Speeches and statements (including testimony) given by the Chair, Commissioners, and SEC staff.  To view these prior to 2012, refer to the archive pages:

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Published date grouping
Date
Title
Speaker
Type
Published date grouping:September 2021 Date: Title: Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs Speaker: Chair Gary Gensler
Type:Testimony
Published date grouping:September 2021 Date: Title: Remarks at the Meeting of the Investor Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:September 2021 Date: Title: Prepared Remarks Before the Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Public Statement
Published date grouping:September 2021 Date: Title: Remarks at Meeting of Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:September 2021 Date: Title: Statement Regarding Information Bundling and Corporate Penalties Speaker: Commissioner Caroline A. Crenshaw
Type:Public 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:Public 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:Public Statement
Published date grouping:August 2021 Date: Title: In the Matter of Poloniex, LLC Speaker: Commissioner Hester M. Peirce
Type:Public 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:Public 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:Public 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:Public 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:Public 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:Public Statement
Published date grouping:August 2021 Date: Title: Remarks Before the Aspen Security Forum Speaker: Chair Gary Gensler
Type:Public Statement
Published date grouping:August 2021 Date: Title: Staff Statement on the Proposed Expert Market Speaker:

Division of Trading and Markets Staff

 Type:Public Statement
Published date grouping:August 2021 Date: Title: Statement in Connection with the SEC’s Whistleblower Program Speaker: Chair Gary Gensler
Type:Public 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:Public 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:Public 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:Public 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:Public Statement
Published date grouping:July 2021 Date: Title: Prepared Remarks Before the Asset Management Advisory Committee Speaker: Chair Gary Gensler
Type:Public Statement
Published date grouping:July 2021 Date: Title: Remarks at Asset Management Advisory Committee Meeting Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:July 2021 Date: Title: Remarks at Asset Management Advisory Committee Meeting Speaker: Commissioner Caroline A. Crenshaw
Type:Public 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:Public Statement
Published date grouping:June 2021 Date: Title: Statement Regarding Neovest, Inc. Speaker: Commissioner Hester M. Peirce
Type:Public 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:Public Statement
Published date grouping:June 2021 Date: Title: Prepared Remarks Before the Financial Stability Oversight Council - LIBOR Speaker: Chair Gary Gensler
Type:Public Statement
Published date grouping:June 2021 Date: Title: Prepared Remarks Before the Financial Stability Oversight Council - Money Market Funds Speaker: Chair Gary Gensler
Type:Public Statement
Published date grouping:June 2021 Date: Title: Prepared Remarks at the Meeting of SEC Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Public Statement
Published date grouping:June 2021 Date: Title: Remarks at Meeting of Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:June 2021 Date: Title: Statement for Investor Advisory Committee Meeting Speaker: Commissioner Elad L. Roisman
Type:Public 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:Public 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:Public 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:Public 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:Public 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:Public Statement
Published date grouping:May 2021 Date: Title: Remarks at the 40th Annual SEC Small Business Forum Speaker: Commissioner Caroline A. Crenshaw
Type:Public 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, Advocate for Small Business Capital Formation
Type:Public Statement
Published date grouping:May 2021 Date: Title: 40th Annual Government-Business Forum on Small Business Capital Formation Speaker: Commissioner Hester M. Peirce
Type:Public 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:Public 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:Public 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:Public Statement
Published date grouping:April 2021 Date: Title: Remarks at Meeting of SEC Small Business Capital Formation Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:April 2021 Date: Title: Remarks to the Small Business Capital Formation Advisory Committee Speaker: Commissioner Allison Herren Lee
Type:Public 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:Public Statement
Published date grouping:April 2021 Date: Title: Rethinking Global ESG Metrics Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:April 2021 Date: Title: Statement on Senate Confirmation of Gary Gensler Speaker: Acting Chair Allison Herren Lee
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:April 2021 Date: Title: Token Safe Harbor Proposal 2.0 Speaker: Commissioner Hester M. Peirce
Type:Public 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:Public Statement
Published date grouping:April 2021 Date: Title: Statement on the Staff ESG Risk Alert Speaker: Commissioner Hester M. Peirce
Type:Public 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:Public 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:Public Statement
Published date grouping:March 2021 Date: Title: Financial Reporting and Auditing Considerations of Companies Merging with SPACs Speaker: Paul Munter, Acting Chief Accountant
Type:Public Statement
Published date grouping:March 2021 Date: Title: Opening Remarks at the Diversifying Opportunity in Venture Capital Series Speaker: Martha Miller, Advocate for Small Business Capital Formation
Type:Public Statement
Published date grouping:March 2021 Date: Title: Remarks at Asset Management Advisory Committee Meeting Speaker: Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:March 2021 Date: Title: Remarks at Asset Management Advisory Committee Meeting Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:March 2021 Date: Title: Remarks at the March 19, 2021 Meeting of the Asset Management Advisory Committee Speaker: Sarah ten Siethoff, Acting Director, Division of Investment Management
Type:Public Statement
Published date grouping:March 2021 Date: Title: Statement at the Meeting of the Asset Management Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:March 2021 Date: Title: Every Vote Counts: The Importance of Fund Voting and Disclosure Speaker: Acting Chair Allison Herren Lee
Type:Speech
Published date grouping:March 2021 Date: Title: Paper, Plastic, Peer-to-Peer Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:March 2021 Date: Title: A Climate for Change: Meeting Investor Demand for Climate and ESG Information at the SEC Speaker: Acting Chair Allison Herren Lee
Type:Speech
Published date grouping:March 2021 Date: Title: Public Input Welcomed on Climate Change Disclosures Speaker: Acting Chair Allison Herren Lee
Type:Public Statement
Published date grouping:March 2021 Date: Title: Statement on Fixed Income Trading and Investment Company Act Rule 17a-7 Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:March 2021 Date: Title: Staff Statement on Investment Company Cross Trading Speaker:

Division of Investment Management Staff

 Type:Public Statement
Published date grouping:March 2021 Date: Title: ESG Disclosure – Keeping Pace with Developments Affecting Investors, Public Companies and the Capital Markets Speaker: John Coates, Acting Director, Division of Corporation Finance
Type:Public Statement
Published date grouping:March 2021 Date: Title: Remarks at Investor Advisory Committee Meeting Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:March 2021 Date: Title: Moving Forward Together – Enforcement for Everyone Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
Published date grouping:March 2021 Date: Title: Enhancing Focus on the SEC’s Enhanced Climate Change Efforts Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:March 2021 Date: Title: Small World Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:February 2021 Date: Title: Statement on the Review of Climate-Related Disclosure Speaker: Acting Chair Allison Herren Lee
Type:Public Statement
Published date grouping:February 2021 Date: Title: Atomic Trading Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:February 2021 Date: Title: Joint Statement on the Departure of Sagar Teotia Speaker: Acting Chair Allison Herren Lee
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:February 2021 Date: Title: Statement of Commissioners Hester M. Peirce and Elad L. Roisman on Contingent Settlement Offers Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:February 2021 Date: Title: Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers Speaker: Acting Chair Allison Herren Lee
Type:Public Statement
Published date grouping:February 2021 Date: Title: Statement of Acting Chair Allison Herren Lee on Empowering Enforcement to Better Protect Investors Speaker: Acting Chair Allison Herren Lee
Type:Public Statement
Published date grouping:February 2021 Date: Title: Statement on Director Dalia Blass Departing from the Division of Investment Management Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:January 2021 Date: Title: Remarks at the Meeting of the Small Business Capital Formation Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:January 2021 Date: Title: Remarks at Meeting of SEC Small Business Capital Formation Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:January 2021 Date: Title: Remarks at the Meeting of the Small Business Capital Formation Advisory Committee Speaker: Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:January 2021 Date: Title: Statement of Acting Chair Lee and Commissioners Peirce, Roisman, and Crenshaw Regarding Recent Market Volatility Speaker:

Acting Chair Allison Herren Lee
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Caroline A. Crenshaw

 Type:Public Statement
Published date grouping:January 2021 Date: Title: Joint Statement Regarding Ongoing Market Volatility Speaker:

Acting Chair Allison Herren Lee
Pete Driscoll, Director, Division of Examinations
Christian Sabella, Acting Director, Division of Trading and Markets

 Type:Public Statement
Published date grouping:January 2021 Date: Title: EC Adopts Equivalence Decision With Respect to SEC Regulatory Framework for Central Counterparties Speaker: Acting Chair Allison Herren Lee
Type:Public Statement
Published date grouping:January 2021 Date: Title: Statement on Federal Reserve Board’s Proposed Collection of U.S. Treasury Transaction Data Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:January 2021 Date: Title: Statement on Designation of Commissioner Lee as Acting Chairman Speaker:

Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Caroline A. Crenshaw

 Type:Public Statement
Published date grouping:January 2021 Date: Title: UK ICO Provides Clarity Regarding Transfers of Personal Data to the SEC Speaker: Acting Chairman Elad L. Roisman
Type:Public Statement
Published date grouping:January 2021 Date: Title: Statement on FINRA’s Corporate Bond New Issue Reference Data Proposal Speaker: Acting Chairman Elad L. Roisman
Type:Public Statement
Published date grouping:January 2021 Date: Title: Concurrence in the Matter of Wireline, Inc. Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:January 2021 Date: Title: Statement on Chief Economist S.P. Kothari Concluding His Tenure at SEC Speaker: Acting Chairman Elad L. Roisman
Type:Public Statement
Published date grouping:January 2021 Date: Title: Statement on SEC General Counsel Bob Stebbins Concluding His Tenure Speaker: Acting Chairman Elad L. Roisman
Type:Public Statement
Published date grouping:January 2021 Date: Title: Statement on Proposed 2011 Fraud-Detection Program and Related 2012 Opinion of the DOJ Office of Legal Counsel Speaker:

Acting Chairman Elad L. Roisman
Commissioner Hester M. Peirce
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw

 Type:Public Statement
Published date grouping:December 2020 Date: Title: Farewell Statement of Stephanie Avakian, Director of the Division of Enforcement Speaker: Stephanie Avakian, Director, Division of Enforcement
Type:Public Statement
Published date grouping:December 2020 Date: Title: Commission Statement on the Passing of Jacob Stillman Speaker: Commissioner Hester M. Peirce
Acting Chairman Elad L. Roisman
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on the Departure of Chairman Jay Clayton Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on Designation of Commissioner Roisman as Acting Chairman Speaker: Commissioner Hester M. Peirce
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:December 2020 Date: Title: Staff Statement Regarding Nasdaq Rule Proposal Speaker: Brett Redfearn, Director, Division of Trading and Markets
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on the Tenure of SEC Chairman Jay Clayton Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement of SEC Chairman Jay Clayton Regarding the Conclusion of His Tenure Speaker: Jay Clayton, Chairman
Type:Public Statement
Published date grouping:December 2020 Date: Title: Staff Statement on the President’s Working Group Report on Money Market Funds Speaker: Dalia Blass, Director, Division of Investment Management
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on Primary Direct Listings Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on the Proposed Amendment to Rule 144 Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on NYSE Primary Direct Listing Proposal Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on the Investment Adviser Marketing Final Rule Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on the New Marketing Rule for Investment Advisers Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:December 2020 Date: Title: Investment Adviser Marketing - Past Proposals are Not Necessarily Indicative of Future Adoptions Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on the Fixed Income Market Structure Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on Recent and Upcoming Regulation Best Interest Examinations from the SEC Division of Examinations Speaker:

Division of Examinations Staff

 Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement after the Enactment of the Holding Foreign Companies Accountable Act Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on the Renaming of the Office of Compliance Inspections and Examinations to the Division of Examinations Speaker: Chairman Jay Clayton
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:December 2020 Date: Title: Consolidated Audit Trail: Focus on Effective Implementation Puts CAT on Track Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on Adoption of Resource Extraction Disclosure Rules Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement at Open Meeting on Disclosure of Payments by Resource Extraction Issuers Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement at Open Meeting on Disclosure of Payments by Resource Extraction Issuers Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on Rules Governing the Disclosure of Payments by Resource Extraction Issuers Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on Resource Extraction Speaker: Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement of Dissent from the Commission’s Order Approving the Financial Industry Regulatory Authority’s Proposed Rule Change, as Modified by Amendment No. 1, to Address Brokers with a Significant History of Misconduct Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on the Departure of Director Stephanie Avakian Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:December 2020 Date: Title: Remarks to The Federalist Society’s Capital Conversations: A Teleforum Series Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:December 2020 Date: Title: Statement on Adoption of Market Data Infrastructure Rules under Regulation NMS Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:December 2020 Date: Title: Market Data Infrastructure: Open Meeting Statement Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement at Open Commission Meeting to Adopt Market Data Infrastructure Rules under Regulation NMS Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:December 2020 Date: Title: Roadwork Ahead: Upgrading Market Data Infrastructure Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on Market Data Infrastructure Speaker: Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on Bob Stebbins Concluding His Tenure at SEC Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on OCA’s Focus on High-Quality Financial Reporting During an Unusual Year and a Discussion of our Upcoming Priorities Speaker: Sagar Teotia, Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Kevin Cherrstrom, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Geoff Griffin, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Jeffery Joseph, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Sheena Lam, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Jeffrey Nick, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Jillian Pearce, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Damon Romano, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Statement on the Departure of Bill Hinman Speaker: Chairman Jay Clayton
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement at FSOC Open Meeting Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement on Good Faith Determinations of Fair Value under the Investment Company Act of 1940 Final Rule Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:December 2020 Date: Title: Remarks at Meeting of SEC Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:December 2020 Date: Title: Opening Remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:December 2020 Date: Title: Opening remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:December 2020 Date: Title: Statement at the Meeting of the Asset Management Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:December 2020 Date: Title: Remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee Speaker: Dalia Blass, Director, Division of Investment Management
Type:Public Statement
Published date grouping:November 2020 Date: Title: Statement on Developments Related to the LIBOR Transition Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:November 2020 Date: Title: Statement on Third Meeting with Audit Firm Representatives Regarding Audit Quality in Emerging Markets and Recent Developments Speaker:

SEC Chairman Jay Clayton
SEC Chief Accountant Sagar Teotia
PCAOB Chairman William D. Duhnke III

 Type:Public Statement
Published date grouping:November 2020 Date: Title: Statement on Proposed Temporary Rules to Include Certain “Platform Workers” in Compensatory Offerings under Rule 701 and Form S-8 Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:November 2020 Date: Title: Joint Statement on the Proposal to Facilitate Non-Cash Compensation for Certain Gig Workers Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:November 2020 Date: Title: Joint Statement on Amendments to Regulation S-K: Management’s Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:November 2020 Date: Title: Putting Principles into Practice, the SEC from 2017-2020
Remarks to the Economic Club of New York 		Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:November 2020 Date: Title: The Role of the CCO – Empowered, Senior and With Authority Speaker: Peter Driscoll, Director, Office of Compliance Inspections and Examinations
Type:Speech
Published date grouping:November 2020 Date: Title: The Regulation of Corporation Finance – A Principles-Based Approach Speaker: William Hinman, Director, Division of Corporation Finance
Type:Speech
Published date grouping:November 2020 Date: Title: The Promise of Structured Data: True Modernization of Disclosure Effectiveness Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:November 2020 Date: Title: Testimony on “Oversight of the Securities and Exchange Commission” Speaker: Chairman Jay Clayton
Type:Testimony
Published date grouping:November 2020 Date: Title: Statement on Departure of Chairman Jay Clayton Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:November 2020 Date: Title: Statement on Recent Enforcement Matters Involving “VIX-Related” and Other Complex Exchange Traded Products (ETPs) from the SEC Office of Compliance Inspections and Examinations Speaker:

Office of Compliance Inspections and Examinations Staff

 Type:Public Statement
Published date grouping:November 2020 Date: Title: Statement of Commissioners Hester M. Peirce and Elad L. Roisman - Andeavor LLC Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:November 2020 Date: Title: Statement on Staff Bulletin Related to Risks Associated with Offshore Omnibus Accounts Transacting in “Penny Stocks” and other Low-Priced U.S. Securities Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:November 2020 Date: Title: Keynote Address: ALI CLE 2020 Conference on Life Insurance Company Products Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:November 2020 Date: Title: Staff Statement on WY Division of Banking’s “NAL on Custody of Digital Assets and Qualified Custodian Status” Speaker:

Division of Investment Management Staff in Consultation with FinHub Staff

 Type:Public Statement
Published date grouping:November 2020 Date: Title: Remarks: Small Business Capital Formation Advisory Committee Meeting Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:November 2020 Date: Title: Remarks at Meeting of the SEC Small Business Capital Formation Advisory Committee, Proposed Conditional Exemption for Finders; COVID-19 Updates and Discussion Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:November 2020 Date: Title: Remarks at the November 5, 2020 Meeting of the Asset Management Advisory Committee Speaker: Dalia Blass, Director, Division of Investment Management
Type:Public Statement
Published date grouping:November 2020 Date: Title: Playing the Long Game: The Intersection of Climate Change Risk and Financial Regulation Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:November 2020 Date: Title: Opening remarks at the November 5, 2020 Meeting of the Asset Management Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:November 2020 Date: Title: Opening Remarks at the November 5, 2020 Special Meeting of the Asset Management Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:November 2020 Date: Title: Statement on Harmonizing, Simplifying and Improving the Exempt Offering Framework; Benefits to Small and Medium-Sized Business and Their Investors Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:November 2020 Date: Title: Statement at Open Meeting on Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:November 2020 Date: Title: Statement at Open Meeting on Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:November 2020 Date: Title: Statement on Amendments to the Exempt Offering Framework Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:November 2020 Date: Title: Statement on Harmonization of Securities Offering Exemptions Speaker: Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:October 2020 Date: Title: Modernizing the Regulatory Framework for Funds’ Use of Derivatives Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:October 2020 Date: Title: Opening Statement on Use of Derivatives by Registered Investment Companies and Business Development Companies Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:October 2020 Date: Title: Statement on Regulation of Funds' Use of Derivatives Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:October 2020 Date: Title: Statement on the Final Rule on Funds' Use of Derivatives Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:October 2020 Date: Title: Statement on Funds' Use of Derivatives Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
Published date grouping:October 2020 Date: Title: Statement on Funds' Use of Derivatives Speaker: Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:October 2020 Date: Title: Joint Statement Regarding Complex Financial Products and Retail Investors Speaker:

Chairman Jay Clayton;

Dalia Blass, Director, Division of Investment Management;

William Hinman, Director, Division of Corporation Finance;

Brett Redfearn, Director, Division of Trading and Markets

 Type:Public Statement
Published date grouping:October 2020 Date: Title: Statement on Tenure of William Hinman as Director of the Division of Corporation Finance Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:October 2020 Date: Title: Statement at the SEC’s Staff Roundtable on Regulation Best Interest and Form CRS Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:October 2020 Date: Title: Joint Statement on No-Action Relief for Non-Compliance with the Customer Protection Rule Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:October 2020 Date: Title: Statement Regarding Tradenet Capital Markets Ltd. Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:October 2020 Date: Title: Statement at the IDC Conference and Governing Council meeting Speaker: Dalia Blass, Director, Division of Investment Management
Type:Public Statement
Published date grouping:October 2020 Date: Title: Joint Open Meeting with CFTC - Customer Margin Rules for Security Futures and Request for Comment on Uncleared Swaps and Non-cleared Security-based Swaps Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:October 2020 Date: Title: CFTC-SEC Joint Meeting Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:October 2020 Date: Title: When the Nail Fails – Remarks before the National Society of Compliance Professionals Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:October 2020 Date: Title: Promoting an Effective Auditor Independence Framework Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:October 2020 Date: Title: Who Watches the Watchers?*
Joint Statement on Auditor Independence Amendments 		Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:October 2020 Date: Title: Statement on Order Approving a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:October 2020 Date: Title: The Car Talk of Capital Raising Speaker: Martha Miller, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:October 2020 Date: Title: Volume, Value, and Impact: Remarks by the SEC Ombudsman Speaker: Tracey L. McNeil, Ombudsman
Type:Speech
Published date grouping:October 2020 Date: Title: Joint Statement Regarding New FAQs for Form CRS [1] Speaker: Chairman Jay Clayton
Dalia Blass, Director, Division of Investment Management
Brett Redfearn, Director, Division of Trading and Markets
Type:Public Statement
Published date grouping:October 2020 Date: Title: Investing in the Public Option: Promoting Growth in Our Public Markets
Remarks at The SEC Speaks in 2020 		Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:October 2020 Date: Title: Remarks At SEC Speaks 2020 Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:October 2020 Date: Title: An Update on FY 2020 Results – Remarks at SEC Speaks Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:October 2020 Date: Title: Open Meeting on Proposed Finders Exemption – Providing Regulatory Clarity to Benefit Small Businesses Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:October 2020 Date: Title: Statement at Open Meeting on Proposed Exemptive Order for Certain Activities of Finders Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:October 2020 Date: Title: Statement at Open Meeting Considering a Proposed Exemptive Order for Finders Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:October 2020 Date: Title: Regulating in the Dark: What We Don’t Know About Finders Can Hurt Us Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:October 2020 Date: Title: Statement on Proposed Exemptive Relief for Finders Speaker: Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:October 2020 Date: Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:October 2020 Date: Title: Statement of Commissioner Hester M. Peirce - Great Plains Trust Company Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:September 2020 Date: Title: Remarks at U.S. Treasury Market Conference Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:September 2020 Date: Title: Statement on Measures to Enhance the Fixed Income Markets Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:September 2020 Date: Title: Keynote Address: Regulating with our Eyes on the Future Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:September 2020 Date: Title: Remarks at the Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:September 2020 Date: Title: Modernizing the Shareholder Proposal Framework for the Benefit of All Shareholders Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:September 2020 Date: Title: Statement on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:September 2020 Date: Title: Statement at Open Meeting on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:September 2020 Date: Title: Statement on the Amendments to Rule 14a-8 Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:September 2020 Date: Title: Statement on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 Speaker: Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:September 2020 Date: Title: Strengthening our Whistleblower Program Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:September 2020 Date: Title: Amendments to the Commission's Whistleblower Program Rules Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:September 2020 Date: Title: Statement on the Commission’s New and Improved Whistleblower Program Rules Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:September 2020 Date: Title: June Bug vs. Hurricane:* Whistleblowers Fight Tremendous Odds and Deserve Better Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:September 2020 Date: Title: Statement of Commissioner Caroline Crenshaw on Whistleblower Program Rule Amendments Speaker: Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:September 2020 Date: Title: Diversity Matters, Disclosure Works, and the SEC Can Do More: Remarks at the Council of Institutional Investors Fall 2020 Conference Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:September 2020 Date: Title: SEC FinHub Staff Statement on OCC Interpretation Speaker:

SEC FinHub Staff

 Type:Public Statement
Published date grouping:September 2020 Date: Title: Commission Statement on the Passing of Justice Ruth Bader Ginsburg Speaker: Chairman Jay Clayton
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Public Statement
Published date grouping:September 2020 Date: Title: Remarks at the 7th Annual Conference on Financial Market Regulation Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:September 2020 Date: Title: Investor-Focused, Nimble and Vigorous Enforcement at the SEC Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:September 2020 Date: Title: Protecting Everyday Investors and Preserving Market Integrity: The SEC’s Division of Enforcement Speaker: Stephanie Avakian, Director, Division of Enforcement
Type:Speech
Published date grouping:September 2020 Date: Title: Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset Management in ESG Investing Hosted By Harvard Law School and the Program on International Financial Systems Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:September 2020 Date: Title: Statement on the Adoption of Amendments to Exchange Act Rule 15c2-11 Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:September 2020 Date: Title: Statement on Commission Action to Enhance Investor Protections in the OTC Market Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:September 2020 Date: Title: Statement at the SEC Regulation Think-In 2020 Conference Speaker: Dalia Blass, Director, Division of Investment Management
Type:Public Statement
Published date grouping:September 2020 Date: Title: Statement on Adoption of Amendments to Rule 15c2-11 Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:September 2020 Date: Title: Statement at the Meeting of the Asset Management Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:September 2020 Date: Title: Opening Remarks at the September 16, 2020 Meeting of the Asset Management Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:September 2020 Date: Title: Remarks at the September 16, 2020 Meeting of the Asset Management Advisory Committee Speaker: Dalia Blass, Director, Division of Investment Management
Type:Public Statement
Published date grouping:September 2020 Date: Title: Statement on SEC Settlement Charging Token Issuer with Violation of Registration Provisions of the Securities Act of 1933 Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:September 2020 Date: Title: Testimony before the Subcommittee on Diversity and Inclusion, Committee on Financial Services Speaker: Pamela Gibbs, Director, Office of Minority and Women Inclusion
Type:Testimony
Published date grouping:August 2020 Date: Title: Markets, Morality, and Mobsters: Remarks at the 18th Annual Corporate Governance Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:August 2020 Date: Title: Modernizing the Framework for Business, Legal Proceedings and Risk Factor Disclosures Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:August 2020 Date: Title: Statement at Open Meeting on Modernization of Regulation S-K 101, 103, and 105 Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:August 2020 Date: Title: Opening Remarks at the Open Commission Meeting to Adopt Amendments to Items 101, 103, and 105 of Regulation S-K Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:August 2020 Date: Title: Regulation S-K and ESG Disclosures: An Unsustainable Silence Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:August 2020 Date: Title: Statement on the “Modernization” of Regulation S-K Items 101, 103, and 105 Speaker:

Commissioner Caroline Crenshaw

 Type:Public Statement
Published date grouping:August 2020 Date: Title: Statement on Modernization of the Accredited Investor Definition Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:August 2020 Date: Title: Statement on Amending the “Accredited Investor” Definition Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:August 2020 Date: Title: Commissioner Roisman Statement on Amending the “Accredited Investor” Definition Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:August 2020 Date: Title: Joint Statement on the Failure to Modernize the Accredited Investor Definition Speaker:

Commissioners Allison Herren Lee and Caroline Crenshaw

 Type:Public Statement
Published date grouping:August 2020 Date: Title: Update on the Consolidated Audit Trail: Data Security and Implementation Progress Speaker: Chairman Jay Clayton
Brett Redfearn, Director, Division of Trading and Markets
Manisha Kimmel, Senior Policy Advisor, Regulatory Reporting
Type:Public Statement
Published date grouping:August 2020 Date: Title: Statement on Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:August 2020 Date: Title: Statement on SEC Response to the Report of the President’s Working Group on Financial Markets Speaker: Chairman Jay Clayton
William Hinman, Director, Division of Corporation Finance
Dalia Blass, Director, Division of Investment Management
Brett Redfearn, Director, Division of Trading and Markets
Raquel Fox, Director, Office of International Affairs
Sagar Teotia, Chief Accountant
Type:Public Statement
Published date grouping:August 2020 Date: Title: Statement on Senate Confirmations of Hester M. Peirce and Caroline A. Crenshaw Speaker: Chairman Jay Clayton
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:August 2020 Date: Title: Transparency for our Investors and at the Commission Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:August 2020 Date: Title: Statement at Open Meeting on Publication of Procedures for Nominating Candidates for Appointment to the Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:August 2020 Date: Title: Statement on Publication on the Commission’s Website of Procedures for Nominating Candidates for Appointment to the Investor Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:August 2020 Date: Title: Statement on the Investor Advisory Committee Nominating Process Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:August 2020 Date: Title: Statement on Tailored Shareholder Reports Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:August 2020 Date: Title: Statement on Proposal to Improve Information Available to Fund Investors Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:August 2020 Date: Title: Statement on Proposed Summary Shareholder Report Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:August 2020 Date: Title: Opening Remarks: Small Business Capital Formation Advisory Committee Meeting Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:August 2020 Date: Title: Opening Remarks at the Small Business Capital Formation Advisory Committee Meeting Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:August 2020 Date: Title: Remarks at Meeting of the SEC Small Business Capital Formation Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:August 2020 Date: Title: Remarks to the Small Business Capital Formation Advisory Committee Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:July 2020 Date: Title: Speech: PLI Investment Management Institute Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:July 2020 Date: Title: Statement Regarding SEC Ongoing Efforts to Protect Teachers’ Retirement Savings Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:July 2020 Date: Title: Statement by the Staff Standards of Conduct Implementation Committee Regarding New Form CRS Disclosures Speaker:

Staff Standards of Conduct Implementation Committee

 Type:Public Statement
Published date grouping:July 2020 Date: Title: Proxy Voting—Reaffirming and Modernizing the Core Principles of Fiduciary Duty and Transparency to Provide for Better Alignment of Interest Between Main Street Investors and the Market Professionals Who Invest and Vote on Their Behalf Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:July 2020 Date: Title: Open Meeting to Adopt Amendments to the Proxy Solicitation Rules Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:July 2020 Date: Title: Statement at Open Meeting on Exemptions from the Proxy Rules for Proxy Voting Advice and Supplement to Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:July 2020 Date: Title: Paying More For Less: Higher Costs for Shareholders, Less Accountability for Management Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:July 2020 Date: Title: Not Braking and Breaking Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:July 2020 Date: Title: Remarks at the Special Meeting of the Asset Management Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:July 2020 Date: Title: Statement at the Meeting of the Asset Management Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:July 2020 Date: Title: Remarks at the Special Meeting of the Asset Management Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:July 2020 Date: Title: Opening Remarks at the Meeting of the Asset Management Advisory Committee Speaker: Dalia Blass, Director, Division of Investment Management
Type:Public Statement
Published date grouping:July 2020 Date: Title: Credit Ratings, Procyclicality and Related Financial Stability Issues: Select Observations Speaker:

COVID-19 Market Monitoring Group*

 Type:Public Statement
Published date grouping:July 2020 Date: Title: Remarks to the Financial Stability Oversight Council Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:July 2020 Date: Title: Statement on the Proposal to Substantially Reduce 13F Reporting Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:July 2020 Date: Title: Statement at the SEC’s Emerging Markets Roundtable Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:July 2020 Date: Title: Remarks at the Emerging Markets Roundtable Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:July 2020 Date: Title: Opening Remarks at the Emerging Markets Roundtable Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:July 2020 Date: Title: Keynote Speech at the Society for Corporate Governance National Conference Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:June 2020 Date: Title: Statement on the Department of Labor’s Investment Advice Proposal Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:June 2020 Date: Title: An Update on the Commission’s Targeted Regulatory Relief to Assist Market Participants Affected by COVID-19 and Ensure the Orderly Function of our Markets Speaker: Chairman Jay Clayton
William Hinman, Director, Division of Corporation Finance
Dalia Blass, Director, Division of Investment Management
Brett Redfearn, Director, Division of Trading and Markets
Type:Public Statement
Published date grouping:June 2020 Date: Title: Testimony before the Investor Protection, Entrepreneurship, and Capital Markets Subcommittee, U.S. House Committee on Financial Services Speaker: Chairman Jay Clayton
Type:Testimony
Published date grouping:June 2020 Date: Title: Statement on Amendments to the Volcker Rule “Covered Fund” Provisions Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:June 2020 Date: Title: Statement of Commissioner Allison Herren Lee on the Final Rules Continuing the Repeal of Volcker Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:June 2020 Date: Title: Statement on Commencement of Appointment Process for the 2020-2025 PCAOB Board Seat Speaker:

Sagar Teotia, Chief Accountant

 Type:Public Statement
Published date grouping:June 2020 Date: Title: Statement on the Continued Importance of High-Quality Financial Reporting for Investors in Light of COVID-19 Speaker: Sagar Teotia, Chief Accountant
Type:Public Statement
Published date grouping:June 2020 Date: Title: Modernizing U.S. Equity Market Structure Speaker: Chairman Jay Clayton
Brett Redfearn, Director, Division of Trading and Markets
Type:Speech
Published date grouping:June 2020 Date: Title: Remarks to the Annual Government-Business Forum on Small Business Capital Formation Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:June 2020 Date: Title: Remarks at the Virtual Small Business Forum Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:June 2020 Date: Title: Remarks at the Annual Government-Business Forum on Small Business Capital Formation Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:June 2020 Date: Title: Remarks at the 39th Annual Government-Business Forum on Small Business Capital Formation Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:June 2020 Date: Title: Welcome Remarks at the SEC’s 39th Annual Small Business Forum Speaker: Martha Miller, Advocate for Small Business Capital Formation
Type:Public Statement
Published date grouping:June 2020 Date: Title: Statement on the Passing of Martin P. Dunn Speaker:

William H. Hinman, Director, Division of Corporation Finance
Shelley E. Parratt, Deputy Director, Division of Corporation Finance

 Type:Public Statement
Published date grouping:June 2020 Date: Title: Remarks at the 2020 Municipal Securities Disclosure Conference Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:June 2020 Date: Title: Introductory Remarks: Municipal Securities Disclosure Conference Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:June 2020 Date: Title: Opening Remarks at Spotlight on Transparency: A Discussion of Secondary Market Municipal Securities Disclosure Practices Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:June 2020 Date: Title: Opening Remarks at 2020 Municipal Securities Disclosure Conference Speaker: Rebecca Olsen, Director, Office of Municipal Securities
Type:Public Statement
Published date grouping:June 2020 Date: Title: Confirmation of June 30 Compliance Date for Regulation Best Interest and Form CRS Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:June 2020 Date: Title: Statement on the Tenure of Andrew Olmem Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:June 2020 Date: Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:June 2020 Date: Title: Opening Remarks at the June 2020 FIMSAC Meeting Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:June 2020 Date: Title: Opening Remarks at the Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:May 2020 Date: Title: Investment Company Act Section 18(i) Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:May 2020 Date: Title: Remarks at Meeting of the Asset Management Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:May 2020 Date: Title: Opening Remarks at the Meeting of the Asset Management Advisory Committee Speaker: Dalia Blass, Director, Division of Investment Management
Type:Public Statement
Published date grouping:May 2020 Date: Title: Statement on Financial Disclosures About Acquired and Disposed Businesses Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:May 2020 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:May 2020 Date: Title: Remarks at Meeting of the SEC Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:May 2020 Date: Title: Statement on the Tenure of Comptroller Joseph Otting Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:May 2020 Date: Title: Statement of Hester M. Peirce in Response to Release No. 34-88890; File No. S7-13-19 Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:May 2020 Date: Title: Remarks to the Financial Stability Oversight Council Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:May 2020 Date: Title: COVID-19 Market Monitoring Group — Update and Current Efforts Speaker: Chairman Jay Clayton
S.P. Kothari, Chief Economist and Director, Division of Economic and Risk Analysis
Type:Public Statement
Published date grouping:May 2020 Date: Title: Keynote Address: Securities Enforcement Forum West 2020 Speaker: Steven Peikin, Co-Director, Division of Enforcement
Type:Speech
Published date grouping:May 2020 Date: Title: Remarks at Meeting of the SEC Small Business Capital Formation Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:May 2020 Date: Title: Statement at Open Meeting on Order to Modernize the Governance Structure of National Market System Plans for Equity Market Data Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:May 2020 Date: Title: Statement on Equity Market Data Governance Reforms Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:May 2020 Date: Title: Statement at Open Meeting Considering Commission Order Addressing Equity Market Data Plans Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:May 2020 Date: Title: Statement on Final Order Directing the Creation of a New Plan for Consolidated Equity Market Data Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:May 2020 Date: Title: Statement Announcing SEC Staff Roundtable on Emerging Markets Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:May 2020 Date: Title: The Importance of Disclosure for our Municipal Markets Speaker: Chairman Jay Clayton
Rebecca Olsen, Director, Office of Municipal Securities
Type:Public Statement
Published date grouping:May 2020 Date: Title: Remarks at Special Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:May 2020 Date: Title: Remarks at Meeting of the SEC Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:April 2020 Date: Title: Statement on the Tenure of CFTC Commissioner Brian Quintenz Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:April 2020 Date: Title: Statement on Good Faith Determinations of Fair Value under the Investment Company Act of 1940 Proposal Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:April 2020 Date: Title: Emerging Market Investments Entail Significant Disclosure, Financial Reporting and Other Risks; Remedies are Limited Speaker:

SEC Chairman Jay Clayton
PCAOB Chairman William D. Duhnke III
SEC Chief Accountant Sagar Teotia
SEC Division of Corporation Finance Director William Hinman
SEC Division of Investment Management Director Dalia Blass

 Type:Public Statement
Published date grouping:April 2020 Date: Title: The Importance of Disclosure – For Investors, Markets and Our Fight Against COVID-19 Speaker: Chairman Jay Clayton
William Hinman, Director, Division of Corporation Finance
Type:Public Statement
Published date grouping:April 2020 Date: Title: Statement at Open Meeting on Securities Offering Reform for Business Development Companies and Closed-End Investment Companies Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:April 2020 Date: Title: Statement on Securities Offering Reform for Closed-End Investment Companies Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:April 2020 Date: Title: Rulemaking in the Time of COVID-19 Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:April 2020 Date: Title: Statement on the Adoption of Changes to the Offering Rules for Closed-End Funds and Business Development Companies Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:April 2020 Date: Title: Regulatory Priorities and COVID-19 Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:April 2020 Date: Title: Statement on the Importance of High-Quality Financial Reporting in Light of the Significant Impacts of COVID-19 Speaker: Sagar Teotia, Chief Accountant
Type:Public Statement
Published date grouping:April 2020 Date: Title: Remarks at Special Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:April 2020 Date: Title: Remarks at Special Meeting of the Small Business Capital Formation Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:April 2020 Date: Title: Remarks at Special Meeting of the SEC Small Business Capital Formation Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:April 2020 Date: Title: Investors Remain Front of Mind at the SEC: Approach to Allocation of Resources, Oversight and Rulemaking; Implementation of Regulation Best Interest and Form CRS Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:March 2020 Date: Title: Statement at FSOC Open Meeting Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:March 2020 Date: Title: The Deep and Essential Connections Among Markets, Businesses, and Workers and the Importance of Maintaining those Connections in our Fight Against COVID-19 Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:March 2020 Date: Title: Statement on the Passing of Judge Stanley Sporkin Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:March 2020 Date: Title: Statement on the Passing of Judge Stanley Sporkin Speaker: Stephanie Avakian, Director, Division of Enforcement
Steven Peikin, Co-Director, Division of Enforcement
Type:Public Statement
Published date grouping:March 2020 Date: Title: Statement from Stephanie Avakian and Steven Peikin, Co-Directors of the SEC’s Division of Enforcement, Regarding Market Integrity Speaker: Stephanie Avakian, Director, Division of Enforcement
Steven Peikin, Co-Director, Division of Enforcement
Type:Public Statement
Published date grouping:March 2020 Date: Title: Statement on the SEC’s Coronavirus Response Efforts – Facilitating the Continued Orderly Operation of Our Capital Markets Consistent with Health and Safety Directives and Other Measures Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:March 2020 Date: Title: Update on Consolidated Audit Trail; Temporary COVID-19 Staff No-Action Letter; Reducing Cybersecurity Risks Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:March 2020 Date: Title: Statement on Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer Definitions Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:March 2020 Date: Title: Statement on Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer Definitions Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:March 2020 Date: Title: Statement on the Rollback of Auditor Attestation Requirements Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:March 2020 Date: Title: Speech at the Council of Institutional Investors’ (“CII”) Conference Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:March 2020 Date: Title: Getting Back to Basics: Protecting, Serving, and Empowering Investors

Remarks before the Investment Adviser Association Compliance Conference 2020 		Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:March 2020 Date: Title: Statement on Harmonizing, Simplifying and Improving the Exempt Offering Framework Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:March 2020 Date: Title: Statement on Proposed Amendments for Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:March 2020 Date: Title: Statement on the Harmonization Proposal Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:March 2020 Date: Title: Statement on Proposed Amendments to the Exempt Offering Framework Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:March 2020 Date: Title: Statement on Amendments to Registered Debt Disclosure Rules Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:February 2020 Date: Title: Dissenting Statement of Hester M. Peirce in Response to Release No. 34-88284; File No. SR-NYSEArca-2019-39 Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:February 2020 Date: Title: The SEC’s Office of Credit Ratings and NRSRO Regulation: Past, Present, and Future Speaker: Jessica Kane, Director, Office of Credit Ratings
Type:Speech
Published date grouping:February 2020 Date: Title: Statement on Continued Dialogue with Audit Firm Representatives on Audit Quality in China and Other Emerging Markets; Coronavirus — Reporting Considerations and Potential Relief Speaker:

SEC Chairman Jay Clayton
SEC Division of Corporation Finance Director Bill Hinman
SEC Chief Accountant Sagar Teotia
PCAOB Chairman William D. Duhnke III

 Type:Public Statement
Published date grouping:February 2020 Date: Title: Commission Statement on the Passing of Former Chairman David S. Ruder Speaker:

Chairman Jay Clayton
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee

 Type:Public Statement
Published date grouping:February 2020 Date: Title: Statement of Commissioner Robert J. Jackson, Jr. on His Tenure as an SEC Commissioner Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:February 2020 Date: Title: Statement on Proposed Updates to the National Market System for the Collection, Consolidation, and Dissemination of Information With Respect to Quotations for and Transactions in National Market System Stocks Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:February 2020 Date: Title: Statement on Proposed Updates to the National Market System for the Collection, Consolidation, and Dissemination of Information With Respect to Quotations for and Transactions in National Market System Stock Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:February 2020 Date: Title: Statement on Proposed Rule on Market Data Infrastructure Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:February 2020 Date: Title: Running on Empty: A Proposal to Fill the Gap Between Regulation and Decentralization Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:January 2020 Date: Title: Myths and Realities: Modernizing the Proxy Rules Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:January 2020 Date: Title: Statement on Proposed Amendments to Modernize and Enhance Financial Disclosures; Other Ongoing Disclosure Modernization Initiatives; Impact of the Coronavirus; Environmental and Climate-Related Disclosure Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:January 2020 Date: Title: Statement on Proposed Amendments to Modernize and Enhance Financial Disclosures Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:January 2020 Date: Title: “Modernizing” Regulation S-K: Ignoring the Elephant in the Room Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:January 2020 Date: Title: Statement on Proposed Amendments to the Volcker Rule Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:January 2020 Date: Title: Statement on Proposed Amendments to the Volcker Rule “Covered Fund” Provisions Speaker:

Commissioners Elad L. Roisman and Hester M. Peirce

 Type:Public Statement
Published date grouping:January 2020 Date: Title: Statement of Commissioner Allison Herren Lee on the Continued Repeal of the Volcker Rule Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:January 2020 Date: Title: Learning from Miami’s Emprendimientos Speaker: Martha Miller, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:January 2020 Date: Title: Statement on Commissioner Robert J. Jackson, Jr. Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:January 2020 Date: Title: Remarks at the Inaugural Meeting of the Asset Management Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:January 2020 Date: Title: Opening remarks at the the Inaugural Meeting of the Asset Management Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:January 2020 Date: Title: Statement at the Inaugural Meeting of the Asset Management Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:January 2020 Date: Title: Statement at Inaugural Meeting of the Asset Management Advisory Committee Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:January 2020 Date: Title: Opening Statement: Inaugural Meeting of the Asset Management Advisory Committee Speaker: Dalia Blass, Director, Division of Investment Management
Type:Public Statement
Published date grouping:January 2020 Date: Title: Statement at Open Meeting on Proposed Order to Modernize the Governance Structure of National Market System Plans for Equity Market Data Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:January 2020 Date: Title: Statement on Reforming Stock Exchange Governance Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:January 2020 Date: Title: Notice of Proposed Order Regarding the Creation of a New Consolidated Market Data Plan for Equity Market Data Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:January 2020 Date: Title: Statement at the Open Meeting Considering a Proposed Commission Order Addressing Equity Market Data Plans Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:January 2020 Date: Title: Statement on Proposed Order for Creation of a New Consolidated Market Data Plan for Equity Market Data Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:January 2020 Date: Title: Statement on Senate Confirmation of Jovita Carranza as Administrator of the Small Business Administration Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement on Role of Audit Committees in Financial Reporting and Key Reminders Regarding Oversight Responsibilities Speaker: Chairman Jay Clayton
William Hinman, Director, Division of Corporation Finance
Sagar Teotia, Chief Accountant
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement on Selection of Andrew Bailey to Succeed Mark Carney as Governor of the Bank of England Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement on Appointment of New Chair and Five New Members of the Financial Accounting Foundation Board of Trustees, and Appointment of Next Chair of the Financial Accounting Standards Board Speaker:

Chairman Jay Clayton
Commissioner Robert J. Jackson Jr.
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee

 Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement of Chairman Jay Clayton at Open Meeting Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement at Open Meeting on Commission Actions Relating to Implementation of Title VII of the Dodd-Frank Act Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement at Open Meeting on Commission Actions Relating to Implementation of Title VII of the Dodd-Frank Act Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement on Adoption of and Changes to Security-Based Swap Rules Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement on Proposed Disclosure of Issuer Payments Related To Extraction of Natural Resources Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement at Open Meeting on Disclosure of Payments by Resource Extraction Issuers Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement at Open Meeting on Resource Extraction Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement on Proposed Resource Extraction Rule Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement on Reducing Investor Protections around Private Markets Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement at Open Meeting on Amending the “Accredited Investor” Definition Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement at Open Meeting on Proposed Amendments to the Accredited Investor Definition Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:December 2019 Date: Title: Statement on the Proposed Expansion of the Accredited Investor Definition Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:December 2019 Date: Title: Mochas, Mariners, and Morality -- Remarks before the National Economists Club Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:December 2019 Date: Title: Testimony on “Oversight of the Securities and Exchange Commission” Before the U.S. Senate Committee on Banking, Housing, and Urban Affairs Speaker: Chairman Jay Clayton
Type:Testimony
Published date grouping:December 2019 Date: Title: Statement in Connection with the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker: Sagar Teotia, Chief Accountant
Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker: Louis J. Collins, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Lauren K. Alexander
Professional Accounting Fellow, Office of the Chief Accountant

 Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker: Aaron Shaw, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Jamie N. Davis,
Professional Accounting Fellow, Office of the Chief Accountant

 Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Nipa Patel
Professional Accounting Fellow, Office of the Chief Accountant

 Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker: Erin Bennett, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Vassilios Karapanos,
Associate Chief Accountant, Office of the Chief Accountant

 Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Susan M. Mercier
Professional Accounting Fellow, Office of the Chief Accountant

 Type:Speech
Published date grouping:December 2019 Date: Title: Remarks at the Elder Justice Coordinating Council Fall 2019 Meeting Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:December 2019 Date: Title: Keynote Address — 2019 ICI Securities Law Developments Conference Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:December 2019 Date: Title: Remarks to the Greater Cincinnati Mutual Fund Association Speaker:

Alison Staloch, Chief Accountant, Division of Investment Management

 Type:Speech
Published date grouping:November 2019 Date: Title: Statement on Proposed Rules on Funds' Use of Derivatives Speaker: Commissioner Robert J. Jackson Jr.
Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:November 2019 Date: Title: Statement on the Re-Proposal to Regulate Funds' Use of Derivatives as Well as Certain Sales Practices Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:November 2019 Date: Title: Letter from Robert J. Jackson, Jr. to Congresswoman Maloney, November 18, 2019 (PDF) Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:November 2019 Date: Title: Statement of Commissioners Jackson and Lee on Non-Transparent Exchange Traded Funds Speaker: Commissioner Robert J. Jackson Jr.
Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:November 2019 Date: Title: Statement on Whistleblower Program 2019 Annual Report to Congress Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:November 2019 Date: Title: Modernizing our Regulatory Framework: Focus on Authority, Expertise and Long-Term Investor Interests Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:November 2019 Date: Title: Government Finance Officers Association (GFOA) Mini-Muni Conference Welcome Remarks Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:November 2019 Date: Title: Remarks at Meeting of the Small Business Capital Formation Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:November 2019 Date: Title: Keynote Address - ALI CLE 2019 Conference on Life Insurance Company Products Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:November 2019 Date: Title: Remarks before the Investor Advisory Committee Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:November 2019 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:November 2019 Date: Title: What You Don’t Know Can Hurt You Speaker: Stephanie Avakian, Director, Division of Enforcement
Type:Speech
Published date grouping:November 2019 Date: Title: Statement at Open Meeting on Proposals to Enhance the Accuracy, Transparency and Effectiveness of Our Proxy Voting System Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:November 2019 Date: Title: Statement at the Open Meeting: Modernizing SEC Rules Governing Proxy Voting Advice Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:November 2019 Date: Title: Statement at the Open Meeting: Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:November 2019 Date: Title: Statement on Proposals to Restrict Shareholder Voting Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:November 2019 Date: Title: Statement at Open Meeting on Proposed Amendments to Improve Accuracy and Transparency of Proxy Voting Advice Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:November 2019 Date: Title: Statement at Open Meeting on Proposed Amendments to Modernize Shareholder Proposal Rule Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:November 2019 Date: Title: Statement on Shareholder Rights Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:November 2019 Date: Title: Broken Windows: Remarks before the 51st Annual Institute on Securities Regulation Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:November 2019 Date: Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:November 2019 Date: Title: Remarks to the Securities and Exchange Commission Fixed Income Market Structure Advisory Committee Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:October 2019 Date: Title: Asset-Level Disclosure Requirements for Residential Mortgage-Backed Securities Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:October 2019 Date: Title: Opening Remarks at Conversations on Raising Capital for Businesses of Color at Morehouse College Speaker: Martha Miller, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:October 2019 Date: Title: Dual-Class Shares: A Recipe for Disaster Speaker: Rick Fleming, Investor Advocate
Type:Speech
Published date grouping:October 2019 Date: Title: Statement on the Passing of Chancellor William T. Allen Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:October 2019 Date: Title: Leaders of CFTC, FinCEN, and SEC Issue Joint Statement on Activities Involving Digital Assets Speaker:

Heath Tarbert, Chairman, U.S. Commodity Futures Trading Commission (CFTC)

Kenneth A. Blanco, Director, Financial Crimes Enforcement Network (FinCEN)

Jay Clayton, Chairman, U.S. Securities and Exchange Commission (SEC)

 Type:Public Statement
Published date grouping:October 2019 Date: Title: Start Off by Making Your Bed: Translating Military Lessons to Entrepreneurship Speaker: Martha Miller, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:October 2019 Date: Title: Introduction of AG William Barr at the Criminal Coordination Conference Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:October 2019 Date: Title: Commission Statement Regarding SEC Roundtable on Combating Elder Investor Fraud Speaker: Chairman Jay Clayton
Commissioner Hester M. Peirce
Commissioner Robert J. Jackson Jr.
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:October 2019 Date: Title: Remarks at Roundtable on Combating Elder Investor Fraud Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:October 2019 Date: Title: Remarks at the SEC Roundtable on Combating Elder Investor Fraud Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:October 2019 Date: Title: Remarks at the SEC Roundtable on Combating Elder Investor Fraud Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:September 2019 Date: Title: Statement on DERA’s 10th Anniversary Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:September 2019 Date: Title: Taking Significant Steps to Modernize Our Regulatory Framework Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:September 2019 Date: Title: Oversight of the Securities and Exchange Commission: Wall Street’s Cop on the Beat Speaker:

SEC Chairman Jay Clayton,

SEC Commissioner Robert J. Jackson Jr.,

SEC Commissioner Hester M. Peirce,

SEC Commissioner Elad L. Roisman,

SEC Commissioner Allison Herren Lee

 Type:Testimony
Published date grouping:September 2019 Date: Title: Opening Statement at House Financial Services Committee Hearing Speaker: Commissioner Robert J. Jackson Jr.
Type:Testimony
Published date grouping:September 2019 Date: Title: Remarks at the U.S. Treasury Market Conference Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:September 2019 Date: Title: Statement on Volcker Rule Amendments Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:September 2019 Date: Title: Statement of Commissioner Allison Herren Lee on Amendments to the Volcker Rule Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:September 2019 Date: Title: Remarks at the SIFMA Equity Market Structure Conference: The Dynamics of our Markets and the Changing Structure on which they are Built Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:September 2019 Date: Title: Update to June 2019 Joint Statement on Opportunistic Strategies in the Credit Derivatives Market Speaker:

SEC Chairman Jay Clayton

CFTC Chairman Heath Tarbert

FCA Chief Executive Andrew Bailey

 Type:Public Statement
Published date grouping:September 2019 Date: Title: Statement on Amendments to the Volcker Rule Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:September 2019 Date: Title: Remarks at Central Michigan University Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:September 2019 Date: Title: Braided Bread and Boiled Beer: Remarks before the Eurofi Financial Forum 2019 Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:September 2019 Date: Title: Statement on Passing of Former SEC Chief Accountant James Schnurr Speaker:

Chairman Jay Clayton

 Type:Public Statement
Published date grouping:September 2019 Date: Title: Statement on Status of the Consolidated Audit Trail Speaker:

Chairman Jay Clayton

 Type:Public Statement
Published date grouping:September 2019 Date: Title: Remarks to the Economic Club of New York Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:September 2019 Date: Title: Remarks before the AICPA National Conference on Banks & Savings Institutions Speaker: Sagar Teotia, Chief Accountant
Type:Speech
Published date grouping:September 2019 Date: Title: Keynote Speech at Southeastern Securities Conference 2019 Speaker: Steven Peikin, Co-Director, Division of Enforcement
Type:Speech
Published date grouping:September 2019 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:August 2019 Date: Title: Joint Statement of Commissioners Robert J. Jackson, Jr. and Allison Herren Lee on Proposed Changes to Regulation S-K Speaker: Commissioner Robert J. Jackson Jr.
Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:August 2019 Date: Title: Statement at Open Meeting on Commission Guidance and Interpretation Regarding Proxy Voting and Proxy Voting Advice Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:August 2019 Date: Title: Statement of Commissioner Allison Herren Lee On Proxy Voting and Proxy Solicitation Releases Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:August 2019 Date: Title: Statement at Open Meeting on Commission Guidance Regarding Proxy Voting and Proxy Voting Advice Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:August 2019 Date: Title: Statement on Proxy-Advisor Guidance Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:August 2019 Date: Title: Statement at the Open Meeting on Commission Guidance and Interpretation Regarding Proxy Voting and Proxy Voting Advice Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:August 2019 Date: Title: Long Title. Big Mission. Speaker: Martha Miller, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:August 2019 Date: Title: Remarks at the 38th Government-Business Forum on Small Business Capital Formation Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:August 2019 Date: Title: Commissioner Roisman Opening Remarks Government-Business Forum on Small Business Capital Formation Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:August 2019 Date: Title: Remarks before the 38th Government-Business Forum on Small Business Capital Formation Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:August 2019 Date: Title: Opening Remarks at the 38th Government-Business Forum on Small Business Capital Formation Speaker: Martha Miller, Advocate for Small Business Capital Formation
Type:Public Statement
Published date grouping:August 2019 Date: Title: Remarks at Meeting of the Small Business Capital Formation Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:August 2019 Date: Title: Commissioner Roisman’s Remarks at the Small Business Capital Formation Advisory Committee Meeting Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:August 2019 Date: Title: Cleveland, Kondo, and Capital: Remarks before the American Chamber of Commerce Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:August 2019 Date: Title: Statement on Retirement of Lynnette Kelly Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:August 2019 Date: Title: Statement on Retirement of Lynnette Kelly Speaker: Rebecca Olsen, Director, Office of Municipal Securities
Type:Public Statement
Published date grouping:July 2019 Date: Title: Renegade Pandas: Opportunities for Cross Border Cooperation in Regulation of Digital Assets Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:July 2019 Date: Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:July 2019 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:July 2019 Date: Title: Remarks to the SEC Investor Advisory Committee Speaker: Commissioner Allison Herren Lee
Type:Public Statement
Published date grouping:July 2019 Date: Title: Statement at the SEC Staff Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:July 2019 Date: Title: Statement on Opportunity Zones Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:July 2019 Date: Title: Policy Challenges and Research Opportunities in the Era of Big Data Speaker: S.P. Kothari, Chief Economist and Director, Division of Economic and Risk Analysis
Type:Speech
Published date grouping:July 2019 Date: Title: Staff Statement on LIBOR Transition Speaker:

Division of Corporation Finance, Division of Investment Management, Division of Trading and Markets, and Office of the Chief Accountant[1]

 Type:Public Statement
Published date grouping:July 2019 Date: Title: Statement on Retirement of Chief Justice Strine Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:July 2019 Date: Title: Statement on the Retirement of Chief Justice Strine Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:July 2019 Date: Title: Regulation Best Interest and the Investment Adviser Fiduciary Duty: Two Strong Standards that Protect and Provide Choice for Main Street Investors Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:July 2019 Date: Title: Joint Staff Statement on Broker-Dealer Custody of Digital Asset Securities Speaker:

Division of Trading and Markets, U.S. Securities and Exchange Commission
Office of General Counsel, Financial Industry Regulatory Authority

 Type:Public Statement
Published date grouping:July 2019 Date: Title: Statement on Margin for Security Futures Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:July 2019 Date: Title: Statement Regarding Offers of Settlement Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:June 2019 Date: Title: Baby on Board: Remarks before the Society for Corporate Governance National Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:June 2019 Date: Title: Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:June 2019 Date: Title: Statement on Commencement of Appointment Process for the 2019-2024 PCAOB Board Seat Speaker:
Type:Public Statement
Published date grouping:June 2019 Date: Title: Statement on the Adoption of Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:June 2019 Date: Title: Statement on Senate Confirmation of Allison H. Lee Speaker:

Chairman Jay Clayton
Commissioner Robert J. Jackson Jr.
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman

 Type:Public Statement
Published date grouping:June 2019 Date: Title: Scarlet Letters: Remarks before the American Enterprise Institute Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:June 2019 Date: Title: Statement on Division of Trading and Markets Staff Fee Guidance Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:June 2019 Date: Title: Exchanging Views on Exchange-Traded Funds Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:June 2019 Date: Title: Remarks at “Veterans Hall” Dedication on the 75th Anniversary of D-Day Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:June 2019 Date: Title: Statement at Open Meeting on Commission Actions to Enhance and Clarify the Obligations Financial Professionals Owe to our Main Street Investors Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:June 2019 Date: Title: Statement at the Open Meeting on Regulation Best Interest and Related Actions Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:June 2019 Date: Title: Statement at the Open Meeting on Regulation Best Interest, the Interpretation of the Standard of Conduct for Investment Advisers, the Form CRS Relationship Summary, and the Interpretation of “Solely Incidental” Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:June 2019 Date: Title: Statement on Final Rules Governing Investment Advice Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:June 2019 Date: Title: Statement Regarding the SEC’s Rulemaking Package for Investment Advisers and Broker-Dealers Speaker: Rick Fleming, Investor Advocate
Type:Public Statement
Published date grouping:June 2019 Date: Title: Keynote Remarks at the Mid-Atlantic Regional Conference Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:June 2019 Date: Title: 19th Amendment Lessons for 2019’s Advocates: Remarks to the National Association of Women Business Owners Speaker: Martha Miller, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:June 2019 Date: Title: The Nexus of Equity Market Structure and Investor Relations: Remarks at the 2019 Annual Conference of the National Investor Relations Institute Speaker:

Brett Redfearn, Director, Division of Trading and Markets[1]

 Type:Speech
Published date grouping:May 2019 Date: Title: Remarks at the SEC’s FinTech Forum Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:May 2019 Date: Title: Statement on Memorial Day Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:May 2019 Date: Title: Remarks at SEC Memorial Day Ceremony Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:May 2019 Date: Title: A Quarter Century of Exchange-Traded Fun! Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:May 2019 Date: Title: Statement Announcing SEC Staff Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:May 2019 Date: Title: Sunsets, Russets, and Rule Resets Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:May 2019 Date: Title: Alligators in Nirvana: Smart Regulation and the Future of Financial Services-Public Policy Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:May 2019 Date: Title: How We Howey Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:May 2019 Date: Title: Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition Speaker: Chairman Jay Clayton
Type:Public Statement
Published date grouping:May 2019 Date: Title: Statement on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition Speaker: Commissioner Robert J. Jackson Jr.
Type:Public Statement
Published date grouping:May 2019 Date: Title: Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition Speaker: Commissioner Hester M. Peirce
Type:Public Statement
Published date grouping:May 2019 Date: Title: Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition Speaker: Commissioner Elad L. Roisman
Type:Public Statement
Published date grouping:May 2019 Date: Title: Reasonableness Pants Speaker: Commissioner Hester M. Peirce