Speeches by the Chair, Commissioners, and staff of the SEC, which cover a wide range of topics concerning the state of the markets and the Commission's regulatory agenda.  To view Speeches prior to 2012, view the Speeches Archive.

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Published date grouping
Date
Title
Speaker
Published date grouping:March 2016 Date: Title:Remarks to the PLI Investment Management Institute – 2016 Speaker:

David Grim, Director, Division of Investment Management

Published date grouping:March 2016 Date: Title:UIC-SEC Joint Symposium to Raise Public Awareness: Combating Pyramid Schemes and Affinity Frauds Opening Remarks Speaker:

Andrew Ceresney, Director, Division of Enforcement

Published date grouping:March 2016 Date: Title:Remarks at ABS Vegas 2016 <a href="#_ftn1" name="_ftnref1" title="">[1]</a> Speaker:

Commissioner Michael S. Piwowar

Published date grouping:February 2016 Date: Title:Chairman’s Address at SEC Speaks - “Beyond Disclosure at the SEC in 2016” Speaker:

Chair Mary Jo White

Published date grouping:February 2016 Date: Title:Remarks at the “SEC Speaks” Conference: What Lies Ahead? The SEC in 2016 Speaker:

Commissioner Kara M. Stein

Published date grouping:February 2016 Date: Title:The Falling Leaves of the Buttonwood Tree Speaker:

Rick A. Fleming, Investor Advocate

U.S. Securities and Exchange Commission[1]

Published date grouping:February 2016 Date: Title:Accredited Investors (slides from DERA presentation) Speaker:

Mark J. Flannery
Director and Chief Economist

Published date grouping:February 2016 Date: Title: Leveraging Data and Analytics at the SEC to Assess Risk (slides from DERA presentation) Speaker:

Scott W. Bauguess
Deputy Director and Deputy Chief Economist

Published date grouping:February 2016 Date: Title:Analysis Supporting the SEC’s Rulemaking (slides from DERA presentation) Speaker:
Christof W. Stahel
Assistant Director
Published date grouping:January 2016 Date: Title:A Conversation with Chair Mary Jo White<br>Keynote Session<br>43rd Annual Securities Regulation Institute Speaker:

Chair Mary Jo White

Published date grouping:January 2016 Date: Title:Directors Forum 2016 Keynote Address Speaker:

Andrew Ceresney, Director, Division of Enforcement 

Published date grouping:January 2016 Date: Title:International Developments – Past, Present and Future Speaker:

Keith F. Higgins, Director, Division of Corporation Finance

Published date grouping:December 2015 Date: Title:Remarks to the ICI 2015 Securities Law Development Conference Speaker:

David Grim, Director, Division of Investment Management

Published date grouping:December 2015 Date: Title:Keynote Address at the 2015 AICPA National Conference: "Maintaining High-Quality, Reliable Financial Reporting: A Shared and Weighty Responsibility" Speaker:

Chair Mary Jo White

Published date grouping:December 2015 Date: Title:Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Barry Kanczuker, Associate Chief Accountant, Office of the Chief Accountant

Published date grouping:December 2015 Date: Title:Remarks before the 2015 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Courtney D. Sachtleben
Professional Accounting Fellow, Office of the Chief Accountant

Published date grouping:December 2015 Date: Title:Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Christopher D. Semesky, Professional Accounting Fellow, Office of the Chief Accountant

Published date grouping:December 2015 Date: Title:Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Ashley Wright, Professional Accounting Fellow, Office of the Chief Accountant

Published date grouping:December 2015 Date: Title:Remarks before the 2015 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Christopher M. Rickli, Professional Accounting Fellow, Office of the Chief Accountant

Published date grouping:December 2015 Date: Title:Remarks Before the 2015 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Michael W. Husich, Senior Associate Chief Accountant, Office of the Chief Accountant

Published date grouping:December 2015 Date: Title:Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Kris Shirley, Professional Accounting Fellow, Office of the Chief Accountant

Published date grouping:December 2015 Date: Title:Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Brian T. Croteau

Deputy Chief Accountant, Office of the Chief Accountant

Published date grouping:December 2015 Date: Title:Remarks before the 2015 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Wesley R. Bricker, Deputy Chief Accountant

Published date grouping:December 2015 Date: Title:Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Julie A. Erhardt

Deputy Chief Accountant, Office of the Chief Accountant 

Published date grouping:December 2015 Date: Title:Remarks Before the 2015 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

James V. Schnurr, Chief Accountant, Office of the Chief Accountant

Published date grouping:November 2015 Date: Title:Keynote Remarks at the Women's Forum of New York Breakfast of Corporate Champions: "The Pursuit of Gender Parity in the American Boardroom" Speaker:

Chair Mary Jo White

Published date grouping:November 2015 Date: Title:ACI’s 32nd FCPA Conference Keynote Address Speaker:

Andrew Ceresney, Director, Division of Enforcement

Published date grouping:November 2015 Date: Title:Executive Compensation: Looking Beyond the Dodd-Frank Horizon Speaker:

Keith F. Higgins, Director, Division of Corporation Finance

Published date grouping:November 2015 Date: Title:Remarks at the 34th Annual Current Financial Reporting Issues Conference Speaker:

Commissioner Michael S. Piwowar

Published date grouping:November 2015 Date: Title:Surfing the Wave: Technology, Innovation, and Competition – Remarks at Harvard Law School’s Fidelity Guest Lecture Series Speaker:

Commissioner Kara M. Stein

Published date grouping:November 2015 Date: Title:2015 National Society of Compliance Professionals, National Conference: Keynote Address Speaker:

Andrew Ceresney, Director, Division of Enforcement

Published date grouping:November 2015 Date: Title:Remarks to the ALI CLE 2015 Conference on Life Insurance Company Products Speaker:

Dave Grim, Director, Division of Investment Management, U.S. Securities and Exchange Commission

Published date grouping:November 2015 Date: Title:Market Structure Enforcement: Looking Back and Forward Speaker:

Andrew Ceresney, Director, Division of Enforcement

Published date grouping:October 2015 Date: Title:Keynote Address at the 47th Annual Securities Regulation Institute: "Building a Dynamic Framework for Offering Reform" Speaker:

Chair Mary Jo White

Published date grouping:October 2015 Date: Title:Remarks Before the UCI Audit Committee Summit Speaker:

James Schnurr, Chief Accountant

Published date grouping:October 2015 Date: Title:Economic Analysis: Providing Insight to Advance the Missions of the SEC and the PCAOB Speaker:

Mark J. Flannery, Chief Economist and Director, Division of Economic and Risk Analysis

Published date grouping:October 2015 Date: Title:Keynote Address at the Evolving Structure of the U.S. Treasury Market Conference, Federal Reserve Bank of New York: "Taking Stock of Treasury Market Regulation" Speaker:

Chair Mary Jo White

Published date grouping:October 2015 Date: Title:Keynote Remarks at the 2015 Women in Policing Conference: “Women in the NYPD: Hear Them Roar” Speaker:

Chair Mary Jo White

Published date grouping:October 2015 Date: Title:Keynote Address at the Managed Fund Association: “Five Years On: Regulation of Private Fund Advisers After Dodd-Frank” Speaker:

Chair Mary Jo White

Published date grouping:October 2015 Date: Title:Remarks at NRS 30th Annual Fall Investment Adviser and Broker-Dealer Compliance Conference Speaker:

Andrew J. Donohue, Chief of Staff

Published date grouping:October 2015 Date: Title:The Important Work of Boards of Directors Speaker:

Commissioner Luis A. Aguilar

Published date grouping:October 2015 Date: Title:Introductory Remarks at the National Faith Leaders Conference “Protecting Investors Protects You” Speaker:

Chair Mary Jo White

Published date grouping:September 2015 Date: Title:Market Structure in the 21st Century: Bringing Light to the Dark Speaker:

Commissioner Kara M. Stein

Published date grouping:September 2015 Date: Title:Remarks at the AICPA National Conference on Banks and Savings Institutions Speaker:

James Schnurr, Chief Accountant

Published date grouping:September 2015 Date: Title:Remarks at the Bloomberg BNA Conference on Revenue Recognition Speaker:

Wesley R. Bricker, Deputy Chief Accountant

Published date grouping:September 2015 Date: Title:Building Healthy Capital Markets: From the 2008 Financial Crisis to Digital Disruption and Beyond – Keynote Address to the Eurofi Financial Forum Speaker:

Commissioner Kara M. Stein

Published date grouping:September 2015 Date: Title:Accountants and Capital Markets in an Era of Digital Disruption: Remarks to the Institute of Chartered Accountants in England and Wales and BritishAmerican Business Speaker:

Commissioner Kara M. Stein

Published date grouping:August 2015 Date: Title:Dodd-Frank at Five: A Capital Markets Swan Song Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:July 2015 Date: Title:The Need for Proactivity:Remarks at the 2015 National Association of Women Lawyers Annual Meeting and Awards Luncheon Speaker:

Chair Mary Jo White

Published date grouping:July 2015 Date: Title:Opening Remarks at the Compliance Outreach Program for Broker-Dealers Speaker:

Chair Mary Jo White

Published date grouping:June 2015 Date: Title:Building Meaningful Communication and Engagement with Shareholders Speaker:

Chair Mary Jo White

Published date grouping:June 2015 Date: Title:A Threefold Cord<a href="#_edn1" name="_ednref1" title="">[1]</a> - Working Together to Meet the Pervasive Challenge of Cyber-Crime Speaker:

Commissioner Luis A. Aguilar

United States Securities and Exchange Commission

Published date grouping:June 2015 Date: Title:Activism, Short-Termism, and the SEC: Remarks at the 21st Annual Stanford Directors’ College Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:June 2015 Date: Title:Anti-Money Laundering: An Often-Overlooked Cornerstone of Effective Compliance Speaker:

Kevin W. Goodman, National Associate Director, Broker-Dealer Examination Program, Office of Compliance Inspections and Examinations

Published date grouping:June 2015 Date: Title:Mutual Funds - The Next 75 Years Speaker:

Commissioner Kara M. Stein

Published date grouping:June 2015 Date: Title:Quality Data and the Power of Prevention: Remarks at Meet the Market, North America Speaker:

Commissioner Kara M. Stein

Published date grouping:June 2015 Date: Title:Remarks at the 34th Annual SEC and Financial Reporting Institute Conference Speaker:

James Schnurr, Chief Accountant, Office of the Chief Accountant

Published date grouping:June 2015 Date: Title:Remarks Before the SEC Historical Society Speaker:

Chair Mary Jo White

Published date grouping:June 2015 Date: Title:Capital Unbound: Remarks at the Cato Summit on Financial Regulation Speaker:

Commissioner Michael S. Piwowar

Published date grouping:May 2015 Date: Title:Remarks Before the Exchequer Club of Washington, D.C. Speaker:

Commissioner Michael S. Piwowar

Published date grouping:May 2015 Date: Title:Structured Products – Complexity and Disclosure – Do Retail Investors Really Understand What They Are Buying and What the Risks Are? Speaker:

Amy M. Starr, Chief, Office of Capital Market Trends

Published date grouping:May 2015 Date: Title:Private Equity: A Look Back and a Glimpse Ahead Speaker:

Marc Wyatt, Acting Director, Office of Compliance Inspections and Examinations

Published date grouping:May 2015 Date: Title:The SEC’s Cooperation Program: Reflections on Five Years of Experience Speaker:

Andrew Ceresney, Director, Division of Enforcement

Published date grouping:May 2015 Date: Title:Remarks before the 2015 Baruch College Financial Reporting Conference Speaker:

James Schnurr, Chief Accountant

Published date grouping:April 2015 Date: Title:The SEC as the Whistleblower's Advocate Speaker:

Chair Mary Jo White

Published date grouping:April 2015 Date: Title:Toward Healthy Companies and a Stronger Economy: Remarks to the U.S. Treasury Department’s Corporate Women in Finance Symposium Speaker:

Commissioner Kara M. Stein

Published date grouping:April 2015 Date: Title:Remarks at University of South Carolina and UNC-Charlotte 4th Annual Fixed Income Conference Speaker:

Commissioner Michael S. Piwowar

Published date grouping:April 2015 Date: Title:Remarks at the Harvard Law School Symposium on Building the Financial System of the 21st Century: An Agenda for Europe and the United States Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:April 2015 Date: Title:The Dominance of Data and the Need for New Tools: Remarks at the SIFMA Operations Conference Speaker:

Commissioner Kara M. Stein

Published date grouping:April 2015 Date: Title:The Importance of Smart Regulation Speaker:

Rick A. Fleming, Investor Advocate

U.S. Securities and Exchange Commission[1]

Published date grouping:April 2015 Date: Title:Regulators Working Together to Serve Investors Speaker:

Commissioner Luis A. Aguilar

Published date grouping:April 2015 Date: Title:Bank Regulators at the Gates: The Misguided Quest for Prudential Regulation of Asset Managers: Remarks at the 2015 Virginia Law and Business Review Symposium Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:March 2015 Date: Title:Grading the Commission’s Record on Capital Formation: A+, D, or Incomplete? Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:March 2015 Date: Title:International Cooperation in a New Data-Driven World Speaker:

Commissioner Kara M. Stein

Published date grouping:March 2015 Date: Title:The Benefits of Structured Data for Investors Speaker:

Rick A. Fleming
Investor Advocate

Published date grouping:March 2015 Date: Title:Preparing for the Regulatory Challenges of the 21st Century Speaker:

Commissioner Luis A. Aguilar

Published date grouping:March 2015 Date: Title:A Few Observations on Shareholders in 2015 Speaker:

Chair Mary Jo White

Published date grouping:March 2015 Date: Title:Remarks at the 2015 Mutual Funds and Investment Management Conference Speaker:

Commissioner Michael S. Piwowar

Published date grouping:March 2015 Date: Title:Remarks at the University of Notre Dame, Mendoza College of Business, Center for the Study of Financial Regulation Speaker:

Commissioner Michael S. Piwowar

Published date grouping:March 2015 Date: Title:Understanding Disqualifications, Exemptions and Waivers Under the Federal Securities Laws Speaker:

Chair Mary Jo White

Published date grouping:March 2015 Date: Title:A Watched Pot Never Boils: the Need for SEC Supervision of Fixed Income Liquidity, Market Structure, and Pension Accounting Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:March 2015 Date: Title:Remarks to 2015 IAA Compliance Conference Speaker:

Dave Grim, Acting Director, Division of Investment Management

Published date grouping:March 2015 Date: Title:Supporting Innovation Through the Commission’s Mission to Facilitate Capital Formation Speaker:

Commissioner Kara M. Stein

Published date grouping:March 2015 Date: Title:Remarks to PLI Investment Management Institute 2015 Speaker:

Dave Grim, Acting Director, Division of Investment Management

Published date grouping:March 2015 Date: Title:FCPA, Disclosure, and Internal Controls Issues Arising in the Pharmaceutical Industry Speaker:
Andrew Ceresney
Director, Division of Enforcement
Published date grouping:February 2015 Date: Title:Conflicts, Conflicts Everywhere – Remarks to the IA Watch 17th Annual IA Compliance Conference: The Full 360 View Speaker:

Julie M. Riewe, Co-Chief, Asset Management Unit, Division of Enforcement

Published date grouping:February 2015 Date: Title:Insights into the SEC’s Risk Assessment Programs Speaker:

Mark J. Flannery, Chief Economist and Director, Division of Economic and Risk Analysis

Published date grouping:February 2015 Date: Title:Remarks at SIFMA's 2015 Anti-Money Laundering & Financial Crimes Conference Speaker:

Andrew Ceresney

Published date grouping:February 2015 Date: Title:Remarks at the “SEC Speaks” Conference 2015: A Fair, Orderly, and Efficient SEC Speaker:

Commissioner Michael S. Piwowar

Published date grouping:February 2015 Date: Title:Remarks at the “SEC Speaks” Conference Speaker:

Commissioner Kara M. Stein

Published date grouping:February 2015 Date: Title:Remarks at The SEC Speaks in 2015 Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:February 2015 Date: Title:Setting Forth Goals for 2015: Address to Practising Law Institute’s SEC Speaks in 2015 Program Speaker:

Commissioner Luis A. Aguilar

Published date grouping:February 2015 Date: Title:Effective Disclosure for the 21st Century Investor Speaker:

Rick A. Fleming, Investor Advocate

Published date grouping:February 2015 Date: Title:Chairman’s Address at SEC Speaks 2015 Speaker:

Chair Mary Jo White

Published date grouping:February 2015 Date: Title:Why is the SEC Wavering on Waivers? Remarks at the 37th Annual Conference on Securities Regulation and Business Law Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:February 2015 Date: Title:Opening Remarks on SEC Investor Education and Advocacy to Military Service Men and Women at Ft. Hood Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:February 2015 Date: Title:Rule 14a-8: Conflicting Proposals, Conflicting Views Speaker:

Keith F. Higgins, Director, Division of Corporation Finance

Published date grouping:February 2015 Date: Title:The Volcker Rule: Observations on Systemic Resiliency, Competition, and Implementation Speaker:

Commissioner Kara M. Stein

Published date grouping:February 2015 Date: Title:Advocating for Investors Saving for Retirement Speaker:

Commissioner Luis A. Aguilar

Published date grouping:February 2015 Date: Title:Protecting Elderly Investors from Financial Exploitation: Questions to Consider Speaker:

Rick A. Fleming, Investor Advocate

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