Speeches and Statements
Speeches and statements (including testimony) given by the Chair, Commissioners, and SEC staff. To view these prior to 2012, refer to the archive pages:
|
Published date grouping
|
Date
|
Title
|
Speaker
|
Type
|
|---|---|---|---|---|
| Published date grouping:August 2022 | Date: | Title: Statement on PCAOB Amendments to Strengthen Auditing Standards for Audits Involving Multiple Firms |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:August 2022 | Date: | Title: Statement on Amendments to Auditing Standards Governing the Planning and Supervision of Audits Involving Other Auditors and Dividing Responsibility for the Audit with Another Accounting Firm |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
| Published date grouping:August 2022 | Date: | Title: Statement on Proposed Joint Amendments to Form PF |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:August 2022 | Date: | Title: Statement on Proposed Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Fund Advisers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:August 2022 | Date: | Title: Statement on Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Fund Advisers |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
| Published date grouping:August 2022 | Date: | Title: Statement on Proposed Amendments to Form PF |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:August 2022 | Date: | Title: Enhancing Private Fund Adviser Reporting Data |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
| Published date grouping:August 2022 | Date: | Title: Statement on Proposal to Enhance Clearing Agency Governance |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:August 2022 | Date: | Title: Statement on Clearing Agency Governance and Conflicts of Interest |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
| Published date grouping:August 2022 | Date: | Title: Dissenting from Stakeholder Governance for Clearing Agencies |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:August 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Christopher Nohl, Michael Hull, and Entities They Owned or Controlled |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:August 2022 | Date: | Title: Prepared Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:August 2022 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:August 2022 | Date: | Title: Remarks at the Small Business Capital Formation Advisory Committee Meeting: Shining a Spotlight (or Searchlight) on Secondary Market Liquidity for Small Businesses |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:August 2022 | Date: | Title: Remarks at the Small Business Advisory Committee Meeting |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:July 2022 | Date: | Title: Statement on Re-Proposed Amendments Regarding Exemption from National Securities Association Membership |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:July 2022 | Date: | Title: Statement in Honor of National Whistleblower Day |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:July 2022 | Date: | Title: Statement of Commissioners Hester M. Peirce and Mark T. Uyeda on Proposed Amendments to Exchange Act Rule 15b9-1 |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
| Published date grouping:July 2022 | Date: | Title: Statement Regarding In the Matter of Aegis Capital Corporation |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:July 2022 | Date: | Title: Remarks at Financial Stability Oversight Council Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2022 | Date: | Title: Prepared Remarks at Center for Audit Quality “Sarbanes-Oxley at 20: The Work Ahead” |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2022 | Date: | Title: Remarks at PLI: Investment Management 2022 |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:July 2022 | Date: | Title: Comment on the Financial Accounting Foundation Draft Strategic Plan |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
| Published date grouping:July 2022 | Date: | 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 |
| Published date grouping:July 2022 | Date: | 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 |
| Published date grouping:July 2022 | Date: | Title: Statement on Proposed Amendments to Rule 14a-8 |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:July 2022 | Date: | Title: Statement on Adoption of Amendments to the Rules Governing Proxy Voting Advice |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:July 2022 | Date: | Title: Improving the Shareholder Proposal Process: Statement on Proposed Amendments to Rule 14a-8 |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:July 2022 | Date: | Title: Protecting the Independence of the Proxy Voting Process: Statement on Amendments Governing Proxy Voting Advice |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:July 2022 | Date: | 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 |
| Published date grouping:July 2022 | Date: | Title: U-Turn: Comments on Proxy Voting Advice |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:July 2022 | Date: | Title: Exclusion Preclusion: Statement on the Shareholder Proposals Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:July 2022 | Date: | 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 |
| Published date grouping:July 2022 | Date: | Title: Statement on Final Rule Amendments on Proxy Voting Advice |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
| Published date grouping:July 2022 | Date: | Title: Statement on Decision in Jury Trial of Dean McDermott and McDermott Investment Advisors |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:July 2022 | Date: | Title: Statement on Single-Stock Levered and/or Inverse ETFs |
Speaker:
Lori J. Schock, Director, Office of Investor Education and Advocacy |
Type:Statement |
| Published date grouping:July 2022 | Date: | Title: Statement on Single-Stock ETFs |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:July 2022 | Date: | 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 |
| Published date grouping:July 2022 | Date: | Title: Statement on Decision in Jury Trial of Bradley C. Davis |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:July 2022 | Date: | 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 |
| Published date grouping:June 2022 | Date: | Title: Statement on Decision in Bench Trial of Mark Heckele |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:June 2022 | Date: | Title: When Voluntary Means Mandatory and Forever: Statement on In the Matter of Ernst & Young LLP |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:June 2022 | Date: | Title: Statement on Final Rule Amendments to Electronic Filing Requirements |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:June 2022 | Date: | 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 |
| Published date grouping:June 2022 | Date: | Title: Rip Current Rulemakings: Statement on the Regulatory Flexibility Agenda |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:June 2022 | Date: | 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 |
| Published date grouping:June 2022 | Date: | Title: Statement on Request for Comment on Certain Information Providers Acting as Investment Advisers |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:June 2022 | Date: | Title: Statement on Request for Comment on Certain Information Providers |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:June 2022 | Date: |
Title: On the Spot: Remarks at “Regulatory Transparency Project Conference on Regulating the New Crypto Ecosystem: Necessary Regulation or Crippling Future Innovation?” |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:June 2022 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:June 2022 | Date: | Title: Remarks Before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2022 | Date: | 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 |
| Published date grouping:June 2022 | Date: | Title: “Market Structure and the Retail Investor:” Remarks Before the Piper Sandler Global Exchange Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2022 | Date: | Title: Statement on Final Rule Amendments to Electronic Filing Requirements |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:May 2022 | Date: | 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 |
| Published date grouping:May 2022 | Date: | Title: A Rose By Any Other Name: Statement on Proposed Amendments to the Names Rule |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:May 2022 | Date: | Title: Statement on Environmental, Social, and Governance Disclosures for Investment Advisers and Investment Companies |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:May 2022 | Date: | Title: Statement on Investment Company Names |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:May 2022 | Date: | Title: What’s in a Name? Aligning Fund Names with Investor Expectations |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:May 2022 | Date: | Title: It’s Not Easy Being Green[1] : Bringing Transparency and Accountability to Sustainable Investing |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:May 2022 | Date: | Title: Statement on ESG Disclosures Proposal |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:May 2022 | Date: | Title: Statement on Proposed Updates to Names Rule |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:May 2022 | Date: | Title: Resolving the Lack of Audit Transparency in China and Hong Kong: Remarks at the International Council of Securities Associations (ICSA) Annual General Meeting |
Speaker:
YJ Fischer, Director, Office of International Affairs |
Type:Speech |
| Published date grouping:May 2022 | Date: | Title: Testimony at Hearing before the Subcommittee on Financial Services and General Government U.S. House Appropriations Committee |
Speaker:
Chair Gary Gensler
|
Type:Testimony |
| Published date grouping:May 2022 | Date: | Title: “Investor Protection in a Digital Age," Remarks Before the 2022 NASAA Spring Meeting & Public Policy Symposium |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2022 | Date: | Title: Remarks at Securities Enforcement Forum West 2022 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:May 2022 | Date: | Title: “A ‘New’ New Era:” Prepared Remarks Before the International Swaps and Derivatives Association Annual Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2022 | Date: | Title: Remarks at SEC Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:May 2022 | Date: | Title: Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2022 | Date: | Title: Prepared Remarks Before the Annual Conference on Financial Market Regulation - "A Century with a Gold Standard" |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Remarks at Virtual Roundtable on the Future of Going Public and Expanding Investor Opportunities: A Comparative Discussion on IPOs and the Rise of SPACs |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Closing Remarks to the Older Investor Roundtable |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Remarks before the Older Investor Roundtable |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: “The Name’s Bond:" Remarks at City Week |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Edward S. Walczak |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:April 2022 | Date: | Title: Statement Regarding SPAC Matter |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:April 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Tytus W. Harkins |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:April 2022 | Date: | Title: Grading the Regulators and Homework for the Teachers: Remarks at Symposium on Private Firms: Reporting, Financing, and the Aggregate Economy at the University of Chicago Booth School of Business |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: "Working On ‘Team Cyber’" - Remarks Before the Joint Meeting of the Financial and Banking Information Infrastructure Committee (FBIIC) and the Financial Services Sector Coordinating Council (FSSCC) |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Statement in the Matter of David Hansen |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:April 2022 | Date: | Title: “Building Upon a Long Tradition” - Remarks before the Ceres Investor Briefing |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Statement on Registration of Security-Based Swap Execution Facilities |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:April 2022 | Date: | 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 |
| Published date grouping:April 2022 | Date: | Title: Statement on Proposed Rules Relating to Security-Based Swap Execution Facilities |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:April 2022 | Date: | Title: Commission Statement Relating to Certain Administrative Adjudications |
Speaker:
The Commission |
Type:Statement |
| Published date grouping:April 2022 | Date: | Title: Remarks at 2022 Small Business Forum |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Statement on In the Matter of Lloyd D. Reed |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:April 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Henry Sargent |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:April 2022 | Date: |
Title: Prepared Remarks of Gary Gensler On Crypto Markets Penn Law Capital Markets Association Annual Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Rethinking Capital Raising Policy: Opening Remarks at the SEC’s Small Business Forum |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Prepared Remarks Before the 2022 41st Annual Small Business Forum |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Is that a Fish Behind the Wheel? Remarks before the University of Central Florida’s Inaugural FinTech Summit |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:March 2022 | Date: | Title: Response to Staff Accounting Bulletin No. 121 |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Prepared Remarks Before the 2022 SEC Investor Advocacy Clinic Summit |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:March 2022 | Date: | Title: Statement on Proposal on Special Purpose Acquisition Companies (SPACs), Shell Companies, and Projections |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Damning and Deeming: Dissenting Statement on Shell Companies, Projections, and SPACs Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Statement on the Proposal to Enhance Investor Protections in SPACs |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:March 2022 | Date: | Title: Statement on the SPACs Proposal |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Statement on Staff Bulletin on Account Recommendations to Retail Investors |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Remarks at the ICI Investment Management Conference |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:March 2022 | Date: | Title: Statement on Proposal to Further Define “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Statement on the Further Definition of a Dealer-Trader |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Statement on Proposal to Remove References of Credit Ratings from Regulation M |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Jonathan Dax Cooke and Keystone Capital Partners |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Statement on Proposed Mandatory Climate Risk Disclosures |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: We are Not the Securities and Environment Commission - At Least Not Yet |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Shelter from the Storm: Helping Investors Navigate Climate Change Risk |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Statement on the Enhancement and Standardization of Climate-Related Disclosures for Investors |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Statement on Planned Departure of Commissioner Allison Herren Lee |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Statement on Planned Departure from the Commission |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: TM Staff Statement |
Speaker:
Division of Trading and Markets |
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Prepared Remarks before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Assessing Materiality: Focusing on the Reasonable Investor When Evaluating Errors |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Dissenting Statement on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Statement in Support of a Multi-Pronged Approach to Cybersecurity |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: Statement on Proposal for Mandatory Cybersecurity Disclosures |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:March 2022 | Date: | Title: The Shareholder Proposal Rule: A Cornerstone of Corporate Democracy |
Speaker:
Renee Jones , Director, Division of Corporation Finance |
Type:Speech |
| Published date grouping:March 2022 | Date: | Title: Send Lawyers, Guns and Money: (Over-) Zealous Representation by Corporate Lawyers |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:March 2022 | Date: | Title: Remarks at the IAA Investment Adviser Compliance Conference |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:February 2022 | Date: | Title: Statement on Rules to Increase Transparency of Short Sale Activity |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Proposal to Require Short Position and Short Activity Reporting by Institutional Investment Managers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on the FASB’s Agenda Consultation: Engagement with Investors and Other Stakeholders Vital to Development of High Quality Accounting Standards |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Adam Mattessich |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Public Dissemination of Security-Based Swap Transactions |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Audit Regulators and Cliff Hangers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:February 2022 | Date: | Title: Statement on Settlement with BlockFi Lending LLC |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Dissenting Statement on Proposed Modernization of Beneficial Ownership Reporting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Proposal to Revisit Recently Adopted Whistleblower Rule Amendments |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Beneficial Ownership Proposal |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Amendments to the Whistleblower Program |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Remarks at SEC Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Rules Regarding Clearing and Settling |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Proposal to Shorten the Settlement Cycle |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Proposal to Shorten the Standard Settlement Cycle |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on the Proposed Shortening of the Settlement Cycle |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Cybersecurity Reforms in the Investment Management Industry |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Cybersecurity Risk Management Proposal for Investment Advisers, Registered Investment Companies, and Business Development Companies |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Private Fund Advisers Proposal |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Private Fund Advisers Proposal – Statement in Support of Accountability Enhancing Updates |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Proposed Private Fund Advisers; Documentation of Investment Adviser Compliance Reviews Rulemaking |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement on Proposed Rules for Private Fund Advisers |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:February 2022 | Date: | Title: Statement before the Financial Stability Oversight Council on Money Market Funds, Open-End Bond Funds, and Hedge Funds |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Statement on Pay versus Performance |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Statement on the Reopening of Pay vs. Performance |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Measuring Pay Against Performance: Are Shareholders Getting Their Money’s Worth? |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Dissenting Statement on Reopening of Comment Period for Pay Versus Performance |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Statement on Government Securities Alternative Trading Systems |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Dissenting Statement on the Proposal to Amend Regulation ATS |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Statement on Amendments to Exchange Act Rule 3b-16, Regulation ATS, and Regulation SCI |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Statement on Form PF |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Statement on Proposed Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Statement on Proposed Amendments to Form PF |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Statement on Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Statement on the Market Volatility Experienced in January 2021 |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Cybersecurity and Securities Laws |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:January 2022 | Date: | Title: Statement on Departure of Commissioner of Elad L. Roisman |
Speaker:
Chair Gary Gensler
Commissioner Hester M. Peirce Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Departing Statement |
Speaker:
Elad L. Roisman |
Type:Statement |
| Published date grouping:January 2022 | Date: | Title: Prepared Remarks: “Dynamic Regulation for a Dynamic Society” Before the Exchequer Club of Washington, D.C. |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:December 2021 | Date: | Title: Statement on Commissioner Roisman’s Departure |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement of Commissioner Elad L. Roisman |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Staff Statement Regarding Form CRS Disclosures |
Speaker:
Standards of Conduct Implementation Committee |
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statements at the Financial Stability Oversight Council Meeting |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on the PCAOB’s Actions |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on Jury’s Verdict in Trial of Michael C. Furman |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on PCAOB Budget and Accounting Support Fee Request for 2022 |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: PCAOB Budget Statement |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on the PCAOB 2022 Budget |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on the PCAOB’s 2022 Budget |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on the 2022 Final Budget for the Public Company Accounting Oversight Board |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on Exchange Act 10B and Rule 9j-1 |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Dissenting Statement on Proposed Security-Based Swap Rules |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Dissenting Statement on Proposed Security-Based Swaps Rules |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Standing Up the Security-Based Swap Regime: Statement on Proposed Rules for Antifraud, Position Reporting and CCO Support |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on Re-Proposed Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on Money Market Fund Reform |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on Money Market Fund Reforms |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on Proposed Money Market Fund Reforms |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on Proposed Money Market Fund Reforms |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on Proposed Amendments to Money Market Fund Rules |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on Share Repurchase Disclosure Modernization |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Dissenting Statement on Buybacks Disclosure Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Dissenting Statement on Proposed Rules Regarding Share Repurchases |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Enhancing Transparency Around Stock Buybacks: Statement on Corporate Share Repurchase Proposal |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on Issuer Share Repurchase Disclosure Modernization |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on Rule 10b5-1 and Insider Trading |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on Rule 10b5-1 and Insider Trading Proposing Release |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on the Proposed Rules Regarding 10b5-1 Plans |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Stock Trading Plans Should Prevent – Not Enable – Insider Trading: Statement on Proposed Amendments to Rule 10b5-1 |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on the Proposed Amendments to the Availability of the Affirmative Defense to Allegations of Insider Trading Provided by Exchange Act Rule 10b5-1 |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Virtual Remarks at the Center for American Progress and Sierra Club: Down the Rabbit Hole of Climate Pledges |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:December 2021 | Date: | Title: Falling Further Back - Statement on Chair Gensler’s Regulatory Agenda |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Rat Farms and Rule Comments - Statement on Comment Period Lengths |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on Jury’s Verdict in Trial of Gregory Grenda and the Grenda Group |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Remarks Before the Healthy Markets Association Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:December 2021 | Date: | Title: SEC Staff Statement on LIBOR Transition—Key Considerations for Market Participants |
Speaker:
Staff of the U.S. Securities and Exchange Commission |
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Joint Statement of Appreciation for Rebecca Olsen’s Service as Director of the Office of Municipal Securities |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement on OCA’s Continued Focus on High Quality Financial Reporting in a Complex Environment |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Remarks before the Investor Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Statement Holding Foreign Companies Accountable Act: Final Amendments |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Remarks before the Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2021 | Date: | Title: Remarks before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Worms and Dinosaurs: Statement on the Proposed Amendments to Modernize How Broker-Dealers Preserve Electronic Records |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Updates to Electronic Recordkeeping |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Proposed Updates to Securities Lending Market |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Prepared Remarks at U.S. Treasury Market Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Dissenting Statement on Proxy Voting Advice Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Too Important to Regulate? Rolling Back Investor Protections on Proxy Voting Advice |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Statement on Proposed Amendments Related to Proxy Voting Advice |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Statement on Proxy Voting Advice |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Dissenting Statement on Universal Proxy |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Statement on Universal Proxy Rules |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Statement on Universal Proxy Ballots |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Statement on Universal Proxy |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Remarks at the PepsiCo-PwC CPE Conference: Controlling Internal Controls |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Prepared Remarks at the Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: The Lessons of Structured Data |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Prepared Remarks At the Institutional Limited Partners Association Summit |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Remarks at Interagency Convening on Equitable Economic Growth |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Statement on DeFi Risks, Regulations, and Opportunities |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Joint Statement on PCAOB Appointments |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Statement on Appointments to the PCAOB |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: 2021 SEC Regulation Outside the United States - Scott Friestad Memorial Keynote Address |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Statement on PCAOB Rule 6100 to Fulfill Obligations under the HFCAA |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Statement on Proposed Amendments to Electronic Filing Requirements |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Prepared Remarks At the Securities Enforcement Forum |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2021 | Date: |
Title: A Call to Action: Recommendations for Complying with Reg BI Remarks at the ALI CLE 2021 Conference on Life Insurance Company Products |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Statement on Shareholder Proposals: Staff Legal Bulletin No. 14L |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Statement regarding Shareholder Proposals: Staff Legal Bulletin No. 14L |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Remarks Before the Asset Management Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Remarks Before Asset Management Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Prepared Remarks Before the SIFMA Annual Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: President’s Working Group Report on Stablecoins |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:November 2021 | Date: | Title: Statement on the Registration Deadline for Security-Based Swap Dealers |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:October 2021 | Date: | Title: Cybersecurity: Meeting the Emerging Challenge |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Remarks at the October 28, 2021 Meeting of the Asset Management Advisory Committee |
Speaker:
Sarah ten Siethoff, Deputy Director |
Type:Statement |
| Published date grouping:October 2021 | Date: | Title: The Importance of High Quality Independent Audits and Effective Audit Committee Oversight to High Quality Financial Reporting to Investors |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
| Published date grouping:October 2021 | Date: | Title: Inside Chicken: Remarks before Fordham Journal of Corporate and Financial Law Conference: “Here to Stay: Wrestling with the Future of the Quickly Maturing SPAC Market” |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Statement Before the Financial Stability Oversight Council |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:October 2021 | Date: | Title: Prepared Remarks At DC Fintech Week |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Remarks at the PRI/LSEG Investor Action on Climate Webinar |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: In the Matter of Credit Suisse |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:October 2021 | Date: | Title: Statement on Staff Report on Equity and Options Market Structure Conditions in Early 2021 |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:October 2021 | Date: | Title: Statement on Staff Report on Equity and Options Market Conditions in Early 2021 |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| Published date grouping:October 2021 | Date: | Title: Enhancing Equity Market Competition |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Statement on Rules Regarding Clawbacks of Erroneously Awarded Compensation |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:October 2021 | Date: | Title: Banner Year in the Markets Solves Capital Raising Woes: Headline Clickbait and the Real Story of Access to Capital |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Statement of Support – Modernization of Filing Fees and Payment Methods |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:October 2021 | Date: | Title: Investor Protection in the Age of Gamification: Game Over for Regulation Best Interest? |
Speaker:
Rick Fleming, Investor Advocate |
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Remarks at SEC Speaks 2021 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Digital Asset Securities – Common Goals and a Bridge to Better Outcomes |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Going Dark: The Growth of Private Markets and the Impact on Investors and the Economy |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Remarks at SEC Speaks |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Prepared Remarks at SEC Speaks |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Lawless in Austin |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: PLI Broker/Dealer Regulation and Enforcement 2021 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Testimony Before the United States House of Representatives Committee on Financial Services |
Speaker:
Chair Gary Gensler
|
Type:Testimony |
| Published date grouping:October 2021 | Date: | Title: Statement on Complex Exchange-Traded Products |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:October 2021 | Date: | Title: Statement on Complex Exchange-Traded Products |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Prepared Remarks Before The Future of Asset Management North America Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:September 2021 | Date: | Title: Statement on Proposal to Enhance Reporting of Proxy Votes by Registered Management Investment Companies And Reporting of Executive Compensation Votes by Institutional Investment Managers |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Statement on Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Statement on Proposed Changes to Asset Managers’ Proxy Voting Disclosures |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Shining a Light on Corporate Democracy: Statement on Updates to Form N-PX |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Statement on N-PX Proposal |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Asset Management Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Remarks at the Meeting of the Asset Management Advisory Committee |
Speaker:
Sarah ten Siethoff, Deputy Director |
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Remarks Before the Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Remarks at SEC Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Prepared Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Prepared Remarks Before the Asset Management Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Assessing the Unknown |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:September 2021 | Date: | Title: Statement on Staff No-Action Letter Regarding Amended Rule 15c2-11 in Relation to Fixed Income Securities |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Remarks Before the Alternative Reference Rates Committee’s SOFR Symposium |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:September 2021 | Date: | Title: Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs |
Speaker:
Chair Gary Gensler
|
Type:Testimony |
| Published date grouping:September 2021 | Date: | Title: Remarks at the Meeting of the Investor Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Prepared Remarks Before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Remarks at Meeting of Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Statement Regarding Information Bundling and Corporate Penalties |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:September 2021 | Date: | Title: Remarks before the European Parliament Committee on Economic and Monetary Affairs |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:August 2021 | Date: | Title: Statement on Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:August 2021 | Date: | Title: Joint Statement on Joe Brenner Concluding His Tenure at SEC |
Speaker:
Chair Gary Gensler
Commissioner Hester M. Peirce Commissioner Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:August 2021 | Date: | Title: In the Matter of Poloniex, LLC |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:August 2021 | Date: | Title: Statement on the Commission’s Approval of Nasdaq’s Proposal for Disclosure about Board Diversity and Proposal for Board Recruiting Service |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:August 2021 | Date: | Title: Statement on the Commission’s Order Approving Proposed Rule Changes Related to Board Diversity |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:August 2021 | Date: | Title: Statement on the Commission’s Order Approving Exchange Rules Relating to Board Diversity |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:August 2021 | Date: | Title: Statement on Nasdaq’s Diversity Proposals – A Positive First Step for Investors |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:August 2021 | Date: | Title: Statement on the Commission’s Action to Disregard Recently-Amended Whistleblower Rules |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| Published date grouping:August 2021 | Date: | Title: Remarks Before the Aspen Security Forum |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:August 2021 | Date: | Title: Staff Statement on the Proposed Expert Market |
Speaker:
Division of Trading and Markets Staff |
Type:Statement |
| Published date grouping:August 2021 | Date: | Title: Statement in Connection with the SEC’s Whistleblower Program |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:August 2021 | Date: | Title: Joint Statement on the Departure of Pete Driscoll |
Speaker:
Chair Gary Gensler
Commissioner Hester M. Peirce Commissioner Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:July 2021 | Date: | Title: Statement on FINRA Rule Regarding High-Risk Firms |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:July 2021 | Date: | Title: Prepared Remarks for National Whistleblower Day Celebration |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2021 | Date: | Title: Statement on Investor Protection Related to Recent Developments in China |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:July 2021 | Date: | Title: Prepared Remarks Before the Principles for Responsible Investment “Climate and Global Financial Markets” Webinar |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2021 | Date: | Title: Prosperity’s Door |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:July 2021 | Date: | Title: Prepared Remarks of Gary Gensler, Chair of the Securities and Exchange Commission, Before the American Bar Association Derivatives and Futures Law Committee Virtual Mid-Year Program |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2021 | Date: | Title: Chocolate-Covered Cicadas |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:July 2021 | Date: | Title: In the Matter of Coinschedule |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| Published date grouping:July 2021 | Date: | Title: Prepared Remarks Before the Asset Management Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:July 2021 | Date: | Title: Remarks at Asset Management Advisory Committee Meeting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:July 2021 | Date: | Title: Remarks at Asset Management Advisory Committee Meeting |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:July 2021 | Date: | Title: Statement on the IFRS Foundation’s Proposed Constitutional Amendments Relating to Sustainability Standards |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:June 2021 | Date: | Title: Statement Regarding Neovest, Inc. |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:June 2021 | Date: | Title: Climate, ESG, and the Board of Directors: “You Cannot Direct the Wind, But You Can Adjust Your Sails” |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Prepared remarks at London City Week |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Can the SEC Make ESG Rules that are Sustainable? |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Moving Forward or Falling Back? Statement on Chair Gensler’s Regulatory Agenda |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| Published date grouping:June 2021 | Date: | Title: Prepared Remarks Before the Financial Stability Oversight Council - LIBOR |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:June 2021 | Date: | Title: Prepared Remarks Before the Financial Stability Oversight Council - Money Market Funds |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:June 2021 | Date: | Title: Prepared Remarks at the Meeting of SEC Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:June 2021 | Date: | Title: Remarks at Meeting of Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:June 2021 | Date: | Title: Statement for Investor Advisory Committee Meeting |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:June 2021 | Date: | Title: Prepared Remarks at the Global Exchange and FinTech Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Statement on Commencement of Appointment Process for Five Public Company Accounting Oversight Board Seats |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:June 2021 | Date: | Title: Remarks at CFO Network Summit |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Statement on The Commission’s Actions Regarding the PCAOB |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| Published date grouping:June 2021 | Date: | Title: Putting the Electric Cart before the Horse:[1] Addressing Inevitable Costs of a New ESG Disclosure Regime |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Response to Chair Gensler’s and the Division of Corporation Finance’s Statements Regarding the Application of the Proxy Rules to Proxy Voting Advice |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| Published date grouping:June 2021 | Date: | Title: Statement on Compliance with the Commission’s 2019 Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice and Amended Rules 14a-1(1), 14a-2(b), 14a-9 |
Speaker:
SEC Division of Corporation Finance |
Type:Statement |
| Published date grouping:June 2021 | Date: | Title: Statement on the application of the proxy rules to proxy voting advice |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:May 2021 | Date: | Title: Remarks at the 40th Annual SEC Small Business Forum |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:May 2021 | Date: | Title: Testimony Before the Subcommittee on Financial Services and General Government |
Speaker:
Chair Gary Gensler
|
Type:Testimony |
| Published date grouping:May 2021 | Date: | Title: A Toast to 40: Opening Remarks at the SEC Small Business Forum |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Statement |
| Published date grouping:May 2021 | Date: | Title: 40th Annual Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:May 2021 | Date: | Title: Living in a Material World: Myths and Misconceptions about “Materiality” |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:May 2021 | Date: | Title: Leveraging Regulatory Cooperation to Protect America’s Investors |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:May 2021 | Date: | Title: Remarks at 2021 FINRA Annual Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2021 | Date: | Title: Statement on S&P Dow Jones Indices LLC |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:May 2021 | Date: | Title: Mind the (Data) Gaps |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:May 2021 | Date: | Title: Staff Statement on Funds Registered Under the Investment Company Act Investing in the Bitcoin Futures Market |
Speaker:
Division of Investment Management Staff |
Type:Statement |
| Published date grouping:May 2021 | Date: | Title: Testimony Before the House Committee on Financial Services |
Speaker:
Chair Gary Gensler
|
Type:Testimony |
| Published date grouping:April 2021 | Date: | Title: Prepared Remarks at SEC Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| Published date grouping:April 2021 | Date: | Title: Remarks at Meeting of SEC Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:April 2021 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:April 2021 | Date: |
Title: Werewolves of Change: Remarks before the ISDA Derivatives Trading Forum on Regulatory Change |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2021 | Date: | Title: Staff Statement on Fully Paid Lending |
Speaker:
Division of Trading and Markets Staff |
Type:Statement |
| Published date grouping:April 2021 | Date: | Title: Rethinking Global ESG Metrics |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:April 2021 | Date: | Title: Statement on Senate Confirmation of Gary Gensler |
Speaker:
Commissioner Allison Herren Lee
Commissioner Hester M. Peirce Commissioner Elad L. Roisman Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:April 2021 | Date: | Title: Token Safe Harbor Proposal 2.0 |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:April 2021 | Date: | Title: Staff Statement on Accounting and Reporting Considerations for Warrants Issued by Special Purpose Acquisition Companies (“SPACs”) |
Speaker:
John Coates, Acting Director, Division of Corporation Finance Paul Munter, Acting Chief Accountant |
Type:Statement |
| Published date grouping:April 2021 | Date: | Title: Statement on the Staff ESG Risk Alert |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:April 2021 | Date: | Title: SPACs, IPOs and Liability Risk under the Securities Laws |
Speaker:
John Coates, Acting Director, Division of Corporation Finance |
Type:Statement |
| Published date grouping:March 2021 | Date: | Title: Staff Statement on Select Issues Pertaining to Special Purpose Acquisition Companies |
Speaker:
Division of Corporation Finance |
Type:Statement |
| Published date grouping:March 2021 | Date: | Title: Financial Reporting and Auditing Considerations of Companies Merging with SPACs |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
| Published date grouping:March 2021 | Date: | Title: Opening Remarks at the Diversifying Opportunity in Venture Capital Series |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Statement |
| Published date grouping:March 2021 | Date: | Title: Remarks at Asset Management Advisory Committee Meeting |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:March 2021 | Date: | Title: Remarks at Asset Management Advisory Committee Meeting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:March 2021 | Date: | Title: Remarks at the March 19, 2021 Meeting of the Asset Management Advisory Committee |
Speaker:
Sarah ten Siethoff, Deputy Director |
Type:Statement |
| Published date grouping:March 2021 | Date: | Title: Statement at the Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:March 2021 | Date: | Title: Every Vote Counts: The Importance of Fund Voting and Disclosure |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:March 2021 | Date: | Title: Paper, Plastic, Peer-to-Peer |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:March 2021 | Date: | Title: A Climate for Change: Meeting Investor Demand for Climate and ESG Information at the SEC |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:March 2021 | Date: | Title: Public Input Welcomed on Climate Change Disclosures |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:March 2021 | Date: | Title: Statement on Fixed Income Trading and Investment Company Act Rule 17a-7 |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:March 2021 | Date: | Title: Staff Statement on Investment Company Cross Trading |
Speaker:
Division of Investment Management Staff |
Type:Statement |
| Published date grouping:March 2021 | Date: | Title: ESG Disclosure – Keeping Pace with Developments Affecting Investors, Public Companies and the Capital Markets |
Speaker:
John Coates, Acting Director, Division of Corporation Finance |
Type:Statement |
| Published date grouping:March 2021 | Date: | Title: Remarks at Investor Advisory Committee Meeting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:March 2021 | Date: | Title: Moving Forward Together – Enforcement for Everyone |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:March 2021 | Date: | Title: Enhancing Focus on the SEC’s Enhanced Climate Change Efforts |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| Published date grouping:March 2021 | Date: | Title: Small World |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:February 2021 | Date: | Title: Statement on the Review of Climate-Related Disclosure |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:February 2021 | Date: | Title: Atomic Trading |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:February 2021 | Date: | Title: Joint Statement on the Departure of Sagar Teotia |
Speaker:
Commissioner Allison Herren Lee
Commissioner Hester M. Peirce Commissioner Elad L. Roisman Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:February 2021 | Date: | Title: Statement of Commissioners Hester M. Peirce and Elad L. Roisman on Contingent Settlement Offers |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| Published date grouping:February 2021 | Date: | Title: Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:February 2021 | Date: | Title: Statement of Acting Chair Allison Herren Lee on Empowering Enforcement to Better Protect Investors |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:February 2021 | Date: | Title: Statement on Director Dalia Blass Departing from the Division of Investment Management |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:January 2021 | Date: | Title: Remarks at the Meeting of the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:January 2021 | Date: | Title: Remarks at Meeting of SEC Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:January 2021 | Date: | Title: Remarks at the Meeting of the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:January 2021 | Date: | Title: Statement of Acting Chair Lee and Commissioners Peirce, Roisman, and Crenshaw Regarding Recent Market Volatility |
Speaker:
Acting Chair Allison Herren Lee |
Type:Statement |
| Published date grouping:January 2021 | Date: | Title: Joint Statement Regarding Ongoing Market Volatility |
Speaker:
Acting Chair Allison Herren Lee |
Type:Statement |
| Published date grouping:January 2021 | Date: | Title: EC Adopts Equivalence Decision With Respect to SEC Regulatory Framework for Central Counterparties |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:January 2021 | Date: | Title: Statement on Federal Reserve Board’s Proposed Collection of U.S. Treasury Transaction Data |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:January 2021 | Date: | Title: Statement on Designation of Commissioner Lee as Acting Chairman |
Speaker:
Commissioner Hester M. Peirce |
Type:Statement |
| Published date grouping:January 2021 | Date: | Title: UK ICO Provides Clarity Regarding Transfers of Personal Data to the SEC |
Speaker:
Acting Chairman Elad L. Roisman
|
Type:Statement |
| Published date grouping:January 2021 | Date: | Title: Statement on FINRA’s Corporate Bond New Issue Reference Data Proposal |
Speaker:
Acting Chairman Elad L. Roisman
|
Type:Statement |
| Published date grouping:January 2021 | Date: | Title: Concurrence in the Matter of Wireline, Inc. |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:January 2021 | Date: | Title: Statement on Chief Economist S.P. Kothari Concluding His Tenure at SEC |
Speaker:
Acting Chairman Elad L. Roisman
|
Type:Statement |
| Published date grouping:January 2021 | Date: | Title: Statement on SEC General Counsel Bob Stebbins Concluding His Tenure |
Speaker:
Acting Chairman Elad L. Roisman
|
Type:Statement |
| Published date grouping:January 2021 | Date: | Title: Statement on Proposed 2011 Fraud-Detection Program and Related 2012 Opinion of the DOJ Office of Legal Counsel |
Speaker:
Acting Chairman Elad L. Roisman |
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Farewell Statement of Stephanie Avakian, Director of the Division of Enforcement |
Speaker:
Stephanie Avakian, Director, Division of Enforcement |
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Commission Statement on the Passing of Jacob Stillman |
Speaker:
Commissioner Hester M. Peirce
Acting Chairman Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on the Departure of Chairman Jay Clayton |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on Designation of Commissioner Roisman as Acting Chairman |
Speaker:
Commissioner Hester M. Peirce
Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Staff Statement Regarding Nasdaq Rule Proposal |
Speaker:
Brett Redfearn, Director, Division of Trading and Markets |
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on the Tenure of SEC Chairman Jay Clayton |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement of SEC Chairman Jay Clayton Regarding the Conclusion of His Tenure |
Speaker:
Jay Clayton, Chairman |
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Staff Statement on the President’s Working Group Report on Money Market Funds |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on Primary Direct Listings |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on the Proposed Amendment to Rule 144 |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on NYSE Primary Direct Listing Proposal |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on the Investment Adviser Marketing Final Rule |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on the New Marketing Rule for Investment Advisers |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Investment Adviser Marketing - Past Proposals are Not Necessarily Indicative of Future Adoptions |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on the Fixed Income Market Structure Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on Recent and Upcoming Regulation Best Interest Examinations from the SEC Division of Examinations |
Speaker:
Division of Examinations Staff |
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement after the Enactment of the Holding Foreign Companies Accountable Act |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on the Renaming of the Office of Compliance Inspections and Examinations to the Division of Examinations |
Speaker:
Chairman Jay Clayton
Commissioner Hester M. Peirce Commissioner Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Consolidated Audit Trail: Focus on Effective Implementation Puts CAT on Track |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on Adoption of Resource Extraction Disclosure Rules |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement at Open Meeting on Disclosure of Payments by Resource Extraction Issuers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement at Open Meeting on Disclosure of Payments by Resource Extraction Issuers |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on Rules Governing the Disclosure of Payments by Resource Extraction Issuers |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on Resource Extraction |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement of Dissent from the Commission’s Order Approving the Financial Industry Regulatory Authority’s Proposed Rule Change, as Modified by Amendment No. 1, to Address Brokers with a Significant History of Misconduct |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on the Departure of Director Stephanie Avakian |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Remarks to The Federalist Society’s Capital Conversations: A Teleforum Series |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Statement on Adoption of Market Data Infrastructure Rules under Regulation NMS |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Market Data Infrastructure: Open Meeting Statement |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement at Open Commission Meeting to Adopt Market Data Infrastructure Rules under Regulation NMS |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Roadwork Ahead: Upgrading Market Data Infrastructure |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on Market Data Infrastructure |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on Bob Stebbins Concluding His Tenure at SEC |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on OCA’s Focus on High-Quality Financial Reporting During an Unusual Year and a Discussion of our Upcoming Priorities |
Speaker:
Sagar Teotia, Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Kevin Cherrstrom, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Geoff Griffin, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Jeffery Joseph, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Sheena Lam, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Jeffrey Nick, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Jillian Pearce, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Damon Romano, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Statement on the Departure of Bill Hinman |
Speaker:
Chairman Jay Clayton
Commissioner Hester M. Peirce Commissioner Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement at FSOC Open Meeting |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement on Good Faith Determinations of Fair Value under the Investment Company Act of 1940 Final Rule |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Remarks at Meeting of SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Opening Remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Opening remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Statement at the Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:December 2020 | Date: | Title: Remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Statement on Developments Related to the LIBOR Transition |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Statement on Third Meeting with Audit Firm Representatives Regarding Audit Quality in Emerging Markets and Recent Developments |
Speaker:
SEC Chairman Jay Clayton |
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Statement on Proposed Temporary Rules to Include Certain “Platform Workers” in Compensatory Offerings under Rule 701 and Form S-8 |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Joint Statement on the Proposal to Facilitate Non-Cash Compensation for Certain Gig Workers |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Joint Statement on Amendments to Regulation S-K: Management’s Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:November 2020 | Date: |
Title: Putting Principles into Practice, the SEC from 2017-2020 Remarks to the Economic Club of New York |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:November 2020 | Date: | Title: The Role of the CCO – Empowered, Senior and With Authority |
Speaker:
Peter Driscoll, Director, Office of Compliance Inspections and Examinations |
Type:Speech |
| Published date grouping:November 2020 | Date: | Title: The Regulation of Corporation Finance – A Principles-Based Approach |
Speaker:
William Hinman, Director, Division of Corporation Finance |
Type:Speech |
| Published date grouping:November 2020 | Date: | Title: The Promise of Structured Data: True Modernization of Disclosure Effectiveness |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:November 2020 | Date: | Title: Testimony on “Oversight of the Securities and Exchange Commission” |
Speaker:
Chairman Jay Clayton
|
Type:Testimony |
| Published date grouping:November 2020 | Date: | Title: Statement on Departure of Chairman Jay Clayton |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Statement on Recent Enforcement Matters Involving “VIX-Related” and Other Complex Exchange Traded Products (ETPs) from the SEC Office of Compliance Inspections and Examinations |
Speaker:
Office of Compliance Inspections and Examinations Staff |
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Statement of Commissioners Hester M. Peirce and Elad L. Roisman - Andeavor LLC |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Statement on Staff Bulletin Related to Risks Associated with Offshore Omnibus Accounts Transacting in “Penny Stocks” and other Low-Priced U.S. Securities |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Keynote Address: ALI CLE 2020 Conference on Life Insurance Company Products |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:November 2020 | Date: | Title: Staff Statement on WY Division of Banking’s “NAL on Custody of Digital Assets and Qualified Custodian Status” |
Speaker:
Division of Investment Management Staff in Consultation with FinHub Staff |
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Remarks: Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Remarks at Meeting of the SEC Small Business Capital Formation Advisory Committee, Proposed Conditional Exemption for Finders; COVID-19 Updates and Discussion |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Remarks at the November 5, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Playing the Long Game: The Intersection of Climate Change Risk and Financial Regulation |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:November 2020 | Date: | Title: Opening remarks at the November 5, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Opening Remarks at the November 5, 2020 Special Meeting of the Asset Management Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Statement on Harmonizing, Simplifying and Improving the Exempt Offering Framework; Benefits to Small and Medium-Sized Business and Their Investors |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Statement at Open Meeting on Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Statement at Open Meeting on Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Statement on Amendments to the Exempt Offering Framework |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:November 2020 | Date: | Title: Statement on Harmonization of Securities Offering Exemptions |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Modernizing the Regulatory Framework for Funds’ Use of Derivatives |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Opening Statement on Use of Derivatives by Registered Investment Companies and Business Development Companies |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Statement on Regulation of Funds' Use of Derivatives |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Statement on the Final Rule on Funds' Use of Derivatives |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Statement on Funds' Use of Derivatives |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:October 2020 | Date: | Title: Statement on Funds' Use of Derivatives |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Joint Statement Regarding Complex Financial Products and Retail Investors |
Speaker:
Chairman Jay Clayton; Dalia Blass, Director, Division of Investment Management; William Hinman, Director, Division of Corporation Finance; Brett Redfearn, Director, Division of Trading and Markets |
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Statement on Tenure of William Hinman as Director of the Division of Corporation Finance |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Statement at the SEC’s Staff Roundtable on Regulation Best Interest and Form CRS |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Joint Statement on No-Action Relief for Non-Compliance with the Customer Protection Rule |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Statement Regarding Tradenet Capital Markets Ltd. |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Statement at the IDC Conference and Governing Council meeting |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Joint Open Meeting with CFTC - Customer Margin Rules for Security Futures and Request for Comment on Uncleared Swaps and Non-cleared Security-based Swaps |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: CFTC-SEC Joint Meeting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: When the Nail Fails – Remarks before the National Society of Compliance Professionals |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:October 2020 | Date: | Title: Promoting an Effective Auditor Independence Framework |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:October 2020 | Date: |
Title: Who Watches the Watchers?* Joint Statement on Auditor Independence Amendments |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Statement on Order Approving a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: The Car Talk of Capital Raising |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:October 2020 | Date: | Title: Volume, Value, and Impact: Remarks by the SEC Ombudsman |
Speaker:
Tracey L. McNeil, Ombudsman |
Type:Speech |
| Published date grouping:October 2020 | Date: | Title: Joint Statement Regarding New FAQs for Form CRS [1] |
Speaker:
Chairman Jay Clayton
Dalia Blass, Director, Division of Investment Management Brett Redfearn, Director, Division of Trading and Markets |
Type:Statement |
| Published date grouping:October 2020 | Date: |
Title: Investing in the Public Option: Promoting Growth in Our Public Markets Remarks at The SEC Speaks in 2020 |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:October 2020 | Date: | Title: Remarks At SEC Speaks 2020 |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:October 2020 | Date: | Title: An Update on FY 2020 Results – Remarks at SEC Speaks |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:October 2020 | Date: | Title: Open Meeting on Proposed Finders Exemption – Providing Regulatory Clarity to Benefit Small Businesses |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Statement at Open Meeting on Proposed Exemptive Order for Certain Activities of Finders |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Statement at Open Meeting Considering a Proposed Exemptive Order for Finders |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Regulating in the Dark: What We Don’t Know About Finders Can Hurt Us |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Statement on Proposed Exemptive Relief for Finders |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:October 2020 | Date: | Title: Statement of Commissioner Hester M. Peirce - Great Plains Trust Company |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Remarks at U.S. Treasury Market Conference |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: Statement on Measures to Enhance the Fixed Income Markets |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Keynote Address: Regulating with our Eyes on the Future |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: Remarks at the Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Modernizing the Shareholder Proposal Framework for the Benefit of All Shareholders |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Statement on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Statement at Open Meeting on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Statement on the Amendments to Rule 14a-8 |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Statement on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Strengthening our Whistleblower Program |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Amendments to the Commission's Whistleblower Program Rules |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Statement on the Commission’s New and Improved Whistleblower Program Rules |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: June Bug vs. Hurricane:* Whistleblowers Fight Tremendous Odds and Deserve Better |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Statement of Commissioner Caroline Crenshaw on Whistleblower Program Rule Amendments |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Diversity Matters, Disclosure Works, and the SEC Can Do More: Remarks at the Council of Institutional Investors Fall 2020 Conference |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: SEC FinHub Staff Statement on OCC Interpretation |
Speaker:
SEC FinHub Staff |
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Commission Statement on the Passing of Justice Ruth Bader Ginsburg |
Speaker:
Chairman Jay Clayton
Commissioner Hester M. Peirce Commissioner Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Remarks at the 7th Annual Conference on Financial Market Regulation |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: Investor-Focused, Nimble and Vigorous Enforcement at the SEC |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: Protecting Everyday Investors and Preserving Market Integrity: The SEC’s Division of Enforcement |
Speaker:
Stephanie Avakian, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset Management in ESG Investing Hosted By Harvard Law School and the Program on International Financial Systems |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: Statement on the Adoption of Amendments to Exchange Act Rule 15c2-11 |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Statement on Commission Action to Enhance Investor Protections in the OTC Market |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Statement at the SEC Regulation Think-In 2020 Conference |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Statement on Adoption of Amendments to Rule 15c2-11 |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Statement at the Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Opening Remarks at the September 16, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Remarks at the September 16, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Statement on SEC Settlement Charging Token Issuer with Violation of Registration Provisions of the Securities Act of 1933 |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:September 2020 | Date: | Title: Testimony before the Subcommittee on Diversity and Inclusion, Committee on Financial Services |
Speaker:
Pamela Gibbs, Director, Office of Minority and Women Inclusion |
Type:Testimony |
| Published date grouping:August 2020 | Date: | Title: Markets, Morality, and Mobsters: Remarks at the 18th Annual Corporate Governance Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:August 2020 | Date: | Title: Modernizing the Framework for Business, Legal Proceedings and Risk Factor Disclosures |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:August 2020 | Date: | Title: Statement at Open Meeting on Modernization of Regulation S-K 101, 103, and 105 |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:August 2020 | Date: | Title: Opening Remarks at the Open Commission Meeting to Adopt Amendments to Items 101, 103, and 105 of Regulation S-K |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:August 2020 | Date: | Title: Regulation S-K and ESG Disclosures: An Unsustainable Silence |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
| Published date grouping:August 2020 | Date: | Title: Statement on the “Modernization” of Regulation S-K Items 101, 103, and 105 |
Speaker:
Commissioner Caroline Crenshaw |
Type:Statement |
| Published date grouping:August 2020 | Date: | Title: Statement on Modernization of the Accredited Investor Definition |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:August 2020 | Date: | Title: Statement on Amending the “Accredited Investor” Definition |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:August 2020 | Date: | Title: Commissioner Roisman Statement on Amending the “Accredited Investor” Definition |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| Published date grouping:August 2020 | Date: | Title: Joint Statement on the Failure to Modernize the Accredited Investor Definition |
Speaker:
Commissioners Allison Herren Lee and Caroline Crenshaw |
Type:Statement |
| Published date grouping:August 2020 | Date: | Title: Update on the Consolidated Audit Trail: Data Security and Implementation Progress |
Speaker:
Chairman Jay Clayton
Brett Redfearn, Director, Division of Trading and Markets Manisha Kimmel, Senior Policy Advisor, Regulatory Reporting |
Type:Statement |
| Published date grouping:August 2020 | Date: | Title: Statement on Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:August 2020 | Date: | Title: Statement on SEC Response to the Report of the President’s Working Group on Financial Markets |
Speaker:
Chairman Jay Clayton
William Hinman, Director, Division of Corporation Finance Dalia Blass, Director, Division of Investment Management Brett Redfearn, Director, Division of Trading and Markets Raquel Fox, Director, Office of International Affairs Sagar Teotia, Chief Accountant |
Type:Statement |
| Published date grouping:August 2020 | Date: | Title: |