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

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Published date grouping
Date
Title
Speaker
Type
Published date grouping: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 the application of the proxy rules to proxy voting advice Speaker: Chair Gary Gensler
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:May 2021 Date: Title: Remarks Before Eighth Annual Conference on Financial Market Regulation Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:May 2021 Date: Title: Remarks at the 40th Annual SEC Small Business Forum Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:May 2021 Date: Title: Testimony Before the Subcommittee on Financial Services and General Government Speaker: Chair Gary Gensler
Type:Testimony
Published date grouping:May 2021 Date: Title: A Toast to 40: Opening Remarks at the SEC Small Business Forum Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Statement
Published date grouping:May 2021 Date: Title: 40th Annual Government-Business Forum on Small Business Capital Formation Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:May 2021 Date: Title: Living in a Material World: Myths and Misconceptions about “Materiality” Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:May 2021 Date: Title: Leveraging Regulatory Cooperation to Protect America’s Investors Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:May 2021 Date: Title: Remarks at 2021 FINRA Annual Conference Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:May 2021 Date: Title: Statement on S&P Dow Jones Indices LLC Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:May 2021 Date: Title: Mind the (Data) Gaps Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
Published date grouping:May 2021 Date: Title: Staff Statement on Funds Registered Under the Investment Company Act Investing in the Bitcoin Futures Market Speaker:

Division of Investment Management Staff

Type:Statement
Published date grouping:May 2021 Date: Title: Testimony Before the House Committee on Financial Services Speaker: Chair Gary Gensler
Type:Testimony
Published date grouping:April 2021 Date: Title: Prepared Remarks at SEC Small Business Capital Formation Advisory Committee Meeting Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:April 2021 Date: Title: Remarks at Meeting of SEC Small Business Capital Formation Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:April 2021 Date: Title: Remarks to the Small Business Capital Formation Advisory Committee Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:April 2021 Date: Title: Werewolves of Change:
Remarks before the ISDA Derivatives Trading Forum on Regulatory Change
Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:April 2021 Date: Title: Staff Statement on Fully Paid Lending Speaker:

Division of Trading and Markets Staff

Type:Statement
Published date grouping:April 2021 Date: Title: Rethinking Global ESG Metrics Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:April 2021 Date: Title: Statement on Senate Confirmation of Gary Gensler Speaker: Commissioner Allison Herren Lee
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:April 2021 Date: Title: Token Safe Harbor Proposal 2.0 Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:April 2021 Date: Title: Staff Statement on Accounting and Reporting Considerations for Warrants Issued by Special Purpose Acquisition Companies (“SPACs”) Speaker: John Coates, Acting Director, Division of Corporation Finance
Paul Munter, Acting Chief Accountant
Type:Statement
Published date grouping:April 2021 Date: Title: Statement on the Staff ESG Risk Alert Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:April 2021 Date: Title: SPACs, IPOs and Liability Risk under the Securities Laws Speaker: John Coates, Acting Director, Division of Corporation Finance
Type:Statement
Published date grouping:March 2021 Date: Title: Staff Statement on Select Issues Pertaining to Special Purpose Acquisition Companies Speaker:

Division of Corporation Finance

Type:Statement
Published date grouping:March 2021 Date: