Friday, October 25, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Wedesday, October 16, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Thursday, September 19, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, August 28, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Tuesday, August 27, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, July 24, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, July 17, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Tuesday, July 2, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Thursday, June 20, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Thursday, June 13, 2002**
*(Oral Argument)*                                          - Agenda for this meeting

### Open Meeting

**Wednesday, June 12, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Wednesday, May 29, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Tuesday, May 14, 2002**
                                          - Agenda for this meeting

### Investor Summit

**Friday, May 10, 2002**
                                          - Background Information

### Open Meeting

**Wednesday, May 8, 2002**
                                          - Agenda for this meeting

### Open Meeting

**Tuesday, April 30, 2002**
                                          - Agenda for this meeting

### Financial Disclosure and Auditor Oversight Roundtables

**Monday, March 4, Wednesday, March 6 and Thursday, April 4, 2002**
                                          - Agendas and Speakers

                                        - Sunshine Act Notice
                                        - Agenda

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