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:December 2013 Date: Title:Remarks at the AICPA 2013 Conference on Current SEC and PCAOB Developments Speaker:

Julie A. Erhardt

Deputy Chief Accountant, Office of the Chief Accountant

Published date grouping:December 2013 Date: Title:Remarks Before the 2013 AICPA National Conference on Current SEC and PCAOB Developments — Audit Policy and Current Auditing and Internal Control Matters Speaker:

Brian T. Croteau

Deputy Chief Accountant, Office of the Chief Accountant

Published date grouping:December 2013 Date: Title:Remarks at the AICPA 2013 Conference on Current SEC and PCAOB Developments Speaker:

Paul Beswick

Chief Accountant, Office of the Chief Accountant
U.S. Securities and Exchange Commission

Published date grouping:December 2013 Date: Title:The Benefit of Hindsight and the Promise of Foresight: A Proposal for A Comprehensive Review of Equity Market Structure Speaker:

Commissioner Michael S. Piwowar

U.S. Securities and Exchange Commission

Published date grouping:December 2013 Date: Title:Remarks at the 2nd Annual Institute for Corporate Counsel Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:December 2013 Date: Title:“Seeing Capital Markets Through Investor Eyes” Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Published date grouping:December 2013 Date: Title:Welcoming Remarks (taped) for Central and Eastern Europe Capital Market Summit Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:December 2013 Date: Title:Remarks at Transatlantic Corporate Governance Dialogue Conference: The Realities of Stewardship for Institutional Owners, Activist Investors and Proxy Advisors Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:December 2013 Date: Title:Remarks at the 10th Annual Transatlantic Corporate Governance Dialogue Speaker:

Chair Mary Jo White

Published date grouping:November 2013 Date: Title:Remarks at the American Bar Association Business Law Section’s Federal Regulation of Securities Committee Fall Meeting Speaker:

Commissioner Kara M. Stein

Published date grouping:November 2013 Date: Title:Remarks to the Los Angeles County Bar Association Securities Regulation Seminar Speaker:

Commissioner Michael S. Piwowar

Published date grouping:November 2013 Date: Title:Keynote Address at the International Conference on the Foreign Corrupt Practices Act Speaker:

 Andrew Ceresney

Co-Director of the Division of Enforcement

Published date grouping:November 2013 Date: Title:Remarks at Columbia Law School Conference (Hot Topics: Leading Current Issues in Securities Regulation and Enforcement) Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:November 2013 Date: Title:The Importance of Trials to the Law and Public Accountability Speaker:

Chair Mary Jo White

Published date grouping:November 2013 Date: Title:Remarks to the ALI CLE 2013 Conference on Life Insurance Company Products Speaker:

Norm Champ

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

Published date grouping:November 2013 Date: Title:Remarks at FINRA Enforcement Conference Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:November 2013 Date: Title:Knowing Your SEC: A Tribute to the SEC Staff Speaker:

Chair Mary Jo White

Published date grouping:November 2013 Date: Title:Remarks at FIA Futures and Options Expo Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:October 2013 Date: Title:Remarks at Georgetown University’s Center for Financial Markets and Policy Event Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:October 2013 Date: Title:A Stronger Enforcement Program to Enhance Investor Protection Speaker:

Commissioner Luis A. Aguilar

Published date grouping:October 2013 Date: Title:A Renewed Focus on SEC Priorities Speaker:

Commissioner Daniel M. Gallagher

Published date grouping:October 2013 Date: Title:Slide Presentation (PDF): Broker-Dealer Rulemaking and Applicability of Auditor Independence Rules to Broker-Dealer Audits Speaker:

Brian T. Croteau

Deputy Chief Accountant

Published date grouping:October 2013 Date: Title:Remarks to the Independent Directors Council Annual Fall Meeting Speaker:

Norm Champ

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

Published date grouping:October 2013 Date: Title:Remarks at National Society of Compliance Professionals National Membership Meeting Speaker:

Chair Mary Jo White

Published date grouping:October 2013 Date: Title:Hedge Funds – A New Era of Transparency and Openness Speaker:

Chair Mary Jo White

Published date grouping:October 2013 Date: Title:The Path Forward on Disclosure Speaker:

Chair Mary Jo White

Published date grouping:October 2013 Date: Title:Remarks at the Securities Enforcement Forum Speaker:

Chair Mary Jo White

Published date grouping:October 2013 Date: Title:Remarks at SCCE's Annual Compliance & Ethics Institute Speaker:

Stephen L. Cohen

Associate Director of Enforcement

Published date grouping:October 2013 Date: Title:The Importance of Independence Speaker:

Chair Mary Jo White

Published date grouping:October 2013 Date: Title:Focusing on Fundamentals: The Path to Address Equity Market Structure Speaker:

Chair Mary Jo White

Published date grouping:September 2013 Date: Title:Deploying the Full Enforcement Arsenal Speaker:

Chair Mary Jo White

Published date grouping:September 2013 Date: Title:Financial Reporting and Accounting Fraud Speaker:

Andrew Ceresney

Co-Director of the Division of Enforcement

Published date grouping:September 2013 Date: Title:Slide Presentation (PDF): Update from the Division of Corporation Finance and the Office of the Chief Accountant, 2013 AICPA National Conference on Banks & Savings Institutions Speaker:

Stephanie J. Ciboroski, Senior Assistant Chief Accountant; Matthew Schell, Professional Accounting Fellow; and Mark Shannon, Associate Chief Accountant

Published date grouping:September 2013 Date: Title:Celebrating National Hispanic Heritage Month by Recognizing Achievements and Looking Ahead Speaker:

Commissioner Luis A. Aguilar

Published date grouping:September 2013 Date: Title:Current SEC Priorities Regarding Hedge Fund Managers Speaker:

Norm Champ

Director of the Division of Investment Management

Published date grouping:July 2013 Date: Title: Remarks at Society of Corporate Secretaries & Governance Professionals Speaker:

Commissioner Daniel M. Gallagher

 
Published date grouping:June 2013 Date: Title:Corporate Disclosure: The Stage, the Audience and the Players Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:June 2013 Date: Title:Transformational Technologies, Market Structure, and the SEC Speaker:

Gregg E. Berman

Associate Director, Office of Analytics and Research
Division of Trading and Markets
U.S. Securities and Exchange Commission

Published date grouping:June 2013 Date: Title:Remarks to the 2013 Insured Retirement Institute Government, Legal & Regulatory Conference Speaker:

Norm Champ

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

Published date grouping:June 2013 Date: Title:Remarks at the DirectWomen Board Institute Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:June 2013 Date: Title:Remarks at the SEC Historical Society Annual Meeting Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:June 2013 Date: Title:Money Market Mutual Fund Reform: Opening Statement at the SEC Open Meeting Speaker:

Norm Champ

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

Published date grouping:May 2013 Date: Title:Remarks at the 32nd Annual SEC and Financial Reporting Institute Conference Speaker:

Paul Beswick

Chief Accountant, Office of the Chief Accountant
U.S. Securities and Exchange Commission

Published date grouping:May 2013 Date: Title:Keynote Luncheon Speech Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:May 2013 Date: Title:Remarks at Joint News Conference on National Financial Capability Study Speaker:

Chair Mary Jo White

U.S. Securities and Exchange Commission

Published date grouping:May 2013 Date: Title:Investor Protection Through Economic Analysis Speaker:

Craig M. Lewis

Chief Economist and Director
Division of Risk, Strategy, and Financial Innovation
U.S. Securities and Exchange Commission

Published date grouping:May 2013 Date: Title:Merely Cracking the Glass Ceiling is Not Enough: Corporate America Needs More than Just A Few Women in Leadership Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Published date grouping:May 2013 Date: Title:The Important Role of Immigrants in Our Economy Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Published date grouping:May 2013 Date: Title:Remarks at 12th European Corporate Governance & Company Law Conference Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:May 2013 Date: Title:Cross-Border at the Crossroads: The SEC's "Middle Ground" Speaker:

John Ramsay

Acting Director, Division of Trading and Markets
U.S. Securities and Exchange Commission

Published date grouping:May 2013 Date: Title:Remarks at SRO Outreach Conference Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:May 2013 Date: Title:Georgia Southern University Commencement Address: Preparing for Challenges and Opportunities Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission*

Published date grouping:May 2013 Date: Title:Remarks at the 45th Annual Rocky Mountain Securities Conference Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:May 2013 Date: Title:Regulation in a Global Financial System Speaker:

Chair Mary Jo White

Published date grouping:April 2013 Date: Title:Institutional Investors: Power and Responsibility Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Published date grouping:April 2013 Date: Title:Doing the Right Thing: Compliance That Works for Investors Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Published date grouping:April 2013 Date: Title:Speech by SEC Chairman: Opening Remarks at SEC Roundtable on Fixed Income Markets Speaker:

Chair Mary Jo White

U.S. Securities and Exchange Commission

Published date grouping:April 2013 Date: Title:Examining Investment Advisers: The Challenge Continues Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:April 2013 Date: Title:Keeping a Retail Investor Focus in Overseeing the Fixed Income Market Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Published date grouping:April 2013 Date: Title:Outmanned and Outgunned: Fighting on Behalf of Investors Despite Efforts to Weaken Investor Protections Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Published date grouping:April 2013 Date: Title:Remarks at the SEC 2013 Spring International Institute for Securities Market Development Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:April 2013 Date: Title:Promulgating Rules to Prevent Identity Theft Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Published date grouping:April 2013 Date: Title:Remarks at The 2013 National Compliance Outreach Program for Broker-Dealers Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:April 2013 Date: Title:Regulation of Cross-Border OTC Derivatives Activities: Finding the Middle Ground Speaker:

Chairman Elisse Walter

U.S. Securities and Exchange Commission

Published date grouping:April 2013 Date: Title:A Few Observations in the Private Fund Space Speaker:

David W. Blass

Chief Counsel, Division of Trading and Markets
U.S. Securities and Exchange Commission

Published date grouping:April 2013 Date: Title:Remarks to Students at The George Washington University Speaker:

Chairman Elisse Walter

U.S. Securities and Exchange Commission

Published date grouping:March 2013 Date: Title:Remarks Before the ASIC Forum Speaker:

Chairman Elisse Walter

U.S. Securities and Exchange Commission

Published date grouping:March 2013 Date: Title:Slide Presentation (PDF): SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, 2012 PCAOB Forums on Auditing in the Small Business Environment Speaker:

Craig Olinger

Published date grouping:March 2013 Date: Title:Key Note: Symposium on Building the Financial System of the 21st Century: An Agenda for Europe and the United States Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:March 2013 Date: Title:Remarks to the 2013 Mutual Funds and Investment Management Conference Speaker:

Norm Champ

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

Published date grouping:March 2013 Date: Title:Remarks to the IA Compliance Best Practices Summit 2013 Speaker:

Norm Champ, Director, Division of Investment Management

U.S. Securities and Exchange Commission

Published date grouping:March 2013 Date: Title:Remarks to the IAA Investment Adviser Compliance Conference 2013 Speaker:

Norm Champ, Director, Division of Investment Management

U.S. Securities and Exchange Commission

Published date grouping:March 2013 Date: Title:Remarks to the Investment Management Institute 2013 Speaker:

Norm Champ, Director, Division of Investment Management

Published date grouping:February 2013 Date: Title:Keynote Speech at the 7th Gulf Cooperation Council Regulators' Summit Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:February 2013 Date: Title:Remarks at "The SEC Speaks in 2013" Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:February 2013 Date: Title:Remarks at The SEC Speaks in 2013 Speaker:

Commissioner Troy A. Paredes

U.S. Securities and Exchange Commission

Published date grouping:February 2013 Date: Title:Addressing Market Instability through Informed and Smart Regulation Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Published date grouping:February 2013 Date: Title:Making the Markets Safe for Informed Risk-Taking Speaker:

Chairman Elisse Walter

U.S. Securities and Exchange Commission

Published date grouping:February 2013 Date: Title:Harnessing Tomorrow's Technology for Today's Investors and Markets Speaker:

Chairman Elisse Walter

U.S. Securities and Exchange Commission

Published date grouping:February 2013 Date: Title:Opening Remarks at Foreign Bribery and Corruption Training Conference Speaker:

Chairman Elisse Walter

U.S. Securities and Exchange Commission

Published date grouping:February 2013 Date: Title:Introductory Remarks at the SEC's Roundtable on Decimalization Speaker:

James R. Burns
Deputy Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Published date grouping:February 2013 Date: Title:Opening Remarks at Meeting of Advisory Committee on Small and Emerging Companies Speaker:

Chairman Elisse Walter

U.S. Securities and Exchange Commission

Published date grouping:January 2013 Date: Title:Remarks before the Corporate Directors Forum Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:January 2013 Date: Title:Private Equity Enforcement Concerns Speaker:

Bruce Karpati

Chief, SEC Enforcement Division's Asset Management Unit
U.S. Securities and Exchange Commission

Published date grouping:January 2013 Date: Title:Remarks before the U.S. Chamber Center for Capital Markets Competitiveness Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Published date grouping:December 2012 Date: Title:Enforcement Priorities in the Alternative Space Speaker:

Bruce Karpati

Chief, SEC Enforcement Division's Asset Management Unit
U.S. Securities and Exchange Commission

Published date grouping:December 2012 Date: Title:Risk Modeling at the SEC:  The Accounting Quality Model Speaker:

Craig M. Lewis

Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation
U.S. Securities & Exchange Commission

Published date grouping:December 2012 Date: Title:Remarks to the ALI CLE 2012 Conference on Investment Adviser Regulation: Legal and Compliance Forum on Institutional Advisory Services Speaker:

Norm Champ

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

Published date grouping:December 2012 Date: Title:<em>Slide Presentation (PDF)</em>: Remarks before the 2012 AICPA National Conference on Current SEC and PCAOB Developments</a> Speaker:
Craig Olinger
Published date grouping:December 2012 Date: Title:<em>Slide Presentation (PDF)</em>: Remarks before the 2012 AICPA National Conference on Current SEC and PCAOB Developments - International Reporting Issues Speaker:
Craig Olinger
Published date grouping:December 2012 Date: Title:Remarks Before the 2012 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Jenifer Minke-Girard

Senior Associate Chief Accountant, Office of the Chief Accountant
U.S. Securities and Exchange Commission

Published date grouping:December 2012 Date: Title:Capital Formation from the Investor's Perspective Speaker:

Commissioner Luis Aguilar

U.S. Securities and Exchange Commission

Published date grouping:December 2012 Date: Title:Remarks at the AICPA Conference on Current SEC and PCAOB Developments Speaker:

Julie A. Erhardt

Deputy Chief Accountant, Office of the Chief Accountant
U.S. Securities and Exchange Commission

Published date grouping:December 2012 Date: Title:Remarks Before the 2012 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Paul A. Beswick

Acting Chief Accountant, Office of the Chief Accountant
U.S. Securities and Exchange Commission

Published date grouping:December 2012 Date: Title:Remarks Before the 2012 AICPA National Conference on Current SEC and PCAOB Developments - Audit Policy and Current Auditing and Internal Control Matters Speaker:

Brian T. Croteau

Deputy Chief Accountant, Office of the Chief Accountant
U.S. Securities and Exchange Commission

Published date grouping:November 2012 Date: Title:Remarks During News Conference Announcing Charges in a $276 Million Insider Trading Scheme Speaker:

Robert Khuzami

Director of the SEC’s Division of Enforcement
U.S. Securities and Exchange Commission

Published date grouping:November 2012 Date: Title:Remarks During News Conference Call About Enforcement Actions Against J.P. Morgan and Credit Suisse Speaker:

Robert Khuzami

Director of the SEC’s Division of Enforcement
U.S. Securities and Exchange Commission

Published date grouping:November 2012 Date: Title:Remarks at the 2012 SEC Government-Business Forum on Small Business Capital Formation Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Published date grouping:November 2012 Date: Title:Remarks at the 2012 SEC Government-Business Forum on Small Business Capital Formation Speaker:

Commissioner Troy A. Paredes

U.S. Securities and Exchange Commission

Published date grouping:November 2012 Date: Title:Remarks During News Conference About Enforcement Actions Against BP Speaker:

Robert Khuzami

Director of the SEC’s Division of Enforcement
U.S. Securities and Exchange Commission

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