Videos uploaded by user “SEC Historical Society”
B.C. Forbes on stock market crash (1929)
with permission of the Newsfilm Library, University of South Carolina
The Nation's Market Place (1928)
courtesy of the Prelinger Archives, Library of Congress
Two Billion Dollars Carried in Streets (1929)
with permission of the Newsfilm Library, University of South Carolina
New York Trust Company
with permission of the Newsfilm Library, University of South Carolina
Regulation and Market Structure from ATS to NMS
Recorded June 1, 2018. Discussion between moderator Dr. Ken Durr and 3 former directors of SEC's Division of Trading and Markets: Richard G. Ketchum, division director from 1984 - 1990 Dr. Richard R. Lindsey, division director from 1995 - 1998 Commissioner Annette Nazareth, division director from 1999 - 2005 The program will be part of the Market Structure Gallery, opening in December 2018. The panel will examine the reshaping of the equities markets from the mid-1990s to mid-2000s, from Reg ATS (Alternative Trading System) through Reg NMS (National Market System), distinguishing, as best they can, the role of regulation, market innovation, and chance, in driving these changes.
Morgan Lewis Presents 2018: A Conversation with Stephanie Avakian and Steven Peikin
This conversation with Stephanie Avakian and Steven Peikin focuses on timely topics such as cyber, retail investor protection, and key enforcement cases and priorities. Timed with the turn of the SEC's fiscal year, the discussion also provides insight into the division's agenda for the upcoming year. Recorded October 3, 2018.
Roundtable of Current and Former SEC Enforcement Directors
Recorded on April 3, 2018. Georgetown University Law Center Insights into SEC Enforcement: The directors will discuss key issues and challenges that occurred during their tenure ranging from the origin of the FCPA through the development of insider trading and the impact of technology on the markets and the retail investor, giving insight into the overall development and direction of the SEC's enforcement program. With: Stephanie Avakian Andrew J. Ceresney Stephen M. Cutler Robert S. Khuzami Gary G. Lynch William R. McLucas Steven Peikin Stanley Sporkin Linda Chatman Thomsen Richard H. Walker Moderated by: Dr. Harwell Wells Presented in partnership with The Securities Law Section-Federal Bar Association and The Association of Securities and Exchange Commission Alumni
Rob Khuzami - Oral History
Recorded February 20, 2019 Robert S. Khuzami was appointed in 2009 by SEC Chair Mary Schapiro as Director of the SEC’s Enforcement Division where he served until January 2013. During his tenure he initiated the Division’s most significant restructuring in the agency’s history creating specialized prosecution units to concentrate on the high-priority areas of enforcement. The Division also hired private sector and other experts, adopted targeted and risk-based investigative approaches, and increased its overall expertise in the products, transactions, and practices that occur in the securities markets it polices. An Office of Market Intelligence was created to revamp the way the Division handles tips, complaints and referrals. Khuzami also created a program authorizing the use of cooperation agreements to incentivize assistance with SEC investigations and enforcement actions. During his tenure, the agency also established the Office of the Whistleblower to implement the whistleblower program authorized by the Dodd-Frank Act.
Andrew J. Ceresney - Oral History
Recorded Live on 2018 10 29. Andrew J. Ceresney served as Director of the SEC’s Enforcement Division from 2013 – 2017 under Chair Mary Jo White where he supervised law enforcement efforts in a range of matters including those related to financial reporting and accounting, asset management, insider trading, market structure, and the Foreign Corrupt Practices Act (FCPA), and helped broaden the use of the SEC’s analytical tools to detect and investigate financial misconduct. (with Harwell Wells)
Joan McKown - Oral History
Recorded February 8, 2019. Joan E. McKown spent nearly 25 years, from 1993 to 2010, in the SEC’s Enforcement Division, the last 17 as chief counsel. During her tenure in the Division, she honed her knowledge of investigatory issues relating to financial fraud, corporate disclosure, corporate governance, accounting, compliance, private equity, FCPA, broker dealer, investment adviser, investment companies, and insider trading. She also played a key role in establishing enforcement policies and oversaw creation of the first version of the SEC Enforcement Manual. (with Harwell Wells)
Deloitte Fireside Chat XIV  - Blockchain and Crypto: A Rational Dialogue
THE 2018 DELOITTE FIRESIDE CHAT Blockchain and Crypto... Those are two terms that seemed to pervade the popular press in the current year. While they share some qualities, they impact all of us in very different ways. Some have claimed that Blockchain will render auditing obsolete by creating universal ledgers; some have claimed that cryptocurrencies will supplant fiat money. These are extreme claims that require thoughtful and informed discussion. Recorded November 29, 2018.
Roundtable of Former SEC Chairs
Recorded June 3rd, 2019 For the 85th Anniversary of the U.S. Securities and Exchange Commission we present a roundtable of former SEC Chairs: David S. Ruder (1987-1989) Harvey L. Pitt (2001-2003) Elisse B. Walter (2012-2013) Richard C. Breeden (1989-1993) Christopher Cox (2005-2009) Mary Jo White (2013-2017) Arthur Levitt (1993-2001) Mary L. Shapiro (2009-2012) Jay Clayton (2017-present)
Thomas C. Newkirk - Oral History
(Recorded April 5, 2019) Thomas Newkirk spent 19 years -- from 1986 – 2004 -- in the SEC’s Enforcement Division. As Chief Litigation Counsel, he directed the Commission’s litigation against Drexel Burnham Lambert and Michael Milken, First Jersey and Eddie Antar (“Crazy Eddie”), and many emergency relief cases to freeze the proceeds of insider trading and halt on-going frauds. Then as an Associate Director, he led the investigations of significant financial fraud cases (Royal Ahold, PNC Financial Services Group, Tyco, Arthur Anderson, Waste Management), mutual fund cases (The Dreyfus Corporation, Kemper Financial Services), and broker-dealer cases (Prudential Securities, Gruntal & Company). (with Harwell Wells)
Steve Cutler - Oral History
Recorded live on 2018 12 06 - Stephen M. Cutler joined the SEC as Deputy Director of the Enforcement Division in January 1999 and served as Director of the Division from October 2001 to May 2005. He supervised the agency’s investigations of some of the largest financial reporting failures in the nation’s history up to that point, including those at Enron, WorldCom, Adelphia, Qwest, Tyco and HealthSouth. He also oversaw the agency’s investigations into violations by NYSE specialist firms and individual specialists for inter-positioning and trading-ahead violations and played a key role in the historic “global settlement” with brokerage firms over research analyst conflicts of interest. (with Harwell Wells)
Harvey L. Pitt - Historical Society Founders Interview
Recorded Feburary 7, 2019 Harvey Pitt, in this interview with Daniel Goelzer, explains how he, David Ruder and Paul Gonson worked together to establish the SEC Historical Society in 1999. Until his nomination as SEC Chairman in August 2001, he was integral to the Society’s early operations, including the provision of office space for the early organization at the Fried Frank law firm where he was a partner. Once in his role as Chairman of the SEC, Pitt remained a strong supporter of the Society, including through the challenges brought about by the terrorist attacks on September 11 of that year.
Deloitte Fireside Chat XIII: Evolving Role of the Auditor
Recorded, November 15, 2017. Moderator: Moderator Tom Davenport, Professor, Babson College Presenter(s): Dan Sunderland, Chief Auditor, Deloitte & Touche LLP and Will Bible, Partner, Deloitte & Touche LLP
Edward F. Green - Oral History
Ed Greene served at the SEC from 1978 to 1982, first as director of the Division of Corporation Finance under Chairman Harold Williams, then as General Counsel under Chairman John Shad. He was involved in several ground-breaking projects. As director of Corporation Finance, he led efforts to integrate and improve disclosures around Initial Public Offerings (IPOs), and spearheaded efforts to create faster access to markets for shelf registrations. As general counsel, he negotiated the agency’s first Memorandum of Understanding (MOU), which became a template for future cooperative agreements between governments. Mr. Greene was a founding trustee of the SEC Historical Society.
Morgan Lewis Presents 2017: Understanding Cybersecurity Regulation
Understanding Cybersecurity Regulation - Perspectives from Federal and State Regulators Moderator: Joel Reidenberg. Presenter(s): Meredith Cross, Susan Axelrod, Michael Pieciak, Timothy Burke