Date: Sept. 6, 2023
Title: Statement on CAT Funding
Speaker:
Chair Gary Gensler
Type: Statement
Date: Sept. 6, 2023
Title: Who’s Paying?: Statement on the CAT’s Funding Model
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: Sept. 6, 2023
Title: Statement Regarding the Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: Sept. 6, 2023
Title: Statement on Consolidated Audit Trail Revised Funding Model
Speaker:
Commissioner Mark T. Uyeda
Type: Statement
Date: Sept. 6, 2023
Title: Statement on Order Approving CAT Revised Funding Model
Speaker:
Commissioner Jaime Lizárraga
Type: Statement
Date: Aug. 28, 2023
Title: NFTs & the SEC: Statement on Impact Theory, LLC
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda
Type: Statement
Date: Aug. 25, 2023
Title: The Importance of a Comprehensive Risk Assessment by Auditors and Management
Speaker:
Paul Munter , Chief Accountant
Type: Statement
Date: Aug. 23, 2023
Title: Statement on Private Fund Advisers
Speaker:
Chair Gary Gensler
Type: Statement
Date: Aug. 23, 2023
Title: Uprooted: Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: Aug. 23, 2023
Title: Statement Regarding Private Fund Advisers Rulemaking
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: Aug. 23, 2023
Title: Statement on Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Speaker:
Commissioner Mark T. Uyeda
Type: Statement
Date: Aug. 23, 2023
Title: Empowering and Protecting Private Fund Investors
Speaker:
Commissioner Jaime Lizárraga
Type: Statement
Date: Aug. 23, 2023
Title: Statement Regarding Exemption from National Securities Association Membership
Speaker:
Chair Gary Gensler
Type: Statement
Date: Aug. 23, 2023
Title: Statement on the Adoption of Amendments to Rule 15b9-1
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: Aug. 23, 2023
Title: Statement Regarding Exemption from National Securities Association Membership
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: Aug. 23, 2023
Title: Statement on Final Rule Regarding Exemption for Certain Exchange Members
Speaker:
Commissioner Mark T. Uyeda
Type: Statement
Date: Aug. 23, 2023
Title: Improved Oversight of Off-Exchange Trading
Speaker:
Commissioner Jaime Lizárraga
Type: Statement
Date: Aug. 17, 2023
Title: UnRulemaking: Statement Regarding DST Asset Manager Solutions, Inc.
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda
Type: Statement
Date: July 28, 2023
Title: Remarks before the Financial Stability Oversight Council: LIBOR
Speaker:
Chair Gary Gensler
Type: Speech
Date: July 28, 2023
Title: Remarks before the Financial Stability Oversight Council: Climate Risk Disclosure
Speaker:
Chair Gary Gensler
Type: Speech
Date: July 27, 2023
Title: The Potential Pitfalls of Purported Crypto “Assurance” Work
Speaker:
Paul Munter , Chief Accountant
Type: Statement
Date: July 26, 2023
Title: Statement on Internet Investment Advisers
Speaker:
Chair Gary Gensler
Type: Statement
Date: July 26, 2023
Title: Exemption for Certain Investment Advisers Operating Through the Internet
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: July 26, 2023
Title: Statement on Internet Adviser Exemption Amendments
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: July 26, 2023
Title: Statement on the Proposal re: the Internet Adviser Exemption
Speaker:
Commissioner Mark T. Uyeda
Type: Statement
Date: July 26, 2023
Title: Modernizing Oversight of Internet Advisers
Speaker:
Commissioner Jaime Lizárraga
Type: Statement
Date: July 26, 2023
Title: Statement on Conflicts of Interest Related to Uses of Predictive Data Analytics
Speaker:
Chair Gary Gensler
Type: Statement
Date: July 26, 2023
Title: Through the Looking Glass : Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Proposal
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: July 26, 2023
Title: Statement on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Proposal
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: July 26, 2023
Title: Statement on the Proposals re: Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
Speaker:
Commissioner Mark T. Uyeda
Type: Statement
Date: July 26, 2023
Title: Expanding Investor Protection
Speaker:
Commissioner Jaime Lizárraga
Type: Statement
Date: July 26, 2023
Title: Statement on Public Company Cybersecurity Disclosures
Speaker:
Chair Gary Gensler
Type: Statement
Date: July 26, 2023
Title: Harming Investors and Helping Hackers: Statement on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: July 26, 2023
Title: Statement on Cybersecurity Adopting Release
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: July 26, 2023
Title: Statement on the Final Rule: Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
Speaker:
Commissioner Mark T. Uyeda
Type: Statement
Date: July 26, 2023
Title: Improving the Quality of Cybersecurity Risk Management Disclosures
Speaker:
Commissioner Jaime Lizárraga
Type: Statement
Date: July 25, 2023
Title: Remarks for the SEC / DFI / NASAA Joint Public Roundtable
Speaker:
Chair Gary Gensler
Type: Speech
Date: July 25, 2023
Title: Remarks at the SEC/DFI/NASAA Joint Public Roundtable
Speaker:
Commissioner Mark T. Uyeda
Type: Speech
Date: July 19, 2023
Title: Testimony at Hearing before the Subcommittee on Financial Services and General Government U.S. Senate Appropriations Committee
Speaker:
Chair Gary Gensler
Type: Testimony
Date: July 17, 2023
Title: “Isaac Newton to AI” Remarks before the National Press Club
Speaker:
Chair Gary Gensler
Type: Speech
Date: July 12, 2023
Title: Statement on Money Market Funds
Speaker:
Chair Gary Gensler
Type: Statement
Date: July 12, 2023
Title: Statement on Customer Protection Rule
Speaker:
Chair Gary Gensler
Type: Statement
Date: July 12, 2023
Title: Air Dancers and Flies: Statement on Adoption of the Latest Round of Money Market Fund Reforms
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: July 12, 2023
Title: Statement on Proposed Amendments to Exchange Act Rule 15c3-3
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: July 12, 2023
Title: Statement on Proposed Amendments to the Customer Protection Rule
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: July 12, 2023
Title: Statement on the Adoption of Money Market Fund Reforms
Speaker:
Commissioner Caroline A. Crenshaw
Type: Statement
Date: July 12, 2023
Title: Statement on Proposed Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
Speaker:
Commissioner Mark T. Uyeda
Type: Statement
Date: July 12, 2023
Title: Statement on Final Money Market Fund Reforms; Form PF Reporting Requirements for Large Liquidity Fund Advisers; Technical Amendments to Form N-CSR and Form N-1A
Speaker:
Commissioner Mark T. Uyeda
Type: Statement
Date: July 12, 2023
Title: Improving the Effectiveness of the Customer Protection Rule
Speaker:
Commissioner Jaime Lizárraga
Type: Statement
Date: July 12, 2023
Title: Strengthening the Resiliency of Money Market Funds
Speaker:
Commissioner Jaime Lizárraga
Type: Statement
