Public statements by the Chairman, 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 Public Statements prior to 2012, view the Public Statements Archive.

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Published date grouping
Date
Title
Speaker
Published date grouping:December 2018 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
Published date grouping:December 2018 Date: Title: Statement on Proposed Rule Regarding Risk Mitigation Techniques for Uncleared Security-Based Swaps Speaker: Commissioner Kara M. Stein
Published date grouping:December 2018 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
Published date grouping:December 2018 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
Published date grouping:December 2018 Date: Title: Remarks at the SEC’s Investor Advisory Committee Meeting Speaker: Commissioner Kara M. Stein
Published date grouping:December 2018 Date: Title: Remarks at The Road Ahead: Municipal Securities Disclosure in an Evolving Market Conference Speaker: Commissioner Kara M. Stein
Published date grouping:November 2018 Date: Title: Opening Remarks at the 2018 SEC Staff Roundtable on the Proxy Process Speaker: Commissioner Kara M. Stein
Published date grouping:October 2018 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
Published date grouping:July 2018 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
Published date grouping:July 2018 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
Published date grouping:July 2018 Date: Title: Statement on Adoption of Rules to Increase the Operational Transparency of Alternative Trading Systems (ATS) Speaker: Commissioner Kara M. Stein
Published date grouping:July 2018 Date: Title: Statement at Fixed Income Market Structure Advisory Committee Meeting Speaker: Commissioner Kara M. Stein
Published date grouping:June 2018 Date: Title: Statement on Proposed Amendments to the Commission’s Whistleblower Program Rules Speaker: Commissioner Kara M. Stein
Published date grouping:June 2018 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
Published date grouping:June 2018 Date: Title: Statement on Adoption of Amendments to Investment Company Liquidity Disclosure Speaker: Commissioner Kara M. Stein
Published date grouping:June 2018 Date: Title: Statement on Final Rule of Inline XBRL Filing of Tagged Data Speaker: Commissioner Kara M. Stein
Published date grouping:June 2018 Date: Title: Statement on Amendments to Smaller Reporting Company Definition Speaker: Commissioner Kara M. Stein
Published date grouping:June 2018 Date: Title: Remarks at the SEC’s Investor Advisory Committee Meeting Speaker: Commissioner Kara M. Stein
Published date grouping:June 2018 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
Published date grouping:June 2018 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
Published date grouping:April 2018 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
Published date grouping:April 2018 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

Published date grouping:March 2018 Date: Title: Statement on the Proposed Transaction Fee Pilot for NMS Stocks Speaker:

Commissioner Kara M. Stein

Published date grouping:March 2018 Date: Title: Statement on Proposed Amendments to Public Reporting of Fund Liquidity Information Speaker:

Commissioner Kara M. Stein

Published date grouping:March 2018 Date: Title: Remarks at the SEC’s Investor Advisory Committee Meeting Speaker: Commissioner Kara M. Stein
Published date grouping:February 2018 Date: Title: Statement on Commission Statement and Guidance on Public Company Cybersecurity Disclosures Speaker: Commissioner Kara M. Stein
Published date grouping:January 2018 Date: Title: Remarks to the Fixed Income Market Structure Advisory Committee Speaker: Commissioner Kara M. Stein
Published date grouping:December 2017 Date: Title: Statement on the Tax Cuts and Jobs Act Speaker:

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

Published date grouping:November 2017 Date: Title: 2017 Government–Business Forum on Small Business Capital Formation Opening Remarks Speaker:

Commissioner Kara M. Stein

Published date grouping:October 2017 Date: Title: Statement on the Staff’s No-Action Relief Regarding MiFID II Speaker:

Commissioner Kara M. Stein

Published date grouping:October 2017 Date: Title: Statement on PCAOB’s New Auditor’s Reporting Standard Speaker:

Commissioner Kara M. Stein

Published date grouping:October 2017 Date: Title: Remarks at the SEC’s Investor Advisory Committee Meeting Speaker:

Commissioner Kara M. Stein

Published date grouping:October 2017 Date: Title: Statement on Proposal of FAST Act Modernization and Simplification of Regulation S-K Speaker:

Commissioner Kara M. Stein

Published date grouping:August 2017 Date: Title: Statement of Chairman Jay Clayton and Commissioners Kara M. Stein and Michael S. Piwowar on passing of former SEC Chairman Harold M. Williams Speaker:

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

Published date grouping:May 2017 Date: Title: Remarks Before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Commissioner Kara Stein

Published date grouping:April 2017 Date: Title: Remarks at the Meeting of the Equity Market Structure Advisory Committee Speaker:

Commissioner Kara M. Stein

Published date grouping:March 2017 Date: Title: Statement at Open Meeting: Amendment to Shorten the Trade Settlement Cycle Speaker:

Commissioner Kara M. Stein

Published date grouping:March 2017 Date: Title: Remarks at Office of the Investor Advocate’s Evidence Summit Speaker:

Commissioner Kara M. Stein

Published date grouping:March 2017 Date: Title: Remarks at the SEC’s Investor Advisory Committee Meeting Speaker:

Commissioner Kara M. Stein

Published date grouping:March 2017 Date: Title: Statement at Open Meeting: Proposed Amendments to Exchange Act Rule 15c2-12 Speaker:

Commissioner Kara M. Stein

U.S. Securities and Exchange Commission

Published date grouping:March 2017 Date: Title: Statement at Open Meeting: Exhibit Hyperlinks and HTML Format Speaker:

Commissioner Kara M. Stein

U.S. Securities and Exchange Commission

Published date grouping:March 2017 Date: Title: Statement at Open Meeting: Inline XBRL Filing of Tagged Data Speaker:

Commissioner Kara M. Stein

U.S. Securities and Exchange Commission

Published date grouping:March 2017 Date: Title: Statement at Open Meeting: Request for Comment on Possible Changes to Industry Guide 3 Speaker:

Commissioner Kara M. Stein

U.S. Securities and Exchange Commission

Published date grouping:February 2017 Date: Title: SEC-NYU Dialogue on Securities Market Regulation: U.S. Securities-Based Crowdfunding - Closing Remarks Speaker:

Commissioner Kara M. Stein

Published date grouping:February 2017 Date: Title: Commission Statement Regarding Decision in Bartko v. SEC Speaker:

The Commission

Published date grouping:February 2017 Date: Title: Remarks of Commissioner Kara Stein before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Commissioner Kara Stein

Published date grouping:December 2016 Date: Title: Statement at Open Meeting: PCAOB Proposed Budget and Accounting Support Fee for 2017 Speaker:

Commissioner Kara M. Stein

U.S. Securities and Exchange Commission

Published date grouping:November 2016 Date: Title: Opening Remarks to the Government-Business Forum on Small Business Capital Formation Speaker:

Commissioner Kara M. Stein

Published date grouping:November 2016 Date: Title: Statement at Open Meeting: Order Approving the Consolidated Audit Trail National Market System Plan Speaker:

Commissioner Kara M. Stein

Published date grouping:October 2016 Date: Title: Statement at Open Meeting: Universal Proxy System Speaker:

Commissioner Kara M. Stein

Published date grouping:October 2016 Date: Title: Statement at Open Meeting: Exemptions to Facilitate Intrastate and Regional Securities Offerings Speaker:

Commissioner Kara M. Stein

Published date grouping:October 2016 Date: Title: Statement at Open Meeting: Adoption of Open-End Fund Liquidity Risk Management Programs and Swing Pricing Speaker:

Commissioner Kara M. Stein

Published date grouping:October 2016 Date: Title: Statement at Open Meeting: Adoption of Investment Company Reporting Modernization Speaker:

Commissioner Kara M. Stein

Published date grouping:September 2016 Date: Title: Statement on the Proposed Rule Amendment to Shorten the Transaction Settlement Cycle Speaker:

Commissioner Kara M. Stein

Published date grouping:September 2016 Date: Title: Statement at Open Meeting: Adoption of Rule on Standards for Covered Clearing Agencies and Proposal on Amendments to Related Definitions Speaker:

Commissioner Kara M. Stein

Published date grouping:July 2016 Date: Title: Statement on Adoption of Rule on Reporting and Dissemination of Security-Based Swap Information Speaker:

Commissioner Kara M. Stein

Published date grouping:July 2016 Date: Title: Statement on Amendments to Disclosure of Order Handling Information Speaker:

Commissioner Kara M. Stein

Published date grouping:July 2016 Date: Title: Statement on the Disclosure Update and Simplification Proposing Release Speaker:

Commissioner Kara M. Stein

Published date grouping:May 2016 Date: Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Commissioner Kara M. Stein

Published date grouping:April 2016 Date: Title: Statement at an Open Meeting on a Notice of the Consolidated Audit Trail National Market System Plan Speaker:

Commissioner Kara M. Stein

Published date grouping:April 2016 Date: Title: Opening Remarks at the Equity Market Structure Advisory Committee Meeting Speaker:

Commissioner Kara M. Stein

Published date grouping:April 2016 Date: Title: Statement at Open Meeting on a Concept Release on the Business and Financial Disclosure Required by Regulation S-K Speaker:

Commissioner Kara M. Stein

Published date grouping:April 2016 Date: Title: Statement at Open Meeting on Adoption of External Business Conduct Rule for Security-Based Swap Dealers and Major Security-Based Swap Participants Speaker:

Commissioner Kara M. Stein

Published date grouping:March 2016 Date: Title: Opening Remarks at Open Meeting to Consider PCAOB Proposed Budget and Accounting Support Fee for 2016 Speaker:

Commissioner Kara M. Stein

Published date grouping:February 2016 Date: Title: Opening Remarks of Commissioner Kara M. Stein before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Commissioner Kara M. Stein

Published date grouping:February 2016 Date: Title: Statement at Open Meeting on Final Rules Regarding Application of Title VII Dealer De Minimis Requirements to Security-Based Swap Dealing Activity in the United States Speaker:

Commissioner Kara M. Stein

Published date grouping:December 2015 Date: Title: Statement In The Matter Of JPMorgan Chase Bank, N.A., Regarding Order Under 506(d) Of The Securities Act Of 1933 Granting A Waiver Of The Rule 506(d)(1)(iii) Disqualification Provision Speaker:

Commissioner Kara M. Stein

Published date grouping:December 2015 Date: Title: Statement on Proposed Disclosure of Payments by Resource Extraction Issuers Speaker:

Commissioner Kara M. Stein

Published date grouping:December 2015 Date: Title: Statement on Use of Derivatives by Registered Investment Companies and Business Development Companies Speaker:

Commissioner Kara M. Stein 

Published date grouping:November 2015 Date: Title: Statement to the Government-Business Forum on Small Business Capital Formation Speaker:

Commissioner Kara M. Stein

Published date grouping:November 2015 Date: Title: Statement at Open Meeting on Regulation of NMS Stock Alternative Trading Systems Speaker:

Commissioner Kara M. Stein

Published date grouping:October 2015 Date: Title: Statement at Open Meeting on Regulation Crowdfunding Speaker:

Commissioner Kara M. Stein

Published date grouping:October 2015 Date: Title: Statement at Open Meeting on Securities Act Rules 147 and 504 Speaker:

Commissioner Kara M. Stein

Published date grouping:September 2015 Date: Title: Statement on Open-End Fund Liquidity Risk Management Programs and Swing Pricing Speaker:

Commissioner Kara M. Stein 

Published date grouping:August 2015 Date: Title: Statement at Open Meeting on Pay Ratio Disclosure Speaker:

Commissioner Kara M. Stein

Published date grouping:August 2015 Date: Title: Statement at Open Meeting on Registration Requirements for SBS Entities Speaker:

Commissioner Kara M. Stein

Published date grouping:July 2015 Date: Title: Statement at an Open Meeting on Dodd-Frank Act “Clawback” Provision Speaker:

Commissioner Kara M. Stein

Published date grouping:May 2015 Date: Title: Dissenting Statement Regarding Certain Waivers Granted by the Commission for Certain Entities Pleading Guilty to Criminal Charges Involving Manipulation of Foreign Exchange Rates Speaker:

Commissioner Kara M. Stein

Published date grouping:May 2015 Date: Title: Statement at an Open Meeting on Investment Company and Investment Adviser Reporting Speaker:

Commissioner Kara M. Stein

Published date grouping:May 2015 Date: Title: Remarks at the Inaugural Meeting of the Equity Market Structure Advisory Committee Speaker:

Commissioner Kara M. Stein

Published date grouping:May 2015 Date: Title: Dissenting Statement in the Matter of Deutsche Bank AG, Regarding WKSI Speaker:

Commissioner Kara M. Stein

Published date grouping:April 2015 Date: Title: Statement at an Open Meeting on Cross-Border Security-Based Swap Rules Regarding Activity in the United States Speaker:

Commissioner Kara M. Stein

Published date grouping:April 2015 Date: Title: Statement at an Open Meeting on Pay Versus Performance Disclosures Speaker:

Commissioner Kara M. Stein

Published date grouping:March 2015 Date: Title: Statement at Open Meeting on Rule 15b9-1 Speaker:

Commissioner Kara M. Stein

Published date grouping:March 2015 Date: Title: Statement at Open Meeting on Reg A+ Speaker:

Commissioner Kara M. Stein

Published date grouping:February 2015 Date: Title: Dissenting Statement Regarding the Commission’s Order Approving a Proposed Rule Change to Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares® Commodities Trust I Speaker:

Commissioner Kara M. Stein

Published date grouping:February 2015 Date: Title: Ensuring that Shareholders Have a Meaningful, Effective Vote Speaker:

Commissioner Kara M. Stein

Published date grouping:February 2015 Date: Title: Statement on the Commission’s Consideration of the Public Company Accounting Oversight Board’s Proposed 2015 Budget and Accounting Support Fee Speaker:

Commissioner Kara M. Stein

Published date grouping:January 2015 Date: Title: Statement at Open Meeting Concerning Rules Regarding Security-Based Swap Data Repositories and Regulation SBSR Speaker:

Commissioner Kara M. Stein

Published date grouping:November 2014 Date: Title: Statement to the SEC Government-Business Forum on Small Business Capital Formation Speaker:

Commissioner Kara M. Stein

Published date grouping:November 2014 Date: Title: Statement at Open Meeting on Regulation SCI Speaker:

Commissioner Kara M. Stein

Published date grouping:October 2014 Date: Title: Statement at the SEC Open Meeting on Credit Risk Retention Speaker:

Commissioner Kara M. Stein

Published date grouping:August 2014 Date: Title: Statement on Credit Rating Agencies at SEC Open Meeting Speaker:

Commissioner Kara M. Stein

Published date grouping:August 2014 Date: Title: Statement on Asset-Backed Securities at SEC Open Meeting Speaker:

Commissioner Kara M. Stein

Published date grouping:July 2014 Date: Title: Statement at SEC Open Meeting On Money Market Fund Reform Speaker:

Commissioner Kara M. Stein

Published date grouping:June 2014 Date: Title: Statement at Open Meeting on Cross-Border Security-Based Swap Rules Speaker:

Commissioner Kara M. Stein

Published date grouping:April 2014 Date: Title: Dissenting Statement in the Matter of The Royal Bank of Scotland Group, plc, Regarding Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer Speaker:

Commissioner Kara M. Stein

Published date grouping:March 2014 Date: Title: Statement at Open Meeting on Rules for Systemically Important and Security-Based Swap Clearing Agencies Speaker:

Commissioner Kara M. Stein

Published date grouping:February 2014 Date: Title: Statement at Open Meeting on 2014 PCAOB Budget and Accounting Support Fee Speaker:

Commissioner Kara M. Stein

Published date grouping:December 2013 Date: Title: Statement at Open Meeting on Rules to Increase Access to Capital for Smaller Companies Speaker:

Commissioner Kara M. Stein

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