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Testimony


 

Congressional testimony given by the Chairman, Commissioners, and staff of the SEC.  To view Testimonies prior to 2012, view the Testimony Archive.

 
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Date Title Speaker
Sept. 22, 2016 Testimony on Examining the Agenda of Regulators, SROs, and Standards-Setters for Accounting, Auditing, and Municipal Securities

Wesley R. Bricker, Interim Chief Accountant

Sept. 22, 2016 Testimony on Examining the Agenda of Regulators, SROs, and Standards-Setters for Accounting, Auditing, and Municipal Securities

Jessica S. Kane, Director, Office of Municipal Securities

June 14, 2016 Testimony on “Oversight of the U.S. Securities and Exchange Commission”

Chair Mary Jo White

April 21, 2016 Testimony on Continued Oversight of the SEC’s Offices and Divisions

Mark J. Flannery, Director and Chief Economist, Division of Economic and Risk Analysis

Marc Wyatt, Director, Office of Compliance Inspections and Examinations

Thomas J. Butler, Director, Office of Credit Ratings

Sean McKessy, Chief, Office of the Whistleblower

April 12, 2016 Testimony on the Fiscal Year 2017 Budget Request of the U.S. Securities and Exchange Commission

Chair Mary Jo White

March 22, 2016 Testimony on the Fiscal Year 2017 Budget Request of the U.S. Securities and Exchange Commission

Chair Mary Jo White

March 3, 2016 Testimony on Regulatory Reforms to Improve Equity Market Structure

Stephen Luparello, Director, Division of Trading and Markets

Feb. 2, 2016 Testimony on the EB-5 Immigrant Investor Program

Stephen L. Cohen

Associate Director, Division of Enforcement

Dec. 8, 2015 Testimony on “Oversight of the Financial Stability Oversight Council”

Chair Mary Jo White

Dec. 1, 2015 Testimony on Updating the Electronic Communications Privacy Act

Andrew Ceresney

Director, Division of Enforcement

Nov. 18, 2015 Testimony on “Examining the SEC’s Agenda, Operations, and FY 2017 Budget Request”

Chair Mary Jo White

Oct. 23, 2015 Testimony on “Oversight of the SEC’s Division of Investment Management”

David W. Grim
Director, Division of Investment Management

Sept. 16, 2015 Testimony on Updating the Electronic Communications Privacy Act

Andrew Ceresney
Director, Division of Enforcement

May 5, 2015 Testimony on the Fiscal Year 2016 Budget Request of the U.S. Securities and Exchange Commission

Chair Mary Jo White

April 15, 2015 Testimony on the Fiscal Year 2016 Budget Request of the U.S. Securities and Exchange Commission

Chair Mary Jo White

March 24, 2015 Testimony on “Examining the SEC’s Agenda, Operations and FY 2016 Budget Request”

Chair Mary Jo White

March 19, 2015 Testimony on “Oversight of the SEC’s Division of Enforcement”

Andrew Ceresney, Director Division of Enforcement

March 10, 2015 Testimony on “Venture Exchanges and Small-Cap Companies”

Stephen Luparello, Director, Division of Trading and Markets

Sept. 9, 2014 Testimony on “Wall Street Reform: Assessing and Enhancing the Financial Regulatory System”

Chair Mary Jo White

July 24, 2014 Testimony on “Oversight of the SEC’s Division of Corporation Finance”

Keith Higgins, Director

Division of Corporation Finance

June 26, 2014 Testimony on “Oversight of the SEC’s Division of Trading and Markets”

Stephen Luparello, Director
Division of Trading and Markets

May 14, 2014 Testimony before the Subcommittee on Financial Services and General Government Committee on Appropriations

Chair Mary Jo White

April 29, 2014 Testimony on “Oversight of the SEC’s Agenda, Operations and FY 2015 Budget Request”

Chair Mary Jo White

April 1, 2014 Testimony before the Subcommittee on Financial Services and General Government

Chair Mary Jo White

Feb. 6, 2014 Testimony on “Oversight of Financial Stability and Data Security”

Chair Mary Jo White

Feb. 5, 2014 Testimony on “The Impact of the Volcker Rule on Job Creators, Part II”

Chair Mary Jo White

Oct. 30, 2013 Testimony Providing an Update on JOBS Act Implementation

Keith Higgins, Director

Division of Corporation Finance

U.S. Securities and Exchange Commission

July 30, 2013 Testimony on “Mitigating Systemic Risk in the Financial Markets through Wall Street Reforms”

Chair Mary Jo White

June 25, 2013 Testimony on SEC Budget

Chair Mary Jo White

May 16, 2013 Testimony on Oversight of the SEC

Chair Mary Jo White

May 7, 2013 Testimony on SEC Budget

Chair Mary Jo White

April 17, 2013 Testimony on the Implementation of Title II of the JOBS Act
by Commissioner Elisse B. Walter
U.S. Securities and Exchange Commission
April 11, 2013 Testimony on “JOBS Act Implementation Update”

by Lona Nallengara
Acting Director, Division of Corporation Finance
U.S. Securities and Exchange Commission

and John Ramsay
Acting Director, Division of Trading and Markets
U.S. Securities and Exchange Commission

March 12, 2013 Written Testimony Before the Subcommittee on Financial Services and General Government, Committee on Appropriations, U.S. House of Representatives
by Carl W. Hoecker
Inspector General of the Securities and Exchange Commission
Feb. 14, 2013 Testimony on "Wall Street Reform: Oversight of Financial Stability and Consumer and Investor Protections" by Elisse B. Walter
U.S. Securities and Exchange Commission
Dec. 12, 2012 Testimony on Title VII Implementation by Robert Cook
Director, Division of Trading & Markets, U.S. Securities and Exchange Commission
July 17, 2012 Testimony on Title VII Implementation by Robert Cook
Director, Division of Trading & Markets
U.S. Securities and Exchange Commission
June 28, 2012 Testimony Concerning the "JOBS Act in Action Part II: Overseeing Effective Implementation of the JOBS Act at the SEC" by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission
June 21, 2012 Testimony on “Perspectives on Money Market Mutual Fund Reforms” by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission
June 19, 2012 Testimony on “Examining Bank Supervision and Risk Management in Light of JPMorgan Chase’s Trading Loss” by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission
May 22, 2012 Testimony on Implementing Derivatives Reform: Reducing Systemic Risk and Improving Market Oversight by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission
May 17, 2012 Testimony on "Examining the Settlement Practices of U.S. Financial Regulators" by Robert Khuzami
Director, Division of Enforcement
U.S. Securities and Exchange Commission
April 25, 2012 Testimony on “SEC Oversight” by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission
April 24, 2012 Testimony on The Collapse of MF Global: Lessons Learned and Policy Implications by Robert Cook
Director, Division of Trading and Markets
U.S. Securities and Exchange Commission
April 17, 2012 Testimony Concerning Economic Analysis in SEC Rulemaking by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission
March 28, 2012 Testimony Concerning Accounting and Auditing Oversight: Pending Proposals and Emerging Issues Confronting Regulators, Standard Setters, and the Economy by James L. Kroeker
Chief Accountant, U.S. Securities and Exchange Commission
March 22, 2012 Testimony Concerning "International Harmonization of Wall Street Reform: Orderly Liquidation, Derivatives, and the Volcker Rule" by Commissioner Elisse B. Walter
U.S. Securities and Exchange Commission
March 21, 2012 Testimony Concerning Indemnification of Security-Based Swap Data Repositories by Ethiopis Tafara
Director, Office of International Affairs
U.S. Securities and Exchange Commission
March 6, 2012 Testimony before the Subcommittee on Financial Services and General Government Committee on Appropriations United States House of Representatives by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission
Jan. 18, 2012 Testimony on “Examining the Impact of the Volcker Rule on Markets, Businesses, Investors and Job Creation” by Mary L. Schapiro
Chairman
U.S. Securities and Exchange Commission
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Date: Sept. 22, 2016

Title: Testimony on Examining the Agenda of Regulators, SROs, and Standards-Setters for Accounting, Auditing, and Municipal Securities

Speaker

Jessica S. Kane, Director, Office of Municipal Securities

Date: June 14, 2016

Title: Testimony on “Oversight of the U.S. Securities and Exchange Commission”

Speaker

Chair Mary Jo White

Date: April 21, 2016

Title: Testimony on Continued Oversight of the SEC’s Offices and Divisions

Speaker

Mark J. Flannery, Director and Chief Economist, Division of Economic and Risk Analysis

Marc Wyatt, Director, Office of Compliance Inspections and Examinations

Thomas J. Butler, Director, Office of Credit Ratings

Sean McKessy, Chief, Office of the Whistleblower

Date: March 3, 2016

Title: Testimony on Regulatory Reforms to Improve Equity Market Structure

Speaker

Stephen Luparello, Director, Division of Trading and Markets

Date: Feb. 2, 2016

Title: Testimony on the EB-5 Immigrant Investor Program

Speaker

Stephen L. Cohen

Associate Director, Division of Enforcement

Date: Dec. 8, 2015

Title: Testimony on “Oversight of the Financial Stability Oversight Council”

Speaker

Chair Mary Jo White

Date: Dec. 1, 2015

Title: Testimony on Updating the Electronic Communications Privacy Act

Speaker

Andrew Ceresney

Director, Division of Enforcement

Date: Oct. 23, 2015

Title: Testimony on “Oversight of the SEC’s Division of Investment Management”

Speaker

David W. Grim
Director, Division of Investment Management

Date: Sept. 16, 2015

Title: Testimony on Updating the Electronic Communications Privacy Act

Speaker

Andrew Ceresney
Director, Division of Enforcement

Date: March 24, 2015

Title: Testimony on “Examining the SEC’s Agenda, Operations and FY 2016 Budget Request”

Speaker

Chair Mary Jo White

Date: March 19, 2015

Title: Testimony on “Oversight of the SEC’s Division of Enforcement”

Speaker

Andrew Ceresney, Director Division of Enforcement

Date: March 10, 2015

Title: Testimony on “Venture Exchanges and Small-Cap Companies”

Speaker

Stephen Luparello, Director, Division of Trading and Markets

Date: July 24, 2014

Title: Testimony on “Oversight of the SEC’s Division of Corporation Finance”

Speaker

Keith Higgins, Director

Division of Corporation Finance

Date: June 26, 2014

Title: Testimony on “Oversight of the SEC’s Division of Trading and Markets”

Speaker

Stephen Luparello, Director
Division of Trading and Markets

Date: April 1, 2014

Title: Testimony before the Subcommittee on Financial Services and General Government

Speaker

Chair Mary Jo White

Date: Feb. 6, 2014

Title: Testimony on “Oversight of Financial Stability and Data Security”

Speaker

Chair Mary Jo White

Date: Feb. 5, 2014

Title: Testimony on “The Impact of the Volcker Rule on Job Creators, Part II”

Speaker

Chair Mary Jo White

Date: Oct. 30, 2013

Title: Testimony Providing an Update on JOBS Act Implementation

Speaker

Keith Higgins, Director

Division of Corporation Finance

U.S. Securities and Exchange Commission

Date: June 25, 2013

Title: Testimony on SEC Budget

Speaker

Chair Mary Jo White

Date: May 16, 2013

Title: Testimony on Oversight of the SEC

Speaker

Chair Mary Jo White

Date: May 7, 2013

Title: Testimony on SEC Budget

Speaker

Chair Mary Jo White

Date: April 17, 2013

Title: Testimony on the Implementation of Title II of the JOBS Act

Speaker

by Commissioner Elisse B. Walter
U.S. Securities and Exchange Commission

Date: April 11, 2013

Title: Testimony on “JOBS Act Implementation Update”

Speaker

by Lona Nallengara
Acting Director, Division of Corporation Finance
U.S. Securities and Exchange Commission

and John Ramsay
Acting Director, Division of Trading and Markets
U.S. Securities and Exchange Commission

Date: March 12, 2013

Title: Written Testimony Before the Subcommittee on Financial Services and General Government, Committee on Appropriations, U.S. House of Representatives

Speaker

by Carl W. Hoecker
Inspector General of the Securities and Exchange Commission

Date: Feb. 14, 2013

Title: Testimony on "Wall Street Reform: Oversight of Financial Stability and Consumer and Investor Protections"

Speaker by Elisse B. Walter
U.S. Securities and Exchange Commission

Date: Dec. 12, 2012

Title: Testimony on Title VII Implementation

Speaker by Robert Cook
Director, Division of Trading & Markets, U.S. Securities and Exchange Commission

Date: July 17, 2012

Title: Testimony on Title VII Implementation

Speaker by Robert Cook
Director, Division of Trading & Markets
U.S. Securities and Exchange Commission

Date: June 28, 2012

Title: Testimony Concerning the "JOBS Act in Action Part II: Overseeing Effective Implementation of the JOBS Act at the SEC"

Speaker by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission

Date: June 21, 2012

Title: Testimony on “Perspectives on Money Market Mutual Fund Reforms”

Speaker by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission

Date: June 19, 2012

Title: Testimony on “Examining Bank Supervision and Risk Management in Light of JPMorgan Chase’s Trading Loss”

Speaker by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission

Date: May 22, 2012

Title: Testimony on Implementing Derivatives Reform: Reducing Systemic Risk and Improving Market Oversight

Speaker by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission

Date: May 17, 2012

Title: Testimony on "Examining the Settlement Practices of U.S. Financial Regulators"

Speaker by Robert Khuzami
Director, Division of Enforcement
U.S. Securities and Exchange Commission

Date: April 25, 2012

Title: Testimony on “SEC Oversight”

Speaker by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission

Date: April 24, 2012

Title: Testimony on The Collapse of MF Global: Lessons Learned and Policy Implications

Speaker by Robert Cook
Director, Division of Trading and Markets
U.S. Securities and Exchange Commission

Date: April 17, 2012

Title: Testimony Concerning Economic Analysis in SEC Rulemaking

Speaker by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission

Date: March 28, 2012

Title: Testimony Concerning Accounting and Auditing Oversight: Pending Proposals and Emerging Issues Confronting Regulators, Standard Setters, and the Economy

Speaker by James L. Kroeker
Chief Accountant, U.S. Securities and Exchange Commission

Date: March 22, 2012

Title: Testimony Concerning "International Harmonization of Wall Street Reform: Orderly Liquidation, Derivatives, and the Volcker Rule"

Speaker by Commissioner Elisse B. Walter
U.S. Securities and Exchange Commission

Date: March 21, 2012

Title: Testimony Concerning Indemnification of Security-Based Swap Data Repositories

Speaker by Ethiopis Tafara
Director, Office of International Affairs
U.S. Securities and Exchange Commission

Date: March 6, 2012

Title: Testimony before the Subcommittee on Financial Services and General Government Committee on Appropriations United States House of Representatives

Speaker by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission

Date: Jan. 18, 2012

Title: Testimony on “Examining the Impact of the Volcker Rule on Markets, Businesses, Investors and Job Creation”

Speaker by Mary L. Schapiro
Chairman
U.S. Securities and Exchange Commission

 
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