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

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Speeches and Statements Table

Published date grouping
Date
Title
Speaker
Type
Published date grouping:February 2024 Date: Title: Statement on Final Joint Amendments to Form PF Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:February 2024 Date: Title: Curiouser and Curiouser: Statement on 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:February 2024 Date: Title: Statement on Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:February 2024 Date: Title: Joint Statement of SEC Commissioner Mark T. Uyeda and CFTC Commissioner Caroline D. Pham: Memorandum of Understanding Between the SEC and the CFTC Regarding the Use of Form PF Data Speaker:

Commissioner Mark T. Uyeda, U.S. Securities and Exchange Commission
Commissioner Caroline D. Pham, U.S. Commodity Futures Trading Commission

Type:Statement
Published date grouping:February 2024 Date: Title: Statement on Approval of FINRA Proposed Rules to Establish Post-Trade Transparency in the Treasury Markets Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:February 2024 Date: Title: Statement on Final Rules Regarding the Further Definition of a Dealer-Trader Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:February 2024 Date: Title: Dealer, No Dealer?[1] : Statement on Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer in Connection with Certain Liquidity Providers Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:February 2024 Date: Title: Statement on Adopting Changes to the Definition of Dealer and Government Securities Dealer Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:February 2024 Date: Title: Statement on Further Definition of “As a Part of a Regular Business” in the Definition of Dealer Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:February 2024 Date: Title: Modernizing Dealer Oversight Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:February 2024 Date: Title: An Investor Protection Call for a Commitment to Professional Skepticism and Audit Quality Speaker: Paul Munter, Chief Accountant
Type:Statement
Published date grouping:January 2024 Date: Title: Statement on the Denial of a Rulemaking Petition Regarding the Commission’s No-Admit/No-Deny Policy Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:January 2024 Date: Title: Unsettling Silence: Dissent from Denial of Request for Rulemaking to Amend 17 C.F.R. § 202.5(e) Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:January 2024 Date: Title: Statement on Final Rules Regarding Special Purpose Acquisition Companies (SPACs), Shell Companies, and Projections Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:January 2024 Date: Title: For the Birds: Statement on Adoption of Rule Regarding Special Purpose Acquisition Companies, Shell Companies, and Projections Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:January 2024 Date: Title: Ensuring Basic Protections: Special Purpose Acquisition Company Rule Adoption Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:January 2024 Date: Title: Dissenting Statement on Final Rule on Special Purpose Acquisition Companies, Shell Companies, and Projections: The Commission Embraces Merit Regulation Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:January 2024 Date: Title: An IPO By Any Other Name: Empowering SPAC Investors Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:January 2024 Date: Title: Staff Statement on Rule 6c-11(c)(1)(i)(C) Regarding Description of Foreign Currency Holdings Speaker:

Division of Investment Management Staff

Type:Statement
Published date grouping:January 2024 Date: Title: Statement on Unauthorized Access to the SEC’s @SECGov X.com Account Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:January 2024 Date: Title: Statement on the Approval of Spot Bitcoin Exchange-Traded Products Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:January 2024 Date: Title: Out, Damned Spot! Out, I Say![1]: Statement on Omnibus Approval Order for List and Trade Bitcoin-Based Commodity-Based Trust Shares and Trust Units Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:January 2024 Date: Title: Statement Dissenting from Approval of Proposed Rule Changes to List and Trade Spot Bitcoin Exchange-Traded Products Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:January 2024 Date: Title: Statement Regarding the Commission’s Approval of Proposed Rule Changes to List and Trade Shares of Spot Bitcoin Exchange-Traded Products Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:December 2023 Date: Title: Statement Regarding Denial of Petition for Rulemaking Speaker: Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:December 2023 Date: Title: Statement on the Denial of a Rulemaking Petition Submitted on behalf of Coinbase Global, Inc. Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:December 2023 Date: Title: Cybersecurity Disclosure [*] Speaker: Erik Gerding, Director, Division of Corporation Finance
Type:Statement
Published date grouping:December 2023 Date: Title: Statement on Jury's Verdict in Trial of Mykalai Kontilai and Collectors Coffee Inc. Speaker: Gurbir S. Grewal, Director, Division of Enforcement
Type:Statement
Published date grouping:December 2023 Date: Title: Statement on PCAOB 2024 Budget Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:December 2023 Date: Title: Twenty Years, Forty %?: Statement on the 2024 Final Budget and Accounting Support Fee for the Public Company Accounting Oversight Board Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2023 Date: Title: Statement in Support of the PCAOB’s 2024 Budget Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:December 2023 Date: Title: Statement on 2024 PCAOB Budget Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:December 2023 Date: Title: Robust Financial Reporting and Effective Gatekeepers: In Support of the PCAOB’s FY 2024 Budget Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:December 2023 Date: Title: Statement on Final Rules Regarding Treasury Clearing Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:December 2023 Date: Title: Careening Toward Clearing: Statement on Rules to Improve Risk Management in Clearance and Settlement and to Facilitate Additional Central Clearing for the U.S. Treasury Market Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2023 Date: Title: Statement on Adoption of 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:December 2023 Date: Title: Statement on Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:December 2023 Date: Title: The Treasury Market: Improving Transparency and Stability Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:December 2023 Date: Title: Statement on the Fall 2023 Regulatory Agenda Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:December 2023 Date: Title: The Statement of Cash Flows: Improving the Quality of Cash Flow Information Provided to Investors Speaker: Paul Munter, Chief Accountant
Type:Statement
Published date grouping:November 2023 Date: Title: Statement on PCAOB Enforcement Actions Regarding China-based Firms Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:November 2023 Date: Title: Statement on Final Rule Prohibiting Conflicts of Interest in Securitizations Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:November 2023 Date: Title: Unsettling End of an Era: Statement on Adoption of Rule Prohibiting Conflicts of Interest in Certain Securitizations Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:November 2023 Date: Title: Statement on the Final Rule: Prohibition Against Conflicts of Interest in Certain Securitizations Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:November 2023 Date: Title: Prohibiting Conflicts of Interest in ABS Securitizations Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:November 2023 Date: Title: High Stakes: Comments on the Adoption of a Rule Related to Clearing Agency Governance and Conflicts of Interest Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:November 2023 Date: Title: Statement on Final Rules Regarding Clearing Agency Governance Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:November 2023 Date: Title: Statement on Clearing Agency Governance and Conflicts of Interest Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:November 2023 Date: Title: The SEC’s Swiss Army Statute: Statement on Charter Communications, Inc. Speaker: Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:November 2023 Date: Title: Statement on Registration of Security-Based Swap Execution Facilities Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:November 2023 Date: Title: Statement on Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:October 2023 Date: Title: Overdue: Statement of Dissent on LBRY Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:October 2023 Date: Title: Statement on Exchanges’ Volume-Based Rebates and Fees Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:October 2023 Date: Title: Fears for Tiers: Statement on Proposed Volume-Based Exchange Transaction Pricing for NMS Stocks Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:October 2023 Date: Title: Statement on Volume-Based Exchange Transaction Pricing for NMS Stocks Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:October 2023 Date: Title: Statement on Volume-Based Exchange Transaction Pricing for NMS Stocks Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:October 2023 Date: Title: Fairer and More Competitive Public Markets Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:October 2023 Date: Title: Statement on Final Rules Regarding Short Sale Activity Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:October 2023 Date: Title: Statement on Short Sale Disclosure Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:October 2023 Date: Title: Statement Regarding the Reporting of Securities Loans (Rule 10c-1a) and Short Position and Activity Reporting (Rule 13f-2) Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:October 2023 Date: Title: Statement on Short Position and Short Activity Reporting by Institutional Investment Managers Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:October 2023 Date: Title: Short Sale Disclosure: Striking the Right Balance Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:October 2023 Date: Title: Statement on Final Rule Regarding Securities Lending Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:October 2023 Date: Title: Reporting of Securities Loans Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:October 2023 Date: Title: Statement on Reporting of Securities Loans Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:October 2023 Date: Title: Shining a Light on Securities Lending Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:October 2023 Date: Title: Statement on Final Rules Regarding Beneficial Ownership Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:October 2023 Date: Title: Appropriating Appropriate Asymmetries: Statement on Modernization of Beneficial Ownership Reporting Rule Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:October 2023 Date: Title: Statement on Modernization of Beneficial Ownership Reporting Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:September 2023 Date: Title: Statement on Registered Index-Linked Annuities Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:September 2023 Date: Title: Statement on the Proposal for Registration for Index-Linked Annuities and the Investor Testing Report Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:September 2023 Date: Title: Statement on Jury’s Verdict in Trial of Zhiying Yvonne Gasarch and Jackson Friesen Speaker: Gurbir S. Grewal, Director, Division of Enforcement
Type:Statement
Published date grouping:September 2023 Date: Title: Remarks at the Investor Advisory Committee Meeting Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:September 2023 Date: Title: Statement on Final Amendments under the Privacy Act Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:September 2023 Date: Title: Statement on Updates to the Names Rule Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:September 2023 Date: Title: Pizza or Pizza? Statement on Investment Company Names Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:September 2023 Date: Title: Statement Regarding Adoption of Amendments to the Names Rule Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:September 2023 Date: Title: Statement on Investment Company Names Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:September 2023 Date: Title: Truth in Naming Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:September 2023 Date: Title: Caught in a SAR Trap: Statement on In the Matter of Pierre Economacos Speaker: Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:September 2023 Date: Title: Statement on EDGAR Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:September 2023 Date: Title: Collecting Enforcement Actions: Statement on Stoner Cats 2, LLC Speaker: Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:September 2023 Date: Title: Statement on CAT Funding Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:September 2023 Date: Title: Who’s Paying?: Statement on the CAT’s Funding Model Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:September 2023 Date: Title: Statement Regarding the Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:September 2023 Date: Title: Statement on Consolidated Audit Trail Revised Funding Model Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:September 2023 Date: Title: Statement on Order Approving CAT Revised Funding Model Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:August 2023 Date: Title: NFTs & the SEC: Statement on Impact Theory, LLC Speaker: Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:August 2023 Date: Title: The Importance of a Comprehensive Risk Assessment by Auditors and Management Speaker: Paul Munter, Chief Accountant
Type:Statement
Published date grouping:August 2023 Date: Title: Statement on Private Fund Advisers Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:August 2023 Date: Title: Uprooted: Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:August 2023 Date: Title: Statement Regarding Private Fund Advisers Rulemaking Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:August 2023 Date: Title: Statement on Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:August 2023 Date: Title: Empowering and Protecting Private Fund Investors Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:August 2023 Date: Title: Statement Regarding Exemption from National Securities Association Membership Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:August 2023 Date: Title: Statement on the Adoption of Amendments to Rule 15b9-1 Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:August 2023 Date: Title: Statement Regarding Exemption from National Securities Association Membership Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:August 2023 Date: Title: Improved Oversight of Off-Exchange Trading Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:August 2023 Date: Title: Statement on Final Rule Regarding Exemption for Certain Exchange Members Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:August 2023 Date: Title: UnRulemaking: Statement Regarding DST Asset Manager Solutions, Inc. Speaker: Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:July 2023 Date: Title: The Potential Pitfalls of Purported Crypto “Assurance” Work Speaker: Paul Munter, Chief Accountant
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on Internet Investment Advisers Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:July 2023 Date: Title: Exemption for Certain Investment Advisers Operating Through the Internet Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on Internet Adviser Exemption Amendments Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on the Proposal re: the Internet Adviser Exemption Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:July 2023 Date: Title: Modernizing Oversight of Internet Advisers Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on Conflicts of Interest Related to Uses of Predictive Data Analytics Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:July 2023 Date: Title: Through the Looking Glass : Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Proposal Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Proposal Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on the Proposals re: Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:July 2023 Date: Title: Expanding Investor Protection Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on Public Company Cybersecurity Disclosures Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:July 2023 Date: Title: Harming Investors and Helping Hackers: Statement on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on Cybersecurity Adopting Release Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on the Final Rule: Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:July 2023 Date: Title: Improving the Quality of Cybersecurity Risk Management Disclosures Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on Money Market Funds Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on Customer Protection Rule Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:July 2023 Date: Title: Air Dancers and Flies: Statement on Adoption of the Latest Round of Money Market Fund Reforms Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on Proposed Amendments to Exchange Act Rule 15c3-3 Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on Proposed Amendments to the Customer Protection Rule Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on the Adoption of Money Market Fund Reforms Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on Proposed Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on Final Money Market Fund Reforms; Form PF Reporting Requirements for Large Liquidity Fund Advisers; Technical Amendments to Form N-CSR and Form N-1A Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:July 2023 Date: Title: Improving the Effectiveness of the Customer Protection Rule Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:July 2023 Date: Title: Strengthening the Resiliency of Money Market Funds Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:July 2023 Date: Title: Statement Regarding Amicus Brief Filing in Murray v. UBS Securities, LLC Speaker: Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:July 2023 Date: Title: Statement on the Expiration of the SEC Staff No-Action Letter re: MiFID II Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:June 2023 Date: Title: Statement on Insider Trading Enforcement Actions Announced on June 29, 2023 Speaker: Gurbir S. Grewal, Director, Division of Enforcement
Type:Statement
Published date grouping:June 2023 Date: Title: Statement Concerning Certain IAC Recommendations Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:June 2023 Date: Title: Perpetual Personal Penny Stock Prohibitions: Statement on the Recent Orders Imposing Bars in the Public Interest Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:June 2023 Date: Title: Statement on Jury’s Verdict in Trial of Robert Hillis Miller Speaker: Gurbir S. Grewal, Director, Division of Enforcement
Type:Statement
Published date grouping:June 2023 Date: Title: Statement on the Spring 2023 Regulatory Agenda Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:June 2023 Date: Title: Statement Regarding In the Matter of DF Growth REIT II, LLC Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:June 2023 Date: Title: Statement Regarding In the Matter of American CryptoFed DAO LLC Speaker: Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:June 2023 Date: Title: Statement on Removing References of Credit Ratings from Regulation M Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:June 2023 Date: Title: Statement on Final Rule to Implement Section 939A(b) of the Dodd-Frank Act Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:June 2023 Date: Title: Statement on the Removal of References to Credit Ratings from Regulation M Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:June 2023 Date: Title: Statement on the Adoption of Rule 939A Amendments to Regulation M Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:June 2023 Date: Title: Ending SEC Reliance on Credit Ratings Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:June 2023 Date: Title: Statement on Rule 9j-1 and Rule 15fh-4(c) Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:June 2023 Date: Title: Flexibility at the Expense of Clarity: Statement on Adoption of Exchange Act Rules 9j-1 and 15fh-4(c) Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:June 2023 Date: Title: Statement on the Adoption of Rules 9J-1 and 15fh-4(c) Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:June 2023 Date: Title: Statement on Rules Regarding Prohibitions Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps and Against Undue Influence over Chief Compliance Officers Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:June 2023 Date: Title: Preventing Fraud and Manipulation in the Swaps Market and Bolstering Gatekeepers Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:June 2023 Date: Title: Second Commission Statement Relating to Certain Administrative Adjudications Speaker:

The Commission

Type:Statement
Published date grouping:May 2023 Date: Title: Commission Statement on the Passing of Former Chairman Harvey Pitt Speaker: Chair Gary Gensler
Commissioner Hester M. Peirce
Commissioner Caroline A. Crenshaw
Commissioner Mark T. Uyeda
Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:May 2023 Date: Title: Statement on Clearinghouse Resiliency, Recovery, and Wind-Down Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:May 2023 Date: Title: Statement on Proposed Amendments to Covered Clearing Agency Standards Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:May 2023 Date: Title: Statement on Covered Clearing Agency Resilience and Recovery and Wind-Down Plans Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:May 2023 Date: Title: Statement on Covered Clearing Agency Resilience and Recovery and Wind-Down Plans Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:May 2023 Date: Title: Living Wills for Clearing Agencies Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:May 2023 Date: Title: Covered Clearing Agency Resilience and Recovery and Wind-Down Plans Speaker: Haoxiang Zhu, Director, Division of Trading and Markets
Type:Statement
Published date grouping:May 2023 Date: Title: Covered Clearing Agency Resilience and Recovery and Wind-Down Plans Speaker:

Elizabeth Fitzgerald, Assistant Director, Division of Trading and Markets, Office of Clearance and Settlement 

Type:Statement
Published date grouping:May 2023 Date: Title: Joint Statement relating to In the Matter of Classic Asset Management, LLC Speaker: Commissioner Caroline A. Crenshaw
Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:May 2023 Date: Title: Statement on Current Market Events Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:May 2023 Date: Title: Statement on Form PF Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:May 2023 Date: Title: The Changing Nature of Form PF: Statement on Amendments to Form PF Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:May 2023 Date: Title: Statement on Amendments to Form PF Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:May 2023 Date: Title: Statement on Final Amendments to Form PF to Require Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers and to Amend Reporting Requirements for Large Private Equity Fund Advisers Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:May 2023 Date: Title: Enhancing Financial Stability and Fulfilling Our Investor Protection Mandate Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:May 2023 Date: Title: Statement on Share Repurchase Disclosure Modernization Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:May 2023 Date: Title: No Repurchase Left Behind: Dissenting Statement on Share Repurchase Modernization Rule Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:May 2023 Date: Title: Statement on Share Repurchases Adoption Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:May 2023 Date: Title: Statement on the Final Rule: Share Repurchase Disclosure Modernization Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:May 2023 Date: Title: Modernizing Share Repurchase Disclosures Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:April 2023 Date: Title: Statement on Alternative Trading Systems and the Definition of an Exchange Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:April 2023 Date: Title: Rendering Innovation Kaput: Statement on Amending the Definition of Exchange Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:April 2023 Date: Title: Statement on Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange” Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:April 2023 Date: Title: Statement on Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 regarding the Definition of “Exchange” Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:April 2023 Date: Title: Promoting Fair and Competitive Markets Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:April 2023 Date: Title: Staff Statement on the Holding Foreign Companies Accountable Act and the Consolidated Appropriations Act, 2023 Speaker:

Division of Corporation Finance and Division of Trading and Markets[1]

Type:Statement
Published date grouping:March 2023 Date: Title: Staff statement regarding the risk legend used by non-transparent exchange-traded funds operating in reliance of an exemptive order under the Investment Company Act of 1940 Speaker:

Division of Investment Management Staff

Type:Statement
Published date grouping:March 2023 Date: Title: 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: 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: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: 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: 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: 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: 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: 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: Statement on Speaker Pelosi’s Future Plans Speaker: Commissioner Jaime Lizárraga
Type:Statement
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: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: 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: 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: 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: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: 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: 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: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: 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: 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: 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: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: Statement in the Matter of David Hansen Speaker: Commissioner Hester M. Peirce
Type:Statement
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: 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: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: 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 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: 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: 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: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: 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 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: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: 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: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: 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: 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: 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: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: 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: 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: 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: 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 Asset Management Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
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: 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: 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: Statement on Rules Regarding Clawbacks of Erroneously Awarded Compensation Speaker: Chair Gary Gensler
Type:Statement
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: 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: 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: 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: 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: 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: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: 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: Statement on Investor Protection Related to Recent Developments in China Speaker: Chair Gary Gensler
Type:Statement
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: 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: 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: 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: 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: 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: 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 at the 40th Annual SEC Small Business Forum Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
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: Statement on S&P Dow Jones Indices LLC Speaker: Commissioner Hester M. Peirce
Type:Statement
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: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: Staff Statement on Fully Paid Lending Speaker:

Division of Trading and Markets Staff

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

Division of Corporation Finance

Type:Statement
Published date grouping:March 2021 Date: Title: Financial Reporting and Auditing Considerations of Companies Merging with SPACs Speaker: Paul Munter, Acting Chief Accountant
Type:Statement
Published date grouping:March 2021 Date: Title: Opening Remarks at the Diversifying Opportunity in Venture Capital Series Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Statement
Published date grouping:March 2021 Date: Title: Remarks at Asset Management Advisory Committee Meeting Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:March 2021 Date: Title: Remarks at Asset Management Advisory Committee Meeting Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:March 2021 Date: Title: Remarks at the March 19, 2021 Meeting of the Asset Management Advisory Committee Speaker: Sarah ten Siethoff, Deputy Director
Type:Statement
Published date grouping:March 2021 Date: Title: Public Input Welcomed on Climate Change Disclosures Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:March 2021 Date: Title: Statement on Fixed Income Trading and Investment Company Act Rule 17a-7 Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:March 2021 Date: Title: Staff Statement on Investment Company Cross Trading