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:March 2023 | Date: | Title: Statement on Electronic Filing |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Trading and Markets Proposal to Move from Paper to Electronic Filing Under Various Rules |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on the Proposed Expansion of Electronic Filing |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Electronic Filing of Certain Forms and Other Filings Under Securities Exchange Act of 1934; Technical Amendments Regarding FOCUS Report |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Modernizing the Filing Process for Market Participants |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Remarks at the ICI Investment Management Conference |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
Published date grouping:March 2023 | Date: | Title: Remarks to Investment Company Institute 2023 Investment Management Conference |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:March 2023 | Date: | Title: Statement on Retail Options |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Responsibilities of Lead Auditors to Conduct High-Quality Audits When Involving Other Auditors |
Speaker:
Paul Munter, Chief Accountant |
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Amendments to Regulation SCI |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Comments on Proposed Expansion of Regulation SCI |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on the Proposed Amendments to Regulation Systems Compliance and Integrity |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Enhanced Cybersecurity for Market Entities |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Proposed Cybersecurity Rule 10 and Form SCIR |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Amendments to Regulation S-P, Cybersecurity Risk Management, and Amendments to Regulation SCI |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on the Proposed Cybersecurity Risk Management Rule for Market Entities |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Protecting Investors from Cyberattacks and Enhancing Cybersecurity in U.S. Capital Markets |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Amendments to Regulation S-P |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Regulation SP: Privacy of Consumer Financial Information and Safeguarding Customer Information |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on the Proposed Amendments to Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Opening Statement before the March 15 Commission Meeting |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement by SEC Chair Gary Gensler on Current Market Events |
Speaker:
Chair Gary Gensler |
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement Regarding the Commission’s Disapproval of a Proposed Rule Change to List and Trade Shares of the VanEck Bitcoin Trust |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Op-Ed: Getting Crypto Firms to Do Their Work Within the Bounds of the Law |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Meeting the Challenges and Fulfilling The Promise of Global Financial Markets: Remarks before the Institute of International Bankers |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:March 2023 | Date: |
Title: Remarks at the “Going Public in the 2020s” Conference Columbia Law School/Business School Program in the Law and Economics of Capital Markets |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:March 2023 | Date: | Title: Prepared Remarks Before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:March 2023 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:March 2023 | Date: | Title: Remarks at the Meeting of the SEC Investor Advisory Committee (IAC) |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:February 2023 | Date: | Title: Statement Regarding Huntleigh Advisors, Inc. and Datatex Investment Services, Inc. |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on the Final Rule on Extending Form 144 EDGAR Filing Hours and Celebrating the EDGAR System on its 30th Anniversary |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Proposed Rules Regarding Investment Adviser Custody |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Safeguarding Advisory Client Assets Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Safeguarding Advisory Client Assets Proposal |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Proposed Rule Regarding the Safeguarding of Advisory Client Assets |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Protecting Investors’ Assets |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Adopting Rules Regarding the Settlement Cycle |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Timing Matters: Statement on Shortening the Settlement Cycle |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Rule Amendments Shortening the Settlement Cycle |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Final Rule on Shortening the Securities Transaction Settlement Cycle |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Increasing Market Fairness and Efficiency for Investors |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Accounting Standard Setting in a Rapidly Evolving Business Environment: A Focus on the Timely Delivery of Investor Priorities |
Speaker:
Paul Munter, Chief Accountant |
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Kraken Down: Statement on SEC v. Payward Ventures, Inc., et al. |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Prepared Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:February 2023 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:February 2023 | Date: | Title: Remarks at the Small Business Advisory Committee Meeting |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:February 2023 | Date: | Title: The SEC Levels Up: Statement on In re Activision Blizzard |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement of Renee Jones on her Tenure as Director of the Division of Corporation Finance |
Speaker:
Renee Jones , Former Director, Division of Corporation Finance |
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Big “Issues” in the Small Business Safe Harbor: Remarks at the 50th Annual Securities Regulation Institute |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
Published date grouping:January 2023 | Date: | Title: Remarks at the California ‘40 Acts Group |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:January 2023 | Date: | Title: Statement on Prohibiting Conflicts of Interest in Securitizations |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement on Proposed Rule: “Prohibition Against Conflicts of Interest in Certain Securitizations” |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement on the Prohibition against Conflicts of Interest in Certain Securitizations Re-proposal |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement on the Proposed Rule: Prohibition against Conflicts of Interest in Certain Securitizations |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement on Prohibiting Conflicts of Interest in Certain Securitizations |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement on In the Matter of Bloomberg Finance, L.P. |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Outdated: Remarks before the Digital Assets at Duke Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:January 2023 | Date: | Title: Statement on Jury’s Verdict in Trial of Bernard Findley and Halitron Inc |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement Regarding National Trust and Fiduciary Services Company, Inc., et al. |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement Regarding In the Matter of Stephen J. Easterbrook and McDonald’s Corporation |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement on Fall 2022 Regulatory Flexibility Agenda |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: PCAOB’s Ballooning Budget |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Prepared Remarks Before the Financial Stability Oversight Council: LIBOR |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:December 2022 | Date: | Title: Prepared Remarks Before the Financial Stability Oversight Council: Annual Report |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:December 2022 | Date: | Title: Statement on PCAOB’s Determinations Regarding Public Accounting Firms in China and Hong Kong |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on PCAOB’s Determinations Regarding Public Accounting Firms in China |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Best Execution Proposal |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Is This The Best Execution We Can Get? |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposed Rule Regarding Best Execution |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposal to Enhance Order Competition |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Ordering Competition |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposed Rule Regarding Order Competition |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Minimum Price Increments, Access Fee Caps, Round Lots, and Odd-Lots |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposal to Amend Rules Governing Access Fees and Tick Sizes and to Accelerate Certain Market Data Changes |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposed Rule Regarding Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposed Amendments Regarding Order Execution Quality |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Disclosure of Order Execution Information |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposals Related to Equity Market Structure |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposed Rule Regarding Disclosures of Order Execution Information |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Increasing Competition and Improving Transparency in U.S. Equity Markets |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Final Rule: “Insider Trading Arrangements and Related Disclosures” |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Insider Trading Rules Get a Much Needed Facelift |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on the Final Rule: Insider Trading Arrangements and Related Disclosures |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Strengthening Insider Trading Rules for Corporate Insiders |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Arrest of Sam Bankman-Fried |
Speaker:
Gurbir S. Grewal Director, Division of Enforcement |
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Remarks Before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:December 2022 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:December 2022 | Date: | Title: It’s Not Just Scope 3: Remarks at the American Enterprise Institute |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:December 2022 | Date: | Title: Statement on Reopening of Comment Period for Share Repurchase Disclosure Modernization |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Remarks at the ICI Global Asset Management Asia Forum |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:November 2022 | Date: | Title: Statement on Speaker Pelosi’s Future Plans |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Remarks at the 2022 Cato Summit on Financial Regulation |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:November 2022 | Date: | Title: Digital Assets: Putting Investors First |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:November 2022 | Date: | Title: “The Beatles and the Treasury Market”: Remarks Before the U.S. Treasury Market Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:November 2022 | Date: | Title: Remarks at Securities Enforcement Forum |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
Published date grouping:November 2022 | Date: | Title: There’s a Fund for That: Remarks before FINRA’s Certified Regulatory and Compliance Professional Dinner |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:November 2022 | Date: | Title: “Good Counsellors”: Remarks Before the Investment Adviser/Investment Company National Seminar: Compliance Outreach Program |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:November 2022 | Date: | Title: 2022 SEC Regulation Outside the United States - Scott Friestad Memorial Keynote Address |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
Published date grouping:November 2022 | Date: | Title: Statement on Open-End Funds |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Closing Act: Statement on Proposed Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Learning from History: Statement on Open-End Fund Liquidity Risk Management Programs and Swing Pricing |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Statement on Proposed Rule: Open-End Fund Liquidity Programs and Swing Pricing; Form N-PORT Reporting |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Strengthening Open-End Fund Resiliency and Liquidity in Stressed Markets |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Statement on Final Amendments to Form N-PX |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Voting Obsession: Statement on Final 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:November 2022 | Date: | Title: Statement on Enhanced Reporting of Proxy Votes |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Statement on the Final Rule: Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Enhancing Fund Voting Reporting |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: “This Law and Its Effective Administration”: Remarks Before the Practising Law Institute’s 54th Annual Institute on Securities Regulation |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Statement on Proposed Amendments Regarding Service Providers Oversight |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Outsourcing Fiduciary Duty to the Commission: Statement on Proposed Outsourcing by Investment Advisers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: In Service of the Investor: Statement on Outsourcing by Investment Advisers |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Proposed Rule Regarding Outsourcing by Investment Advisers |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Accountability in an Evolving Asset Management Industry |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Final Rule Amendments Regarding Shareholder Reports |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: One Good Step, More to Go: Statement on Final Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Simplicity is a Goal Unto Itself: Statement on Tailored Shareholder Reports for Mutual Funds and Exchange Traded Funds; Fee Information in Investment Company Advertising |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Final Rule Regarding Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Modernizing Mutual Fund and ETF Disclosures for Investors |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Final Rules Regarding Clawbacks of Erroneously Awarded Compensation |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Erroneous Clawbacking: Statement at Open Meeting to Consider Listing Standards for Recovery of Erroneously Awarded Compensation |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Listing Standards for Recovery of Erroneously Awarded Compensation |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on the Final Rule Related to Listing Standards for Recovery of Erroneously Awarded Compensation |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Listing Standards for Recovery of Erroneously Awarded Compensation: |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Remarks at the Georgetown Law Hotel and Lodging Summit |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: “Competition and the Two SECs” Remarks Before the SIFMA Annual Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Moving Forward in Our Lane: Remarks at the Inaugural ECGI Responsible Capitalism Summit |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Remarks at the APABA-DC Awards and Installation Reception |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Meeting Investor Demand for High Quality ESG Data |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Raising the Bar on Diversity, Equity and Inclusion |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Statement on Staff’s FAQ Relating to Investment Adviser Considerations of DEI Factors |
Speaker:
Commissioner Caroline A. Crenshaw
Commissioner Jaime Lizárraga |
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Ecosystems and IPOs: Remarks at the Meeting of the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Statement on Final Rule Amendments to Electronic Recordkeeping Requirements |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Updates to Electronic Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Entities |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Amended Recordkeeping Requirements |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Burying the Technologically Primitive WORM: Open Meeting on Broker-Dealer Electronic Recordkeeping Requirements |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: The Auditor’s Responsibility for Fraud Detection |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Sus and Yeet: Remarks before the University of California Irvine Audit Committee Summit |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Financial Stability Oversight Council’s Report on Digital Asset Financial Stability Risks and Regulation Before the Financial Stability Oversight Council Open Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Remarks at the Association of Asian American Investment Managers Elevate 2022 Keynote Lunch Program |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Remarks to the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Remarks at the Meeting of the SEC Investor Advisory Committee (IAC) |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Remarks at the Meeting of the Investor Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Statement Regarding In the Matter of Toews Corporation |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Laudable Ends, Poorly Pursued: Statement Regarding Recent Pay-to-Play Rule Settlements |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Opening Remarks to the Institute for Inclusion in the Legal Profession |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Oral Testimony of Gary Gensler Before the United States Senate Committee on Banking, Housing, and Urban Affairs |
Speaker:
Chair Gary Gensler
|
Type:Testimony |
Published date grouping:September 2022 | 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 2022 | Date: | Title: Statement on Proposed Rules Regarding Treasury Clearing |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Statement on Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Statement on Treasury Clearing |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Treasury Clearing Standards for Membership Requirements and Risk Management |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Statement on Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Remarks at SEC Speaks |
Speaker:
Sanjay Wadhwa, Deputy Director of Enforcement |
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Remarks at the “SEC Speaks” Conference 2022 |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Remarks at SEC Speaks 2022 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Federal Securities Laws: Closed-Book or Open-Book Exam? - Remarks at SEC Speaks 2022 |
Speaker:
Sebastian Gomez Abero, Deputy Director, Office of the Advocate for Small Business Capital Formation |
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Prepared Remarks of Gary Gensler “Kennedy and Crypto” At SEC Speaks |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Audit Quality and Investor Protection under the Holding Foreign Companies Accountable Act |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Auditor Independence and Ethical Responsibilities: Critical Points to Consider When Contemplating an Audit Firm Restructuring |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Final Amendments to the Whistleblower Program |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: On the Consequences of an Inconsequential Rulemaking: Statement Regarding Amendments to Whistleblower Program Rules |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on the Final Rules Related to the Whistleblower Program |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on the PCAOB Agreement with China and Hong Kong |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Agreement Governing Inspections and Investigations of Audit Firms Based in China and Hong Kong |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Final Rule Regarding Pay Versus Performance |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Neither Pay nor Performance |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Pay versus Performance: |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Late Summer Sunshine: Statement on the Adoption of Pay Versus Performance |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on the Final Rule Related to Pay Versus Performance |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Op-Ed: The SEC Treats Crypto Like the Rest of the Capital Markets |
Speaker:
Chair Gary Gensler
|
Type:Statement |
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 Advisory Committee Meeting |
Speaker:
Commissioner Jaime Lizárraga
|
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: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:
Allison Herren Lee, Former Commissioner |
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:
Allison Herren Lee, Former Commissioner |
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: Remarks Before the Reuters Events’ Responsible Business USA 2022 |
Speaker:
Chair Gary Gensler
|
Type:Speech |
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:Speech |
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 , Former 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:Speech |
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: 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: 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 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:Speech |
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: Remarks on Cybersecurity and Securities Laws at the Northwestern University Pritzker School of Law |
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:
Commissioner 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:Speech |
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:Speech |
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: Statement on Proposed Amendments Regarding Universal Proxy |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Statement on Proposed Amendments to the Rules Governing Proxy Voting Advice |
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:Speech |
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:Speech |
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:Speech |
Published date grouping:September 2021 | Date: | Title: Prepared Remarks Before the Asset Management Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
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: Op-Ed: Chinese Firms Need to Open Their Books |
Speaker:
Chair Gary Gensler
|
Type:Statement |
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:Speech |
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:Speech |
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:Speech |
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:Speech |
Published date grouping:June 2021 | Date: | Title: Prepared Remarks Before the Financial Stability Oversight Council - Money Market Funds |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:June 2021 | Date: | Title: Prepared Remarks at the Meeting of SEC Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
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 Before Eighth Annual Conference on Financial Market Regulation |
Speaker:
Chair Gary Gensler
|
Type:Speech |
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:Speech |
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: |