WEBCAST LIBRARY

ARCHIVED AUDIO WEBCAST
Original live broadcast:
TUESDAY, JULY 29, 2008

The Best of NERA V

Top presentations from the recent NERA Economic Consulting Finance, Law and Securities Litigation conference will be featured in the fifth anniversary "The Best of NERA," broadcast online on Tuesday, July 29th at 3:00 pm ET. Since its inaugural broadcast in 2004, "The Best of NERA" has welcomed more than 5,000 visitors.

Moderated by Professor Theresa Gabaldon of The George Washington University Law School, "The Best of NERA V" will feature:

  • Dr. Elaine Buckberg on SEC enforcement actions;
  • Stephanie Lee on auction-rate securities; and
  • Dr. Chudozie Okongwu on subprime issues.

Over the years, "The Best of NERA" has discussed a variety of topics in securities regulation, including:

  • assessing financial conditions and anticipating financial distress (Jeffrey Baliban); fraudulent conveyance (Elaine Buckberg); and restatements in light of Sarbanes-Oxley (Paul Hinton), The Best of NERA I, July 27, 2004
  • hedging restricted funds (David Ellis); analysis of the diversification of investment funds (James Jordan); and economies of scale in mutual funds (Stephanie Plancich), The Best of NERA II, July 27, 2005
  • disgorgement (Elaine Buckberg); options backdating (Patrick Conroy); and mutual fund advisory fees (Faten Sabry), The Best of NERA III, July 25, 2006
  • market manipulation – managing regulatory and legal risks (Sharon Brown-Hruska); specialist trading (Patrick Conroy); and commodity market manipulation (Robert Mackay); The Best of NERA IV, July 31, 2007

"The Best of NERA" was envisioned by Carla Rosati, Society Executive Director and creator of the virtual museum and archive, and Dr. Andrew Carron of NERA Economic Consulting when they first met in November 2003. Dr. Carron is now NERA’s President and a member of the Society’s Board of Trustees; Dr. Vinita Juneja, NERA Senior Vice President and Chair of Global Securities and Finance Practice, currently oversees the planning of the program. NERA Economic Consulting continues to sponsor the program, which will be available free of charge and without prior registration to all visitors.

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WEBCAST LIBRARY:

THURSDAY, JUNE 5, 2008
"Exemptive Authority: The Mandate of the Division of Investment Management"
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TUESDAY, MAY 20, 2008
Fireside Chat – SEC Regional Offices
With Mary Keefe and Michael Wolensky and moderator Theresa Gabaldon
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TUESDAY, APRIL 22, 2008
Fireside Chat – SEC Office of International Affairs
With Dr. Felice Batlan, Michael Mann and moderator Theresa Gabaldon
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TUESDAY, MARCH 11, 2008
Fireside Chat – SEC Office of the General Counsel
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Join the SEC Historical Society on Tuesday, March 11th at 3:00 pm ET for the start of the 5th anniversary broadcast season of the Fireside Chats.

From now through May 2009, the Fireside Chats will be among the educational activities in the SEC Historical Society’s commemoration of the 75th anniversary of the U.S. Securities and Exchange Commission. Each chat will focus on the distinctive history and work of one of the major SEC divisions and offices.

The March 11th Fireside Chat will look at the SEC Office of the General Counsel. Join two former SEC General Counsels – Daniel Goelzer, a member of the Board of the Public Company Accounting Oversight Board; and Giovanni Prezioso, a partner with Cleary Gottlieb Steen & Hamilton LLP – in discussion with moderator Professor Theresa Gabaldon, Lyle T. Alverson Professor of Law, The George Washington University Law School.

THURSDAY, NOVEMBER 1, 2007
Keeping the Markets Open:
Lessons Learned from the 1987 Market Break

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On October 19, 1987, the Dow Jones Industrial Average plunged 508 points in trading, the steepest decline in the markets since 1929.  Could the 1987 market break have been prevented?  Could a similar crash happen today?   Are the exchanges, the SEC and other regulatory agencies better equipped to deal today with a similar market decline?

 “Keeping the Markets Open: Lessons Learned from the 1987 Market Break,” a look back twenty years later, will be presented live in the Auditorium of the U.S. Securities and Exchange Commission in Washington, D.C., and broadcast online on www.sechistorical.org on Thursday, November 1st at 12:00 noon.

Moderated by Brandon Becker, Wilmer Cutler Pickering Hale & Dorr LLP (1987 – SEC Division of Market Regulation), the panel discussion will include Andrea Corcoran, Promontory Financial Group LLC (1987 – Commodities Future Trading Commission), SEC Chairman Christopher Cox (1987 – The White House), William Johnston (1987 – New York Stock Exchange), Richard Ketchum, New York Stock Exchange Regulation, Inc. (1987 – SEC Division of Market Regulation), David Ruder, Northwestern University School of Law (1987 – SEC Chairman) and Erik Sirri, the current Director of the SEC Division of Market Regulation.

TUESDAY, OCTOBER 16, 2007
Fireside Chat - Sarbanes Oxley Section 404

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WEDNESDAY, JULY 31, 2007
Join Dana Heller, Sharon Brown-Hruska and Robert Mackay with moderator Professor Lawrence Mitchell of The George Washington University School of Law for an in-depth look at some of today’s cutting-edge issues in securities regulation, including commodities market manipulation and the design and use of computer algorithms to identify trading violations.

"The Best of NERA 2007" will be the fourth annual program featuring top presentations from NERA Economic Consulting’s seminars; past "Best of NERA" programs since 2004 can be accessed in audio, podcast and transcript formats in Online Programs.

“The Best of NERA 2007” is made possible by NERA Economic Consulting.

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WEDNESDAY, JUNE 6, 2007
Beyond Borders: A New Approach to the Regulation of Global Securities Offerings
(SEC Historical Society Eighth Annual Meeting)

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TUESDAY, MAY 22, 2007
Topic: Fireside Chat - Insider Trading

Mark Radke of LeBoeuf, Lamb, Greene & MacRae LLP, and Donna M. Nagy, C. Ben Dutton Professor of Law, Indiana University School of Law, will join moderator Professor Theresa A. Gabaldon, Lyle T. Alverson Professor of Law, The George Washington University School of Law. The program will become part of the "Fair To All People: The SEC and the Regulation of Insider Trading" gallery, which opened in the museum last year.

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TUESDAY, APRIL 17, 2007
Topic: Fireside Chat - Courts and the SEC

The SEC Historical Society’s Fireside Chats continues this month with a discussion on the impact of the federal courts on the work of the U.S. Securities and Exchange Commission on Tuesday, April 17th from 3:00 to 4:00 pm ET. The Fireside Chat broadcast is free; no advance registration is needed.

Paul Gonson, former Solicitor of the U.S. Securities and Exchange Commission; and Mark Kreitman, Assistant Director, SEC Division of Enforcement, will join moderator Professor Theresa A. Gabaldon, Lyle T. Alverson Professor of Law, The George Washington University School of Law.

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TUESDAY, MARCH 27, 2007
Fireside Chat - View from Congress

The SEC Historical Society will launch its 2007 online program season with a Fireside Chat on the view from the U.S. Congress of the U.S. Securities and Exchange Commission and the securities industry. The Fireside Chat broadcast is free; no advance registration is needed.

Dean V. Shahinian, Democratic Senior Counsel, U.S. Senate Banking, Housing and Urban Affairs Committee, and Justin D. Daly, Counsel, U.S. Senate Banking, Housing and Urban Affairs Committee, will join moderator Professor Theresa A. Gabaldon, Lyle T. Alverson Professor of Law, The George Washington University School of Law.

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TUESDAY, SEPTEMBER 19, 2006
Fireside Chat - Behavioral Economics
with Theresa Gabaldon and Donald Langevoort

Why do persons make economic decisions that may be contrary to their best interests? Learn about the links between psychology and economics, and how cognitive and emotional processes influence our rational -- or irrational -- economic decisions in the SEC Historical Society's Fireside Chat on Behavioral Economics on September 19th at 3:00 pm ET. Donald C. Langevoort, Thomas Aquinas Reynolds Professor of Law at Georgetown Law Center, and a member of the Society's Board of Advisors, will join moderator Professor Theresa Gabaldon of The George Washington University Law School for the final program in the Society's 2006 Fireside Chats. The 2006 Fireside Chats have been sponsored, in part, by Pfizer, Inc.

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TUESDAY, JULY 25, 2006
The Best of NERA 2006

Top presentations from NERA Economic Consulting’s recent Finance, Law and Securities Litigation Seminar will be the focus of the SEC Historical Society’s next Fireside Chat on Tuesday, July 25th at 3:00 pm ET.

Dr. Elaine Buckberg, Dr. Patrick Conroy, and Dr. Faten Sabry of NERA Economic Consulting will discuss disgorgement cases involving individuals, backdating of options, and mutual fund litigation with moderator Professor Theresa Gabaldon of The George Washington University Law School.

NERA Economic Consulting is an international firm of economists providing analysis and advice on how the markets work. Dr. Andrew Carron, NERA’s President, is a member of the Society’s Board of Advisors.

This is the third consecutive year that NERA Economic Consulting has shared presentations from its annual conference, held in early July, through the virtual museum and archive. Previous NERA programs can be found in Online Programs.

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TUESDAY, JUNE 6, 2006
"Who's Counting? The Critical Role of Financial Reporting in the Capital Markets"
2006 Annual Meeting

The SEC Historical Society's Seventh Annual Meeting will take a look at accounting, with a panel discussion moderated by Robert J. Kueppers, Deloitte & Touche LLP; with Pat McConnell, Bear Stearns & Co.; Donald Nicolaisen, former SEC Chief Accountant; Aulana Peters, former SEC Commissioner; and Lawrence Salva, The Comcast Corporation. The discussion will focus on the current financial reporting model, and how useful it is to investors; the complexity of accounting standards, and how simplification might be achieved as a benefit to investors; and the challenges of preparing financial statements based on fair value rather than historical costs.

SEC Chairman Christopher Cox will offer remarks at the start of the meeting, and Scott Taub, SEC Acting Chief Accountant, will give a closing address at the end of the panel discussion.

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TUESDAY, APRIL 4, 2006
Fireside Chat on EDGAR
The roots of EDGAR, the SEC's online filing system, will be the focus of the April 4th Fireside Chat.  Join Professor Theresa Gabaldon, The George Washington University Law School, as she discusses the origins of EDGAR with David Copenhafer of Bowne & Co. and Amy Goodman of Gibson, Dunn & Crutcher LLP, both former SEC staff members who worked on the development of EDGAR, along with Jonathan (Jack) Katz, former SEC Secretary, who witnessed the growth of EDGAR to its current use.

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TUESDAY, MARCH 28, 2006
Fireside Chat on Online Fraud
Join Professor Theresa Gabaldon, The George Washington University School of Law, as she opens the 2006 Fireside Chat series with a discussion on Online Fraud with John Reed Stark, Chief, SEC Office of Internet Enforcement.

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TUESDAY, NOVEMBER 1, 2005
Fireside Chat on Professional Responsibility
The 2005 fireside chat series will conclude on Tuesday, November 1st at 3:00pm EST with a discussion on professional responsibility, with panelists Barry Melancon, AICPA, and Professor Thomas Morgan, The George Washington University School of Law; and moderator Professor Theresa Gabaldon, The George Washington University School of Law.

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THURSDAY, OCTOBER 20, 2005
Enforcement Remedies
Theodore Levine, the Society's Chairman and of counsel with Wachtell Lipton Rosen & Katz,
Linda Thomsen, Director of the SEC's Division of Enforcement
Ralph Ferrara, LeBoeuf Lamb Greene & MacRae LLP
William McLucas, Wilmer Cutler Pickering Hale & Dorr LLP
Mary Schapiro, NASD

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TUESDAY, SEPTEMBER 20, 2005
Fireside Chat on Cross-Border Regulation
Theresa Gabaldon, Professor of Law and Carville Dickinson Benson Research Professor of Law, The George Washington University Law School
Louis Bevilacqua , a partner with Thelen Reid & Priest LLP
Professor Richard Booth, Professor of Law at the University of Maryland School of Law

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WEDNESDAY, JULY 27, 2005
The Best of NERA-II
Theresa Gabaldon, Professor of Law and Carville Dickinson Benson Research Professor of Law, The George Washington University Law School
Dr. James Jordan, NERA Senior Vice President
Dr. David Ellis, NERA Vice President

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TUESDAY, JUNE 14, 2005
Fireside Chat-Regulation FD and Real-Time Disclosure
Theresa Gabaldon, Professor of Law and Carville Dickinson Benson Research Professor of Law, The George Washington University Law School
Dixie L. Johnson, Fried Frank Harris Shriver & Jacobson LLP
Laura S. Unger, former SEC Commissioner

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THURSDAY, JUNE 9, 2005
2005 Annual Meeting
"Crisis and Resolve: The SEC and the Securities Industry Remember September 11, 2001"

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WEDNESDAY, APRIL 27, 2005
Developments in the Mutual Fund Industry Online Series
Matthew Fink, Moderator
Kathryn McGrath, Crowell & Moring
Robert Pozen, Massachusetts Financial Services
James Riepe, T. Rowe Price, Inc.

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TUESDAY, APRIL 19, 2005
Fireside Chat - Executive Compensation
Theresa Gabaldon, Professor of Law and Carville Dickinson Benson Research Professor of Law, The George Washington University Law School
Lawrence Mitchell, Professor of Law and John Theodore Fey Research Professor of Law, The George Washington University Law School
Kerry D. Moynihan, Managing Partner, Christian & Timbers executive search firm

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TUESDAY, MARCH 29, 2005
Developments in the Mutual Fund Industry Online Series
Martin Lybecker, Wilmer Cutler Pickering Hale & Dorr
John McGonigle, Federated Investors, Inc.
Robert Plaze, U.S. Securities and Exchange Commission
David Silver, formerly with the Investment Company Institute

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TUESDAY, MARCH 22, 2005
Developments in the Mutual Fund Industry Online Series
Richard Phillips, Kirkpatrick & Lockhart LLP
Gary Cohen, Foley & Lardner LLP

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TUESDAY, MARCH 8, 2005
Developments in the Mutual Fund Industry Online Series
Matthew Fink, Moderator
Michael Bleier, Mellon Bank
Martin Lybecker, Wilmer Cutler Pickering Hale & Dorr

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TUESDAY, FEBRUARY 15, 2005
Fireside Chat: Shareholder Rights
Theresa Gabaldon, Professor of Law, The George Washington University School of Law
Nell Minow, The Corporate Library

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THURSDAY, NOVEMBER 11, 2004
Fireside Chat: Business Recovery Requirements for Clearance and Settlement in Light of September 11th
Donald Donahue, The Depository Trust & Clearing Corporation
Richard Nesson, The Depository Trust & Clearing Corporation

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TUESDAY, SEPTEMBER 21, 2004
FTI on Forensic Accounting
James Barratt, FTI Consulting, Inc.
Ernest Ten Eyck, FTI Consulting, Inc.
Donald Langevoort, professor of law at Georgetown University

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TUESDAY, JULY 27, 2004
Securities Litigation Online Program by NERA Economic Consulting
Theresa Gabaldon, professor of law at The George Washington University School of Law
NERA Vice President Paul Hinton
NERA Vice President Jeffrey L. Baliban
NERA Vice President Dr. Elaine Buckberg

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TUESDAY, JUNE 22, 2004
Fireside Chat - State Securities Regulation
Christine Bruenn, Securities Administrator, State of Maine Office of Securities
Donald Langevoort, Professor of Law, Georgetown University Law Center

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TUESDAY, JUNE 8, 2004
The SEC: A New Era
Senator Paul Sarbanes (D-MD)

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THURSDAY, JUNE 3, 2004
Doris Kearns Goodwin at 2004 Annual Meeting

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WEDNESDAY, JUNE 2, 2004
Roundtable of SEC Chairmen:
Richard Breeden
G. Bradford Cook
Roderick Hills
Arthur Levitt
David Ruder

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TUESDAY, APRIL 20, 2004
Fireside Chat: Municipal Securities:
Michael McCarthy, The Bond Market Foundation,
Christopher Taylor, Executive Director of the Municipal Securities Rulemaking Board
Donald Langevoort, Professor of Law at Georgetown University Law Center

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THURSDAY, APRIL 15, 2004
Self-Regulation and the Exchanges from an Historical Perspective:
Alger B. "Duke" Chapman, former Chairman and CEO, Chicago Board Options Exchange
William J. Brodsky, Chairman and CEO, Chicago Board Options Exchange
Gordon S. Macklin, former President and CEO, NASD and NASDAQ
William G. Morton, Jr. former Chairman and CEO, Boston Stock Exchange
Donald Stone, New York Stock Exchange Board of Executives

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TUESDAY, MARCH 30, 2004
Safe Harbors Online Program:
Richard Rowe, former Director of the Division of the SEC’s Division of Corporation Finance
Edward Fleischman, former SEC Commissione
Peter Romeo, former Division of Corporation Finance staff member

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THURSDAY, FEBRUARY 26, 2004
Fireside Chat:
The Transformation of Wall Street
With Joel Seligman and host Donald Langevoort

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WEDNESDAY, JUNE 4, 2003
 SEC Historical Society's 4th Annual Meeting
with Eliot Spitzer & Stephen Cutler

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WEDNESDAY, DECEMBER 4, 2002
Roundtable on Investment Company Regulation

The December 4th Roundtable focused on Investment Company Management. Kathryn McGrath and David Silver were the co-moderators. Participants included Barry Barbash, John Dudley, Joel Goldberg, Anne Jones, Stanley Judd, Martin Lybecker, Allan Mostoff, Edward O'Dell, Alan Rosenblat, Paul Roye and Marianne Smythe.

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WEDNESDAY, SEPTEMBER 25, 2002
Roundtable on Enforcement

For the first time, the Securities and Exchange Commission Historical Society offered a live audiostream on this Web site of an oral histories Roundtable. The Roundtable was broadcast from the William O. Douglas Open Meeting Room at the U.S. Securities and Exchange Commission in Washington, D.C.

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- Panel Two
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