Speeches and Statements
Speeches and statements (including testimony) given by the Chair, Commissioners, and SEC staff. To view these prior to 2012, refer to the archive pages:
Speeches and Statements Table
Published date grouping
|
Date
|
Title
|
Speaker
|
Type
|
---|---|---|---|---|
Published date grouping:June 2023 | Date: | Title: Second Commission Statement Relating to Certain Administrative Adjudications |
Speaker:
The Commission |
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Commission Statement on the Passing of Former Chairman Harvey Pitt |
Speaker:
Chair Gary Gensler
Commissioner Hester M. Peirce Commissioner Caroline A. Crenshaw Commissioner Mark T. Uyeda Commissioner Jaime Lizárraga |
Type:Statement |
Published date grouping:May 2023 | Date: | Title: “Bear in the Woods” Remarks before the Investment Company Institute |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:May 2023 | Date: | Title: Division of Investment Management: Conference on Emerging Trends in Asset Management Introduction |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
Published date grouping:May 2023 | Date: | Title: “Honest and Unbiased Investment Management”: Remarks before the Inaugural Conference on Emerging Trends in Asset Management |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:May 2023 | Date: | Title: Statement on Clearinghouse Resiliency, Recovery, and Wind-Down |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Statement on Proposed Amendments to Covered Clearing Agency Standards |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Statement on Covered Clearing Agency Resilience and Recovery and Wind-Down Plans |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Statement on Covered Clearing Agency Resilience and Recovery and Wind-Down Plans |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Living Wills for Clearing Agencies |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Covered Clearing Agency Resilience and Recovery and Wind-Down Plans |
Speaker:
Jessica Wachter, Chief Economist and Director of the Division of Economic and Risk Analysis |
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Covered Clearing Agency Resilience and Recovery and Wind-Down Plans |
Speaker:
Haoxiang Zhu, Director, Division of Trading and Markets |
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Covered Clearing Agency Resilience and Recovery and Wind-Down Plans |
Speaker:
Elizabeth Fitzgerald, Assistant Director, Division of Trading and Markets, Office of Clearance and Settlement |
Type:Statement |
Published date grouping:May 2023 | Date: |
Title: Cybersecurity: Protecting Investors Remarks before the Digital Directors Network 2023 Conference |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:May 2023 | Date: | Title: Commissioner Uyeda Remarks at MFA Global Summit |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:May 2023 | Date: | Title: “Lessons from Mrs. O’Leary’s Cow:” Remarks before the Atlanta Federal Reserve Financial Markets Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:May 2023 | Date: | Title: Remarks at ICAEW Event – World-Class Regulation: Building Trust and Transparency in International Markets |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:May 2023 | Date: | Title: Keynote Address at the 21st Symposium on Building the Financial System of the 21st Century: An Agenda for Europe and the United States |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:May 2023 | Date: | Title: Forests and Trees: Remarks before the 2023 Municipal Securities Disclosure Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:May 2023 | Date: | Title: Remarks at the 2023 SEC Municipal Securities Disclosure Conference |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:May 2023 | Date: | Title: The Next “Century of Progress": Remarks before the International Swaps and Derivatives Association Annual Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:May 2023 | Date: | Title: Remarks before the Municipal Securities Disclosure Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:May 2023 | Date: | Title: “Public Service is a Noble Pursuit, a Higher Calling:” Commencement Address, Lyndon B. Johnson School of Public Affairs, University of Texas, Austin |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:May 2023 | Date: | Title: Joint Statement relating to In the Matter of Classic Asset Management, LLC |
Speaker:
Commissioner Caroline A. Crenshaw
Commissioner Jaime Lizárraga |
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Prepared Remarks before the 10th Annual Conference on Financial Market Regulation |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:May 2023 | Date: | Title: Statement on Current Market Events |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Statement on Form PF |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: The Changing Nature of Form PF: Statement on Amendments to Form PF |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Statement on Amendments to Form PF |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Statement on Final Amendments to Form PF to Require Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers and to Amend Reporting Requirements for Large Private Equity Fund Advisers |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Enhancing Financial Stability and Fulfilling Our Investor Protection Mandate |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Statement on Share Repurchase Disclosure Modernization |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: No Repurchase Left Behind: Dissenting Statement on Share Repurchase Modernization Rule |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Statement on Share Repurchases Adoption |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Statement on the Final Rule: Share Repurchase Disclosure Modernization |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: Modernizing Share Repurchase Disclosures |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:May 2023 | Date: | Title: “The ‘90s: Rom-coms, the Spice Girls, & MFA:” Remarks Before the Managed Funds Association |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:April 2023 | Date: | Title: Tow Truck Taxonomies: Remarks before Eurofi |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:April 2023 | Date: | Title: Remarks at the 42nd Annual Small Business Forum |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:April 2023 | Date: | Title: Capital On-Ramps: Remarks at the SEC’s 42nd Annual Small Business Forum – Exploring the Early-Stage Landscape: Trends and Strategies in Capital Raising |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:April 2023 | Date: | Title: Prepared Remarks Before the 2023 42nd Annual Small Business Forum |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:April 2023 | Date: | Title: Remarks before the Financial Stability Oversight Council Financial Stability Risks & Guidance on Nonbank Determinations |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:April 2023 | Date: | Title: Strengthening Our Partnership with States and Other Jurisdictions to Protect Investors and Promote Market Integrity |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:April 2023 | Date: | Title: Testimony of Chair Gary Gensler before the United States House of Representatives Committee on Financial Services |
Speaker:
Chair Gary Gensler
|
Type:Testimony |
Published date grouping:April 2023 | Date: | Title: Statement on Alternative Trading Systems and the Definition of an Exchange |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:April 2023 | Date: | Title: Rendering Innovation Kaput: Statement on Amending the Definition of Exchange |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:April 2023 | Date: | Title: Statement on Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange” |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:April 2023 | Date: | Title: Statement on Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 regarding the Definition of “Exchange” |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:April 2023 | Date: | Title: Promoting Fair and Competitive Markets |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:April 2023 | Date: | Title: Escaping the Data Swamp: Remarks before the RegTech 2023 Data Summit |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:April 2023 | Date: | Title: Staff Statement on the Holding Foreign Companies Accountable Act and the Consolidated Appropriations Act, 2023 |
Speaker:
Division of Corporation Finance and Division of Trading and Markets[1] |
Type:Statement |
Published date grouping:March 2023 | Date: |
Title: Fixed Income and Options: The Other Market Structures Remarks at the Fixed Income Forum Spring Roundtable |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
Published date grouping:March 2023 | Date: | Title: Staff statement regarding the risk legend used by non-transparent exchange-traded funds operating in reliance of an exemptive order under the Investment Company Act of 1940 |
Speaker:
Division of Investment Management Staff |
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Testimony at Hearing before the Subcommittee on Financial Services and General Government |
Speaker:
Chair Gary Gensler
|
Type:Testimony |
Published date grouping:March 2023 | Date: | Title: Statement on Electronic Filing |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Trading and Markets Proposal to Move from Paper to Electronic Filing Under Various Rules |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on the Proposed Expansion of Electronic Filing |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Electronic Filing of Certain Forms and Other Filings Under Securities Exchange Act of 1934; Technical Amendments Regarding FOCUS Report |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Modernizing the Filing Process for Market Participants |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Remarks at the ICI Investment Management Conference |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
Published date grouping:March 2023 | Date: | Title: Remarks to Investment Company Institute 2023 Investment Management Conference |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:March 2023 | Date: | Title: Statement on Retail Options |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Responsibilities of Lead Auditors to Conduct High-Quality Audits When Involving Other Auditors |
Speaker:
Paul Munter, Chief Accountant |
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Amendments to Regulation SCI |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Comments on Proposed Expansion of Regulation SCI |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on the Proposed Amendments to Regulation Systems Compliance and Integrity |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Enhanced Cybersecurity for Market Entities |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Proposed Cybersecurity Rule 10 and Form SCIR |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Amendments to Regulation S-P, Cybersecurity Risk Management, and Amendments to Regulation SCI |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on the Proposed Cybersecurity Risk Management Rule for Market Entities |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Protecting Investors from Cyberattacks and Enhancing Cybersecurity in U.S. Capital Markets |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Amendments to Regulation S-P |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on Regulation SP: Privacy of Consumer Financial Information and Safeguarding Customer Information |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement on the Proposed Amendments to Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Opening Statement before the March 15 Commission Meeting |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement by SEC Chair Gary Gensler on Current Market Events |
Speaker:
Chair Gary Gensler |
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Statement Regarding the Commission’s Disapproval of a Proposed Rule Change to List and Trade Shares of the VanEck Bitcoin Trust |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Op-Ed: Getting Crypto Firms to Do Their Work Within the Bounds of the Law |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2023 | Date: | Title: Meeting the Challenges and Fulfilling The Promise of Global Financial Markets: Remarks before the Institute of International Bankers |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:March 2023 | Date: |
Title: Remarks at the “Going Public in the 2020s” Conference Columbia Law School/Business School Program in the Law and Economics of Capital Markets |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:March 2023 | Date: | Title: Prepared Remarks Before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:March 2023 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:March 2023 | Date: | Title: Remarks at the Meeting of the SEC Investor Advisory Committee (IAC) |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:February 2023 | Date: | Title: Statement Regarding Huntleigh Advisors, Inc. and Datatex Investment Services, Inc. |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on the Final Rule on Extending Form 144 EDGAR Filing Hours and Celebrating the EDGAR System on its 30th Anniversary |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Proposed Rules Regarding Investment Adviser Custody |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Safeguarding Advisory Client Assets Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Safeguarding Advisory Client Assets Proposal |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Proposed Rule Regarding the Safeguarding of Advisory Client Assets |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Protecting Investors’ Assets |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Adopting Rules Regarding the Settlement Cycle |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Timing Matters: Statement on Shortening the Settlement Cycle |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Rule Amendments Shortening the Settlement Cycle |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement on Final Rule on Shortening the Securities Transaction Settlement Cycle |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Increasing Market Fairness and Efficiency for Investors |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Accounting Standard Setting in a Rapidly Evolving Business Environment: A Focus on the Timely Delivery of Investor Priorities |
Speaker:
Paul Munter, Chief Accountant |
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Kraken Down: Statement on SEC v. Payward Ventures, Inc., et al. |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Prepared Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:February 2023 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:February 2023 | Date: | Title: Remarks at the Small Business Advisory Committee Meeting |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:February 2023 | Date: | Title: The SEC Levels Up: Statement on In re Activision Blizzard |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2023 | Date: | Title: Statement of Renee Jones on her Tenure as Director of the Division of Corporation Finance |
Speaker:
Renee Jones , Former Director, Division of Corporation Finance |
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Big “Issues” in the Small Business Safe Harbor: Remarks at the 50th Annual Securities Regulation Institute |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
Published date grouping:January 2023 | Date: | Title: Remarks at the California ‘40 Acts Group |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:January 2023 | Date: | Title: Statement on Prohibiting Conflicts of Interest in Securitizations |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement on Proposed Rule: “Prohibition Against Conflicts of Interest in Certain Securitizations” |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement on the Prohibition against Conflicts of Interest in Certain Securitizations Re-proposal |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement on the Proposed Rule: Prohibition against Conflicts of Interest in Certain Securitizations |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement on Prohibiting Conflicts of Interest in Certain Securitizations |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement on In the Matter of Bloomberg Finance, L.P. |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Outdated: Remarks before the Digital Assets at Duke Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:January 2023 | Date: | Title: Statement on Jury’s Verdict in Trial of Bernard Findley and Halitron Inc |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement Regarding National Trust and Fiduciary Services Company, Inc., et al. |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement Regarding In the Matter of Stephen J. Easterbrook and McDonald’s Corporation |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:January 2023 | Date: | Title: Statement on Fall 2022 Regulatory Flexibility Agenda |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: PCAOB’s Ballooning Budget |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Prepared Remarks Before the Financial Stability Oversight Council: LIBOR |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:December 2022 | Date: | Title: Prepared Remarks Before the Financial Stability Oversight Council: Annual Report |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:December 2022 | Date: | Title: Statement on PCAOB’s Determinations Regarding Public Accounting Firms in China and Hong Kong |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on PCAOB’s Determinations Regarding Public Accounting Firms in China |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Best Execution Proposal |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Is This The Best Execution We Can Get? |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposed Rule Regarding Best Execution |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposal to Enhance Order Competition |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Ordering Competition |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposed Rule Regarding Order Competition |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Minimum Price Increments, Access Fee Caps, Round Lots, and Odd-Lots |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposal to Amend Rules Governing Access Fees and Tick Sizes and to Accelerate Certain Market Data Changes |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposed Rule Regarding Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposed Amendments Regarding Order Execution Quality |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Disclosure of Order Execution Information |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposals Related to Equity Market Structure |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Proposed Rule Regarding Disclosures of Order Execution Information |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Increasing Competition and Improving Transparency in U.S. Equity Markets |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Final Rule: “Insider Trading Arrangements and Related Disclosures” |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Insider Trading Rules Get a Much Needed Facelift |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on the Final Rule: Insider Trading Arrangements and Related Disclosures |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Strengthening Insider Trading Rules for Corporate Insiders |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Statement on Arrest of Sam Bankman-Fried |
Speaker:
Gurbir S. Grewal Director, Division of Enforcement |
Type:Statement |
Published date grouping:December 2022 | Date: | Title: Remarks Before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:December 2022 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:December 2022 | Date: | Title: It’s Not Just Scope 3: Remarks at the American Enterprise Institute |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:December 2022 | Date: | Title: Statement on Reopening of Comment Period for Share Repurchase Disclosure Modernization |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Remarks at the ICI Global Asset Management Asia Forum |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:November 2022 | Date: | Title: Statement on Speaker Pelosi’s Future Plans |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Remarks at the 2022 Cato Summit on Financial Regulation |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:November 2022 | Date: | Title: Digital Assets: Putting Investors First |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:November 2022 | Date: | Title: “The Beatles and the Treasury Market”: Remarks Before the U.S. Treasury Market Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:November 2022 | Date: | Title: Remarks at Securities Enforcement Forum |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
Published date grouping:November 2022 | Date: | Title: There’s a Fund for That: Remarks before FINRA’s Certified Regulatory and Compliance Professional Dinner |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:November 2022 | Date: | Title: “Good Counsellors”: Remarks Before the Investment Adviser/Investment Company National Seminar: Compliance Outreach Program |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:November 2022 | Date: | Title: 2022 SEC Regulation Outside the United States - Scott Friestad Memorial Keynote Address |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
Published date grouping:November 2022 | Date: | Title: Statement on Open-End Funds |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Closing Act: Statement on Proposed Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Learning from History: Statement on Open-End Fund Liquidity Risk Management Programs and Swing Pricing |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Statement on Proposed Rule: Open-End Fund Liquidity Programs and Swing Pricing; Form N-PORT Reporting |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Strengthening Open-End Fund Resiliency and Liquidity in Stressed Markets |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Statement on Final Amendments to Form N-PX |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Voting Obsession: Statement on Final Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Statement on Enhanced Reporting of Proxy Votes |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Statement on the Final Rule: Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: Enhancing Fund Voting Reporting |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:November 2022 | Date: | Title: “This Law and Its Effective Administration”: Remarks Before the Practising Law Institute’s 54th Annual Institute on Securities Regulation |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Statement on Proposed Amendments Regarding Service Providers Oversight |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Outsourcing Fiduciary Duty to the Commission: Statement on Proposed Outsourcing by Investment Advisers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: In Service of the Investor: Statement on Outsourcing by Investment Advisers |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Proposed Rule Regarding Outsourcing by Investment Advisers |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Accountability in an Evolving Asset Management Industry |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Final Rule Amendments Regarding Shareholder Reports |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: One Good Step, More to Go: Statement on Final Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Simplicity is a Goal Unto Itself: Statement on Tailored Shareholder Reports for Mutual Funds and Exchange Traded Funds; Fee Information in Investment Company Advertising |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Final Rule Regarding Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Modernizing Mutual Fund and ETF Disclosures for Investors |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Final Rules Regarding Clawbacks of Erroneously Awarded Compensation |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Erroneous Clawbacking: Statement at Open Meeting to Consider Listing Standards for Recovery of Erroneously Awarded Compensation |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Listing Standards for Recovery of Erroneously Awarded Compensation |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on the Final Rule Related to Listing Standards for Recovery of Erroneously Awarded Compensation |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Listing Standards for Recovery of Erroneously Awarded Compensation: |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Remarks at the Georgetown Law Hotel and Lodging Summit |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: “Competition and the Two SECs” Remarks Before the SIFMA Annual Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Moving Forward in Our Lane: Remarks at the Inaugural ECGI Responsible Capitalism Summit |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Remarks at the APABA-DC Awards and Installation Reception |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Meeting Investor Demand for High Quality ESG Data |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Raising the Bar on Diversity, Equity and Inclusion |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Statement on Staff’s FAQ Relating to Investment Adviser Considerations of DEI Factors |
Speaker:
Commissioner Caroline A. Crenshaw
Commissioner Jaime Lizárraga |
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Ecosystems and IPOs: Remarks at the Meeting of the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:October 2022 | Date: | Title: Statement on Final Rule Amendments to Electronic Recordkeeping Requirements |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Updates to Electronic Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Entities |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Amended Recordkeeping Requirements |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Burying the Technologically Primitive WORM: Open Meeting on Broker-Dealer Electronic Recordkeeping Requirements |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: The Auditor’s Responsibility for Fraud Detection |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Sus and Yeet: Remarks before the University of California Irvine Audit Committee Summit |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:October 2022 | Date: | Title: Statement on Financial Stability Oversight Council’s Report on Digital Asset Financial Stability Risks and Regulation Before the Financial Stability Oversight Council Open Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Remarks at the Association of Asian American Investment Managers Elevate 2022 Keynote Lunch Program |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Remarks to the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Remarks at the Meeting of the SEC Investor Advisory Committee (IAC) |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Remarks at the Meeting of the Investor Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Statement Regarding In the Matter of Toews Corporation |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Laudable Ends, Poorly Pursued: Statement Regarding Recent Pay-to-Play Rule Settlements |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Opening Remarks to the Institute for Inclusion in the Legal Profession |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Oral Testimony of Gary Gensler Before the United States Senate Committee on Banking, Housing, and Urban Affairs |
Speaker:
Chair Gary Gensler
|
Type:Testimony |
Published date grouping:September 2022 | Date: | Title: Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs |
Speaker:
Chair Gary Gensler
|
Type:Testimony |
Published date grouping:September 2022 | Date: | Title: Statement on Proposed Rules Regarding Treasury Clearing |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Statement on Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Statement on Treasury Clearing |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Treasury Clearing Standards for Membership Requirements and Risk Management |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Statement on Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:September 2022 | Date: | Title: Remarks at SEC Speaks |
Speaker:
Sanjay Wadhwa, Deputy Director of Enforcement |
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Remarks at the “SEC Speaks” Conference 2022 |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Remarks at SEC Speaks 2022 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Federal Securities Laws: Closed-Book or Open-Book Exam? - Remarks at SEC Speaks 2022 |
Speaker:
Sebastian Gomez Abero, Deputy Director, Office of the Advocate for Small Business Capital Formation |
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Prepared Remarks of Gary Gensler “Kennedy and Crypto” At SEC Speaks |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:September 2022 | Date: | Title: Audit Quality and Investor Protection under the Holding Foreign Companies Accountable Act |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Auditor Independence and Ethical Responsibilities: Critical Points to Consider When Contemplating an Audit Firm Restructuring |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Final Amendments to the Whistleblower Program |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: On the Consequences of an Inconsequential Rulemaking: Statement Regarding Amendments to Whistleblower Program Rules |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on the Final Rules Related to the Whistleblower Program |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on the PCAOB Agreement with China and Hong Kong |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Agreement Governing Inspections and Investigations of Audit Firms Based in China and Hong Kong |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Final Rule Regarding Pay Versus Performance |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Neither Pay nor Performance |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Pay versus Performance: |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Late Summer Sunshine: Statement on the Adoption of Pay Versus Performance |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on the Final Rule Related to Pay Versus Performance |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Op-Ed: The SEC Treats Crypto Like the Rest of the Capital Markets |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on PCAOB Amendments to Strengthen Auditing Standards for Audits Involving Multiple Firms |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Amendments to Auditing Standards Governing the Planning and Supervision of Audits Involving Other Auditors and Dividing Responsibility for the Audit with Another Accounting Firm |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Proposed Joint Amendments to Form PF |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Proposed Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Fund Advisers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Fund Advisers |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Proposed Amendments to Form PF |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Enhancing Private Fund Adviser Reporting Data |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Proposal to Enhance Clearing Agency Governance |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Clearing Agency Governance and Conflicts of Interest |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Dissenting from Stakeholder Governance for Clearing Agencies |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Christopher Nohl, Michael Hull, and Entities They Owned or Controlled |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:August 2022 | Date: | Title: Prepared Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:August 2022 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:August 2022 | Date: | Title: Remarks at the Small Business Capital Formation Advisory Committee Meeting: Shining a Spotlight (or Searchlight) on Secondary Market Liquidity for Small Businesses |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:August 2022 | Date: | Title: Remarks at the Small Business Advisory Committee Meeting |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:July 2022 | Date: | Title: Statement on Re-Proposed Amendments Regarding Exemption from National Securities Association Membership |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement in Honor of National Whistleblower Day |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement of Commissioners Hester M. Peirce and Mark T. Uyeda on Proposed Amendments to Exchange Act Rule 15b9-1 |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement Regarding In the Matter of Aegis Capital Corporation |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Remarks at Financial Stability Oversight Council Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:July 2022 | Date: | Title: Prepared Remarks at Center for Audit Quality “Sarbanes-Oxley at 20: The Work Ahead” |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:July 2022 | Date: | Title: Remarks at PLI: Investment Management 2022 |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
Published date grouping:July 2022 | Date: | Title: Comment on the Financial Accounting Foundation Draft Strategic Plan |
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Testimony on “Oversight of the SEC’s Division of Enforcement” Before the United States House of Representatives Committee on Financial Services Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement on Departure of Commissioner Allison Herren Lee |
Speaker:
Chair Gary Gensler
Commissioner Hester M. Peirce Commissioner Caroline A. Crenshaw Commissioner Mark T. Uyeda |
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement on Proposed Amendments to Rule 14a-8 |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement on Adoption of Amendments to the Rules Governing Proxy Voting Advice |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Improving the Shareholder Proposal Process: Statement on Proposed Amendments to Rule 14a-8 |
Speaker:
Allison Herren Lee, Former Commissioner |
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Protecting the Independence of the Proxy Voting Process: Statement on Amendments Governing Proxy Voting Advice |
Speaker:
Allison Herren Lee, Former Commissioner |
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement on Adoption of Amendments to Proxy Rules Governing Proxy Voting Advice & Proposal of Amendments to Rule 14a-8 |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:July 2022 | Date: | Title: U-Turn: Comments on Proxy Voting Advice |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Exclusion Preclusion: Statement on the Shareholder Proposals Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement on Proposed Amendments for Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals under Exchange Act Rule 14a-8 |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement on Final Rule Amendments on Proxy Voting Advice |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement on Decision in Jury Trial of Dean McDermott and McDermott Investment Advisors |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement on Single-Stock Levered and/or Inverse ETFs |
Speaker:
Lori J. Schock, Director, Office of Investor Education and Advocacy |
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement on Single-Stock ETFs |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement on the Order Granting Temporary Conditional Exemptive Relief from Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Statement on Decision in Jury Trial of Bradley C. Davis |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:July 2022 | Date: | Title: Chief Compliance Officer Liability: Statement on In the Matter of Hamilton Investment Counsel LLC and Jeffrey Kirkpatrick |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:June 2022 | Date: | Title: Statement on Decision in Bench Trial of Mark Heckele |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:June 2022 | Date: | Title: When Voluntary Means Mandatory and Forever: Statement on In the Matter of Ernst & Young LLP |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:June 2022 | Date: | Title: Statement on Final Rule Amendments to Electronic Filing Requirements |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:June 2022 | Date: | Title: A Caution on the Limits of Authority: Statement Regarding In the Matter of The Brink’s Company |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:June 2022 | Date: | Title: Rip Current Rulemakings: Statement on the Regulatory Flexibility Agenda |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:June 2022 | Date: | Title: Statement on Senate Confirmation of Jaime Lizárraga and Mark Uyeda |
Speaker:
Chair Gary Gensler
Commissioner Hester M. Peirce Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
Published date grouping:June 2022 | Date: | Title: Statement on Request for Comment on Certain Information Providers Acting as Investment Advisers |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:June 2022 | Date: | Title: Statement on Request for Comment on Certain Information Providers |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:June 2022 | Date: |
Title: On the Spot: Remarks at “Regulatory Transparency Project Conference on Regulating the New Crypto Ecosystem: Necessary Regulation or Crippling Future Innovation?” |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:June 2022 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:June 2022 | Date: | Title: Remarks Before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:June 2022 | Date: | Title: The Critical Importance of the General Standard of Auditor Independence and an Ethical Culture for the Accounting Profession |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
Published date grouping:June 2022 | Date: | Title: “Market Structure and the Retail Investor:” Remarks Before the Piper Sandler Global Exchange Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:June 2022 | Date: | Title: Statement on Final Rule Amendments to Electronic Filing Requirements |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:May 2022 | Date: | Title: Statement on Proposed Rule Requiring Enhanced Disclosure by Certain Investment Advisers and Investment Companies on ESG Investment Practices |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:May 2022 | Date: | Title: A Rose By Any Other Name: Statement on Proposed Amendments to the Names Rule |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:May 2022 | Date: | Title: Statement on Environmental, Social, and Governance Disclosures for Investment Advisers and Investment Companies |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:May 2022 | Date: | Title: Statement on Investment Company Names |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:May 2022 | Date: | Title: What’s in a Name? Aligning Fund Names with Investor Expectations |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:May 2022 | Date: | Title: It’s Not Easy Being Green[1] : Bringing Transparency and Accountability to Sustainable Investing |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:May 2022 | Date: | Title: Statement on ESG Disclosures Proposal |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:May 2022 | Date: | Title: Statement on Proposed Updates to Names Rule |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:May 2022 | Date: | Title: Resolving the Lack of Audit Transparency in China and Hong Kong: Remarks at the International Council of Securities Associations (ICSA) Annual General Meeting |
Speaker:
YJ Fischer, Director, Office of International Affairs |
Type:Speech |
Published date grouping:May 2022 | Date: | Title: Testimony at Hearing before the Subcommittee on Financial Services and General Government U.S. House Appropriations Committee |
Speaker:
Chair Gary Gensler
|
Type:Testimony |
Published date grouping:May 2022 | Date: | Title: “Investor Protection in a Digital Age," Remarks Before the 2022 NASAA Spring Meeting & Public Policy Symposium |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:May 2022 | Date: | Title: Remarks at Securities Enforcement Forum West 2022 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
Published date grouping:May 2022 | Date: | Title: “A ‘New’ New Era:” Prepared Remarks Before the International Swaps and Derivatives Association Annual Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:May 2022 | Date: | Title: Remarks at SEC Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:May 2022 | Date: | Title: Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:May 2022 | Date: | Title: Prepared Remarks Before the Annual Conference on Financial Market Regulation - "A Century with a Gold Standard" |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:April 2022 | Date: | Title: Remarks at Virtual Roundtable on the Future of Going Public and Expanding Investor Opportunities: A Comparative Discussion on IPOs and the Rise of SPACs |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
Published date grouping:April 2022 | Date: | Title: Closing Remarks to the Older Investor Roundtable |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:April 2022 | Date: | Title: Remarks before the Older Investor Roundtable |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:April 2022 | Date: | Title: “The Name’s Bond:" Remarks at City Week |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:April 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Edward S. Walczak |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:April 2022 | Date: | Title: Statement Regarding SPAC Matter |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:April 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Tytus W. Harkins |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:April 2022 | Date: | Title: Remarks Before the Reuters Events’ Responsible Business USA 2022 |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:April 2022 | Date: | Title: Grading the Regulators and Homework for the Teachers: Remarks at Symposium on Private Firms: Reporting, Financing, and the Aggregate Economy at the University of Chicago Booth School of Business |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
Published date grouping:April 2022 | Date: | Title: "Working On ‘Team Cyber’" - Remarks Before the Joint Meeting of the Financial and Banking Information Infrastructure Committee (FBIIC) and the Financial Services Sector Coordinating Council (FSSCC) |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:April 2022 | Date: | Title: Statement in the Matter of David Hansen |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:April 2022 | Date: | Title: “Building Upon a Long Tradition” - Remarks before the Ceres Investor Briefing |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:April 2022 | Date: | Title: Statement on Registration of Security-Based Swap Execution Facilities |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:April 2022 | Date: | Title: Statement on Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:April 2022 | Date: | Title: Statement on Proposed Rules Relating to Security-Based Swap Execution Facilities |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:April 2022 | Date: | Title: Commission Statement Relating to Certain Administrative Adjudications |
Speaker:
The Commission |
Type:Statement |
Published date grouping:April 2022 | Date: | Title: Remarks at 2022 Small Business Forum |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:April 2022 | Date: | Title: Statement on In the Matter of Lloyd D. Reed |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:April 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Henry Sargent |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:April 2022 | Date: |
Title: Prepared Remarks of Gary Gensler On Crypto Markets Penn Law Capital Markets Association Annual Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:April 2022 | Date: | Title: Rethinking Capital Raising Policy: Opening Remarks at the SEC’s Small Business Forum |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
Published date grouping:April 2022 | Date: | Title: Prepared Remarks Before the 2022 41st Annual Small Business Forum |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:April 2022 | Date: | Title: Is that a Fish Behind the Wheel? Remarks before the University of Central Florida’s Inaugural FinTech Summit |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:March 2022 | Date: | Title: Response to Staff Accounting Bulletin No. 121 |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Prepared Remarks Before the 2022 SEC Investor Advocacy Clinic Summit |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:March 2022 | Date: | Title: Statement on Proposal on Special Purpose Acquisition Companies (SPACs), Shell Companies, and Projections |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Damning and Deeming: Dissenting Statement on Shell Companies, Projections, and SPACs Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Statement on the Proposal to Enhance Investor Protections in SPACs |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
Published date grouping:March 2022 | Date: | Title: Statement on the SPACs Proposal |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Statement on Staff Bulletin on Account Recommendations to Retail Investors |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Remarks at the ICI Investment Management Conference |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
Published date grouping:March 2022 | Date: | Title: Statement on Proposal to Further Define “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Statement on the Further Definition of a Dealer-Trader |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Statement on Proposal to Remove References of Credit Ratings from Regulation M |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Jonathan Dax Cooke and Keystone Capital Partners |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Statement on Proposed Mandatory Climate Risk Disclosures |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: We are Not the Securities and Environment Commission - At Least Not Yet |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Shelter from the Storm: Helping Investors Navigate Climate Change Risk |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Statement on the Enhancement and Standardization of Climate-Related Disclosures for Investors |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Statement on Planned Departure of Commissioner Allison Herren Lee |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Statement on Planned Departure from the Commission |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: TM Staff Statement |
Speaker:
Division of Trading and Markets |
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Prepared Remarks before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:March 2022 | Date: | Title: Assessing Materiality: Focusing on the Reasonable Investor When Evaluating Errors |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Dissenting Statement on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Statement in Support of a Multi-Pronged Approach to Cybersecurity |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: Statement on Proposal for Mandatory Cybersecurity Disclosures |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2022 | Date: | Title: The Shareholder Proposal Rule: A Cornerstone of Corporate Democracy |
Speaker:
Renee Jones , Former Director, Division of Corporation Finance |
Type:Speech |
Published date grouping:March 2022 | Date: | Title: Send Lawyers, Guns and Money: (Over-) Zealous Representation by Corporate Lawyers |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
Published date grouping:March 2022 | Date: | Title: Remarks at the IAA Investment Adviser Compliance Conference |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
Published date grouping:February 2022 | Date: | Title: Statement on Rules to Increase Transparency of Short Sale Activity |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Proposal to Require Short Position and Short Activity Reporting by Institutional Investment Managers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on the FASB’s Agenda Consultation: Engagement with Investors and Other Stakeholders Vital to Development of High Quality Accounting Standards |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Jury’s Verdict in Trial of Adam Mattessich |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Public Dissemination of Security-Based Swap Transactions |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Audit Regulators and Cliff Hangers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:February 2022 | Date: | Title: Statement on Settlement with BlockFi Lending LLC |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Dissenting Statement on Proposed Modernization of Beneficial Ownership Reporting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Proposal to Revisit Recently Adopted Whistleblower Rule Amendments |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Beneficial Ownership Proposal |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Amendments to the Whistleblower Program |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:February 2022 | Date: | Title: Remarks at SEC Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Rules Regarding Clearing and Settling |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Proposal to Shorten the Settlement Cycle |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Proposal to Shorten the Standard Settlement Cycle |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on the Proposed Shortening of the Settlement Cycle |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Cybersecurity Reforms in the Investment Management Industry |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Cybersecurity Risk Management Proposal for Investment Advisers, Registered Investment Companies, and Business Development Companies |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Private Fund Advisers Proposal |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Proposed Private Fund Advisers; Documentation of Investment Adviser Compliance Reviews Rulemaking |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Private Fund Advisers Proposal – Statement in Support of Accountability Enhancing Updates |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement on Proposed Rules for Private Fund Advisers |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:February 2022 | Date: | Title: Statement before the Financial Stability Oversight Council on Money Market Funds, Open-End Bond Funds, and Hedge Funds |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:January 2022 | Date: | Title: Statement on Pay versus Performance |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Statement on the Reopening of Pay vs. Performance |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Measuring Pay Against Performance: Are Shareholders Getting Their Money’s Worth? |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Dissenting Statement on Reopening of Comment Period for Pay Versus Performance |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Statement on Government Securities Alternative Trading Systems |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Dissenting Statement on the Proposal to Amend Regulation ATS |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Statement on Amendments to Exchange Act Rule 3b-16, Regulation ATS, and Regulation SCI |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Statement on Form PF |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Statement on Proposed Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Statement on Proposed Amendments to Form PF |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Statement on Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Statement on the Market Volatility Experienced in January 2021 |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Remarks on Cybersecurity and Securities Laws at the Northwestern University Pritzker School of Law |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:January 2022 | Date: | Title: Statement on Departure of Commissioner of Elad L. Roisman |
Speaker:
Chair Gary Gensler
Commissioner Hester M. Peirce Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Departing Statement |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:January 2022 | Date: | Title: Prepared Remarks: “Dynamic Regulation for a Dynamic Society” Before the Exchequer Club of Washington, D.C. |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:December 2021 | Date: | Title: Statement on Commissioner Roisman’s Departure |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement of Commissioner Elad L. Roisman |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Staff Statement Regarding Form CRS Disclosures |
Speaker:
Standards of Conduct Implementation Committee |
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statements at the Financial Stability Oversight Council Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:December 2021 | Date: | Title: Statement on the PCAOB’s Actions |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on Jury’s Verdict in Trial of Michael C. Furman |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on PCAOB Budget and Accounting Support Fee Request for 2022 |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: PCAOB Budget Statement |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on the PCAOB 2022 Budget |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on the PCAOB’s 2022 Budget |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on the 2022 Final Budget for the Public Company Accounting Oversight Board |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on Exchange Act 10B and Rule 9j-1 |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Dissenting Statement on Proposed Security-Based Swap Rules |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Dissenting Statement on Proposed Security-Based Swaps Rules |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Standing Up the Security-Based Swap Regime: Statement on Proposed Rules for Antifraud, Position Reporting and CCO Support |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on Re-Proposed Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on Money Market Fund Reform |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on Money Market Fund Reforms |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on Proposed Money Market Fund Reforms |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on Proposed Money Market Fund Reforms |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on Proposed Amendments to Money Market Fund Rules |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on Share Repurchase Disclosure Modernization |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Dissenting Statement on Buybacks Disclosure Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Dissenting Statement on Proposed Rules Regarding Share Repurchases |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Enhancing Transparency Around Stock Buybacks: Statement on Corporate Share Repurchase Proposal |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on Issuer Share Repurchase Disclosure Modernization |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on Rule 10b5-1 and Insider Trading |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on Rule 10b5-1 and Insider Trading Proposing Release |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on the Proposed Rules Regarding 10b5-1 Plans |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Stock Trading Plans Should Prevent – Not Enable – Insider Trading: Statement on Proposed Amendments to Rule 10b5-1 |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on the Proposed Amendments to the Availability of the Affirmative Defense to Allegations of Insider Trading Provided by Exchange Act Rule 10b5-1 |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Virtual Remarks at the Center for American Progress and Sierra Club: Down the Rabbit Hole of Climate Pledges |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
Published date grouping:December 2021 | Date: | Title: Falling Further Back - Statement on Chair Gensler’s Regulatory Agenda |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Rat Farms and Rule Comments - Statement on Comment Period Lengths |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on Jury’s Verdict in Trial of Gregory Grenda and the Grenda Group |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Remarks Before the Healthy Markets Association Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:December 2021 | Date: | Title: SEC Staff Statement on LIBOR Transition—Key Considerations for Market Participants |
Speaker:
Staff of the U.S. Securities and Exchange Commission |
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Joint Statement of Appreciation for Rebecca Olsen’s Service as Director of the Office of Municipal Securities |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement on OCA’s Continued Focus on High Quality Financial Reporting in a Complex Environment |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Remarks before the Investor Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Statement Holding Foreign Companies Accountable Act: Final Amendments |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Remarks before the Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:December 2021 | Date: | Title: Remarks before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:November 2021 | Date: | Title: Worms and Dinosaurs: Statement on the Proposed Amendments to Modernize How Broker-Dealers Preserve Electronic Records |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Updates to Electronic Recordkeeping |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Proposed Updates to Securities Lending Market |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Statement on Proposed Amendments Regarding Universal Proxy |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Statement on Proposed Amendments to the Rules Governing Proxy Voting Advice |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Prepared Remarks at U.S. Treasury Market Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:November 2021 | Date: | Title: Dissenting Statement on Proxy Voting Advice Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Too Important to Regulate? Rolling Back Investor Protections on Proxy Voting Advice |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Statement on Proposed Amendments Related to Proxy Voting Advice |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Statement on Proxy Voting Advice |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Dissenting Statement on Universal Proxy |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Statement on Universal Proxy Rules |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Statement on Universal Proxy Ballots |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Statement on Universal Proxy |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Remarks at the PepsiCo-PwC CPE Conference: Controlling Internal Controls |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
Published date grouping:November 2021 | Date: | Title: Prepared Remarks at the Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:November 2021 | Date: | Title: The Lessons of Structured Data |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
Published date grouping:November 2021 | Date: | Title: Prepared Remarks At the Institutional Limited Partners Association Summit |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:November 2021 | Date: | Title: Remarks at Interagency Convening on Equitable Economic Growth |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:November 2021 | Date: | Title: Statement on DeFi Risks, Regulations, and Opportunities |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Joint Statement on PCAOB Appointments |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Statement on Appointments to the PCAOB |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
Published date grouping:November 2021 | Date: | Title: 2021 SEC Regulation Outside the United States - Scott Friestad Memorial Keynote Address |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
Published date grouping:November 2021 | Date: | Title: Statement on PCAOB Rule 6100 to Fulfill Obligations under the HFCAA |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Statement on Proposed Amendments to Electronic Filing Requirements |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Prepared Remarks At the Securities Enforcement Forum |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:November 2021 | Date: |
Title: A Call to Action: Recommendations for Complying with Reg BI Remarks at the ALI CLE 2021 Conference on Life Insurance Company Products |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
Published date grouping:November 2021 | Date: | Title: Statement on Shareholder Proposals: Staff Legal Bulletin No. 14L |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Statement regarding Shareholder Proposals: Staff Legal Bulletin No. 14L |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Remarks Before the Asset Management Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:November 2021 | Date: | Title: Remarks Before Asset Management Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Prepared Remarks Before the SIFMA Annual Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:November 2021 | Date: | Title: President’s Working Group Report on Stablecoins |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:November 2021 | Date: | Title: Statement on the Registration Deadline for Security-Based Swap Dealers |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
Published date grouping:October 2021 | Date: | Title: Cybersecurity: Meeting the Emerging Challenge |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
Published date grouping:October 2021 | Date: | Title: Remarks at the October 28, 2021 Meeting of the Asset Management Advisory Committee |
Speaker:
Sarah ten Siethoff, Deputy Director |
Type:Statement |
Published date grouping:October 2021 | Date: | Title: The Importance of High Quality Independent Audits and Effective Audit Committee Oversight to High Quality Financial Reporting to Investors |
Speaker:
Paul Munter, Acting Chief Accountant |
Type:Statement |
Published date grouping:October 2021 | Date: | Title: Inside Chicken: Remarks before Fordham Journal of Corporate and Financial Law Conference: “Here to Stay: Wrestling with the Future of the Quickly Maturing SPAC Market” |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:October 2021 | Date: | Title: Statement Before the Financial Stability Oversight Council |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:October 2021 | Date: | Title: Prepared Remarks At DC Fintech Week |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:October 2021 | Date: | Title: Remarks at the PRI/LSEG Investor Action on Climate Webinar |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
Published date grouping:October 2021 | Date: | Title: In the Matter of Credit Suisse |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:October 2021 | Date: | Title: Statement on Staff Report on Equity and Options Market Structure Conditions in Early 2021 |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:October 2021 | Date: | Title: Statement on Staff Report on Equity and Options Market Conditions in Early 2021 |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
Published date grouping:October 2021 | Date: | Title: Enhancing Equity Market Competition |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
Published date grouping:October 2021 | Date: | Title: Statement on Rules Regarding Clawbacks of Erroneously Awarded Compensation |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:October 2021 | Date: | Title: Banner Year in the Markets Solves Capital Raising Woes: Headline Clickbait and the Real Story of Access to Capital |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
Published date grouping:October 2021 | Date: | Title: Statement of Support – Modernization of Filing Fees and Payment Methods |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:October 2021 | Date: | Title: Investor Protection in the Age of Gamification: Game Over for Regulation Best Interest? |
Speaker:
Rick Fleming, Investor Advocate |
Type:Speech |
Published date grouping:October 2021 | Date: | Title: Remarks at SEC Speaks 2021 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
Published date grouping:October 2021 | Date: | Title: Digital Asset Securities – Common Goals and a Bridge to Better Outcomes |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
Published date grouping:October 2021 | Date: | Title: Going Dark: The Growth of Private Markets and the Impact on Investors and the Economy |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
Published date grouping:October 2021 | Date: | Title: Remarks at SEC Speaks |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
Published date grouping:October 2021 | Date: | Title: Prepared Remarks at SEC Speaks |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:October 2021 | Date: | Title: Lawless in Austin |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:October 2021 | Date: | Title: PLI Broker/Dealer Regulation and Enforcement 2021 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
Published date grouping:October 2021 | Date: | Title: Testimony Before the United States House of Representatives Committee on Financial Services |
Speaker:
Chair Gary Gensler
|
Type:Testimony |
Published date grouping:October 2021 | Date: | Title: Statement on Complex Exchange-Traded Products |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
Published date grouping:October 2021 | Date: | Title: Statement on Complex Exchange-Traded Products |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Prepared Remarks Before The Future of Asset Management North America Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:September 2021 | Date: | Title: Statement on Proposal to Enhance Reporting of Proxy Votes by Registered Management Investment Companies And Reporting of Executive Compensation Votes by Institutional Investment Managers |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Statement on Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Statement on Proposed Changes to Asset Managers’ Proxy Voting Disclosures |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Shining a Light on Corporate Democracy: Statement on Updates to Form N-PX |
Speaker:
Commissioner Allison Herren Lee
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Statement on N-PX Proposal |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Asset Management Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Remarks at the Meeting of the Asset Management Advisory Committee |
Speaker:
Sarah ten Siethoff, Deputy Director |
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Remarks Before the Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Remarks at SEC Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Prepared Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:September 2021 | Date: | Title: Prepared Remarks Before the Asset Management Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:September 2021 | Date: | Title: Assessing the Unknown |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
Published date grouping:September 2021 | Date: | Title: Statement on Staff No-Action Letter Regarding Amended Rule 15c2-11 in Relation to Fixed Income Securities |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Remarks Before the Alternative Reference Rates Committee’s SOFR Symposium |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:September 2021 | Date: | Title: Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs |
Speaker:
Chair Gary Gensler
|
Type:Testimony |
Published date grouping:September 2021 | Date: | Title: Op-Ed: Chinese Firms Need to Open Their Books |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Remarks at the Meeting of the Investor Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Prepared Remarks Before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:September 2021 | Date: | Title: Remarks at Meeting of Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Statement Regarding Information Bundling and Corporate Penalties |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:September 2021 | Date: | Title: Remarks before the European Parliament Committee on Economic and Monetary Affairs |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:August 2021 | Date: | Title: Statement on Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:August 2021 | Date: | Title: Joint Statement on Joe Brenner Concluding His Tenure at SEC |
Speaker:
Chair Gary Gensler
Commissioner Hester M. Peirce Commissioner Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
Published date grouping:August 2021 | Date: | Title: In the Matter of Poloniex, LLC |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:August 2021 | Date: | Title: Statement on the Commission’s Approval of Nasdaq’s Proposal for Disclosure about Board Diversity and Proposal for Board Recruiting Service |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:August 2021 | Date: | Title: Statement on the Commission’s Order Approving Proposed Rule Changes Related to Board Diversity |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:August 2021 | Date: | Title: Statement on the Commission’s Order Approving Exchange Rules Relating to Board Diversity |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:August 2021 | Date: | Title: Statement on Nasdaq’s Diversity Proposals – A Positive First Step for Investors |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
Published date grouping:August 2021 | Date: | Title: Statement on the Commission’s Action to Disregard Recently-Amended Whistleblower Rules |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
Published date grouping:August 2021 | Date: | Title: Remarks Before the Aspen Security Forum |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:August 2021 | Date: | Title: Staff Statement on the Proposed Expert Market |
Speaker:
Division of Trading and Markets Staff |
Type:Statement |
Published date grouping:August 2021 | Date: | Title: Statement in Connection with the SEC’s Whistleblower Program |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:August 2021 | Date: | Title: Joint Statement on the Departure of Pete Driscoll |
Speaker:
Chair Gary Gensler
Commissioner Hester M. Peirce Commissioner Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Type:Statement |
Published date grouping:July 2021 | Date: | Title: Statement on FINRA Rule Regarding High-Risk Firms |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Type:Statement |
Published date grouping:July 2021 | Date: | Title: Prepared Remarks for National Whistleblower Day Celebration |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:July 2021 | Date: | Title: Statement on Investor Protection Related to Recent Developments in China |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:July 2021 | Date: | Title: Prepared Remarks Before the Principles for Responsible Investment “Climate and Global Financial Markets” Webinar |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:July 2021 | Date: | Title: Prosperity’s Door |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:July 2021 | Date: | Title: Prepared Remarks of Gary Gensler, Chair of the Securities and Exchange Commission, Before the American Bar Association Derivatives and Futures Law Committee Virtual Mid-Year Program |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:July 2021 | Date: | Title: Chocolate-Covered Cicadas |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:July 2021 | Date: | Title: In the Matter of Coinschedule |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
Published date grouping:July 2021 | Date: | Title: Prepared Remarks Before the Asset Management Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:July 2021 | Date: | Title: Remarks at Asset Management Advisory Committee Meeting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:July 2021 | Date: | Title: Remarks at Asset Management Advisory Committee Meeting |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
Published date grouping:July 2021 | Date: | Title: Statement on the IFRS Foundation’s Proposed Constitutional Amendments Relating to Sustainability Standards |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:June 2021 | Date: | Title: Statement Regarding Neovest, Inc. |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:June 2021 | Date: | Title: Climate, ESG, and the Board of Directors: “You Cannot Direct the Wind, But You Can Adjust Your Sails” |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
Published date grouping:June 2021 | Date: | Title: Prepared remarks at London City Week |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:June 2021 | Date: | Title: Can the SEC Make ESG Rules that are Sustainable? |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
Published date grouping:June 2021 | Date: | Title: Moving Forward or Falling Back? Statement on Chair Gensler’s Regulatory Agenda |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
Published date grouping:June 2021 | Date: | Title: Prepared Remarks Before the Financial Stability Oversight Council - LIBOR |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:June 2021 | Date: | Title: Prepared Remarks Before the Financial Stability Oversight Council - Money Market Funds |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:June 2021 | Date: | Title: Prepared Remarks at the Meeting of SEC Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:June 2021 | Date: | Title: Remarks at Meeting of Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:June 2021 | Date: | Title: Statement for Investor Advisory Committee Meeting |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
Published date grouping:June 2021 | Date: | Title: Prepared Remarks at the Global Exchange and FinTech Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:June 2021 | Date: | Title: Statement on Commencement of Appointment Process for Five Public Company Accounting Oversight Board Seats |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:June 2021 | Date: | Title: Remarks at CFO Network Summit |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:June 2021 | Date: | Title: Statement on The Commission’s Actions Regarding the PCAOB |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
Published date grouping:June 2021 | Date: | Title: Putting the Electric Cart before the Horse:[1] Addressing Inevitable Costs of a New ESG Disclosure Regime |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
Published date grouping:June 2021 | Date: | Title: Response to Chair Gensler’s and the Division of Corporation Finance’s Statements Regarding the Application of the Proxy Rules to Proxy Voting Advice |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
Published date grouping:June 2021 | Date: | Title: Statement on Compliance with the Commission’s 2019 Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice and Amended Rules 14a-1(1), 14a-2(b), 14a-9 |
Speaker:
SEC Division of Corporation Finance |
Type:Statement |
Published date grouping:June 2021 | Date: | Title: Statement on the application of the proxy rules to proxy voting advice |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:May 2021 | Date: |