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

Speaker
Date: Title: Statement at Open Meeting on Proposed Rule 12d1-4 under the Investment Company Act of 1940 Governing Fund of Funds Arrangements Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement on Proposed Rule Regarding Risk Mitigation Techniques for Uncleared Security-Based Swaps Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement on Rule 194, Applications By Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement on the Commission’s Consideration of the Public Company Accounting Oversight Board’s Proposed 2019 Budget and Accounting Support Fee Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Remarks at the SEC’s Investor Advisory Committee Meeting Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Remarks at The Road Ahead: Municipal Securities Disclosure in an Evolving Market Conference Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Opening Remarks at the 2018 SEC Staff Roundtable on the Proxy Process Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Improving Information for Investors in the Digital Age Speaker: Commissioner Kara M. Stein
Type:Speech
Date: Title: The New American Dream: Retirement Security Speaker: Commissioner Kara M. Stein
Type:Speech
Date: Title: Statement on Commission Action Regarding Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: From the Data Rush to the Data Wars: A Data Revolution in Financial Markets Speaker: Commissioner Kara M. Stein
Type:Speech
Date: Title: Statement on Proposed Amendments to the Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize A Registrant’s Securities (Rule 3-10 and Rule 3-16 of Regulation S-X) Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement on Amendment to Securities Act Rule 701(e) and Concept Release on Potential Revisions to Securities Act Rule 701 and Securities Act Form S-8 Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement on Adoption of Rules to Increase the Operational Transparency of Alternative Trading Systems (ATS) Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement at Fixed Income Market Structure Advisory Committee Meeting Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement on Proposed Amendments to the Commission’s Whistleblower Program Rules Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement at Open Meeting on the Proposed Rule 6c-11 under the Investment Company Act of 1940 Governing Exchange-Traded Funds Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement on Adoption of Amendments to Investment Company Liquidity Disclosure Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement on Final Rule of Inline XBRL Filing of Tagged Data Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement on Amendments to Smaller Reporting Company Definition Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Remarks at the SEC’s Investor Advisory Committee Meeting Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: "A Framework of Trust" Speaker: Commissioner Kara M. Stein
Type:Speech
Date: Title: Statement on Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement on Final Rule on the Optional Internet Availability of Investment Company Shareholder Reports, Request for Comment on the Investor Experience, and Request for Comment on Intermediary Fees Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement on Proposals Relating to Regulation Best Interest, Form CRS, Restrictions on the Use of Certain Names or Titles, and Commission Interpretation Regarding the Standard of Conduct for Investment Advisers Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement on Passing of Enforcement Division Associate Director Scott W. Friestad Speaker:

Chairman Jay Clayton
Commissioner Kara M. Stein
Commissioner Michael S. Piwowar
Commissioner Robert J. Jackson, Jr.
Commissioner Hester M. Peirce

 Type:Statement
Date: Title: Statement on the Proposed Transaction Fee Pilot for NMS Stocks Speaker:

Commissioner Kara M. Stein

 Type:Statement
Date: Title: Statement on Proposed Amendments to Public Reporting of Fund Liquidity Information Speaker:

Commissioner Kara M. Stein

 Type:Statement
Date: Title: Remarks at the SEC’s Investor Advisory Committee Meeting Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Remarks at SEC Speaks: Increasing Product Complexity: What’s at Stake? Speaker: Commissioner Kara M. Stein
Type:Speech
Date: Title: Statement on Commission Statement and Guidance on Public Company Cybersecurity Disclosures Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: “Mutualism: Reimagining the Role of Shareholders in Modern Corporate Governance” Remarks at Stanford University Speaker: Commissioner Kara M. Stein
Type:Speech
Date: Title: SEC-NYU Dialogue on Securities Market Regulation Concluding Remarks Speaker: Commissioner Kara M. Stein
Type:Speech
Date: Title: Remarks to the Fixed Income Market Structure Advisory Committee Speaker: Commissioner Kara M. Stein
Type:Statement
Date: Title: Statement on the Tax Cuts and Jobs Act Speaker:

Chairman Jay Clayton
Commissioner Kara M. Stein
Commissioner Michael S. Piwowar

 Type:Statement
Date: Title: Address at Investment Company Institute’s 2017 Securities Law Developments Conference Speaker:

Commissioner Kara M. Stein

 Type:Speech
Date: Title: 2017 Government–Business Forum on Small Business Capital Formation Opening Remarks Speaker:

Commissioner Kara M. Stein

 Type:Statement
Date: Title: Statement on the Staff’s No-Action Relief Regarding MiFID II Speaker:

Commissioner Kara M. Stein

 Type:Statement
Date: Title: Statement on PCAOB’s New Auditor’s Reporting Standard Speaker:

Commissioner Kara M. Stein

 Type:Statement
Date: Title: Remarks at the SEC’s Investor Advisory Committee Meeting Speaker:

Commissioner Kara M. Stein

 Type:Statement
Date: Title: Statement on Proposal of FAST Act Modernization and Simplification of Regulation S-K Speaker:

Commissioner Kara M. Stein

 Type:Statement
Date: Title: A Joint Path Forward: Address at Eurofi Speaker:

Commissioner Kara M. Stein

 Type:Speech
Date: Title: SEC-NYU Dialogue on Exchange-Traded Products Speaker:

Commissioner Kara M. Stein

 Type:Speech
Date: Title: Commission Statement on Passing of Former SEC Chairman Harold M. Williams Speaker:

Chairman Jay Clayton
Commissioner Kara M. Stein
Commissioner Michael S. Piwowar

 Type:Statement
Date: Title: Remarks at the Healthy Market Structure Conference Speaker:

Commissioner Kara M. Stein

 Type:Speech
Date: Title: Remarks Before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Commissioner Kara Stein

 Type:Statement
Date: Title: Closing Remarks at 2017 SEC/NASAA Annual Section 19(d) Conference Speaker:

Commissioner Kara M. Stein

 Type:Speech
Date: Title: Remarks at the Meeting of the Equity Market Structure Advisory Committee Speaker:

Commissioner Kara M. Stein

 Type:Statement
Date: Title: Statement at Open Meeting: Amendment to Shorten the Trade Settlement Cycle Speaker:

Commissioner Kara M. Stein

 Type:Statement
Date: Title: Remarks at Office of the Investor Advocate’s Evidence Summit Speaker:

Commissioner Kara M. Stein

 Type:Statement
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