Date: July 22, 2022
Title: Comment on the Financial Accounting Foundation Draft Strategic Plan
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda
Type: Statement
Date: July 21, 2022
Title: Testimony on “Oversight of the SEC’s Division of Enforcement” Before the United States House of Representatives Committee on Financial Services Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets
Speaker:
Gurbir S. Grewal , Director, Division of Enforcement
Type: Statement
Date: July 15, 2022
Title: Statement on Departure of Commissioner Allison Herren Lee
Speaker:
Chair Gary Gensler
Commissioner Hester M. Peirce
Commissioner Caroline A. Crenshaw
Commissioner Mark T. Uyeda
Type: Statement
Date: July 13, 2022
Title: Statement on Proposed Amendments to Rule 14a-8
Speaker:
Chair Gary Gensler
Type: Statement
Date: July 13, 2022
Title: Statement on Adoption of Amendments to the Rules Governing Proxy Voting Advice
Speaker:
Chair Gary Gensler
Type: Statement
Date: July 13, 2022
Title: Improving the Shareholder Proposal Process: Statement on Proposed Amendments to Rule 14a-8
Speaker:
Allison Herren Lee , Former Commissioner
Type: Statement
Date: July 13, 2022
Title: Protecting the Independence of the Proxy Voting Process: Statement on Amendments Governing Proxy Voting Advice
Speaker:
Allison Herren Lee , Former Commissioner
Type: Statement
Date: July 13, 2022
Title: Statement on Adoption of Amendments to Proxy Rules Governing Proxy Voting Advice & Proposal of Amendments to Rule 14a-8
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: July 13, 2022
Title: U-Turn: Comments on Proxy Voting Advice
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: July 13, 2022
Title: Exclusion Preclusion: Statement on the Shareholder Proposals Proposal
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: July 13, 2022
Title: Statement on Proposed Amendments for Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals under Exchange Act Rule 14a-8
Speaker:
Commissioner Mark T. Uyeda
Type: Statement
Date: July 13, 2022
Title: Statement on Final Rule Amendments on Proxy Voting Advice
Speaker:
Commissioner Mark T. Uyeda
Type: Statement
Date: July 12, 2022
Title: Statement on Decision in Jury Trial of Dean McDermott and McDermott Investment Advisors
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement
Type: Statement
Date: July 11, 2022
Title: Statement on Single-Stock Levered and/or Inverse ETFs
Speaker:
Lori J. Schock , Director, Office of Investor Education and Advocacy
Type: Statement
Date: July 11, 2022
Title: Statement on Single-Stock ETFs
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: July 8, 2022
Title: Statement on the Order Granting Temporary Conditional Exemptive Relief from Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: July 5, 2022
Title: Statement on Decision in Jury Trial of Bradley C. Davis
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement
Type: Statement
Date: July 1, 2022
Title: Chief Compliance Officer Liability: Statement on In the Matter of Hamilton Investment Counsel LLC and Jeffrey Kirkpatrick
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: June 30, 2022
Title: Statement on Decision in Bench Trial of Mark Heckele
Speaker:
Gurbir S. Grewal , Director, Division of Enforcement
Type: Statement
Date: June 28, 2022
Title: When Voluntary Means Mandatory and Forever: Statement on In the Matter of Ernst & Young LLP
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: June 23, 2022
Title: Statement on Final Rule Amendments to Electronic Filing Requirements
Speaker:
Chair Gary Gensler
Type: Statement
Date: June 22, 2022
Title: A Caution on the Limits of Authority: Statement Regarding In the Matter of The Brink’s Company
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: June 22, 2022
Title: Rip Current Rulemakings: Statement on the Regulatory Flexibility Agenda
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: June 16, 2022
Title: Statement on Senate Confirmation of Jaime Lizárraga and Mark Uyeda
Speaker:
Chair Gary Gensler
Commissioner Hester M. Peirce
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type: Statement
Date: June 15, 2022
Title: Statement on Request for Comment on Certain Information Providers Acting as Investment Advisers
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: June 15, 2022
Title: Statement on Request for Comment on Certain Information Providers
Speaker:
Chair Gary Gensler
Type: Statement
Date: June 8, 2022
Title: The Critical Importance of the General Standard of Auditor Independence and an Ethical Culture for the Accounting Profession
Speaker:
Paul Munter , Acting Chief Accountant
Type: Statement
Date: June 3, 2022
Title: Statement on Final Rule Amendments to Electronic Filing Requirements
Speaker:
Chair Gary Gensler
Type: Statement
Date: May 25, 2022
Title: Statement on Proposed Rule Requiring Enhanced Disclosure by Certain Investment Advisers and Investment Companies on ESG Investment Practices
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: May 25, 2022
Title: A Rose By Any Other Name: Statement on Proposed Amendments to the Names Rule
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: May 25, 2022
Title: Statement on Environmental, Social, and Governance Disclosures for Investment Advisers and Investment Companies
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: May 25, 2022
Title: Statement on Investment Company Names
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: May 25, 2022
Title: What’s in a Name? Aligning Fund Names with Investor Expectations
Speaker:
Commissioner Allison Herren Lee
Type: Statement
Date: May 25, 2022
Title: It’s Not Easy Being Green [1] : Bringing Transparency and Accountability to Sustainable Investing
Speaker:
Commissioner Allison Herren Lee
Type: Statement
Date: May 25, 2022
Title: Statement on ESG Disclosures Proposal
Speaker:
Chair Gary Gensler
Type: Statement
Date: May 25, 2022
Title: Statement on Proposed Updates to Names Rule
Speaker:
Chair Gary Gensler
Type: Statement
Date: April 18, 2022
Title: Statement on Jury’s Verdict in Trial of Edward S. Walczak
Speaker:
Gurbir S. Grewal , Director, Division of Enforcement
Type: Statement
Date: April 15, 2022
Title: Statement Regarding SPAC Matter
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: April 14, 2022
Title: Statement on Jury’s Verdict in Trial of Tytus W. Harkins
Speaker:
Gurbir S. Grewal , Director, Division of Enforcement
Type: Statement
Date: April 12, 2022
Title: Statement in the Matter of David Hansen
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: April 6, 2022
Title: Statement on Registration of Security-Based Swap Execution Facilities
Speaker:
Chair Gary Gensler
Type: Statement
Date: April 6, 2022
Title: Statement on Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: April 6, 2022
Title: Statement on Proposed Rules Relating to Security-Based Swap Execution Facilities
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: April 5, 2022
Title: Commission Statement Relating to Certain Administrative Adjudications
Speaker:
The Commission
Type: Statement
Date: April 5, 2022
Title: Statement on In the Matter of Lloyd D. Reed
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: April 4, 2022
Title: Statement on Jury’s Verdict in Trial of Henry Sargent
Speaker:
Gurbir S. Grewal , Director, Division of Enforcement
Type: Statement
Date: March 31, 2022
Title: Response to Staff Accounting Bulletin No. 121
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: March 30, 2022
Title: Statement on Proposal on Special Purpose Acquisition Companies (SPACs), Shell Companies, and Projections
Speaker:
Chair Gary Gensler
Type: Statement
Date: March 30, 2022
Title: Damning and Deeming: Dissenting Statement on Shell Companies, Projections, and SPACs Proposal
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: March 30, 2022
Title: Statement on the SPACs Proposal
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
