Oral Histories

LISTEN TO THE VOICES

November 1, 2007 David Ruder

Hear from some of the persons who have and continue to impact the regulation of the financial markets, including:

David Becker
Chief Legal Officer and Chief Compliance Officer, Och-Ziff Capital Management Group; and former SEC General Counsel
Roel Campos
Partner, Locke Lord LLP; and former SEC Commissioner
Edward Fleischman
Former Senior Counsel, Linklaters LLP; and former SEC Commissioner
Juan Marcelino
Partner, Nelson Mullins Riley & Scarborough LLP; and former Administrator, SEC Boston District Office
Giovanni Prezioso
Partner, Cleary Gottlieb Steen & Hamilton LLP; and former SEC General Counsel
David Ruder
Professor of Law Emeritus, Northwestern University School of Law; and former SEC Chairman
Erik Sirri
Professor, Babson College; former Director, SEC Division of Trading and Markets and former SEC Chief Economist
Richard Walker
General Counsel, Deutsche Bank; former SEC General Counsel and former Director, SEC Division of Enforcement and SEC New York Regional Office
Steven Wallman
Founder, FOLIOfn, Inc.; and former SEC Commissioner
Papers

"NOW IS THE TIME TO BUY"

April 27, 2005 Kathryn McGrath

"Government officials have been so puzzled by the depressed state of the U.S stock market while the economy has been booming that they felt compelled to make public pronouncements that 'there are bargains out there,' and 'now is the time to buy.' Yet individual investors have not responded to these exhortations of confidence and have been sitting on the sidelines or selling."

- July 24, 1973 The Role of Institutional Investors in the Stock Market

The museum adds papers contributed by Kathryn McGrath, former Director, SEC Division of Investment Management, in anticipation of the 75th anniversary of the enactment of the 1940 Act and the Advisers Act next month, and in preparation for an upcoming Gallery on investment management.

"The success of the investment company industry is in no small measure the result of the industry's excellent record; the industry has generally been free of major scandal for the last two decades. The industry's continued health, however, depends on its meeting the expectation of American investors, many of whom are new to the market. The industry will be continue to be trusted by investors only if it demonstrates that it maintains the highest possible ethical standards and that it operates free from abusive and fraudulent practices."

- September 1994 Personal Investment Activities of Investment Company Personnel

Permission for Use

The virtual museum and archive is copyrighted by the SEC Historical Society. The Society reserves the right to restrict access to or use of the museum by any user at any time.

Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.

Material used with the Society's permission should be credited to: www.sechistorical.org.

Download mp3 file

Close