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:March 2024 Date: Title: Chair Gary Gensler on AI Washing Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:March 2024 Date: Title: Prepared Remarks before the Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:March 2024 Date: Title: Change: Remarks at Meeting of the SEC Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:March 2024 Date: Title: Office Hours with Gary Gensler: Climate Risk Disclosure Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:March 2024 Date: Title: Statement on Final Rules Regarding Order Execution Quality Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:March 2024 Date: Title: Keeping Up with the Markets: Statement on Rule 605 Adoption Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:March 2024 Date: Title: Statement on Adoption of Amendments to Rule 605: Disclosure of Order Execution Information Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:March 2024 Date: Title: Statement on Rule Amendments Regarding Disclosure of Order Execution Information Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:March 2024 Date: Title: Enhancing Order Execution Reporting for the Benefit of Investors Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:March 2024 Date: Title: Statement on Final Rules Regarding Mandatory Climate Risk Disclosures Speaker: Chair Gary Gensler
Type:Statement
Published date grouping:March 2024 Date: Title: Green Regs and Spam[1]: Statement on the Enhancement and Standardization of Climate-Related Disclosures for Investors Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:March 2024 Date: Title: A Risk by Any Other Name: Statement on the Enhancement and Standardization of Climate-Related Disclosures Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:March 2024 Date: Title: A Climate Regulation under the Commission’s Seal: Dissenting Statement on The Enhancement and Standardization of Climate-Related Disclosures for Investors Speaker: Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:March 2024 Date: Title: Enhancing and Standardizing Climate-Related Disclosures for Investors Speaker: Commissioner Jaime Lizárraga
Type:Statement
Published date grouping:March 2024 Date: Title: Remarks to the Council of Institutional Investors – Dangers of the Unbounded Administrative State Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:March 2024 Date: Title: On Today’s Episode of As the Crypto World Turns: Statement on ShapeShift AG Speaker: Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda
Type:Statement
Published date grouping:March 2024 Date: Title: Office Hours with Gary Gensler: Mrs. O’Leary’s Cow & Market Resiliency Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:March 2024 Date: Title: Prepared Remarks Before the 2024 SEC Investor Advocacy Clinic Summit Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:February 2024 Date: Title: Prepared Remarks before the Small Business Capital Formation Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:February 2024 Date: Title: Angels and IPOs: Remarks Before the Small Business Capital Formation Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:February 2024 Date: Title: Remarks to the Small Business Capital Formation Advisory Committee Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:February 2024 Date: Title: Remarks at the Small Business Advisory Committee Meeting Speaker: Commissioner Jaime Lizárraga
Type:Speech
Published date grouping:February 2024 Date: Title: Remarks at Ohio State Law Journal Symposium 2024: ESG and Enforcement of the Federal Securities Laws Speaker: Gurbir S. Grewal, Director, Division of Enforcement
Type:Speech
Published date grouping:February 2024 Date: Title: Office Hours with Gary Gensler Transcript: AI Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:February 2024 Date: Title: “AI, Finance, Movies, and the Law”
Prepared Remarks before the Yale Law School
Speaker: Chair Gary Gensler
Type:Speech
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: Office Hours with Gary Gensler: Dealer-Trader Rule Speaker: Chair Gary Gensler
Type:Video Transcript
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: “Time is Money. Time is Risk” Prepared Remarks before the European Commission Speaker: Chair Gary Gensler
Type:Speech
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: Remarks at the 51st Annual Securities Regulation Institute Speaker: Commissioner Mark T. Uyeda
Type:Speech
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:January 2024 Date: Title: Video Message: Season’s Greetings from SEC Chair Gary Gensler Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:December 2023 Date: Title: Office Hours with Gary Gensler (Division Edition): The SEC Division of Trading and Markets Explained Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:December 2023 Date: Title: Office Hours (Division Edition): The Division of Economic & Risk Analysis Explained Speaker: Chair Gary Gensler
Type:Video Transcript
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: Remarks before the Financial Stability Oversight Council: 2023 Annual Report Speaker: Chair Gary Gensler
Type:Speech
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: Closing Remarks – Compliance Conference Speaker: Dave Sanchez, Director, Office of Municipal Securities
Type:Speech
Published date grouping:December 2023 Date: Title: Prepared Remarks before the Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:December 2023 Date: Title: Remarks at Meeting of the SEC Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:December 2023 Date: Title: Remarks on Digital Engagement Practices, before the Investor Advisory Committee (IAC) Speaker: Commissioner Jaime Lizárraga
Type:Speech
Published date grouping:December 2023 Date: Title: “They Are Merely the Agents”: Prepared Remarks before the American Bar Association Speaker: Chair Gary Gensler
Type:Speech
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:December 2023 Date: Title: “Exorbitant Privilege: Responsibilities and Challenges”: Prepared Remarks before the Council on Foreign Relations Speaker: Chair Gary Gensler
Type:Speech
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: Prepared Remarks before the Small Business Capital Formation Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:November 2023 Date: Title: Freedom: Remarks at Meeting of the Small Business Capital Formation Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:November 2023 Date: Title: Remarks to Small Business Capital Formation Advisory Committee Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
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: Remarks Upon the 20th Anniversary of the Autorité des Marchés Financiers (AMF) Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:November 2023 Date: Title: Remarks at the Harvard Law School Program on International Financial Systems, 2023 Japan – U.S. Symposium Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:November 2023 Date: Title: Private Equity: Past & Present, Charters & Code Speaker: William Birdthistle, Director, Division of Investment Management
Type:Speech
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: Office Hours with Gary Gensler (Division Edition): The SEC Division of Investment Management Explained Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:November 2023 Date: Title: Office Hours with Gary Gensler (Division Edition): The SEC Corporation Finance Division Explained Speaker: Chair Gary Gensler
Type:Video Transcript
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: “Fall Feelings: Treasury Markets’ Efficiency and Resiliency” Remarks before SIFMA Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:November 2023 Date: Title: Remarks at the Practising Law Institute’s 55th Annual Institute on Securities Regulation Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:November 2023 Date: Title: Remarks to the 2023 Conference on SEC Regulation Outside the United States: Fifth Annual Scott Friestad Memorial Lecture Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:November 2023 Date: Title: Remarks before the Financial Stability Oversight Council: Financial Stability Guidance Regarding Non-Bank Financial Company Designations Speaker: Chair Gary Gensler
Type:Speech
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:November 2023 Date: Title: Remarks at the ALI – CLE 2023 Conference on Life Insurance Company Products Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:November 2023 Date: Title: Office Hours with Gary Gensler (Division Edition): The SEC Division of Investment Management Explained - 11-01-2023 Speaker: Chair Gary Gensler
Type:Video Transcript
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: Office Hours with Gary Gensler (Division Edition): What Does the SEC Division of Enforcement Do? Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:October 2023 Date: Title: “Partners of Honest Business and Prosecutors of Dishonesty”: Remarks Before the 2023 Securities Enforcement Forum Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:October 2023 Date: Title: Remarks at New York City Bar Association Compliance Institute Speaker: Gurbir S. Grewal, Director, Division of Enforcement
Type:Speech
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: Remarks at the NSCP National Conference Speaker: Commissioner Mark T. Uyeda
Type:Speech
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: In-securities: What Happens When Investors in an Important Market are not Protected?
Remarks to the Center for American Progress
Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
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: Testimony Before the United States House of Representatives Committee on Financial Services Speaker: Chair Gary Gensler
Type:Testimony
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: Prepared Remarks Before the Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:September 2023 Date: Title: Remarks at Meeting of the SEC Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Speech
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: Remarks before the Small Business Capital Formation Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:September 2023 Date: Title: Remarks at the Meeting of SEC Small Business Capital Formation Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:September 2023 Date: Title: Remarks to the Small Business Capital Formation Advisory Committee Speaker: Commissioner Mark T. Uyeda
Type:Speech
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: Building on Our Trans-Atlantic Partnership to Strengthen Market Oversight: Remarks before Eurofi Speaker: Commissioner Jaime Lizárraga
Type:Speech
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: Oral Testimony of Gary Gensler Before the United States Senate Committee on Banking, Housing, and Urban Affairs Speaker: Chair Gary Gensler
Type:Testimony
Published date grouping:September 2023 Date: Title: Ugh and Awe: Remarks before the IFC-Milken Institute’s Capital Markets Scholars Program Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:September 2023 Date: Title: Testimony of Chair Gary Gensler Before the United States Senate Committee on Banking, Housing, and Urban Affairs Speaker: Chair Gary Gensler
Type:Testimony
Published date grouping:September 2023 Date: Title: Remarks to the 2023 NASAA Fall Annual Meeting – Modernizing Investor Protection for the Digital Age Speaker: Commissioner Mark T. Uyeda
Type:Speech
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: Statement on Final Rule Regarding Exemption for Certain Exchange Members Speaker: Commissioner Mark T. Uyeda
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: 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: Remarks before the Financial Stability Oversight Council: LIBOR Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:July 2023 Date: Title: Remarks before the Financial Stability Oversight Council: Climate Risk Disclosure Speaker: Chair Gary Gensler
Type:Speech
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: Remarks for the SEC / DFI / NASAA Joint Public Roundtable Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:July 2023 Date: Title: Remarks at the SEC/DFI/NASAA Joint Public Roundtable Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:July 2023 Date: Title: Testimony at Hearing before the Subcommittee on Financial Services and General Government U.S. Senate Appropriations Committee Speaker: Chair Gary Gensler
Type:Testimony
Published date grouping:July 2023 Date: Title: “Isaac Newton to AI” Remarks before the National Press Club Speaker: Chair Gary Gensler
Type:Speech
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: Office Hours with Gary Gensler: What is the London Interbank Offered Rate, or LIBOR? Speaker: Chair Gary Gensler
Type:Video Transcript
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: Prepared Remarks before the Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:June 2023 Date: Title: Remarks at Financial Times Cyber Resilience Summit Speaker: Gurbir S. Grewal, Director, Division of Enforcement
Type:Speech
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: Remarks at the Society for Corporate Governance 2023 National Conference Speaker: Commissioner Mark T. Uyeda
Type:Speech
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: Prepared Remarks before the Small Business Capital Formation Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:June 2023 Date: Title: Remarks to the Small Business Capital Formation Advisory Committee Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:June 2023 Date: Title: Remarks at the Small Business Advisory Committee Meeting Speaker: Commissioner Jaime Lizárraga
Type:Speech
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: “We’ve Seen This Story Before”
Remarks before the Piper Sandler Global Exchange & Fintech Conference
Speaker: Chair Gary Gensler
Type:Speech
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: Video Message from Gary Gensler: The Securities Act of 1933 Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:May 2023 Date: Title: “Bear in the Woods” Remarks before the Investment Company Institute Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:May 2023 Date: Title: Division of Investment Management: Conference on Emerging Trends in Asset Management Introduction Speaker: William Birdthistle, Director, Division of Investment Management
Type:Speech
Published date grouping:May 2023 Date: Title: “Honest and Unbiased Investment Management”: Remarks before the Inaugural Conference on Emerging Trends in Asset Management Speaker: Chair Gary Gensler
Type:Speech
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: Cybersecurity: Protecting Investors
Remarks before the Digital Directors Network 2023 Conference
Speaker: Commissioner Jaime Lizárraga
Type:Speech
Published date grouping:May 2023 Date: Title: Commissioner Uyeda Remarks at MFA Global Summit Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:May 2023 Date: Title: “Lessons from Mrs. O’Leary’s Cow:” Remarks before the Atlanta Federal Reserve Financial Markets Conference Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:May 2023 Date: Title: Remarks at ICAEW Event – World-Class Regulation: Building Trust and Transparency in International Markets Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:May 2023 Date: Title: Keynote Address at the 21st Symposium on Building the Financial System of the 21st Century: An Agenda for Europe and the United States Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:May 2023 Date: Title: Forests and Trees: Remarks before the 2023 Municipal Securities Disclosure Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:May 2023 Date: Title: Office Hours with Gary Gensler: What is the Bond Market & How Does it Work? Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:May 2023 Date: Title: Remarks at the 2023 SEC Municipal Securities Disclosure Conference Speaker: Commissioner Jaime Lizárraga
Type:Speech
Published date grouping:May 2023 Date: Title: The Next “Century of Progress": Remarks before the International Swaps and Derivatives Association Annual Meeting Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:May 2023 Date: Title: Remarks before the Municipal Securities Disclosure Conference Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:May 2023 Date: Title: “Public Service is a Noble Pursuit, a Higher Calling:” Commencement Address, Lyndon B. Johnson School of Public Affairs, University of Texas, Austin Speaker: Commissioner Jaime Lizárraga
Type:Speech
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: Prepared Remarks before the 10th Annual Conference on Financial Market Regulation Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:May 2023 Date: Title: CFMR 2023 Keynote - Finance and the Unexpected (PDF) Speaker: Jessica Wachter, Chief Economist and Director of the Division of Economic and Risk Analysis
Type:Speech
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: Office Hours with Gary Gensler: Crypto Platforms & Securities Laws Speaker: Chair Gary Gensler
Type:Video Transcript
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:May 2023 Date: Title: “The ‘90s: Rom-coms, the Spice Girls, & MFA:” Remarks Before the Managed Funds Association Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:April 2023 Date: Title: Tow Truck Taxonomies: Remarks before Eurofi Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:April 2023 Date: Title: Remarks at the 42nd Annual Small Business Forum Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:April 2023 Date: Title: Capital On-Ramps: Remarks at the SEC’s 42nd Annual Small Business Forum – Exploring the Early-Stage Landscape: Trends and Strategies in Capital Raising Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:April 2023 Date: Title: Prepared Remarks Before the 2023 42nd Annual Small Business Forum Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:April 2023 Date: Title: Remarks before the Financial Stability Oversight Council Financial Stability Risks & Guidance on Nonbank Determinations Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:April 2023 Date: Title: Video Message: Chair Gary Gensler Marks 2nd Year at the U.S. Securities and Exchange Commission Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:April 2023 Date: Title: Strengthening Our Partnership with States and Other Jurisdictions to Protect Investors and Promote Market Integrity Speaker: Commissioner Jaime Lizárraga
Type:Speech
Published date grouping:April 2023 Date: Title: Testimony of Chair Gary Gensler before the United States House of Representatives Committee on Financial Services Speaker: Chair Gary Gensler
Type:Testimony
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: Office Hours with Gary Gensler: Money Market Funds Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:April 2023 Date: Title: Escaping the Data Swamp: Remarks before the RegTech 2023 Data Summit Speaker: Commissioner Hester M. Peirce
Type:Speech
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: Fixed Income and Options: The Other Market Structures
Remarks at the Fixed Income Forum Spring Roundtable
Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
Published date grouping:March 2023 Date: Title: Opening Remarks before the SEC 2023 Investor Advocacy Clinic Speaker: Chair Gary Gensler
Type:Speech
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: Testimony at Hearing before the Subcommittee on Financial Services and General Government Speaker: Chair Gary Gensler
Type:Testimony
Published date grouping:March 2023 Date: Title: Office Hours with Gary Gensler: Order Execution Speaker: Chair Gary Gensler
Type:Video Transcript
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: Remarks at the ICI Investment Management Conference Speaker: William Birdthistle, Director, Division of Investment Management
Type:Speech
Published date grouping:March 2023 Date: Title: Remarks to Investment Company Institute 2023 Investment Management Conference Speaker: Commissioner Mark T. Uyeda
Type:Speech
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:March 2023 Date: Title: Office Hours with Gary Gensler: Tick Sizes Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:March 2023 Date: Title: Meeting the Challenges and Fulfilling The Promise of Global Financial Markets: Remarks before the Institute of International Bankers Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:March 2023 Date: Title: Remarks at the “Going Public in the 2020s” Conference

Columbia Law School/Business School Program in the Law and Economics of Capital Markets
Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:March 2023 Date: Title: Prepared Remarks Before the Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:March 2023 Date: Title: Remarks at Meeting of the SEC Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:March 2023 Date: Title: Remarks at the Meeting of the SEC Investor Advisory Committee (IAC) Speaker: Commissioner Jaime Lizárraga
Type:Speech
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: Office Hours with Gary Gensler: Order Competition Rule Speaker: Chair Gary Gensler
Type:Video Transcript
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: Office Hours with Gary Gensler: What is a Qualified Custodian Speaker: Chair Gary Gensler
Type:Video Transcript
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: Office Hours with Gary Gensler: Staking-as-a-Service Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:February 2023 Date: Title: Prepared Remarks Before the Small Business Capital Formation Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:February 2023 Date: Title: Remarks to the Small Business Capital Formation Advisory Committee Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:February 2023 Date: Title: Remarks at the Small Business Advisory Committee Meeting Speaker: Commissioner Jaime Lizárraga
Type:Speech
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: Big “Issues” in the Small Business Safe Harbor: Remarks at the 50th Annual Securities Regulation Institute Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
Published date grouping:January 2023 Date: Title: Remarks at the California ‘40 Acts Group Speaker: Commissioner Mark T. Uyeda
Type:Speech
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: Office Hours with Gary Gensler: SEC’s Best Execution Proposal Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:January 2023 Date: Title: Outdated: Remarks before the Digital Assets at Duke Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
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: Office Hours with Gary Gensler: Equity Market Structure Reform Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:January 2023 Date: Title: Office Hours with Gary Gensler: Crypto Lending Platforms Speaker: Chair Gary Gensler
Type:Video Transcript
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: Prepared Remarks Before the Financial Stability Oversight Council: LIBOR Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:December 2022 Date: Title: Prepared Remarks Before the Financial Stability Oversight Council: Annual Report Speaker: Chair Gary Gensler
Type:Speech
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: Remarks Before the Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:December 2022 Date: Title: Remarks at Meeting of the SEC Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:December 2022 Date: Title: It’s Not Just Scope 3: Remarks at the American Enterprise Institute Speaker: Commissioner Hester M. Peirce
Type:Speech
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: Remarks at the ICI Global Asset Management Asia Forum Speaker: Commissioner Mark T. Uyeda
Type:Speech
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: Remarks at the 2022 Cato Summit on Financial Regulation Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:November 2022 Date: Title: Digital Assets: Putting Investors First Speaker: Commissioner Jaime Lizárraga
Type:Speech
Published date grouping:November 2022 Date: Title: “The Beatles and the Treasury Market”: Remarks Before the U.S. Treasury Market Conference Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:November 2022 Date: Title: Remarks at Securities Enforcement Forum Speaker: Gurbir S. Grewal, Director, Division of Enforcement
Type:Speech
Published date grouping:November 2022 Date: Title: There’s a Fund for That: Remarks before FINRA’s Certified Regulatory and Compliance Professional Dinner Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:November 2022 Date: Title: “Good Counsellors”: Remarks Before the Investment Adviser/Investment Company National Seminar: Compliance Outreach Program Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:November 2022 Date: Title: 2022 SEC Regulation Outside the United States - Scott Friestad Memorial Keynote Address Speaker: William Birdthistle, Director, Division of Investment Management
Type:Speech
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:November 2022 Date: Title: “This Law and Its Effective Administration”: Remarks Before the Practising Law Institute’s 54th Annual Institute on Securities Regulation Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:October 2022 Date: Title: Office Hours with Gary Gensler: Cybersecurity & Cyber Hygiene in the Financial Sector Speaker: Chair Gary Gensler
Type:Video Transcript
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: Remarks at the Georgetown Law Hotel and Lodging Summit Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:October 2022 Date: Title: “Competition and the Two SECs” Remarks Before the SIFMA Annual Meeting Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:October 2022 Date: Title: Moving Forward in Our Lane: Remarks at the Inaugural ECGI Responsible Capitalism Summit Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
Published date grouping:October 2022 Date: Title: Remarks at the APABA-DC Awards and Installation Reception Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:October 2022 Date: Title: Meeting Investor Demand for High Quality ESG Data Speaker: Commissioner Jaime Lizárraga
Type:Speech
Published date grouping:October 2022 Date: Title: Raising the Bar on Diversity, Equity and Inclusion Speaker: Commissioner Jaime Lizárraga
Type:Speech
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: Remarks Before the Small Business Capital Formation Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
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: Remarks to the Small Business Capital Formation Advisory Committee Speaker: Commissioner Mark T. Uyeda
Type:Speech
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:October 2022 Date: Title: Office Hours with Gary Gensler: Use Caution with Celebrity Endorsements of Investment Products Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:October 2022 Date: Title: Statement on Financial Stability Oversight Council’s Report on Digital Asset Financial Stability Risks and Regulation Before the Financial Stability Oversight Council Open Meeting Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:September 2022 Date: Title: Remarks at the Association of Asian American Investment Managers Elevate 2022 Keynote Lunch Program Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:September 2022 Date: Title: Remarks to the Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
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: Opening Remarks to the Institute for Inclusion in the Legal Profession Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:September 2022 Date: Title: Oral Testimony of Gary Gensler Before the United States Senate Committee on Banking, Housing, and Urban Affairs Speaker: Chair Gary Gensler
Type:Testimony
Published date grouping:September 2022 Date: Title: Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs Speaker: Chair Gary Gensler
Type:Testimony
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: Remarks at SEC Speaks Speaker:

Sanjay Wadhwa, Deputy Director of Enforcement

Type:Speech
Published date grouping:September 2022 Date: Title: Remarks at the “SEC Speaks” Conference 2022 Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:September 2022 Date: Title: Remarks at SEC Speaks 2022 Speaker: Gurbir S. Grewal, Director, Division of Enforcement
Type:Speech
Published date grouping:September 2022 Date: Title: Federal Securities Laws: Closed-Book or Open-Book Exam? - Remarks at SEC Speaks 2022 Speaker:

Sebastian Gomez Abero, Deputy Director, Office of the Advocate for Small Business Capital Formation
 

Type:Speech
Published date grouping:September 2022 Date: Title: Prepared Remarks of Gary Gensler “Kennedy and Crypto” At SEC Speaks Speaker: Chair Gary Gensler
Type:Speech
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: Office Hours with Gary Gensler: What is Short Selling? Speaker: Chair Gary Gensler
Type:Video Transcript
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:August 2022 Date: Title: Office Hours with Gary Gensler: What Did the Sarbanes-Oxley Act Do? Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:August 2022 Date: Title: Prepared Remarks Before the Small Business Capital Formation Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:August 2022 Date: Title: Remarks to the Small Business Capital Formation Advisory Committee Speaker: Commissioner Mark T. Uyeda
Type:Speech
Published date grouping:August 2022 Date: Title: Remarks at the Small Business Capital Formation Advisory Committee Meeting: Shining a Spotlight (or Searchlight) on Secondary Market Liquidity for Small Businesses Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:August 2022 Date: Title: Remarks at the Small Business Advisory Committee Meeting Speaker: Commissioner Jaime Lizárraga
Type:Speech
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: Office Hours with Gary Gensler: What Are Crypto Trading Platforms? Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:July 2022 Date: Title: Remarks at Financial Stability Oversight Council Meeting Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:July 2022 Date: Title: Prepared Remarks at Center for Audit Quality “Sarbanes-Oxley at 20: The Work Ahead” Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:July 2022 Date: Title: Remarks at PLI: Investment Management 2022 Speaker: William Birdthistle, Director, Division of Investment Management
Type:Speech
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:July 2022 Date: Title: Office Hours with Gary Gensler: The U.S. Treasury Markets Explained Speaker: Chair Gary Gensler
Type:Video Transcript
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: On the Spot:
Remarks at “Regulatory Transparency Project Conference on Regulating the New Crypto Ecosystem: Necessary Regulation or Crippling Future Innovation?”
Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:June 2022 Date: Title: Remarks at Meeting of the SEC Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:June 2022 Date: Title: Remarks Before the Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
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: Office Hours with Gary Gensler: Why Does the SEC Take Time When Developing Public Policies? Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:June 2022 Date: Title: “Market Structure and the Retail Investor:” Remarks Before the Piper Sandler Global Exchange Conference Speaker: Chair Gary Gensler
Type:Speech
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:May 2022 Date: Title: Resolving the Lack of Audit Transparency in China and Hong Kong: Remarks at the International Council of Securities Associations (ICSA) Annual General Meeting Speaker:

YJ Fischer, Director, Office of International Affairs

Type:Speech
Published date grouping:May 2022 Date: Title: Video Message from Gary Gensler: Top 10 Investment Tips for College Students Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:May 2022 Date: Title: Office Hours with Gary Gensler: Investment Professionals & Investor Protection Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:May 2022 Date: Title: Office Hours with Gary Gensler: SEC Climate-Related Disclosure Proposal Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:May 2022 Date: Title: Testimony at Hearing before the Subcommittee on Financial Services and General Government U.S. House Appropriations Committee Speaker: Chair Gary Gensler
Type:Testimony
Published date grouping:May 2022 Date: Title: “Investor Protection in a Digital Age," Remarks Before the 2022 NASAA Spring Meeting & Public Policy Symposium Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:May 2022 Date: Title: Remarks at Securities Enforcement Forum West 2022 Speaker: Gurbir S. Grewal, Director, Division of Enforcement
Type:Speech
Published date grouping:May 2022 Date: Title: “A ‘New’ New Era:” Prepared Remarks Before the International Swaps and Derivatives Association Annual Meeting Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:May 2022 Date: Title: Remarks at SEC Small Business Capital Formation Advisory Committee Meeting Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:May 2022 Date: Title: Remarks Before the Small Business Capital Formation Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:May 2022 Date: Title: Prepared Remarks Before the Annual Conference on Financial Market Regulation - "A Century with a Gold Standard" Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:April 2022 Date: Title: Remarks at Virtual Roundtable on the Future of Going Public and Expanding Investor Opportunities: A Comparative Discussion on IPOs and the Rise of SPACs Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
Published date grouping:April 2022 Date: Title: Closing Remarks to the Older Investor Roundtable Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:April 2022 Date: Title: Remarks before the Older Investor Roundtable Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:April 2022 Date: Title: “The Name’s Bond:" Remarks at City Week Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:April 2022 Date: Title: Video Message from Gary Gensler: Financial Capability Month Speaker: Chair Gary Gensler
Type:Video Transcript
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: Remarks Before the Reuters Events’ Responsible Business USA 2022 Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:April 2022 Date: Title: Grading the Regulators and Homework for the Teachers: Remarks at Symposium on Private Firms: Reporting, Financing, and the Aggregate Economy at the University of Chicago Booth School of Business Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
Published date grouping:April 2022 Date: Title: "Working On ‘Team Cyber’" - Remarks Before the Joint Meeting of the Financial and Banking Information Infrastructure Committee (FBIIC) and the Financial Services Sector Coordinating Council (FSSCC) Speaker: Chair Gary Gensler
Type:Speech
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: “Building Upon a Long Tradition” - Remarks before the Ceres Investor Briefing Speaker: Chair Gary Gensler
Type:Speech
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: Remarks at 2022 Small Business Forum Speaker: Commissioner Hester M. Peirce
Type:Speech
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:April 2022 Date: Title: Prepared Remarks of Gary Gensler On Crypto Markets
Penn Law Capital Markets Association Annual Conference
Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:April 2022 Date: Title: Rethinking Capital Raising Policy: Opening Remarks at the SEC’s Small Business Forum Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:April 2022 Date: Title: Prepared Remarks Before the 2022 41st Annual Small Business Forum Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:April 2022 Date: Title: Is that a Fish Behind the Wheel? Remarks before the University of Central Florida’s Inaugural FinTech Summit Speaker: Commissioner Hester M. Peirce
Type:Speech
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: Prepared Remarks Before the 2022 SEC Investor Advocacy Clinic Summit Speaker: Chair Gary Gensler
Type:Speech
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 Proposal to Enhance Investor Protections in SPACs Speaker: Commissioner Allison Herren Lee
Type:Speech
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: Remarks at the ICI Investment Management Conference Speaker: William Birdthistle, Director, Division of Investment Management
Type:Speech
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: Prepared Remarks before the Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
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:March 2022 Date: Title: The Shareholder Proposal Rule: A Cornerstone of Corporate Democracy Speaker: Renee Jones , Former Director, Division of Corporation Finance
Type:Speech
Published date grouping:March 2022 Date: Title: Send Lawyers, Guns and Money: (Over-) Zealous Representation by Corporate Lawyers Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:March 2022 Date: Title: Office Hours with Gary Gensler: Dark Pools, Payment for Order Flow & Market Structure Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:March 2022 Date: Title: Remarks at the IAA Investment Adviser Compliance Conference Speaker: William Birdthistle, Director, Division of Investment Management
Type:Speech
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: Audit Regulators and Cliff Hangers Speaker: Commissioner Hester M. Peirce
Type:Speech
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 Before the Small Business Capital Formation Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
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: Office Hours with Gary Gensler: Why Do Private Funds Matter? Speaker: Chair Gary Gensler
Type:Video Transcript
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:February 2022 Date: Title: Statement before the Financial Stability Oversight Council on Money Market Funds, Open-End Bond Funds, and Hedge Funds Speaker: Chair Gary Gensler
Type:Speech
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: Office Hours with Gary Gensler: Cybersecurity and Securities Laws Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:January 2022 Date: Title: Remarks on Cybersecurity and Securities Laws at the Northwestern University Pritzker School of Law Speaker: Chair Gary Gensler
Type:Speech
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:January 2022 Date: Title: Prepared Remarks: “Dynamic Regulation for a Dynamic Society” Before the Exchequer Club of Washington, D.C. Speaker: Chair Gary Gensler
Type:Speech
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: Statements at the Financial Stability Oversight Council Meeting Speaker: Chair Gary Gensler
Type:Speech
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: Office Hours with Gary Gensler: What is a SPAC Anyway? Speaker: Chair Gary Gensler
Type:Video Transcript
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: Office Hours with Gary Gensler: Rule 10b5-1 Insider Trading Plans & Material Nonpublic Information Speaker: Chair Gary Gensler
Type:Video Transcript
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: Virtual Remarks at the Center for American Progress and Sierra Club: Down the Rabbit Hole of Climate Pledges Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
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: Remarks Before the Healthy Markets Association Conference Speaker: Chair Gary Gensler
Type:Speech
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:December 2021 Date: Title: Remarks before the Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:November 2021 Date: Title: Video Message from Gary Gensler: National Entrepreneurship Month Speaker: Chair Gary Gensler
Type:Video Transcript
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: Office Hours with Gary Gensler: Universal Proxy Cards in Contested Director Elections Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:November 2021 Date: Title: Prepared Remarks at U.S. Treasury Market Conference Speaker: Chair Gary Gensler
Type:Speech
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: Remarks at the PepsiCo-PwC CPE Conference: Controlling Internal Controls Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
Published date grouping:November 2021 Date: Title: Prepared Remarks at the Small Business Capital Formation Advisory Committee Meeting Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:November 2021 Date: Title: The Lessons of Structured Data Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
Published date grouping:November 2021 Date: Title: Prepared Remarks At the Institutional Limited Partners Association Summit Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:November 2021 Date: Title: Remarks at Interagency Convening on Equitable Economic Growth Speaker: Chair Gary Gensler
Type:Speech
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: 2021 SEC Regulation Outside the United States - Scott Friestad Memorial Keynote Address Speaker: Gurbir S. Grewal, Director, Division of Enforcement
Type:Speech
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: Prepared Remarks At the Securities Enforcement Forum Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:November 2021 Date: Title: A Call to Action: Recommendations for Complying with Reg BI
Remarks at the ALI CLE 2021 Conference on Life Insurance Company Products
Speaker: Commissioner Allison Herren Lee
Type:Speech
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 the Asset Management Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
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: Prepared Remarks Before the SIFMA Annual Meeting Speaker: Chair Gary Gensler
Type:Speech
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: Cybersecurity: Meeting the Emerging Challenge Speaker: Commissioner Elad L. Roisman
Type:Speech
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: Office Hours with Gary Gensler: What Does Market Plumbing Have to Do With Meme Stocks? Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:October 2021 Date: Title: Inside Chicken: Remarks before Fordham Journal of Corporate and Financial Law Conference: “Here to Stay: Wrestling with the Future of the Quickly Maturing SPAC Market” Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:October 2021 Date: Title: Statement Before the Financial Stability Oversight Council Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:October 2021 Date: Title: Prepared Remarks At DC Fintech Week Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:October 2021 Date: Title: Remarks at the PRI/LSEG Investor Action on Climate Webinar Speaker: Commissioner Allison Herren Lee
Type:Speech
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: Enhancing Equity Market Competition Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:October 2021 Date: Title: Office Hours with Gary Gensler: Clawbacks Rule & Incentive-Based Executive Compensation Speaker: Chair Gary Gensler
Type:Video Transcript
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: Banner Year in the Markets Solves Capital Raising Woes: Headline Clickbait and the Real Story of Access to Capital Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Speech
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: Investor Protection in the Age of Gamification: Game Over for Regulation Best Interest? Speaker: Rick Fleming, Investor Advocate
Type:Speech
Published date grouping:October 2021 Date: Title: Remarks at SEC Speaks 2021 Speaker: Gurbir S. Grewal, Director, Division of Enforcement
Type:Speech
Published date grouping:October 2021 Date: Title: Digital Asset Securities – Common Goals and a Bridge to Better Outcomes Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
Published date grouping:October 2021 Date: Title: Going Dark: The Growth of Private Markets and the Impact on Investors and the Economy Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:October 2021 Date: Title: Remarks at SEC Speaks Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:October 2021 Date: Title: Prepared Remarks at SEC Speaks Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:October 2021 Date: Title: Lawless in Austin Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:October 2021 Date: Title: Office Hours with Gary Gensler: What is Proxy Voting? Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:October 2021 Date: Title: PLI Broker/Dealer Regulation and Enforcement 2021 Speaker: Gurbir S. Grewal, Director, Division of Enforcement
Type:Speech
Published date grouping:October 2021 Date: Title: Testimony Before the United States House of Representatives Committee on Financial Services Speaker: Chair Gary Gensler
Type:Testimony
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: Prepared Remarks Before The Future of Asset Management North America Conference Speaker: Chair Gary Gensler
Type:Speech
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: Prepared Remarks Before the Small Business Capital Formation Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:September 2021 Date: Title: Prepared Remarks Before the Asset Management Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:September 2021 Date: Title: Assessing the Unknown Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
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: Remarks Before the Alternative Reference Rates Committee’s SOFR Symposium Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:September 2021 Date: Title: Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs Speaker: Chair Gary Gensler
Type:Testimony
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: Prepared Remarks Before the Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
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:September 2021 Date: Title: Remarks before the European Parliament Committee on Economic and Monetary Affairs Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:August 2021 Date: Title: Office Hours with Gary Gensler: Request for Comment on Digital Engagement Practices Speaker: Chair Gary Gensler
Type:Video Transcript
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: Office Hours with Gary Gensler: The SEC & Cryptocurrencies Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:August 2021 Date: Title: Office Hours with Gary Gensler: The SEC, China, & Offshore Shell Companies Speaker: Chair Gary Gensler
Type:Video Transcript
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: Remarks Before the Aspen Security Forum Speaker: Chair Gary Gensler
Type:Speech
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: Prepared Remarks for National Whistleblower Day Celebration Speaker: Chair Gary Gensler
Type:Speech
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: Office Hours with Gary Gensler: Climate Speaker: Chair Gary Gensler
Type:Video Transcript
Published date grouping:July 2021 Date: Title: Prepared Remarks Before the Principles for Responsible Investment “Climate and Global Financial Markets” Webinar Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:July 2021 Date: Title: Prosperity’s Door Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:July 2021 Date: Title: Prepared Remarks of Gary Gensler, Chair of the Securities and Exchange Commission, Before the American Bar Association Derivatives and Futures Law Committee Virtual Mid-Year Program Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:July 2021 Date: Title: Chocolate-Covered Cicadas Speaker: Commissioner Hester M. Peirce
Type:Speech
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: Prepared Remarks Before the Asset Management Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
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: Climate, ESG, and the Board of Directors: “You Cannot Direct the Wind, But You Can Adjust Your Sails” Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:June 2021 Date: Title: Prepared remarks at London City Week Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:June 2021 Date: Title: Can the SEC Make ESG Rules that are Sustainable? Speaker: Commissioner Elad L. Roisman
Type:Speech
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: Prepared Remarks Before the Financial Stability Oversight Council - LIBOR Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:June 2021 Date: Title: Prepared Remarks Before the Financial Stability Oversight Council - Money Market Funds Speaker: Chair Gary Gensler
Type:Speech
Published date grouping:June 2021 Date: Title: Prepared Remarks at the Meeting of SEC Investor Advisory Committee Speaker: Chair Gary Gensler
Type:Speech
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: Prepared Remarks at the Global Exchange and FinTech Conference Speaker: Chair Gary Gensler
Type:Speech
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: Remarks at CFO Network Summit Speaker: Chair Gary Gensler
Type:Speech
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: Putting the Electric Cart before the Horse:[1] Addressing Inevitable Costs of a New ESG Disclosure Regime Speaker: Commissioner Elad L. Roisman
Type:Speech
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 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: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:May 2021 Date: Title: Remarks Before Eighth Annual Conference on Financial Market Regulation Speaker: Chair Gary Gensler
Type:Speech
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: Testimony Before the Subcommittee on Financial Services and General Government Speaker: Chair Gary Gensler
Type:Testimony
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: Living in a Material World: Myths and Misconceptions about “Materiality” Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:May 2021 Date: Title: Leveraging Regulatory Cooperation to Protect America’s Investors Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:May 2021 Date: Title: Remarks at 2021 FINRA Annual Conference Speaker: Chair Gary Gensler
Type:Speech
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: Mind the (Data) Gaps Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
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:May 2021 Date: Title: Testimony Before the House Committee on Financial Services Speaker: Chair Gary Gensler
Type:Testimony
Published date grouping:April 2021 Date: Title: Prepared Remarks at SEC Small Business Capital Formation Advisory Committee Meeting Speaker: Chair Gary Gensler
Type:Speech
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: Werewolves of Change:
Remarks before the ISDA Derivatives Trading Forum on Regulatory Change
Speaker: Commissioner Hester M. Peirce
Type:Speech
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: Statement at the Meeting of the Asset Management Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:March 2021 Date: Title: Every Vote Counts: The Importance of Fund Voting and Disclosure Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:March 2021 Date: Title: Paper, Plastic, Peer-to-Peer Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:March 2021 Date: Title: A Climate for Change: Meeting Investor Demand for Climate and ESG Information at the SEC Speaker: Commissioner Allison Herren Lee
Type:Speech
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 Speaker:

Division of Investment Management Staff

Type:Statement
Published date grouping:March 2021 Date: Title: ESG Disclosure – Keeping Pace with Developments Affecting Investors, Public Companies and the Capital Markets Speaker: John Coates, Acting Director, Division of Corporation Finance
Type:Statement
Published date grouping:March 2021 Date: Title: Remarks at Investor Advisory Committee Meeting Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:March 2021 Date: Title: Moving Forward Together – Enforcement for Everyone Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
Published date grouping:March 2021 Date: Title: Enhancing Focus on the SEC’s Enhanced Climate Change Efforts Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Type:Statement
Published date grouping:March 2021 Date: Title: Small World Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:February 2021 Date: Title: Statement on the Review of Climate-Related Disclosure Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:February 2021 Date: Title: Atomic Trading Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:February 2021 Date: Title: Joint Statement on the Departure of Sagar Teotia Speaker: Commissioner Allison Herren Lee
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:February 2021 Date: Title: Statement of Commissioners Hester M. Peirce and Elad L. Roisman on Contingent Settlement Offers Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Type:Statement
Published date grouping:February 2021 Date: Title: Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:February 2021 Date: Title: Statement of Acting Chair Allison Herren Lee on Empowering Enforcement to Better Protect Investors Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:February 2021 Date: Title: Statement on Director Dalia Blass Departing from the Division of Investment Management Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:January 2021 Date: Title: Remarks at the Meeting of the Small Business Capital Formation Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:January 2021 Date: Title: Remarks at Meeting of SEC Small Business Capital Formation Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:January 2021 Date: Title: Remarks at the Meeting of the Small Business Capital Formation Advisory Committee Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:January 2021 Date: Title: Statement of Acting Chair Lee and Commissioners Peirce, Roisman, and Crenshaw Regarding Recent Market Volatility Speaker:

Acting Chair Allison Herren Lee
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Caroline A. Crenshaw

Type:Statement
Published date grouping:January 2021 Date: Title: Joint Statement Regarding Ongoing Market Volatility Speaker:

Acting Chair Allison Herren Lee
Pete Driscoll, Director, Division of Examinations
Christian Sabella, Acting Director, Division of Trading and Markets

Type:Statement
Published date grouping:January 2021 Date: Title: EC Adopts Equivalence Decision With Respect to SEC Regulatory Framework for Central Counterparties Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:January 2021 Date: Title: Statement on Federal Reserve Board’s Proposed Collection of U.S. Treasury Transaction Data Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:January 2021 Date: Title: Statement on Designation of Commissioner Lee as Acting Chairman Speaker:

Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Caroline A. Crenshaw

Type:Statement
Published date grouping:January 2021 Date: Title: UK ICO Provides Clarity Regarding Transfers of Personal Data to the SEC Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:January 2021 Date: Title: Statement on FINRA’s Corporate Bond New Issue Reference Data Proposal Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:January 2021 Date: Title: Concurrence in the Matter of Wireline, Inc. Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:January 2021 Date: Title: Statement on Chief Economist S.P. Kothari Concluding His Tenure at SEC Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:January 2021 Date: Title: Statement on SEC General Counsel Bob Stebbins Concluding His Tenure Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:January 2021 Date: Title: Statement on Proposed 2011 Fraud-Detection Program and Related 2012 Opinion of the DOJ Office of Legal Counsel Speaker:

Acting Chairman Elad L. Roisman
Commissioner Hester M. Peirce
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw

Type:Statement
Published date grouping:December 2020 Date: Title: Farewell Statement Speaker:

Stephanie Avakian, Director, Division of Enforcement

Type:Statement
Published date grouping:December 2020 Date: Title: Commission Statement on the Passing of Jacob Stillman Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on the Departure of Chairman Jay Clayton Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on Designation of Commissioner Roisman as Acting Chairman Speaker: Commissioner Hester M. Peirce
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:December 2020 Date: Title: Staff Statement Regarding Nasdaq Rule Proposal Speaker: Brett Redfearn, Director, Division of Trading and Markets
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on the Tenure of SEC Chairman Jay Clayton Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:December 2020 Date: Title: Statement of SEC Chairman Jay Clayton Regarding the Conclusion of His Tenure Speaker: Jay Clayton
Type:Statement
Published date grouping:December 2020 Date: Title: Staff Statement on the President’s Working Group Report on Money Market Funds Speaker: Dalia Blass, Director, Division of Investment Management
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on Primary Direct Listings Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on the Proposed Amendment to Rule 144 Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on NYSE Primary Direct Listing Proposal Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on the Investment Adviser Marketing Final Rule Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on the New Marketing Rule for Investment Advisers Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:December 2020 Date: Title: Investment Adviser Marketing - Past Proposals are Not Necessarily Indicative of Future Adoptions Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on the Fixed Income Market Structure Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on Recent and Upcoming Regulation Best Interest Examinations from the SEC Division of Examinations Speaker:

Division of Examinations Staff

Type:Statement
Published date grouping:December 2020 Date: Title: Statement after the Enactment of the Holding Foreign Companies Accountable Act Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on the Renaming of the Office of Compliance Inspections and Examinations to the Division of Examinations Speaker: Chairman Jay Clayton
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:December 2020 Date: Title: Consolidated Audit Trail: Focus on Effective Implementation Puts CAT on Track Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on Adoption of Resource Extraction Disclosure Rules Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2020 Date: Title: Statement at Open Meeting on Disclosure of Payments by Resource Extraction Issuers Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2020 Date: Title: Statement at Open Meeting on Disclosure of Payments by Resource Extraction Issuers Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on Rules Governing the Disclosure of Payments by Resource Extraction Issuers Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on Resource Extraction Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:December 2020 Date: Title: Statement of Dissent from the Commission’s Order Approving the Financial Industry Regulatory Authority’s Proposed Rule Change, as Modified by Amendment No. 1, to Address Brokers with a Significant History of Misconduct Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on the Departure of Director Stephanie Avakian Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:December 2020 Date: Title: Remarks to The Federalist Society’s Capital Conversations: A Teleforum Series Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:December 2020 Date: Title: Statement on Adoption of Market Data Infrastructure Rules under Regulation NMS Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2020 Date: Title: Market Data Infrastructure: Open Meeting Statement Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2020 Date: Title: Statement at Open Commission Meeting to Adopt Market Data Infrastructure Rules under Regulation NMS Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:December 2020 Date: Title: Roadwork Ahead: Upgrading Market Data Infrastructure Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on Market Data Infrastructure Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on Bob Stebbins Concluding His Tenure at SEC Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on OCA’s Focus on High-Quality Financial Reporting During an Unusual Year and a Discussion of our Upcoming Priorities Speaker:

Sagar Teotia, Chief Accountant

Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Kevin Cherrstrom, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Geoff Griffin, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Jeffery Joseph, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Sheena Lam, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Jeffrey Nick, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Jillian Pearce, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments Speaker: Damon Romano, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2020 Date: Title: Statement on the Departure of Bill Hinman Speaker: Chairman Jay Clayton
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:December 2020 Date: Title: Statement at FSOC Open Meeting Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2020 Date: Title: Statement on Good Faith Determinations of Fair Value under the Investment Company Act of 1940 Final Rule Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2020 Date: Title: Remarks at Meeting of SEC Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2020 Date: Title: Opening Remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2020 Date: Title: Opening remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2020 Date: Title: Statement at the Meeting of the Asset Management Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:December 2020 Date: Title: Remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee Speaker: Dalia Blass, Director, Division of Investment Management
Type:Statement
Published date grouping:November 2020 Date: Title: Statement on Developments Related to the LIBOR Transition Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:November 2020 Date: Title: Statement on Third Meeting with Audit Firm Representatives Regarding Audit Quality in Emerging Markets and Recent Developments Speaker:

SEC Chairman Jay Clayton
SEC Chief Accountant Sagar Teotia
PCAOB Chairman William D. Duhnke III

Type:Statement
Published date grouping:November 2020 Date: Title: Statement on Proposed Temporary Rules to Include Certain “Platform Workers” in Compensatory Offerings under Rule 701 and Form S-8 Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Type:Statement
Published date grouping:November 2020 Date: Title: Joint Statement on the Proposal to Facilitate Non-Cash Compensation for Certain Gig Workers Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:November 2020 Date: Title: Joint Statement on Amendments to Regulation S-K: Management’s Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:November 2020 Date: Title: Putting Principles into Practice, the SEC from 2017-2020
Remarks to the Economic Club of New York
Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:November 2020 Date: Title: The Role of the CCO – Empowered, Senior and With Authority Speaker:

Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations

Type:Speech
Published date grouping:November 2020 Date: Title: The Regulation of Corporation Finance – A Principles-Based Approach Speaker: William Hinman, Director, Division of Corporation Finance
Type:Speech
Published date grouping:November 2020 Date: Title: The Promise of Structured Data: True Modernization of Disclosure Effectiveness Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:November 2020 Date: Title: Testimony on “Oversight of the Securities and Exchange Commission” Speaker: Chairman Jay Clayton
Type:Testimony
Published date grouping:November 2020 Date: Title: Statement on Departure of Chairman Jay Clayton Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:November 2020 Date: Title: Statement on Recent Enforcement Matters Involving “VIX-Related” and Other Complex Exchange Traded Products (ETPs) from the SEC Office of Compliance Inspections and Examinations Speaker:

Office of Compliance Inspections and Examinations Staff

Type:Statement
Published date grouping:November 2020 Date: Title: Statement of Commissioners Hester M. Peirce and Elad L. Roisman - Andeavor LLC Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Type:Statement
Published date grouping:November 2020 Date: Title: Statement on Staff Bulletin Related to Risks Associated with Offshore Omnibus Accounts Transacting in “Penny Stocks” and other Low-Priced U.S. Securities Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:November 2020 Date: Title: Keynote Address: ALI CLE 2020 Conference on Life Insurance Company Products Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:November 2020 Date: Title: Staff Statement on WY Division of Banking’s “NAL on Custody of Digital Assets and Qualified Custodian Status” Speaker:

Division of Investment Management Staff in Consultation with FinHub Staff

Type:Statement
Published date grouping:November 2020 Date: Title: Remarks: Small Business Capital Formation Advisory Committee Meeting Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:November 2020 Date: Title: Remarks at Meeting of the SEC Small Business Capital Formation Advisory Committee, Proposed Conditional Exemption for Finders; COVID-19 Updates and Discussion Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:November 2020 Date: Title: Remarks at the November 5, 2020 Meeting of the Asset Management Advisory Committee Speaker: Dalia Blass, Director, Division of Investment Management
Type:Statement
Published date grouping:November 2020 Date: Title: Playing the Long Game: The Intersection of Climate Change Risk and Financial Regulation Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:November 2020 Date: Title: Opening remarks at the November 5, 2020 Meeting of the Asset Management Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:November 2020 Date: Title: Opening Remarks at the November 5, 2020 Special Meeting of the Asset Management Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:November 2020 Date: Title: Statement on Harmonizing, Simplifying and Improving the Exempt Offering Framework; Benefits to Small and Medium-Sized Business and Their Investors Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:November 2020 Date: Title: Statement at Open Meeting on Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:November 2020 Date: Title: Statement at Open Meeting on Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:November 2020 Date: Title: Statement on Amendments to the Exempt Offering Framework Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:November 2020 Date: Title: Statement on Harmonization of Securities Offering Exemptions Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:October 2020 Date: Title: Modernizing the Regulatory Framework for Funds’ Use of Derivatives Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:October 2020 Date: Title: Opening Statement on Use of Derivatives by Registered Investment Companies and Business Development Companies Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:October 2020 Date: Title: Statement on Regulation of Funds' Use of Derivatives Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:October 2020 Date: Title: Statement on the Final Rule on Funds' Use of Derivatives Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:October 2020 Date: Title: Statement on Funds' Use of Derivatives Speaker: Commissioner Caroline A. Crenshaw
Type:Speech
Published date grouping:October 2020 Date: Title: Statement on Funds' Use of Derivatives Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:October 2020 Date: Title: Joint Statement Regarding Complex Financial Products and Retail Investors Speaker:

Chairman Jay Clayton;

Dalia Blass, Director, Division of Investment Management;

William Hinman, Director, Division of Corporation Finance;

Brett Redfearn, Director, Division of Trading and Markets

Type:Statement
Published date grouping:October 2020 Date: Title: Statement on Tenure of William Hinman as Director of the Division of Corporation Finance Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:October 2020 Date: Title: Statement at the SEC’s Staff Roundtable on Regulation Best Interest and Form CRS Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:October 2020 Date: Title: Joint Statement on No-Action Relief for Non-Compliance with the Customer Protection Rule Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:October 2020 Date: Title: Statement Regarding Tradenet Capital Markets Ltd. Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:October 2020 Date: Title: Statement at the IDC Conference and Governing Council meeting Speaker: Dalia Blass, Director, Division of Investment Management
Type:Statement
Published date grouping:October 2020 Date: Title: Joint Open Meeting with CFTC - Customer Margin Rules for Security Futures and Request for Comment on Uncleared Swaps and Non-cleared Security-based Swaps Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:October 2020 Date: Title: CFTC-SEC Joint Meeting Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:October 2020 Date: Title: When the Nail Fails – Remarks before the National Society of Compliance Professionals Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:October 2020 Date: Title: Promoting an Effective Auditor Independence Framework Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:October 2020 Date: Title: Who Watches the Watchers?*
Joint Statement on Auditor Independence Amendments
Speaker: Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:October 2020 Date: Title: Statement on Order Approving a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:October 2020 Date: Title: The Car Talk of Capital Raising Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:October 2020 Date: Title: Volume, Value, and Impact: Remarks by the SEC Ombudsman Speaker:

Tracey McNeil, Ombudsman

Type:Speech
Published date grouping:October 2020 Date: Title: Joint Statement Regarding New FAQs for Form CRS [1] Speaker: Chairman Jay Clayton
Dalia Blass, Director, Division of Investment Management
Brett Redfearn, Director, Division of Trading and Markets
Type:Statement
Published date grouping:October 2020 Date: Title: Investing in the Public Option: Promoting Growth in Our Public Markets
Remarks at The SEC Speaks in 2020
Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:October 2020 Date: Title: Remarks At SEC Speaks 2020 Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:October 2020 Date: Title: An Update on FY 2020 Results – Remarks at SEC Speaks Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:October 2020 Date: Title: Open Meeting on Proposed Finders Exemption – Providing Regulatory Clarity to Benefit Small Businesses Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:October 2020 Date: Title: Statement at Open Meeting on Proposed Exemptive Order for Certain Activities of Finders Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:October 2020 Date: Title: Statement at Open Meeting Considering a Proposed Exemptive Order for Finders Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:October 2020 Date: Title: Regulating in the Dark: What We Don’t Know About Finders Can Hurt Us Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:October 2020 Date: Title: Statement on Proposed Exemptive Relief for Finders Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:October 2020 Date: Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:October 2020 Date: Title: Statement of Commissioner Hester M. Peirce - Great Plains Trust Company Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:September 2020 Date: Title: Remarks at U.S. Treasury Market Conference Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:September 2020 Date: Title: Statement on Measures to Enhance the Fixed Income Markets Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:September 2020 Date: Title: Keynote Address: Regulating with our Eyes on the Future Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:September 2020 Date: Title: Remarks at the Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2020 Date: Title: Modernizing the Shareholder Proposal Framework for the Benefit of All Shareholders Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2020 Date: Title: Statement on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:September 2020 Date: Title: Statement at Open Meeting on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:September 2020 Date: Title: Statement on the Amendments to Rule 14a-8 Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:September 2020 Date: Title: Statement on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:September 2020 Date: Title: Strengthening our Whistleblower Program Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2020 Date: Title: Amendments to the Commission's Whistleblower Program Rules Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:September 2020 Date: Title: Statement on the Commission’s New and Improved Whistleblower Program Rules Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:September 2020 Date: Title: June Bug vs. Hurricane:* Whistleblowers Fight Tremendous Odds and Deserve Better Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:September 2020 Date: Title: Statement of Commissioner Caroline Crenshaw on Whistleblower Program Rule Amendments Speaker: Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:September 2020 Date: Title: Diversity Matters, Disclosure Works, and the SEC Can Do More: Remarks at the Council of Institutional Investors Fall 2020 Conference Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:September 2020 Date: Title: SEC FinHub Staff Statement on OCC Interpretation Speaker:

SEC FinHub Staff

Type:Statement
Published date grouping:September 2020 Date: Title: Commission Statement on the Passing of Justice Ruth Bader Ginsburg Speaker: Chairman Jay Clayton
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw
Type:Statement
Published date grouping:September 2020 Date: Title: Remarks at the 7th Annual Conference on Financial Market Regulation Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:September 2020 Date: Title: Investor-Focused, Nimble and Vigorous Enforcement at the SEC Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:September 2020 Date: Title: Protecting Everyday Investors and Preserving Market Integrity: The SEC’s Division of Enforcement Speaker:

Stephanie Avakian, Director, Division of Enforcement

Type:Speech
Published date grouping:September 2020 Date: Title: Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset Management in ESG Investing Hosted By Harvard Law School and the Program on International Financial Systems Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:September 2020 Date: Title: Statement on the Adoption of Amendments to Exchange Act Rule 15c2-11 Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:September 2020 Date: Title: Statement on Commission Action to Enhance Investor Protections in the OTC Market Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2020 Date: Title: Statement at the SEC Regulation Think-In 2020 Conference Speaker: Dalia Blass, Director, Division of Investment Management
Type:Statement
Published date grouping:September 2020 Date: Title: Statement on Adoption of Amendments to Rule 15c2-11 Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:September 2020 Date: Title: Statement at the Meeting of the Asset Management Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:September 2020 Date: Title: Opening Remarks at the September 16, 2020 Meeting of the Asset Management Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2020 Date: Title: Remarks at the September 16, 2020 Meeting of the Asset Management Advisory Committee Speaker: Dalia Blass, Director, Division of Investment Management
Type:Statement
Published date grouping:September 2020 Date: Title: Statement on SEC Settlement Charging Token Issuer with Violation of Registration Provisions of the Securities Act of 1933 Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:September 2020 Date: Title: Testimony before the Subcommittee on Diversity and Inclusion, Committee on Financial Services Speaker: Pamela Gibbs, Director, Office of Minority and Women Inclusion
Type:Testimony
Published date grouping:August 2020 Date: Title: Markets, Morality, and Mobsters: Remarks at the 18th Annual Corporate Governance Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:August 2020 Date: Title: Modernizing the Framework for Business, Legal Proceedings and Risk Factor Disclosures Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:August 2020 Date: Title: Statement at Open Meeting on Modernization of Regulation S-K 101, 103, and 105 Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:August 2020 Date: Title: Opening Remarks at the Open Commission Meeting to Adopt Amendments to Items 101, 103, and 105 of Regulation S-K Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:August 2020 Date: Title: Regulation S-K and ESG Disclosures: An Unsustainable Silence Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:August 2020 Date: Title: Statement on the “Modernization” of Regulation S-K Items 101, 103, and 105 Speaker:

Commissioner Caroline Crenshaw

Type:Statement
Published date grouping:August 2020 Date: Title: Statement on Modernization of the Accredited Investor Definition Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:August 2020 Date: Title: Statement on Amending the “Accredited Investor” Definition Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:August 2020 Date: Title: Commissioner Roisman Statement on Amending the “Accredited Investor” Definition Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:August 2020 Date: Title: Joint Statement on the Failure to Modernize the Accredited Investor Definition Speaker:

Commissioners Allison Herren Lee and Caroline Crenshaw

Type:Statement
Published date grouping:August 2020 Date: Title: Update on the Consolidated Audit Trail: Data Security and Implementation Progress Speaker: Chairman Jay Clayton
Brett Redfearn, Director, Division of Trading and Markets
Manisha Kimmel, Senior Policy Advisor, Regulatory Reporting
Type:Statement
Published date grouping:August 2020 Date: Title: Statement on Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:August 2020 Date: Title: Statement on SEC Response to the Report of the President’s Working Group on Financial Markets Speaker:

Jay Clayton, Chairman
Dalia Blass, Director, Division of Investment Management
Raquel Fox, Director, Office of International Affairs
William Hinman, Director, Division of Corporation Finance
Brett Redfearn, Director, Division of Trading and Markets
Sagar Teotia, Chief Accountant
 

Type:Statement
Published date grouping:August 2020 Date: Title: Statement on Senate Confirmations of Hester M. Peirce and Caroline A. Crenshaw Speaker: Chairman Jay Clayton
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee
Type:Statement
Published date grouping:August 2020 Date: Title: Transparency for our Investors and at the Commission Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:August 2020 Date: Title: Statement at Open Meeting on Publication of Procedures for Nominating Candidates for Appointment to the Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:August 2020 Date: Title: Statement on Publication on the Commission’s Website of Procedures for Nominating Candidates for Appointment to the Investor Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:August 2020 Date: Title: Statement on the Investor Advisory Committee Nominating Process Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:August 2020 Date: Title: Statement on Tailored Shareholder Reports Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:August 2020 Date: Title: Statement on Proposal to Improve Information Available to Fund Investors Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:August 2020 Date: Title: Statement on Proposed Summary Shareholder Report Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:August 2020 Date: Title: Opening Remarks: Small Business Capital Formation Advisory Committee Meeting Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:August 2020 Date: Title: Opening Remarks at the Small Business Capital Formation Advisory Committee Meeting Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:August 2020 Date: Title: Remarks at Meeting of the SEC Small Business Capital Formation Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:August 2020 Date: Title: Remarks to the Small Business Capital Formation Advisory Committee Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:July 2020 Date: Title: Speech: PLI Investment Management Institute Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:July 2020 Date: Title: Statement Regarding SEC Ongoing Efforts to Protect Teachers’ Retirement Savings Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2020 Date: Title: Statement by the Staff Standards of Conduct Implementation Committee Regarding New Form CRS Disclosures Speaker:

Staff Standards of Conduct Implementation Committee

Type:Statement
Published date grouping:July 2020 Date: Title: Proxy Voting—Reaffirming and Modernizing the Core Principles of Fiduciary Duty and Transparency to Provide for Better Alignment of Interest Between Main Street Investors and the Market Professionals Who Invest and Vote on Their Behalf Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2020 Date: Title: Open Meeting to Adopt Amendments to the Proxy Solicitation Rules Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:July 2020 Date: Title: Statement at Open Meeting on Exemptions from the Proxy Rules for Proxy Voting Advice and Supplement to Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:July 2020 Date: Title: Paying More For Less: Higher Costs for Shareholders, Less Accountability for Management Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:July 2020 Date: Title: Not Braking and Breaking Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:July 2020 Date: Title: Remarks at the Special Meeting of the Asset Management Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:July 2020 Date: Title: Statement at the Meeting of the Asset Management Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:July 2020 Date: Title: Remarks at the Special Meeting of the Asset Management Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2020 Date: Title: Opening Remarks at the Meeting of the Asset Management Advisory Committee Speaker: Dalia Blass, Director, Division of Investment Management
Type:Statement
Published date grouping:July 2020 Date: Title: Credit Ratings, Procyclicality and Related Financial Stability Issues: Select Observations Speaker:

COVID-19 Market Monitoring Group*

Type:Statement
Published date grouping:July 2020 Date: Title: Remarks to the Financial Stability Oversight Council Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2020 Date: Title: Statement on the Proposal to Substantially Reduce 13F Reporting Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:July 2020 Date: Title: Statement at the SEC’s Emerging Markets Roundtable Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2020 Date: Title: Remarks at the Emerging Markets Roundtable Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:July 2020 Date: Title: Opening Remarks at the Emerging Markets Roundtable Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:July 2020 Date: Title: Keynote Speech at the Society for Corporate Governance National Conference Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:June 2020 Date: Title: Statement on the Department of Labor’s Investment Advice Proposal Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2020 Date: Title: An Update on the Commission’s Targeted Regulatory Relief to Assist Market Participants Affected by COVID-19 and Ensure the Orderly Function of our Markets Speaker: Chairman Jay Clayton
William Hinman, Director, Division of Corporation Finance
Dalia Blass, Director, Division of Investment Management
Brett Redfearn, Director, Division of Trading and Markets
Type:Statement
Published date grouping:June 2020 Date: Title: Testimony before the Investor Protection, Entrepreneurship, and Capital Markets Subcommittee, U.S. House Committee on Financial Services Speaker: Chairman Jay Clayton
Type:Testimony
Published date grouping:June 2020 Date: Title: Statement on Amendments to the Volcker Rule “Covered Fund” Provisions Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Type:Statement
Published date grouping:June 2020 Date: Title: Statement of Commissioner Allison Herren Lee on the Final Rules Continuing the Repeal of Volcker Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:June 2020 Date: Title: Statement on Commencement of Appointment Process for the 2020-2025 PCAOB Board Seat Speaker:

Sagar Teotia, Chief Accountant

Type:Statement
Published date grouping:June 2020 Date: Title: Statement on the Continued Importance of High-Quality Financial Reporting for Investors in Light of COVID-19 Speaker:

Sagar Teotia, Chief Accountant

Type:Statement
Published date grouping:June 2020 Date: Title: Modernizing U.S. Equity Market Structure Speaker: Chairman Jay Clayton
Brett Redfearn, Director, Division of Trading and Markets
Type:Speech
Published date grouping:June 2020 Date: Title: Remarks to the Annual Government-Business Forum on Small Business Capital Formation Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2020 Date: Title: Remarks at the Virtual Small Business Forum Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:June 2020 Date: Title: Remarks at the Annual Government-Business Forum on Small Business Capital Formation Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:June 2020 Date: Title: Remarks at the 39th Annual Government-Business Forum on Small Business Capital Formation Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:June 2020 Date: Title: Welcome Remarks at the SEC’s 39th Annual Small Business Forum Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Statement
Published date grouping:June 2020 Date: Title: Statement on the Passing of Martin P. Dunn Speaker:

William H. Hinman, Director, Division of Corporation Finance
Shelley E. Parratt, Deputy Director, Division of Corporation Finance

Type:Statement
Published date grouping:June 2020 Date: Title: Remarks at the 2020 Municipal Securities Disclosure Conference Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2020 Date: Title: Introductory Remarks: Municipal Securities Disclosure Conference Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:June 2020 Date: Title: Opening Remarks at Spotlight on Transparency: A Discussion of Secondary Market Municipal Securities Disclosure Practices Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:June 2020 Date: Title: Opening Remarks at 2020 Municipal Securities Disclosure Conference Speaker: Rebecca Olsen, Director, Office of Municipal Securities
Type:Statement
Published date grouping:June 2020 Date: Title: Confirmation of June 30 Compliance Date for Regulation Best Interest and Form CRS Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2020 Date: Title: Statement on the Tenure of Andrew Olmem Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2020 Date: Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2020 Date: Title: Opening Remarks at the June 2020 FIMSAC Meeting Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:June 2020 Date: Title: Opening Remarks at the Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:May 2020 Date: Title: Investment Company Act Section 18(i) Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2020 Date: Title: Remarks at Meeting of the Asset Management Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2020 Date: Title: Opening Remarks at the Meeting of the Asset Management Advisory Committee Speaker: Dalia Blass, Director, Division of Investment Management
Type:Statement
Published date grouping:May 2020 Date: Title: Statement on Financial Disclosures About Acquired and Disposed Businesses Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:May 2020 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2020 Date: Title: Remarks at Meeting of the SEC Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:May 2020 Date: Title: Statement on the Tenure of Comptroller Joseph Otting Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2020 Date: Title: Statement of Hester M. Peirce in Response to Release No. 34-88890; File No. S7-13-19 Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:May 2020 Date: Title: Remarks to the Financial Stability Oversight Council Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:May 2020 Date: Title: COVID-19 Market Monitoring Group — Update and Current Efforts Speaker: Chairman Jay Clayton
S.P. Kothari, Chief Economist and Director, Division of Economic and Risk Analysis
Type:Statement
Published date grouping:May 2020 Date: Title: Keynote Address: Securities Enforcement Forum West 2020 Speaker: Steven Peikin, Co-Director, Division of Enforcement
Type:Speech
Published date grouping:May 2020 Date: Title: Remarks at Meeting of the SEC Small Business Capital Formation Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:May 2020 Date: Title: Statement at Open Meeting on Order to Modernize the Governance Structure of National Market System Plans for Equity Market Data Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2020 Date: Title: Statement on Equity Market Data Governance Reforms Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:May 2020 Date: Title: Statement at Open Meeting Considering Commission Order Addressing Equity Market Data Plans Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:May 2020 Date: Title: Statement on Final Order Directing the Creation of a New Plan for Consolidated Equity Market Data Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:May 2020 Date: Title: Statement Announcing SEC Staff Roundtable on Emerging Markets Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2020 Date: Title: The Importance of Disclosure for our Municipal Markets Speaker: Chairman Jay Clayton
Rebecca Olsen, Director, Office of Municipal Securities
Type:Statement
Published date grouping:May 2020 Date: Title: Remarks at Special Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2020 Date: Title: Remarks at Meeting of the SEC Investor Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:April 2020 Date: Title: Statement on the Tenure of CFTC Commissioner Brian Quintenz Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:April 2020 Date: Title: Statement on Good Faith Determinations of Fair Value under the Investment Company Act of 1940 Proposal Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:April 2020 Date: Title: Emerging Market Investments Entail Significant Disclosure, Financial Reporting and Other Risks; Remedies are Limited Speaker:

SEC Chairman Jay Clayton
PCAOB Chairman William D. Duhnke III
SEC Chief Accountant Sagar Teotia
SEC Division of Corporation Finance Director William Hinman
SEC Division of Investment Management Director Dalia Blass

Type:Statement
Published date grouping:April 2020 Date: Title: The Importance of Disclosure – For Investors, Markets and Our Fight Against COVID-19 Speaker: Chairman Jay Clayton
William Hinman, Director, Division of Corporation Finance
Type:Statement
Published date grouping:April 2020 Date: Title: Statement at Open Meeting on Securities Offering Reform for Business Development Companies and Closed-End Investment Companies Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:April 2020 Date: Title: Statement on Securities Offering Reform for Closed-End Investment Companies Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:April 2020 Date: Title: Rulemaking in the Time of COVID-19 Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:April 2020 Date: Title: Statement on the Adoption of Changes to the Offering Rules for Closed-End Funds and Business Development Companies Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:April 2020 Date: Title: Regulatory Priorities and COVID-19 Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:April 2020 Date: Title: Statement on the Importance of High-Quality Financial Reporting in Light of the Significant Impacts of COVID-19 Speaker:

Sagar Teotia, Chief Accountant

Type:Statement
Published date grouping:April 2020 Date: Title: Remarks at Special Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:April 2020 Date: Title: Remarks at Special Meeting of the Small Business Capital Formation Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:April 2020 Date: Title: Remarks at Special Meeting of the SEC Small Business Capital Formation Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:April 2020 Date: Title: Investors Remain Front of Mind at the SEC: Approach to Allocation of Resources, Oversight and Rulemaking; Implementation of Regulation Best Interest and Form CRS Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:March 2020 Date: Title: Statement at FSOC Open Meeting Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:March 2020 Date: Title: The Deep and Essential Connections Among Markets, Businesses, and Workers and the Importance of Maintaining those Connections in our Fight Against COVID-19 Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:March 2020 Date: Title: Statement on the Passing of Judge Stanley Sporkin Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:March 2020 Date: Title: Statement on the Passing of Judge Stanley Sporkin Speaker:

Stephanie Avakian and Steven Peikin, Co-Directors, Division of Enforcement

Type:Statement
Published date grouping:March 2020 Date: Title: Statement Regarding Market Integrity Speaker:

Stephanie Avakian and Steven Peikin, Co-Directors, Division of Enforcement

Type:Statement
Published date grouping:March 2020 Date: Title: Statement on the SEC’s Coronavirus Response Efforts – Facilitating the Continued Orderly Operation of Our Capital Markets Consistent with Health and Safety Directives and Other Measures Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:March 2020 Date: Title: Update on Consolidated Audit Trail; Temporary COVID-19 Staff No-Action Letter; Reducing Cybersecurity Risks Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:March 2020 Date: Title: Statement on Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer Definitions Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:March 2020 Date: Title: Statement on Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer Definitions Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:March 2020 Date: Title: Statement on the Rollback of Auditor Attestation Requirements Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:March 2020 Date: Title: Speech at the Council of Institutional Investors’ (“CII”) Conference Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:March 2020 Date: Title: Getting Back to Basics: Protecting, Serving, and Empowering Investors

Remarks before the Investment Adviser Association Compliance Conference 2020
Speaker: Commissioner Allison Herren Lee
Type:Speech
Published date grouping:March 2020 Date: Title: Statement on Harmonizing, Simplifying and Improving the Exempt Offering Framework Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:March 2020 Date: Title: Statement on Proposed Amendments for Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:March 2020 Date: Title: Statement on the Harmonization Proposal Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:March 2020 Date: Title: Statement on Proposed Amendments to the Exempt Offering Framework Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:March 2020 Date: Title: Statement on Amendments to Registered Debt Disclosure Rules Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:February 2020 Date: Title: Dissenting Statement of Hester M. Peirce in Response to Release No. 34-88284; File No. SR-NYSEArca-2019-39 Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:February 2020 Date: Title: The SEC’s Office of Credit Ratings and NRSRO Regulation: Past, Present, and Future Speaker:

Jessica Kane
Director, Office of Credit Ratings

Type:Speech
Published date grouping:February 2020 Date: Title: Statement on Continued Dialogue with Audit Firm Representatives on Audit Quality in China and Other Emerging Markets; Coronavirus — Reporting Considerations and Potential Relief Speaker:

SEC Chairman Jay Clayton
SEC Division of Corporation Finance Director Bill Hinman
SEC Chief Accountant Sagar Teotia
PCAOB Chairman William D. Duhnke III

Type:Statement
Published date grouping:February 2020 Date: Title: Commission Statement on the Passing of Former Chairman David S. Ruder Speaker:

Chairman Jay Clayton
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee

Type:Statement
Published date grouping:February 2020 Date: Title: Statement of Commissioner Robert J. Jackson, Jr. on His Tenure as an SEC Commissioner Speaker: Robert J. Jackson Jr., Former Commissioner
Type:Statement
Published date grouping:February 2020 Date: Title: Statement on Proposed Updates to the National Market System for the Collection, Consolidation, and Dissemination of Information With Respect to Quotations for and Transactions in National Market System Stocks Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:February 2020 Date: Title: Statement on Proposed Updates to the National Market System for the Collection, Consolidation, and Dissemination of Information With Respect to Quotations for and Transactions in National Market System Stock Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:February 2020 Date: Title: Statement on Proposed Rule on Market Data Infrastructure Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:February 2020 Date: Title: Running on Empty: A Proposal to Fill the Gap Between Regulation and Decentralization Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:January 2020 Date: Title: Myths and Realities: Modernizing the Proxy Rules Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:January 2020 Date: Title: Statement on Proposed Amendments to Modernize and Enhance Financial Disclosures; Other Ongoing Disclosure Modernization Initiatives; Impact of the Coronavirus; Environmental and Climate-Related Disclosure Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:January 2020 Date: Title: Statement on Proposed Amendments to Modernize and Enhance Financial Disclosures Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:January 2020 Date: Title: “Modernizing” Regulation S-K: Ignoring the Elephant in the Room Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:January 2020 Date: Title: Statement on Proposed Amendments to the Volcker Rule Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:January 2020 Date: Title: Statement on Proposed Amendments to the Volcker Rule “Covered Fund” Provisions Speaker:

Commissioners Elad L. Roisman and Hester M. Peirce

Type:Statement
Published date grouping:January 2020 Date: Title: Statement of Commissioner Allison Herren Lee on the Continued Repeal of the Volcker Rule Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:January 2020 Date: Title: Learning from Miami’s Emprendimientos Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:January 2020 Date: Title: Statement on Commissioner Robert J. Jackson, Jr. Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:January 2020 Date: Title: Remarks at the Inaugural Meeting of the Asset Management Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:January 2020 Date: Title: Opening remarks at the the Inaugural Meeting of the Asset Management Advisory Committee Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:January 2020 Date: Title: Statement at the Inaugural Meeting of the Asset Management Advisory Committee Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:January 2020 Date: Title: Statement at Inaugural Meeting of the Asset Management Advisory Committee Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:January 2020 Date: Title: Opening Statement: Inaugural Meeting of the Asset Management Advisory Committee Speaker: Dalia Blass, Director, Division of Investment Management
Type:Statement
Published date grouping:January 2020 Date: Title: Statement at Open Meeting on Proposed Order to Modernize the Governance Structure of National Market System Plans for Equity Market Data Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:January 2020 Date: Title: Statement on Reforming Stock Exchange Governance Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:January 2020 Date: Title: Notice of Proposed Order Regarding the Creation of a New Consolidated Market Data Plan for Equity Market Data Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:January 2020 Date: Title: Statement at the Open Meeting Considering a Proposed Commission Order Addressing Equity Market Data Plans Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:January 2020 Date: Title: Statement on Proposed Order for Creation of a New Consolidated Market Data Plan for Equity Market Data Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:January 2020 Date: Title: Statement on Senate Confirmation of Jovita Carranza as Administrator of the Small Business Administration Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2019 Date: Title: Statement on Role of Audit Committees in Financial Reporting and Key Reminders Regarding Oversight Responsibilities Speaker:

Jay Clayton, Chairman
Sagar Teotia, Chief Accountant
​​​​​​​William H. Hinman, Director, Division of Corporation Finance

Type:Statement
Published date grouping:December 2019 Date: Title: Statement on Selection of Andrew Bailey to Succeed Mark Carney as Governor of the Bank of England Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2019 Date: Title: Statement on Appointment of New Chair and Five New Members of the Financial Accounting Foundation Board of Trustees, and Appointment of Next Chair of the Financial Accounting Standards Board Speaker:

Chairman Jay Clayton
Commissioner Robert J. Jackson Jr.
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee

Type:Statement
Published date grouping:December 2019 Date: Title: Statement of Chairman Jay Clayton at Open Meeting Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2019 Date: Title: Statement at Open Meeting on Commission Actions Relating to Implementation of Title VII of the Dodd-Frank Act Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2019 Date: Title: Statement at Open Meeting on Commission Actions Relating to Implementation of Title VII of the Dodd-Frank Act Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:December 2019 Date: Title: Statement on Adoption of and Changes to Security-Based Swap Rules Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:December 2019 Date: Title: Statement on Proposed Disclosure of Issuer Payments Related To Extraction of Natural Resources Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:December 2019 Date: Title: Statement at Open Meeting on Disclosure of Payments by Resource Extraction Issuers Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2019 Date: Title: Statement at Open Meeting on Resource Extraction Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:December 2019 Date: Title: Statement on Proposed Resource Extraction Rule Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:December 2019 Date: Title: Statement on Reducing Investor Protections around Private Markets Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:December 2019 Date: Title: Statement at Open Meeting on Amending the “Accredited Investor” Definition Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2019 Date: Title: Statement at Open Meeting on Proposed Amendments to the Accredited Investor Definition Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:December 2019 Date: Title: Statement on the Proposed Expansion of the Accredited Investor Definition Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:December 2019 Date: Title: Mochas, Mariners, and Morality -- Remarks before the National Economists Club Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:December 2019 Date: Title: Testimony on “Oversight of the Securities and Exchange Commission” Before the U.S. Senate Committee on Banking, Housing, and Urban Affairs Speaker: Chairman Jay Clayton
Type:Testimony
Published date grouping:December 2019 Date: Title: Statement in Connection with the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Sagar Teotia, Chief Accountant

Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Nipa Patel
Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker: Erin Bennett, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Vassilios Karapanos,
Associate Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Susan M. Mercier
Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker: Louis J. Collins, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Lauren K. Alexander
Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker: Aaron Shaw, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2019 Date: Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Jamie N. Davis,
Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2019 Date: Title: Remarks at the Elder Justice Coordinating Council Fall 2019 Meeting Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:December 2019 Date: Title: Keynote Address — 2019 ICI Securities Law Developments Conference Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:December 2019 Date: Title: Remarks to the Greater Cincinnati Mutual Fund Association Speaker:

Alison Staloch, Chief Accountant, Division of Investment Management

Type:Speech
Published date grouping:November 2019 Date: Title: Statement on Proposed Rules on Funds' Use of Derivatives Speaker: Commissioner Robert J. Jackson Jr.
Commissioner Allison Herren Lee
Type:Statement
Published date grouping:November 2019 Date: Title: Statement on the Re-Proposal to Regulate Funds' Use of Derivatives as Well as Certain Sales Practices Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Type:Statement
Published date grouping:November 2019 Date: Title: Letter from Robert J. Jackson, Jr. to Congresswoman Maloney, November 18, 2019 (PDF) Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:November 2019 Date: Title: Statement of Commissioners Jackson and Lee on Non-Transparent Exchange Traded Funds Speaker: Commissioner Robert J. Jackson Jr.
Commissioner Allison Herren Lee
Type:Statement
Published date grouping:November 2019 Date: Title: Statement on Whistleblower Program 2019 Annual Report to Congress Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:November 2019 Date: Title: Modernizing our Regulatory Framework: Focus on Authority, Expertise and Long-Term Investor Interests Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:November 2019 Date: Title: Government Finance Officers Association (GFOA) Mini-Muni Conference Welcome Remarks Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:November 2019 Date: Title: Remarks at Meeting of the Small Business Capital Formation Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:November 2019 Date: Title: Keynote Address - ALI CLE 2019 Conference on Life Insurance Company Products Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:November 2019 Date: Title: Remarks before the Investor Advisory Committee Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:November 2019 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:November 2019 Date: Title: What You Don’t Know Can Hurt You Speaker:
Type:Speech
Published date grouping:November 2019 Date: Title: Statement at Open Meeting on Proposals to Enhance the Accuracy, Transparency and Effectiveness of Our Proxy Voting System Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:November 2019 Date: Title: Statement at the Open Meeting: Modernizing SEC Rules Governing Proxy Voting Advice Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:November 2019 Date: Title: Statement at the Open Meeting: Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:November 2019 Date: Title: Statement on Proposals to Restrict Shareholder Voting Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:November 2019 Date: Title: Statement at Open Meeting on Proposed Amendments to Improve Accuracy and Transparency of Proxy Voting Advice Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:November 2019 Date: Title: Statement at Open Meeting on Proposed Amendments to Modernize Shareholder Proposal Rule Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:November 2019 Date: Title: Statement on Shareholder Rights Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:November 2019 Date: Title: Broken Windows: Remarks before the 51st Annual Institute on Securities Regulation Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:November 2019 Date: Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:November 2019 Date: Title: Remarks to the Securities and Exchange Commission Fixed Income Market Structure Advisory Committee Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:October 2019 Date: Title: Asset-Level Disclosure Requirements for Residential Mortgage-Backed Securities Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:October 2019 Date: Title: Opening Remarks at Conversations on Raising Capital for Businesses of Color at Morehouse College Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:October 2019 Date: Title: Dual-Class Shares: A Recipe for Disaster Speaker: Rick Fleming, Investor Advocate
Type:Speech
Published date grouping:October 2019 Date: Title: Statement on the Passing of Chancellor William T. Allen Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:October 2019 Date: Title: Leaders of CFTC, FinCEN, and SEC Issue Joint Statement on Activities Involving Digital Assets Speaker:

Heath Tarbert, Chairman, U.S. Commodity Futures Trading Commission (CFTC)

Kenneth A. Blanco, Director, Financial Crimes Enforcement Network (FinCEN)

Jay Clayton, Chairman, U.S. Securities and Exchange Commission (SEC)

Type:Statement
Published date grouping:October 2019 Date: Title: Start Off by Making Your Bed: Translating Military Lessons to Entrepreneurship Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:October 2019 Date: Title: Introduction of AG William Barr at the Criminal Coordination Conference Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:October 2019 Date: Title: Commission Statement Regarding SEC Roundtable on Combating Elder Investor Fraud Speaker: Chairman Jay Clayton
Commissioner Hester M. Peirce
Commissioner Robert J. Jackson Jr.
Commissioner Elad L. Roisman
Commissioner Allison Herren Lee
Type:Statement
Published date grouping:October 2019 Date: Title: Remarks at Roundtable on Combating Elder Investor Fraud Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:October 2019 Date: Title: Remarks at the SEC Roundtable on Combating Elder Investor Fraud Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:October 2019 Date: Title: Remarks at the SEC Roundtable on Combating Elder Investor Fraud Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:September 2019 Date: Title: Statement on DERA’s 10th Anniversary Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2019 Date: Title: Taking Significant Steps to Modernize Our Regulatory Framework Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2019 Date: Title: Oversight of the Securities and Exchange Commission: Wall Street’s Cop on the Beat Speaker:

SEC Chairman Jay Clayton,

SEC Commissioner Robert J. Jackson Jr.,

SEC Commissioner Hester M. Peirce,

SEC Commissioner Elad L. Roisman,

SEC Commissioner Allison Herren Lee

Type:Testimony
Published date grouping:September 2019 Date: Title: Opening Statement at House Financial Services Committee Hearing Speaker: Commissioner Robert J. Jackson Jr.
Type:Testimony
Published date grouping:September 2019 Date: Title: Remarks at the U.S. Treasury Market Conference Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:September 2019 Date: Title: Statement of Commissioner Allison Herren Lee on Amendments to the Volcker Rule Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:September 2019 Date: Title: Statement on Volcker Rule Amendments Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:September 2019 Date: Title: Remarks at the SIFMA Equity Market Structure Conference: The Dynamics of our Markets and the Changing Structure on which they are Built Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:September 2019 Date: Title: Update to June 2019 Joint Statement on Opportunistic Strategies in the Credit Derivatives Market Speaker:

SEC Chairman Jay Clayton

CFTC Chairman Heath Tarbert

FCA Chief Executive Andrew Bailey

Type:Statement
Published date grouping:September 2019 Date: Title: Statement on Amendments to the Volcker Rule Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2019 Date: Title: Remarks at Central Michigan University Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:September 2019 Date: Title: Braided Bread and Boiled Beer: Remarks before the Eurofi Financial Forum 2019 Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:September 2019 Date: Title: Statement on Passing of Former SEC Chief Accountant James Schnurr Speaker:

Chairman Jay Clayton

Type:Statement
Published date grouping:September 2019 Date: Title: Statement on Status of the Consolidated Audit Trail Speaker:

Chairman Jay Clayton

Type:Statement
Published date grouping:September 2019 Date: Title: Remarks to the Economic Club of New York Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:September 2019 Date: Title: Remarks before the AICPA National Conference on Banks & Savings Institutions Speaker:

Sagar Teotia, Chief Accountant

Type:Speech
Published date grouping:September 2019 Date: Title: Keynote Speech at Southeastern Securities Conference 2019 Speaker: Steven Peikin, Co-Director, Division of Enforcement
Type:Speech
Published date grouping:September 2019 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:August 2019 Date: Title: Joint Statement of Commissioners Robert J. Jackson, Jr. and Allison Herren Lee on Proposed Changes to Regulation S-K Speaker: Commissioner Robert J. Jackson Jr.
Commissioner Allison Herren Lee
Type:Statement
Published date grouping:August 2019 Date: Title: Statement at Open Meeting on Commission Guidance and Interpretation Regarding Proxy Voting and Proxy Voting Advice Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:August 2019 Date: Title: Statement of Commissioner Allison Herren Lee On Proxy Voting and Proxy Solicitation Releases Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:August 2019 Date: Title: Statement at Open Meeting on Commission Guidance Regarding Proxy Voting and Proxy Voting Advice Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:August 2019 Date: Title: Statement on Proxy-Advisor Guidance Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:August 2019 Date: Title: Statement at the Open Meeting on Commission Guidance and Interpretation Regarding Proxy Voting and Proxy Voting Advice Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:August 2019 Date: Title: Long Title. Big Mission. Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:August 2019 Date: Title: Remarks at the 38th Government-Business Forum on Small Business Capital Formation Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:August 2019 Date: Title: Commissioner Roisman Opening Remarks Government-Business Forum on Small Business Capital Formation Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:August 2019 Date: Title: Remarks before the 38th Government-Business Forum on Small Business Capital Formation Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:August 2019 Date: Title: Opening Remarks at the 38th Government-Business Forum on Small Business Capital Formation Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Statement
Published date grouping:August 2019 Date: Title: Remarks at Meeting of the Small Business Capital Formation Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:August 2019 Date: Title: Commissioner Roisman’s Remarks at the Small Business Capital Formation Advisory Committee Meeting Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:August 2019 Date: Title: Cleveland, Kondo, and Capital: Remarks before the American Chamber of Commerce Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:August 2019 Date: Title: Statement on Retirement of Lynnette Kelly Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:August 2019 Date: Title: Statement on Retirement of Lynnette Kelly Speaker: Rebecca Olsen, Director, Office of Municipal Securities
Type:Statement
Published date grouping:July 2019 Date: Title: Renegade Pandas: Opportunities for Cross Border Cooperation in Regulation of Digital Assets Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:July 2019 Date: Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2019 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2019 Date: Title: Remarks to the SEC Investor Advisory Committee Speaker: Commissioner Allison Herren Lee
Type:Statement
Published date grouping:July 2019 Date: Title: Statement at the SEC Staff Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2019 Date: Title: Statement on Opportunity Zones Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2019 Date: Title: Policy Challenges and Research Opportunities in the Era of Big Data Speaker: S.P. Kothari, Chief Economist and Director, Division of Economic and Risk Analysis
Type:Speech
Published date grouping:July 2019 Date: Title: Staff Statement on LIBOR Transition Speaker:

Division of Corporation Finance, Division of Investment Management, Division of Trading and Markets, and Office of the Chief Accountant[1]

Type:Statement
Published date grouping:July 2019 Date: Title: Statement on Retirement of Chief Justice Strine Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2019 Date: Title: Statement on the Retirement of Chief Justice Strine Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:July 2019 Date: Title: Regulation Best Interest and the Investment Adviser Fiduciary Duty: Two Strong Standards that Protect and Provide Choice for Main Street Investors Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:July 2019 Date: Title: Joint Staff Statement on Broker-Dealer Custody of Digital Asset Securities Speaker:

Division of Trading and Markets, U.S. Securities and Exchange Commission
Office of General Counsel, Financial Industry Regulatory Authority

Type:Statement
Published date grouping:July 2019 Date: Title: Statement on Margin for Security Futures Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:July 2019 Date: Title: Statement Regarding Offers of Settlement Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2019 Date: Title: Baby on Board: Remarks before the Society for Corporate Governance National Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:June 2019 Date: Title: Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2019 Date: Title: Statement on Commencement of Appointment Process for the 2019-2024 PCAOB Board Seat Speaker:
Type:Statement
Published date grouping:June 2019 Date: Title: Statement on the Adoption of Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:June 2019 Date: Title: Statement on Senate Confirmation of Allison H. Lee Speaker:

Chairman Jay Clayton
Commissioner Robert J. Jackson Jr.
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman

Type:Statement
Published date grouping:June 2019 Date: Title: Scarlet Letters: Remarks before the American Enterprise Institute Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:June 2019 Date: Title: Statement on Division of Trading and Markets Staff Fee Guidance Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2019 Date: Title: Exchanging Views on Exchange-Traded Funds Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:June 2019 Date: Title: Remarks at “Veterans Hall” Dedication on the 75th Anniversary of D-Day Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2019 Date: Title: Statement at Open Meeting on Commission Actions to Enhance and Clarify the Obligations Financial Professionals Owe to our Main Street Investors Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2019 Date: Title: Statement at the Open Meeting on Regulation Best Interest and Related Actions Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:June 2019 Date: Title: Statement at the Open Meeting on Regulation Best Interest, the Interpretation of the Standard of Conduct for Investment Advisers, the Form CRS Relationship Summary, and the Interpretation of “Solely Incidental” Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:June 2019 Date: Title: Statement on Final Rules Governing Investment Advice Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:June 2019 Date: Title: Statement Regarding the SEC’s Rulemaking Package for Investment Advisers and Broker-Dealers Speaker: Rick Fleming, Investor Advocate
Type:Statement
Published date grouping:June 2019 Date: Title: Keynote Remarks at the Mid-Atlantic Regional Conference Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:June 2019 Date: Title: 19th Amendment Lessons for 2019’s Advocates: Remarks to the National Association of Women Business Owners Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:June 2019 Date: Title: The Nexus of Equity Market Structure and Investor Relations: Remarks at the 2019 Annual Conference of the National Investor Relations Institute Speaker:

Brett Redfearn, Director, Division of Trading and Markets[1]

Type:Speech
Published date grouping:May 2019 Date: Title: Remarks at the SEC’s FinTech Forum Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:May 2019 Date: Title: Statement on Memorial Day Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2019 Date: Title: Remarks at SEC Memorial Day Ceremony Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2019 Date: Title: A Quarter Century of Exchange-Traded Fun! Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:May 2019 Date: Title: Statement Announcing SEC Staff Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2019 Date: Title: Sunsets, Russets, and Rule Resets Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:May 2019 Date: Title: Alligators in Nirvana: Smart Regulation and the Future of Financial Services-Public Policy Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:May 2019 Date: Title: How We Howey Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:May 2019 Date: Title: Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2019 Date: Title: Statement on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:May 2019 Date: Title: Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:May 2019 Date: Title: Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:May 2019 Date: Title: Reasonableness Pants Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:May 2019 Date: Title: Remarks at the SIFMA Operations Conference & Exhibition: Staying Vigilant to Protect Investors Speaker:

Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations (OCIE)

Type:Speech
Published date grouping:May 2019 Date: Title: Testimony before the Financial Services and General Government Subcommittee of the U.S. Senate Committee on Appropriations Speaker:

Chairman Jay Clayton

Type:Testimony
Published date grouping:May 2019 Date: Title: Statement on Financial Disclosures about Acquired and Disposed Businesses Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:May 2019 Date: Title: Remarks before the 2019 Baruch College Financial Reporting Conference: Aiming toward the future Speaker: Wesley Bricker, Chief Accountant
Type:Speech
Published date grouping:April 2019 Date: Title: How We Protect Retail Investors Speaker:

Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations

Type:Speech
Published date grouping:April 2019 Date: Title: Opening Remarks at the April 2019 Fixed Income Market Structure Advisory Committee Meeting Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:April 2019 Date: Title: Executive Pay Needs a Transparent Scorecard Speaker: Commissioner Robert J. Jackson Jr.
Type:Speech
Published date grouping:April 2019 Date: Title: Management’s Discussion and Analysis of the SEC: Remarks at the “SEC Speaks” Conference Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:April 2019 Date: Title: Remarks at SEC Speaks: Encouraging Smaller Entrants to Our Capital Markets Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:April 2019 Date: Title: SECret Garden: Remarks at SEC Speaks Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:April 2019 Date: Title: Important Issues for Investors in 2019 Speaker: Rick Fleming, Investor Advocate
Type:Speech
Published date grouping:April 2019 Date: Title: Bolstering Capital Formation: The Third Leg of the SEC's Mission Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:April 2019 Date: Title: Statement on Departure of FDA Commissioner Dr. Scott Gottlieb Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:April 2019 Date: Title: Statement on “Framework for ‘Investment Contract’ Analysis of Digital Assets” Speaker:

Bill Hinman, Director of Division of Corporation Finance
Valerie Szczepanik, Senior Advisor for Digital Assets and Innovation

Type:Statement
Published date grouping:April 2019 Date: Title: Remarks at the 29th International Institute for Securities Market Growth and Development Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:March 2019 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:March 2019 Date: Title: Remarks at the March 2019 Investor Advisory Committee Meeting Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:March 2019 Date: Title: Statement on Final Rules Implementing FAST Act Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:March 2019 Date: Title: Remarks – PLI Investment Management Institute 2019 Speaker: Paul Cellupica, Former Deputy Director and Chief Counsel, Division of Investment Management
Type:Speech
Published date grouping:March 2019 Date: Title: A Start-Up Within the Government: Introducing the SEC’s Office of the Advocate for Small Business Capital Formation Speaker: Martha Miller, Director, Advocate for Small Business Capital Formation
Type:Speech
Published date grouping:March 2019 Date: Title: Keynote Remarks: ICI Mutual Funds and Investment Management Conference Speaker: Commissioner Elad L. Roisman
Type:Speech
Published date grouping:March 2019 Date: Title: Keynote Address: ICI Mutual Funds and Investment Management Conference Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:March 2019 Date: Title: Applying a Principles-Based Approach to Disclosing Complex, Uncertain and Evolving Risks Speaker: William Hinman, Director, Division of Corporation Finance
Type:Speech
Published date grouping:March 2019 Date: Title: Equity Market Structure 2019: Looking Back & Moving Forward Speaker:

Chairman Jay Clayton

Brett Redfearn, Director, Division of Trading and Markets

Type:Speech
Published date grouping:March 2019 Date: Title: Festivus, Fortnite, and Focus: Remarks before the Council of Institutional Investors Spring Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:February 2019 Date: Title: Introductory Remarks for Dr. Henry Louis Gates, Jr. at African American History Month Celebration Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:February 2019 Date: Title: What’s Really in Your Index Fund? Speaker: Commissioner Robert J. Jackson Jr.
Type:Speech
Published date grouping:February 2019 Date: Title: Statement on Shareholder Proposals Seeking to Require Mandatory Arbitration Bylaw Provisions Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:February 2019 Date: Title: Regulation: A View from Inside the Machine Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:February 2019 Date: Title: Remarks on Telephone Call with Investor Advisory Committee Members Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:February 2019 Date: Title: Brief Statement on Proxy Voting Process: Call with the SEC Investor Advisory Committee Speaker:

Commissioner Elad L. Roisman[1]

Type:Statement
Published date grouping:January 2019 Date: Title: Statement Regarding Recommencement of Normal Operations Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:January 2019 Date: Title: Statement on EDGAR Hacking Enforcement Action Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2018 Date: Title: Statement at Open Meeting and Thank You to Kara Stein Speaker: Chairman Jay Clayton
Type:Statement
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
Type:Statement
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
Type:Statement
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
Type:Statement
Published date grouping:December 2018 Date: Title: Final Rules Regarding Disqualified Actors in the Security-Based Swaps Market Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
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
Type:Statement
Published date grouping:December 2018 Date: Title: Statement at Open Meeting on Consideration of Whether to Adopt Rule of Practice 194 and to Propose Rules Regarding Risk Mitigation Techniques for Uncleared Security-Based Swaps Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:December 2018 Date: Title: Joint Statement on the IDI Exception to the Swap Dealer Definition Speaker:

SEC Chairman Jay Clayton

CFTC Chairman Christopher Giancarlo

Type:Statement
Published date grouping:December 2018 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2018 Date: Title: Remarks at the SEC’s Investor Advisory Committee Meeting Speaker: Commissioner Kara M. Stein
Type:Statement
Published date grouping:December 2018 Date: Title: Remarks to the Annual Government-Business Forum on Small Business Capital Formation in Columbus, Ohio Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2018 Date: Title: Testimony on “Oversight of the U.S. Securities and Exchange Commission” Speaker:

Chairman Jay Clayton

Type:Testimony
Published date grouping:December 2018 Date: Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments Speaker: Tom W. Collens, Professional Accounting Fellow
Type:Speech
Published date grouping:December 2018 Date: Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments Speaker: Emily L. Fitts, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2018 Date: Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments Speaker: Sarah N. Esquivel, Associate Chief Accountant, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2018 Date: Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments Speaker: Sheri L. York, Professional Accounting Fellow
Type:Speech
Published date grouping:December 2018 Date: Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments Speaker: Andrew W. Pidgeon, Professional Accounting Fellow, Office of the Chief Accountant
Type:Speech
Published date grouping:December 2018 Date: Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments Speaker: Rahim M. Ismail, Professional Accounting Fellow
Type:Speech
Published date grouping:December 2018 Date: Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments Speaker: Kevin L. Vaughn, Senior Associate Chief Accountant
Type:Speech
Published date grouping:December 2018 Date: Title: Statement in Connection with the 2018 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Wesley Bricker
Chief Accountant

Type:Speech
Published date grouping:December 2018 Date: Title: Statement on the Vital Role of Audit Quality and Regulatory Access to Audit and Other Information Internationally—Discussion of Current Information Access Challenges with Respect to U.S.-listed Companies with Significant Operations in China Speaker:

SEC Chairman Jay Clayton

SEC Chief Accountant Wes Bricker

PCAOB Chairman William D. Duhnke III

Type:Statement
Published date grouping:December 2018 Date: Title: Common Ownership: The Investor Protection Challenge of the 21st Century Speaker: Commissioner Robert J. Jackson Jr.
Type:Testimony
Published date grouping:December 2018 Date: Title: SEC Rulemaking Over the Past Year, the Road Ahead and Challenges Posed by Brexit, LIBOR Transition and Cybersecurity Risks Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:December 2018 Date: Title: Remarks at the SEC’s Municipal Securities Conference Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2018 Date: Title: Opening Remarks at 2018 Municipal Securities Disclosure Conference Speaker: Rebecca Olsen, Director, Office of Municipal Securities
Type:Statement
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
Type:Statement
Published date grouping:December 2018 Date: Title: The Salutary Effects of International Cooperation on SEC Enforcement Speaker: Steven Peikin, Co-Director, Division of Enforcement
Type:Speech
Published date grouping:December 2018 Date: Title: Commission Statement on Passing of President George H.W. Bush Speaker:

Chairman Jay Clayton
Commissioner Kara M. Stein
Commissioner Robert J. Jackson Jr.
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman

Type:Statement
Published date grouping:November 2018 Date: Title: Regulatory Apparitions: Remarks at the Exchequer Club Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:November 2018 Date: Title: Statement on Jury Trial of Ex-CFO of AVEO Pharmaceuticals Speaker:

Stephanie Avakian, Co-Director, SEC Division of Enforcement

Steven Peikin, Co-Director, SEC Division of Enforcement

Type:Statement
Published date grouping:November 2018 Date: Title: Statement on Digital Asset Securities Issuance and Trading Speaker:

Division of Corporation Finance, Division of Investment Management, and Division of Trading and Markets

Type:Statement
Published date grouping:November 2018 Date: Title: Statement at the SEC Staff Roundtable on the Proxy Process Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:November 2018 Date: Title: Opening Remarks at the 2018 SEC Staff Roundtable on the Proxy Process Speaker: Commissioner Kara M. Stein
Type:Statement
Published date grouping:November 2018 Date: Title: Statement at Proxy Process Roundtable Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:November 2018 Date: Title: Keynote Address: ALI CLE 2018 Conference on Life Insurance Company Products Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:November 2018 Date: Title: Lasting Impressions: Remarks before the CV Summit—Crypto Valley Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:November 2018 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:November 2018 Date: Title: Statement on Enhancing Order Handling Disclosures Speaker: Brett Redfearn, Director, Division of Trading and Markets
Type:Statement
Published date grouping:November 2018 Date: Title: Pondering Financial Reporting: Remarks before the 2018 Leet Business Law Symposium Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:October 2018 Date: Title: Introductory Remarks for Veterans Day Commemoration Panel Discussion Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:October 2018 Date: Title: Costumes, Candy, and Compliance: Remarks at the National Membership Conference of the National Society of Compliance Professionals Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:October 2018 Date: Title: Opening Statement at the October 2018 Fixed Income Market Structure Advisory Committee Meeting Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:October 2018 Date: Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:October 2018 Date: Title: Lies and Statistics: Remarks at the 26th Annual Securities Litigation and Regulatory Enforcement Seminar Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:October 2018 Date: Title: Opening Statement at the SEC Staff Roundtable on Market Data and Market Access Speaker: Brett Redfearn, Director, Division of Trading and Markets
Type:Statement
Published date grouping:October 2018 Date: Title: Statement at the Roundtable on Market Data and Market Access Speaker: Commissioner Elad L. Roisman
Type:Statement
Published date grouping:October 2018 Date: Title: Keynote Address - ICI Securities Law Developments Conference Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:October 2018 Date: Title: Remarks at Roundtable on Market Data and Market Access Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:October 2018 Date: Title: Improving Information for Investors in the Digital Age Speaker: Commissioner Kara M. Stein
Type:Speech
Published date grouping:October 2018 Date: Title: Statement on Market Data Fees and Market Structure Speaker:

Chairman Jay Clayton[1]

Type:Statement
Published date grouping:October 2018 Date: Title: Joint Statement on the Application of SIFMA for Review of Action Taken by NYSE Arca, Inc., and NASDAQ Stock Market LLC Speaker: Commissioner Hester M. Peirce
Commissioner Elad L. Roisman
Type:Statement
Published date grouping:October 2018 Date: Title: The New American Dream: Retirement Security Speaker: Commissioner Kara M. Stein
Type:Speech
Published date grouping:October 2018 Date: Title: Remarks at the IDC - 2018 Fund Directors Conference Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:October 2018 Date: Title: Pittsburgh Principles and Regulatory Realities: Remarks before the International Regulators Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:October 2018 Date: Title: Statement at Open Meeting Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:October 2018 Date: Title: Statement on Re-Opening Comment Period for Capital/Margin/Segregation for Security-Based Swap Dealers Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:October 2018 Date: Title: Statement on Re-Opening the Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers Speaker: Commissioner Elad L. Roisman
Type:Statement
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
Type:Statement
Published date grouping:October 2018 Date: Title: Statement at Open Meeting on Re-Opening Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:October 2018 Date: Title: Competition: The Forgotten Fourth Pillar of the SEC’s Mission Speaker:

Robert J. Jackson, Jr.*

Type:Speech
Published date grouping:October 2018 Date: Title: Remarks at the Municipal Finance Leadership Conference Speaker: Rebecca Olsen, Director, Office of Municipal Securities
Type:Speech
Published date grouping:October 2018 Date: Title: Insider Trading Laws Haven’t Kept Up With the Crooks Speaker: Commissioner Robert J. Jackson Jr.
Type:Speech
Published date grouping:October 2018 Date: Title: Why and Whither Title VII?: Remarks before the 2018 ISDA Annual North America Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:October 2018 Date: Title: Remedies and Relief in SEC Enforcement Actions Speaker: Steven Peikin, Co-Director, Division of Enforcement
Type:Speech
Published date grouping:October 2018 Date: Title: Pickups and Put Downs: Remarks at the Financial Planning Association 2018 Major Firms Symposium Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:September 2018 Date: Title: Statement Regarding Agreed Settlements With Elon Musk and Tesla Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2018 Date: Title: From the Data Rush to the Data Wars: A Data Revolution in Financial Markets Speaker: Commissioner Kara M. Stein
Type:Speech
Published date grouping:September 2018 Date: Title: Remarks at the SEC Staff Roundtable on Regulatory Approaches to Combating Retail Investor Fraud Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2018 Date: Title: Testimony on “Oversight of the SEC’s Division of Investment Management” Speaker:

Dalia Blass, Director, Division of Investment Management

Type:Testimony
Published date grouping:September 2018 Date: Title: Introductory Remarks for U.S. Treasurer Jovita Carranza at the SEC Hispanic Heritage Month Celebration Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:September 2018 Date: Title: Wolves and Wolverines: Remarks at the University of Michigan Law School Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:September 2018 Date: Title: My Beef with Stakeholders: Remarks at the 17th Annual SEC Conference, Center for Corporate Reporting and Governance Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:September 2018 Date: Title: Statement on Order of Suspension of Trading of Certain Bitcoin/Ether Tracking Certificates Speaker:

Division of Trading and Markets and Division of Corporation Finance

Type:Statement
Published date grouping:September 2018 Date: Title: Measuring the Impact of the SEC’s Enforcement Program Speaker:

Stephanie Avakian, Co-Director, Division of Enforcement

Type:Speech
Published date grouping:September 2018 Date: Title: Unfair Exchange: The State of America's Stock Markets Speaker: Commissioner Robert J. Jackson Jr.
Type:Speech
Published date grouping:September 2018 Date: Title: Remarks before the AICPA National Conference on Banks & Saving Institutions Speaker:

Wesley Bricker, Chief Accountant

Type:Speech
Published date grouping:September 2018 Date: Title: Statement on Shareholder Voting Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:September 2018 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2018 Date: Title: Statement Regarding Staff Proxy Advisory Letters Speaker:

Investment Management

Type:Statement
Published date grouping:September 2018 Date: Title: Statement Regarding SEC Staff Views Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2018 Date: Title: Motherhood and Humble Pie: Remarks before the Cato Institute’s FinTech Unbound Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:September 2018 Date: Title: Statement on the Expiration of the Tick Size Pilot Speaker:

Division of Economic and Risk Analysis and Division of Trading and Markets

Type:Statement
Published date grouping:September 2018 Date: Title: Statement on Senate Confirmation of Elad L. Roisman Speaker:

Chairman Jay Clayton
Commissioner Kara M. Stein
Commissioner Robert J. Jackson Jr.
Commissioner Hester M. Peirce

Type:Statement
Published date grouping:August 2018 Date: Title: Remarks on Capital Formation at the Nashville 36|86 Entrepreneurship Festival Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:August 2018 Date: Title: Statement on Status of the Consolidated Audit Trail Speaker:

Brett Redfearn, Director, SEC Division of Trading and Markets

Type:Statement
Published date grouping:August 2018 Date: Title: Statement on Investor Roundtables Regarding Standards of Conduct for Investment Professionals Rulemaking Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:August 2018 Date: Title: Statement on Investing in America for the Long Term Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2018 Date: Title: Statement Regarding Treasury's Report on Nonbank Financials, Fintech, and Innovation Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2018 Date: Title: Statement Announcing SEC Staff Roundtable on the Proxy Process Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2018 Date: Title: Dissent of Commissioner Hester M. Peirce to Release No. 34-83723; File No. SR-BatsBZX-2016-30 Speaker: Commissioner Hester M. Peirce
Type:Statement
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
Type:Statement
Published date grouping:July 2018 Date: Title: What’s in a Name? Regulation Best Interest v. Fiduciary Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:July 2018 Date: Title: Statement at Open Meeting Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2018 Date: Title: Statement of Commissioner Robert J. Jackson, Jr. Final Rules Regarding Regulation ATS (Alternative Trading Systems) Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:July 2018 Date: Title: Statement at Open Meeting on NMS Stock Alternative Trading Systems Speaker: Commissioner Hester M. Peirce
Type:Statement
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
Type:Statement
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
Type:Statement
Published date grouping:July 2018 Date: Title: Statement at Open Meeting on Rule 701 Amendment and Concept Release Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:July 2018 Date: Title: Statement at Fixed Income Market Structure Advisory Committee Meeting Speaker: Commissioner Kara M. Stein
Type:Statement
Published date grouping:July 2018 Date: Title: Remarks on the Establishment of the Task Force on Market Integrity and Consumer Fraud Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:June 2018 Date: Title: Statement at Open Meeting on Amendments to Smaller Reporting Company Definition Speaker:

Commissioner Hester M. Peirce

Type:Statement
Published date grouping:June 2018 Date: Title: Statement on Final Rule of Inline XBRL Filing of Tagged Data Speaker:

Commissioner Hester M. Peirce

Type:Statement
Published date grouping:June 2018 Date: Title: Statement at Open Meeting on Exchange-Traded Funds Speaker:

Commissioner Hester M. Peirce

Type:Statement
Published date grouping:June 2018 Date: Title: Statement at Open Meeting on Amendments to the Commission’s Whistleblower Program Rules Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:June 2018 Date: Title: Statement on Final Rules Regarding Smaller Reporting Companies Speaker:

Commissioner Robert J. Jackson, Jr.

Type:Statement
Published date grouping:June 2018 Date: Title: Statement on Proposed Rules Regarding SEC Whistleblower Program Speaker:

Commissioner Robert J. Jackson, Jr.

Type:Statement
Published date grouping:June 2018 Date: Title: Statement on Investment Company Liquidity Disclosure Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:June 2018 Date: Title: Statement on Proposed Amendments to the Commission’s Whistleblower Program Rules Speaker: Commissioner Kara M. Stein
Type:Statement
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
Type:Statement
Published date grouping:June 2018 Date: Title: Statement on Adoption of Amendments to Investment Company Liquidity Disclosure Speaker: Commissioner Kara M. Stein
Type:Statement
Published date grouping:June 2018 Date: Title: Statement on Final Rule of Inline XBRL Filing of Tagged Data Speaker: Commissioner Kara M. Stein
Type:Statement
Published date grouping:June 2018 Date: Title: Statement at Open Meeting on Investment Company Liquidity Disclosure Adopting Release Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:June 2018 Date: Title: Statement at Open Meeting on Exchange-Traded Funds Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2018 Date: Title: Statement at Open Meeting on Amendments to the Commission’s Whistleblower Program Rules Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2018 Date: Title: Statement at Open Meeting on Amendments to Smaller Reporting Company Definition Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2018 Date: Title: Statement at Open Meeting on Inline XBRL Filing of Tagged Data Speaker:

Chairman Jay Clayton

Type:Statement
Published date grouping:June 2018 Date: Title: Statement at Open Meeting on Investment Company Liquidity Disclosure Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2018 Date: Title: Opening Statement at Open Meeting Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2018 Date: Title: Statement of Commissioner Robert J. Jackson, Jr. on Proposed Rules Regarding Exchange Traded Funds (ETFs) Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:June 2018 Date: Title: Statement on Amendments to Smaller Reporting Company Definition Speaker: Commissioner Kara M. Stein
Type:Statement
Published date grouping:June 2018 Date: Title: Statement of Commissioner Piwowar at Open Meeting Regarding Amendments to the Commission’s Whistleblower Program Rules Speaker: Commissioner Michael S. Piwowar
Type:Statement
Published date grouping:June 2018 Date: Title: Statement at Open Meeting on Investment Company Liquidity Disclosure (Final Rule) Speaker: Commissioner Michael S. Piwowar
Type:Statement
Published date grouping:June 2018 Date: Title: Statement at Open Meeting on Exchange-Traded Funds (Proposed Rule) Speaker: Commissioner Michael S. Piwowar
Type:Statement
Published date grouping:June 2018 Date: Title: Statement of Commissioner Piwowar at Open Meeting Regarding Amendments to Smaller Reporting Company Definition Speaker: Commissioner Michael S. Piwowar
Type:Statement
Published date grouping:June 2018 Date: Title: Statement of Commissioner Piwowar at Open Meeting Regarding Inline XBRL Filing of Tagged Data Speaker: Commissioner Michael S. Piwowar
Type:Statement
Published date grouping:June 2018 Date: Title: Statement on Retirement of Justice Kennedy Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2018 Date: Title: Testimony on “Oversight of the U.S. Securities and Exchange Commission” Speaker:

Chairman Jay Clayton

Type:Testimony
Published date grouping:June 2018 Date: Title: Remarks before the Institute of Management Accountant’s 2018 Annual Conference and Expo: “Advancing the Purpose and Promise of Those Involved in Financial Reporting” Speaker: Wesley Bricker, Chief Accountant
Type:Speech
Published date grouping:June 2018 Date: Title: Observations on Culture at Financial Institutions and the SEC Speaker:

Chairman Jay Clayton

Type:Speech
Published date grouping:June 2018 Date: Title: Digital Asset Transactions: When Howey Met Gary (Plastic) Speaker: William Hinman, Director, Division of Corporation Finance
Type:Speech
Published date grouping:June 2018 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2018 Date: Title: Remarks at the SEC’s Investor Advisory Committee Meeting Speaker: Commissioner Kara M. Stein
Type:Statement
Published date grouping:June 2018 Date: Title: Stock Buybacks and Corporate Cashouts Speaker: Commissioner Robert J. Jackson Jr.
Type:Speech
Published date grouping:June 2018 Date: Title: Progress Is Being Made: Continued Focus on Addressing Implementation Matters Speaker:
Type:Speech
Published date grouping:June 2018 Date: Title: "A Framework of Trust" Speaker: Commissioner Kara M. Stein
Type:Speech
Published date grouping:June 2018 Date: Title: Statement on Investment Company Disclosure Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:June 2018 Date: Title: Remarks to the Institute of Chartered Accountants in England and Wales: “The intersection of financial reporting and innovation" Speaker: Wesley Bricker, Chief Accountant
Type:Speech
Published date grouping:June 2018 Date: Title: Testimony before the Financial Services and General Government Subcommittee of the Senate Committee on Appropriations Speaker:

Chairman Jay Clayton

Type:Testimony
Published date grouping:June 2018 Date: Title: Opening Remarks to the Elder Justice Coordinating Council Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2018 Date: Title: Statement at Open Meeting on Inter-Agency Proposal for Amendments to the Volcker Rule Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2018 Date: Title: Statement at Open Meeting on Amendments to the Volcker Rule Speaker: Commissioner Hester M. Peirce
Type:Statement
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
Type:Statement
Published date grouping:June 2018 Date: Title: Proposed Amendments to the Volcker Rule Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:June 2018 Date: Title: Statement on Investment Company Design, Delivery and Disclosures Rulemaking Package Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2018 Date: Title: Optional Internet Availability of Investment Company Shareholder Reports Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:June 2018 Date: Title: Statement on Investment Company Rule 30e-3, Enabling Optional Internet Availability of Shareholder Reports Speaker: Commissioner Michael S. Piwowar
Type:Statement
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
Type:Statement
Published date grouping:May 2018 Date: Title: Remarks at the FINRA Annual Conference Speaker: Brett Redfearn, Director, Division of Trading and Markets
Type:Speech
Published date grouping:May 2018 Date: Title: Statement on NASAA’s Announcement of Enforcement Sweep Targeting Fraudulent ICOs and Crypto-asset Investment Products Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2018 Date: Title: Oversight of the SEC’s Division of Enforcement Speaker:

Stephanie Avakian and Steven Peikin
Co-Directors, Division of Enforcement

Type:Testimony
Published date grouping:May 2018 Date: Title: Keynote Address to the UJA Federation Speaker: Steven Peikin, Co-Director, Division of Enforcement
Type:Speech
Published date grouping:May 2018 Date: Title: The Why Behind the No: Remarks at the 50th Annual Rocky Mountain Securities Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:May 2018 Date: Title: Keynote Address at the New York City Bar Association’s 7th Annual White Collar Crime Institute Speaker: Steven Peikin, Co-Director, Division of Enforcement
Type:Speech
Published date grouping:May 2018 Date: Title: Statement on Commissioner Michael S. Piwowar Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2018 Date: Title: Statement of Commissioner Michael S. Piwowar Speaker: Commissioner Michael S. Piwowar
Type:Statement
Published date grouping:May 2018 Date: Title: Tossing Fish and Catching Capital: Remarks at the 38th Annual Northwest Securities Institute CLE at the Washington State Bar Association Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:May 2018 Date: Title: Remarks before the 2018 Baruch College Financial Reporting Conference: “Working Together to Advance Financial Reporting” Speaker: Wesley Bricker, Chief Accountant
Type:Speech
Published date grouping:May 2018 Date: Title: The Role of Machine Readability in an AI World Speaker:

Scott W. Bauguess
Deputy Chief Economist and Deputy Director, Division of Economic and Risk Analysis

Type:Speech
Published date grouping:May 2018 Date: Title: The Evolving Market for Retail Investment Services and Forward-Looking Regulation — Adding Clarity and Investor Protection while Ensuring Access and Choice Speaker:

Chairman Jay Clayton

Type:Speech
Published date grouping:May 2018 Date: Title: Beaches and Bitcoin: Remarks before the Medici Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:April 2018 Date: Title: Remarks at the PLI Investment Management Institute 2018 Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:April 2018 Date: Title: Testimony before the Financial Services and General Government Subcommittee of the House Committee on Appropriations Speaker:

Chairman Jay Clayton

Type:Testimony
Published date grouping:April 2018 Date: Title: Testimony on “Oversight of the SEC’s Division of Corporation Finance” Speaker: William Hinman, Director, Division of Corporation Finance
Type:Testimony
Published date grouping:April 2018 Date: Title: The Middle-Market IPO Tax Speaker: Commissioner Robert J. Jackson Jr.
Type:Speech
Published date grouping:April 2018 Date: Title: Statement on Public Engagement Regarding Standards of Conduct for Investment Professionals Rulemaking Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:April 2018 Date: Title: Remarks at MSRB Dinner to Celebrate Milestones in Municipal Market Transparency Speaker: Commissioner Michael S. Piwowar
Type:Speech
Published date grouping:April 2018 Date: Title: Overview of the Standards of Conduct for Investment Professionals Rulemaking Package Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:April 2018 Date: Title: Statement at the Open Meeting on Standards of Conduct for Investment Professionals Speaker: Chairman Jay Clayton
Type:Statement
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
Type:Statement
Published date grouping:April 2018 Date: Title: Statement at Open Meeting on Form CRS, Proposed Regulation Best Interest and Notice of Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers (Proposed Rule) Speaker: Commissioner Michael S. Piwowar
Type:Statement
Published date grouping:April 2018 Date: Title: Proposed Rulemakings Relating to Investment Adviser / Broker Dealer (IABD) Standards of Conduct Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:April 2018 Date: Title: Statement at the Open Meeting on Standards of Conduct for Investment Professionals Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:April 2018 Date: Title: Remarks before the SIFMA Equity Market Structure Conference Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:April 2018 Date: Title: Reflections of an Economist Commissioner Speaker: Commissioner Michael S. Piwowar
Type:Speech
Published date grouping:April 2018 Date: Title: Letter of Commissioners Piwowar and Peirce on Regulation A Offering Amount Limitation Speaker:

Commissioner Michael S. Piwowar
Commissioner Hester M. Peirce

Type:Statement
Published date grouping:April 2018 Date: Title: International Organizations: Learning from the Past to Build for the Future Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:April 2018 Date: Title: Remarks at the Equity Market Structure Symposium Sponsored by the University of Chicago and the STA Foundation Speaker:

Brett Redfearn, Director, Division of Trading and Markets

Type:Speech
Published date grouping:April 2018 Date: Title: Remarks at the Equity Market Structure Symposium Sponsored by the University of Chicago and the STA Foundation Speaker:

Chairman Jay Clayton

Type:Speech
Published date grouping:April 2018 Date: Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
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

Type:Statement
Published date grouping:March 2018 Date: Title: Keynote Address, ICI 2018 Mutual Funds and Investment Management Conference Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:March 2018 Date: Title: Looking at Funds through the Right Glasses Speaker: Commissioner Hester M. Peirce
Type:Speech
Published date grouping:March 2018 Date: Title: Corporate Governance: On the Front Lines of America's Cyber War Speaker: Commissioner Robert J. Jackson Jr.
Type:Speech
Published date grouping:March 2018 Date: Title: Statement at Open Meeting on the Proposed Transaction Fee Pilot for NMS Stocks Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:March 2018 Date: Title: Statement at Open Meeting on Proposed Amendments to Public Reporting of Fund Liquidity Information Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:March 2018 Date: Title: Statement at Open Meeting on Investment Company Liquidity Disclosure Speaker: Commissioner Michael S. Piwowar
Type:Statement
Published date grouping:March 2018 Date: Title: Statement on Proposed Rule to Conduct a Transaction Fee Pilot in NMS stocks Speaker: Commissioner Michael S. Piwowar
Type:Statement
Published date grouping:March 2018 Date: Title: Statement on the Proposed Transaction Fee Pilot for NMS Stocks Speaker:

Commissioner Kara M. Stein

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

Commissioner Kara M. Stein

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

Commissioner Robert J. Jackson, Jr. 

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

Commissioner Robert J. Jackson, Jr.

Type:Statement
Published date grouping:March 2018 Date: Title: Statement at Open Meeting on Transaction Fee Pilot Proposal Speaker: Commissioner Hester M. Peirce
Type:Statement
Published date grouping:March 2018 Date: Title: Statement on Proposed Amendments to Public Reporting of Fund Liquidity Information Speaker:

Commissioner Hester M. Peirce

Type:Statement
Published date grouping:March 2018 Date: Title: SEC Women’s History Month Celebration — Introductory Remarks Speaker:

Chairman Jay Clayton

Type:Speech
Published date grouping:March 2018 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:March 2018 Date: Title: Remarks at the SEC’s Investor Advisory Committee Meeting Speaker: Commissioner Kara M. Stein
Type:Statement
Published date grouping:March 2018 Date: Title: Remarks at the 2018 RegTech Data Summit - Old Fields, New Corn: Innovation in Technology and Law Speaker: Commissioner Michael S. Piwowar
Type:Speech
Published date grouping:March 2018 Date: Title: Statement on Potentially Unlawful Online Platforms for Trading Digital Assets Speaker:

Divisions of Enforcement and Trading and Markets

Type:Statement
Published date grouping:February 2018 Date: Title: Keeping Shareholders on the Beat: A Call for a Considered Conversation About Mandatory Arbitration Speaker: Commissioner Robert J. Jackson Jr.
Type:Speech
Published date grouping:February 2018 Date: Title: Mandatory Arbitration: An Illusory Remedy for Public Company Shareholders Speaker: Rick Fleming, Investor Advocate
Type:Speech
Published date grouping:February 2018 Date: Title: Opening Remarks at the “SEC Speaks” Conference Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:February 2018 Date: Title: Remarks at SEC Speaks: Increasing Product Complexity: What’s at Stake? Speaker: Commissioner Kara M. Stein
Type:Speech
Published date grouping:February 2018 Date: Title: SEC African American History Month Celebration Introductory Remarks for Command Sergeant Major Michael L. Gragg Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:February 2018 Date: Title: Statement on Cybersecurity Interpretive Guidance Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:February 2018 Date: Title: Statement on Commission Statement and Guidance on Public Company Cybersecurity Disclosures Speaker: Commissioner Kara M. Stein
Type:Statement
Published date grouping:February 2018 Date: Title: Statement on Commission Statement and Guidance on Public Company Cybersecurity Disclosures Speaker: Commissioner Robert J. Jackson Jr.
Type:Statement
Published date grouping:February 2018 Date: Title: Perpetual Dual-Class Stock: The Case Against Corporate Royalty Speaker: Commissioner Robert J. Jackson Jr.
Type:Speech
Published date grouping:February 2018 Date: Title: Joint Statement: Thank You Jacob "Jake" Stillman Speaker:

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

Type:Statement
Published date grouping:February 2018 Date: Title: “Mutualism: Reimagining the Role of Shareholders in Modern Corporate Governance” Remarks at Stanford University Speaker: Commissioner Kara M. Stein
Type:Speech
Published date grouping:February 2018 Date: Title: Chairman’s Testimony on Virtual Currencies: The Roles of the SEC and CFTC Speaker:

Chairman Jay Clayton

Type:Testimony
Published date grouping:February 2018 Date: Title: Keynote Address at the PLI’s Seventeenth Annual Institute on Securities Regulation in Europe Speaker: William Hinman, Director, Division of Corporation Finance
Type:Speech
Published date grouping:January 2018 Date: Title: Statement by SEC Chairman Jay Clayton and CFTC Chairman J. Christopher Giancarlo: Regulators are Looking at Cryptocurrency Speaker:

SEC Chairman Jay Clayton

CFTC Chairman J. Christopher Giancarlo

Type:Statement
Published date grouping:January 2018 Date: Title: Opening Remarks at the Securities Regulation Institute Speaker:

Chairman Jay Clayton

Type:Speech
Published date grouping:January 2018 Date: Title: Statement on Charges Against Former KPMG and PCAOB Personnel Speaker:

Chairman Jay Clayton

Type:Statement
Published date grouping:January 2018 Date: Title: Opening Remarks to SEC-NYU Dialogue on Securities Markets #4: Shareholder Engagement Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:January 2018 Date: Title: SEC-NYU Dialogue on Securities Market Regulation Concluding Remarks Speaker: Commissioner Kara M. Stein
Type:Speech
Published date grouping:January 2018 Date: Title: Joint Statement by SEC and CFTC Enforcement Directors Regarding Virtual Currency Enforcement Actions Speaker:

SEC Co-Enforcement Directors Stephanie Avakian and Steven Peikin and CFTC Enforcement Director James McDonald

Type:Statement
Published date grouping:January 2018 Date: Title: Remarks at Ceremonial Swearing In of Commissioners Hester M. Peirce and Robert J. Jackson, Jr. Speaker: Chairman Jay Clayton
Type:Speech
Published date grouping:January 2018 Date: Title: Remarks at the Inaugural Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:January 2018 Date: Title: Remarks to the Fixed Income Market Structure Advisory Committee Speaker: Commissioner Kara M. Stein
Type:Statement
Published date grouping:January 2018 Date: Title: Remarks at the Inaugural Meeting of the Fixed Income Market Structure Advisory Committee Speaker: Commissioner Michael S. Piwowar
Type:Statement
Published date grouping:January 2018 Date: Title: Statement on NASAA’s Message to Investors about ICOs Speaker:

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

Type:Statement
Published date grouping:January 2018 Date: Title: Statement on PCAOB Board Member Changes Speaker:

Chairman Jay Clayton
Chief Accountant Wes Bricker

Type:Statement
Published date grouping:December 2017 Date: Title: Statement on Senate Confirmation of Hester Peirce and Robert J. Jackson, Jr. Speaker:

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

Type:Statement
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

Type:Statement
Published date grouping:December 2017 Date: Title: Jury Finds Technology Company Founder Liable for Misleading Investors About Energy-Efficient Computer Servers Speaker:

Stephanie Avakian, Co-Director, Division of Enforcement
Steven Peikin, Co-Director, Division of Enforcement

Type:Statement
Published date grouping:December 2017 Date: Title: Statement on Appointment of New PCAOB Board Members Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2017 Date: Title: Statement on Cryptocurrencies and Initial Coin Offerings Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:December 2017 Date: Title: Statement From Enforcement Division Co-Directors on Jury Verdict in Financial Fraud Case Speaker:

Stephanie Avakian, Co-Director, Division of Enforcement
Steven Peikin, Co-Director, Division of Enforcement

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

Commissioner Kara M. Stein

Type:Speech
Published date grouping:December 2017 Date: Title: Keynote Address: ICI Securities Law Developments Conference Speaker: Dalia Blass, Director, Division of Investment Management
Type:Speech
Published date grouping:December 2017 Date: Title: Remarks to the SEC Investor Advisory Committee Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:December 2017 Date: Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Joseph R. Epstein, Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2017 Date: Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Ryan Wolfe, Senior Associate Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2017 Date: Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Robert B. Sledge, Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2017 Date: Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Nigel J. James
Associate Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2017 Date: Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Michael P. Berrigan, Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2017 Date: Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Michal P. Dusza, Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2017 Date: Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments Speaker:

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

Type:Speech
Published date grouping:December 2017 Date: Title: Statement in Connection with the 2017 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Wesley R. Bricker, Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:November 2017 Date: Title: Remarks at the Annual Government-Business Forum on Small Business Capital Formation Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:November 2017 Date: Title: 2017 Government–Business Forum on Small Business Capital Formation Opening Remarks Speaker:

Commissioner Kara M. Stein

Type:Statement
Published date grouping:November 2017 Date: Title: Remarks to the SEC Government-Business Forum on Small Business Capital Formation Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:November 2017 Date: Title: Remarks at the Third Annual Conference on the Evolving Structure of the U.S. Treasury Market Speaker:

Chairman Jay Clayton

Type:Speech
Published date grouping:November 2017 Date: Title: Statement on Status of the Consolidated Audit Trail Speaker:

Chairman Jay Clayton

Type:Statement
Published date grouping:November 2017 Date: Title: Remarks before the Financial Executives International 36th Annual Current Financial Reporting Issues Conference: Effective Financial Reporting in a Period of Change Speaker:

Wesley R. Bricker, Chief Accountant, U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:November 2017 Date: Title: Reflections on the Past, Present, and Future of the SEC’s Enforcement of the Foreign Corrupt Practices Act Speaker:

Steven R. Peikin, Co-Director, Enforcement Division

Type:Speech
Published date grouping:November 2017 Date: Title: Governance and Transparency at the Commission and in Our Markets Speaker:

Chairman Jay Clayton

Type:Speech
Published date grouping:November 2017 Date: Title: Statement on Passing of Former SEC Commissioner Isaac Hunt Speaker:

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

Type:Statement
Published date grouping:November 2017 Date: Title: SEC Statement Urging Caution Around Celebrity Backed ICOs Speaker:

SEC Division of Enforcement and
SEC Office of Compliance Inspections and Examinations

Type:Statement
Published date grouping:October 2017 Date: Title: Securities Enforcement Forum Keynote Speech Speaker:

Stephanie Avakian, Co-Director, Division of Enforcement

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:October 2017 Date: Title: Remarks at FINRA and Columbia University Market Structure Conference Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:October 2017 Date: Title: Statement on SEC Approval of the PCAOB’s New Auditor’s Reporting Standard Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:October 2017 Date: Title: Statement on PCAOB’s New Auditor’s Reporting Standard Speaker:

Commissioner Kara M. Stein

Type:Statement
Published date grouping:October 2017 Date: Title: Statement on Adoption of Auditor’s Reporting Model Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:October 2017 Date: Title: Remarks to the SEC Investor Advisory Committee Speaker:

Chairman Jay Clayton

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:October 2017 Date: Title: Statement at Open Meeting: Proposal to Modernize and Simplify Disclosure Requirements Speaker:

Chairman Jay Clayton

Type:Statement
Published date grouping:October 2017 Date: Title: Statement of Commissioner Piwowar at Open Meeting Regarding FAST Act Modernization and Simplification of Regulation S-K Speaker:

Commissioner Michael S. Piwowar

Type:Statement
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

Type:Statement
Published date grouping:October 2017 Date: Title: Statement on Jury's Verdict in Trial of Howard Present Speaker:

Stephanie Avakian, Co-Director, Division of Enforcement

Steven Peikin, Co-Director, Division of Enforcement

Type:Statement
Published date grouping:October 2017 Date: Title: Testimony on Examining the SEC's Agenda, Operation, and Budget Speaker:

Chairman Jay Clayton

Type:Testimony
Published date grouping:September 2017 Date: Title: Testimony on “Oversight of the U.S. Securities and Exchange Commission” Speaker:

Chairman Jay Clayton

Type:Testimony
Published date grouping:September 2017 Date: Title: Update on the Search and Selection Process for Public Company Accounting Oversight Board’s Next Members Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2017 Date: Title: Remarks before the San Diego Chapter of the Financial Executives Institute Speaker:

Sagar Teotia, Deputy Chief Accountant

Type:Speech
Published date grouping:September 2017 Date: Title: Statement on Cybersecurity Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:September 2017 Date: Title: Statement on Cybersecurity Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2017 Date: Title: Improving Investment Adviser Compliance Speaker:

Peter B. Driscoll, Acting Director, Office of Compliance Inspections and Examinations

Type:Speech
Published date grouping:September 2017 Date: Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:September 2017 Date: Title: Remarks at Meeting of the Advisory Committee on Small and Emerging Companies Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:September 2017 Date: Title: Commission Statement on Nationwide Search to Hire Agency’s First-Ever “Advocate for Small Business Capital Formation” Speaker:

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

Type:Statement
Published date grouping:September 2017 Date: Title: A Joint Path Forward: Address at Eurofi Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:September 2017 Date: Title: Remarks before the AICPA National Conference on Banks & Savings Institutions Speaker:

Wesley R. Bricker, Chief Accountant

Type:Speech
Published date grouping:September 2017 Date: Title: SEC-NYU Dialogue on Exchange-Traded Products Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:September 2017 Date: Title: SEC-NYU Dialogue on Exchange-Traded Products Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:August 2017 Date: Title: The Rulemaking Process: Two Accounting and Auditing Mini-case Studies Speaker:

Stephen Deane, CFA, Investor Engagement Advisor, Office of the Investor Advocate

Type:Speech
Published date grouping:August 2017 Date: Title: James R. Doty, Chairman of the Public Company Accounting Oversight Board, Agrees To Remain in Place for Search and Transition Period for New Board Members Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:August 2017 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
Published date grouping:July 2017 Date: Title: Remarks at the National Compliance Outreach Program for Broker-Dealers Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:July 2017 Date: Title: Statement by the Divisions of Corporation Finance and Enforcement on the Report of Investigation on The DAO Speaker:

Divisions of Corporation Finance and Enforcement

Type:Statement
Published date grouping:July 2017 Date: Title: Comment Letter in Response to the Department of Labor’s “Request for Information Regarding the Fiduciary Rule and Prohibited Transaction Exemptions” Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:July 2017 Date: Title: Remarks at the Economic Club of New York Speaker:

SEC Chairman Jay Clayton

Type:Speech
Published date grouping:July 2017 Date: Title: Remarks at the Healthy Market Structure Conference Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:June 2017 Date: Title: Testimony on the Fiscal Year 2018 Budget Request Speaker:

Chairman Jay Clayton

Type:Testimony
Published date grouping:June 2017 Date: Title: Remarks at Meeting of the Investor Advisory Committee Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:June 2017 Date: Title: The Role of Big Data, Machine Learning, and AI in Assessing Risks: a Regulatory Perspective Speaker:

Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA

Type:Speech
Published date grouping:June 2017 Date: Title: Keynote Address before the Buy-Side Risk USA 2017 Conference – "Market Fragility and Interconnectedness in the Asset Management Industry" Speaker:

Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA

Type:Speech
Published date grouping:June 2017 Date: Title: Keynote Address before the 2017 Journal of Accounting and Public Policy Conference – “The Interaction between Regulatory Institutions and Accounting: A Public Policy Perspective” Speaker:

Wesley R. Bricker, Chief Accountant

Type:Speech
Published date grouping:June 2017 Date: Title: Remarks before the 36th Annual SEC and Financial Reporting Institute Conference: “Advancing the Role of Credible Financial Reporting in the Capital Markets” Speaker:

Wesley R. Bricker, Chief Accountant

Type:Speech
Published date grouping:June 2017 Date: Title: Public Comments from Retail Investors and Other Interested Parties on Standards of Conduct for Investment Advisers and Broker-Dealers Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2017 Date: Title: Statement on Leon Cooperman Settling Insider Trading Charges Speaker:

Stephanie Avakian, Acting Enforcement Division Director

Type:Statement
Published date grouping:May 2017 Date: Title: Opening Remarks at SEC-NYU Dialogue on Securities Market Regulation: Reviving the U.S. IPO Market Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:May 2017 Date: Title: Remarks at Meeting of the Advisory Committee on Small and Emerging Companies Speaker: Chairman Jay Clayton
Type:Statement
Published date grouping:May 2017 Date: Title: Remarks Before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Commissioner Kara Stein

Type:Statement
Published date grouping:May 2017 Date: Title: Opening Remarks at 2017 SEC/NASAA Annual Section 19(d) Conference Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:May 2017 Date: Title: Closing Remarks at 2017 SEC/NASAA Annual Section 19(d) Conference Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:May 2017 Date: Title: Enhancing the Demand for IPOs Speaker:

Rick A. Fleming, Investor Advocate

Type:Speech
Published date grouping:May 2017 Date: Title: Remarks before the Bloomberg BNA Conference on Revenue Recognition Speaker:

Sylvia E. Alicea, Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:May 2017 Date: Title: Remarks before the 2017 Baruch College Financial Reporting Conference: "Advancing Our Capital Markets with High-Quality Information" Speaker:

Wesley R. Bricker, Chief Accountant

Type:Speech
Published date grouping:April 2017 Date: Title: Statement of Acting Chairman Piwowar on the Court of Appeals Decision on the Conflict Minerals Rule Speaker:

Acting Chairman Michael S. Piwowar

Type:Statement
Published date grouping:April 2017 Date: Title: Updated Statement on the Effect of the Court of Appeals Decision on the Conflict Minerals Rule Speaker:

SEC Division of Corporation Finance

Type:Statement
Published date grouping:April 2017 Date: Title: Statement on “Best Places to Work Rankings” Speaker:

Lacey Dingman, Director, Office of Human Resources and Chief Human Capital Officer

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

Acting Chairman Michael S. Piwowar

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:March 2017 Date: Title: Remarks Before the 27th International Institute for Securities Market Growth and Development Speaker:

Acting Chairman Michael Piwowar

Type:Speech
Published date grouping:March 2017 Date: Title: Remarks before the University of Tennessee’s C. Warren Neel Corporate Governance Center: “Advancing the Role and Effectiveness of Audit Committees” Speaker:

Wesley R. Bricker, Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:March 2017 Date: Title: New Special Study of the Securities Markets: Keynote Address Speaker:

Acting Chairman Michael S. Piwowar

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

Acting Chairman Michael S. Piwowar

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:March 2017 Date: Title: Remarks before the Annual Life Sciences Accounting & Reporting Congress: “Advancing Effective Internal Control and Credible Financial Reporting” Speaker:

Wesley R. Bricker, Chief Accountant

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:March 2017 Date: Title: Remarks to the SEC Investor Advisory Committee Speaker:

Acting Chairman Michael S. Piwowar

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:March 2017 Date: Title: Opening Statement on Proposed Amendment to Rule 15c2-12 Speaker:

Acting Chairman Michael S. Piwowar

Type:Statement
Published date grouping:March 2017 Date: Title: Opening Statement on Inline XBRL Filing of Tagged Data Speaker:

Acting Chairman Michael S. Piwowar

Type:Statement
Published date grouping:March 2017 Date: Title: Opening Statement on Hyperlinks and HTML Adopting Release Speaker:

Acting Chairman Michael S. Piwowar

Type:Statement
Published date grouping:March 2017 Date: Title: Opening Statement on Request for Comment on Possible Revisions to Statistical and Other Disclosures Affecting Registrants in the Financial Services Industry Speaker:

Acting Chairman Michael S. Piwowar

Type:Statement
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

Type:Statement
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

Type:Statement
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

Type:Statement
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

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

Acting Chairman Michael Piwowar

Type:Statement
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

Type:Statement
Published date grouping:February 2017 Date: Title: Improving Investor Engagement Speaker:

Rick A. Fleming, Investor Advocate

U.S. Securities and Exchange Commission[1]

Type:Speech
Published date grouping:February 2017 Date: Title: Remarks at the “SEC Speaks” Conference 2017: Remembering the Forgotten Investor Speaker:

Acting Chairman Michael S. Piwowar

Type:Speech
Published date grouping:February 2017 Date: Title: Remarks at the “SEC Speaks” Conference: The Markets in 2017: What’s at Stake? Speaker:

Commissioner Kara M. Stein

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

The Commission

Type:Statement
Published date grouping:February 2017 Date: Title: Statement on Jury's Verdict in Trial of Christopher J. Hall Speaker:

Stephanie Avakian
Acting Director, Division of Enforcement

Type:Statement
Published date grouping:February 2017 Date: Title: Remarks of SEC Acting Chairman Michael Piwowar at the Signing of the Memorandum of Understanding between the Commission and NASAA Speaker:

Acting Chairman Michael Piwowar

Type:Statement
Published date grouping:February 2017 Date: Title: Opening Remarks of SEC Acting Chairman Michael Piwowar before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Acting Chairman Michael S. Piwowar 

Type:Statement
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

Type:Statement
Published date grouping:February 2017 Date: Title: Reconsideration of Pay Ratio Rule Implementation Speaker:

Acting Chairman Michael S. Piwowar

Type:Statement
Published date grouping:January 2017 Date: Title: Reconsideration of Conflict Minerals Rule Implementation Speaker:

Acting Chairman Michael S. Piwowar

Type:Statement
Published date grouping:January 2017 Date: Title: “The SEC after the Financial Crisis: Protecting Investors, Preserving Markets” Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:January 2017 Date: Title: A U.S. Imperative: High-Quality, Globally Accepted Accounting Standards Speaker:

Chair Mary Jo White

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

Chair Mary Jo White

Type:Statement
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

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

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:December 2016 Date: Title: Remarks to the Investor Advisory Committee Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:December 2016 Date: Title: Working Together to Advance High Quality Information in the Capital Markets Speaker:

Wesley R. Bricker, Chief Accountant

Type:Speech
Published date grouping:December 2016 Date: Title: Remarks before the 2016 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Ruth Uejio, Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2016 Date: Title: Remarks before the 2016 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Brian Staniszewski, Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2016 Date: Title: Remarks before the 2016 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Jennifer L. Todling, Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2016 Date: Title: Remarks before the 2016 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Marc Panucci, Deputy Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2016 Date: Title: Remarks before the 2016 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Sylvia E. Alicea, Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2016 Date: Title: Remarks at the 2016 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2016 Date: Title: Remarks before the 2016 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Jonathan Wiggins, Associate Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2016 Date: Title: Remarks before the 2016 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Jenifer Minke-Girard, Assistant Deputy Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2016 Date: Title: Remarks before the 2016 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Sean May, Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:November 2016 Date: Title: Keynote Speech, ACI’s 33rd International Conference on the FCPA Speaker:

Andrew Ceresney, Director, Division of Enforcement

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

Chair Mary Jo White

Type:Statement
Published date grouping:November 2016 Date: Title: Moving Forward with the Commission's Disclosure Effectiveness Initiative Speaker:

Rick A. Fleming, Investor Advocate

U.S. Securities and Exchange Commission[1]

Type:Speech
Published date grouping:November 2016 Date: Title: A New Model for SEC Enforcement: Producing Bold and Unrelenting Results Speaker:

Chair Mary Jo White

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

Chair Mary Jo White

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

Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:November 2016 Date: Title: Statement on the Work of the Financial Stability Oversight Council’s Hedge Fund Working Group Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:November 2016 Date: Title: Examining the Dodd-Frank Act and the Future of Financial Regulation Speaker:

Rick A. Fleming, Investor Advocate

U.S. Securities and Exchange Commission[1]

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

Chair Mary Jo White

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

Commissioner Michael S. Piwowar

Type:Statement
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

Type:Statement
Published date grouping:November 2016 Date: Title: Testimony on “Examining the SEC’s Agenda, Operations, and FY 2018 Budget Request” Speaker:

Chair Mary Jo White

Type:Testimony
Published date grouping:November 2016 Date: Title: Statement on Jury’s Verdict in Insider Trading Case Against Pharmaceutical Executive and Friend Speaker:

Andrew Ceresney
Director, Division of Enforcement

Type:Statement
Published date grouping:November 2016 Date: Title: Opening Remarks at the Fintech Forum Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:November 2016 Date: Title: Statement at Financial Technology Forum Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:November 2016 Date: Title: Remarks to the ALI CLE 2016 Conference on Life Insurance Products Speaker:

David W. Grim, Director, Division of Investment Management

Type:Speech
Published date grouping:October 2016 Date: Title: A Vision for Data at the SEC, Keynote address to Big Data in Finance Conference Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:October 2016 Date: Title: Remarks at the PCAOB Investor Advisory Group Meeting Speaker:

Chair Mary Jo White

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

Chair Mary Jo White

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

Commissioner Kara M. Stein

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

Commissioner Kara M. Stein

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

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:October 2016 Date: Title: Statement at Open Meeting: Adoption of Updated Rules regarding Intrastate Offerings and Small Business Capital Formation Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:October 2016 Date: Title: Keynote Address, The Evolving Structure of the U.S. Treasury Market: Second Annual Conference Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:October 2016 Date: Title: Improving Disclosure with Smart Data Speaker:

Rick A. Fleming, Investor Advocate

Type:Speech
Published date grouping:October 2016 Date: Title: Remarks at 2016 Conference on Auditing and Capital Markets Speaker:

Commissioner Michael S. Piwowar

U.S. Securities and Exchange Commission [1]

Type:Speech
Published date grouping:October 2016 Date: Title: Has Big Data Made Us Lazy? Speaker:

Scott W. Bauguess
Deputy Director and Deputy Chief Economist, DERA

Type:Speech
Published date grouping:October 2016 Date: Title: Remarks at the National Society of Compliance Professionals 2016 National Conference Speaker:

Andrew J. Donohue, Chief of Staff

Type:Speech
Published date grouping:October 2016 Date: Title: Inside the National Exam Program in 2016 Speaker:

Marc Wyatt, Director, Office of Compliance Inspections and Examinations

Type:Speech
Published date grouping:October 2016 Date: Title: The Impact of SEC Enforcement on Public Finance Speaker:

Andrew J. Ceresney, Director, Division of Enforcement

Type:Speech
Published date grouping:October 2016 Date: Title: Statement at Open Meeting: Modernizing and Enhancing Investment Company and Investment Adviser Reporting Speaker:

Chair Mary Jo White

Type:Statement
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

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:October 2016 Date: Title: Statement at Open Meeting: Investment Company Liquidity Risk Management Programs, Investment Company Swing Pricing, and Investment Company Reporting Modernization Releases Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:October 2016 Date: Title: Remarks before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:September 2016 Date: Title: Statement at Open Meeting: Covered Clearing Agencies and Shortening the Settlement Cycle Speaker:

Chair Mary Jo White

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:September 2016 Date: Title: Statement at Open Meeting: Shortening the Settlement Cycle Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:September 2016 Date: Title: Statement at Open Meeting: Adoption of Clearing Agency Standards and Proposal of Amendments to Clearing Agency Definitions Speaker:

Commissioner Michael S. Piwowar

Type:Statement
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

Type:Statement
Published date grouping:September 2016 Date: Title: Testimony on Examining the Agenda of Regulators, SROs, and Standards-Setters for Accounting, Auditing, and Municipal Securities Speaker:

Wesley R. Bricker, Interim Chief Accountant

Type:Testimony
Published date grouping:September 2016 Date: Title: Testimony on Examining the Agenda of Regulators, SROs, and Standards-Setters for Accounting, Auditing, and Municipal Securities Speaker:

Jessica S. Kane, Director, Office of Municipal Securities

Type:Testimony
Published date grouping:September 2016 Date: Title: The SEC Enforcement Division’s Focus on Auditors and Auditing Speaker:

Andrew Ceresney, Director, Division of Enforcement

Type:Speech
Published date grouping:September 2016 Date: Title: Securities Regulation in the Interconnected, Global Marketplace Speaker:
Chair Mary Jo White
Type:Speech
Published date grouping:September 2016 Date: Title: Remarks before the AICPA National Conference on Banks & Savings Institutions Speaker:

Wesley R. Bricker, Interim Chief Accountant

Type:Speech
Published date grouping:September 2016 Date: Title: Statement Regarding Publication of List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:September 2016 Date: Title: Statement on Jury’s Verdict in Trial of the City of Miami and Michael Boudreaux Speaker:

Andrew Ceresney
Director, Division of Enforcement

Type:Statement
Published date grouping:September 2016 Date: Title: Keynote Address, Security Traders Association, 83rd Annual Market Structure Conference Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:September 2016 Date: Title: The SEC’s Whistleblower Program: The Successful Early Years Speaker:

Andrew Ceresney, Director, Division of Enforcement

Type:Speech
Published date grouping:September 2016 Date: Title: Remarks at FINRA’s 2016 Fixed Income Conference Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:August 2016 Date: Title: Investor Protection in the Municipal Securities Markets Speaker:

Rick A. Fleming, Investor Advocate

U.S. Securities and Exchange Commission [1]

Type:Speech
Published date grouping:August 2016 Date: Title: Opinion of Commissioner Piwowar, concurring in part and dissenting in part from the opinion of the Commission Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:August 2016 Date: Title: Opinion of Commissioner Piwowar, concurring in part and dissenting in part from the opinion of the Commission Speaker:

Commissioner Michael S. Piwowar

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

Chair Mary Jo White

Type:Statement
Published date grouping:August 2016 Date: Title: Remarks at the Equity Market Structure Advisory Committee Meeting Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:July 2016 Date: Title: Remarks Before the Quadrilateral Meeting of the FMLC/FMLG/FLB/EFMLG Speaker:

Commissioner Michael S. Piwowar

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

Chair Mary Jo White

Type:Statement
Published date grouping:July 2016 Date: Title: Opening Remarks to the Investor Advisory Committee Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:July 2016 Date: Title: Statement at Meeting of the Investor Advisory Committee Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:July 2016 Date: Title: Statement at Open Meeting on Regulation SBSR, the Disclosure of Order Handling Information, and Disclosure Update and Simplification Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:July 2016 Date: Title: Statement at Open Meeting Regarding Amendments to Regulation SBSR - Reporting and Dissemination of Security-Based Swap Information Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:July 2016 Date: Title: Statement at Open Meeting on Disclosure of Order Handling Information Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:July 2016 Date: Title: Statement at Open Meeting on Disclosure Update and Simplification Speaker:

Commissioner Michael S. Piwowar

Type:Statement
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

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

Commissioner Kara M. Stein

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:July 2016 Date: Title: Remarks at the FINRA Foundation 2015 National Financial Capability Study Release Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:July 2016 Date: Title: Statement Regarding the Delay in Proposing to Shorten the Trade Settlement Cycle Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:July 2016 Date: Title: Statement on Passing of Former SEC Commissioner Irving M. Pollack Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:June 2016 Date: Title: Keynote Address, SEC Regulation Outside the United States “The SEC at Home and Abroad” Speaker:

Andrew J. Donohue, Chief of Staff

Type:Speech
Published date grouping:June 2016 Date: Title: Keynote Address, International Corporate Governance Network Annual Conference: Focusing the Lens of Disclosure to Set the Path Forward on Board Diversity, Non-GAAP, and Sustainability Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:June 2016 Date: Title: Statement from Chair Mary Jo White on U.S. Equity Markets Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:June 2016 Date: Title: Remarks at the ISDA Annual Legal Forum in New York Speaker:

Gary Barnett, Deputy Director, Division of Trading and Markets

Type:Speech
Published date grouping:June 2016 Date: Title: Testimony on “Oversight of the U.S. Securities and Exchange Commission” Speaker:

Chair Mary Jo White

Type:Testimony
Published date grouping:June 2016 Date: Title: Mary Jo White Statement on FINRA's Appointment of Robert Cook as CEO Speaker:
Chair Mary Jo White
Type:Statement
Published date grouping:June 2016 Date: Title: Remarks before the 35th Annual SEC and Financial Reporting Institute Conference Speaker:

Wesley R. Bricker, Deputy Chief Accountant

Type:Speech
Published date grouping:June 2016 Date: Title: Opening Remarks at the Investor Advisory Committee Meeting Speaker:
Chair Mary Jo White
Type:Statement
Published date grouping:June 2016 Date: Title: Remarks at the Meeting of the SEC Investor Advisory Committee Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:June 2016 Date: Title: Remarks Before the SEC Historical Society – “The Continuous Process of Optimizing the Equity Markets” Speaker:
Chair Mary Jo White
Type:Speech
Published date grouping:May 2016 Date: Title: Keynote Address Investment Company Institute 2016 General Meeting – "The Future of Investment Company Regulation" Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:May 2016 Date: Title: New Directions in Corporate Compliance: Keynote Luncheon Speech Speaker:

Andrew J. Donohue, Chief of Staff

Type:Speech
Published date grouping:May 2016 Date: Title: Statement at News Conference Announcing Insider Trading Case Involving Sports Gambler and Board Member Speaker:
Andrew Ceresney
Director, Division of Enforcement 
Type:Statement
Published date grouping:May 2016 Date: Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies Speaker:
Chair Mary Jo White
Type:Statement
Published date grouping:May 2016 Date: Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Commissioner Kara M. Stein

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

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:May 2016 Date: Title: Securities Enforcement Forum West 2016 Keynote Address: Private Equity Enforcement Speaker:

Andrew Ceresney, Director, Division of Enforcement

Type:Speech
Published date grouping:May 2016 Date: Title: New Ways for the Financing of Small and Medium Enterprises and the Challenges of Crowdfunding Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:May 2016 Date: Title: Keynote Address at the 48th Annual Rocky Mountain Securities Conference Speaker:

Commissioner Kara M Stein

Type:Speech
Published date grouping:May 2016 Date: Title: Remarks before the 2016 Baruch College Financial Reporting Conference Speaker:

Wesley R. Bricker, Deputy Chief Accountant

Type:Speech
Published date grouping:April 2016 Date: Title: SEC Enforcement Director Statement on Jury Finding That CEO Defrauded Investors Speaker:

Andrew Ceresney
Director, SEC Division of Enforcement

Type:Statement
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:

Chair Mary Jo White

Type:Statement
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

Type:Statement
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 Michael S. Piwowar

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

Chair Mary Jo White

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

Commissioner Kara M. Stein

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

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:April 2016 Date: Title: Testimony on Continued Oversight of the SEC’s Offices and Divisions Speaker:

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

Marc Wyatt, Director, Office of Compliance Inspections and Examinations

Thomas J. Butler, Director, Office of Credit Ratings

Sean McKessy, Chief, Office of the Whistleblower

Type:Testimony
Published date grouping:April 2016 Date: Title: Opening Remarks at the Compliance Outreach Program for Investment Companies and Investment Advisers Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:April 2016 Date: Title: Statement on Financial Stability Oversight Council’s Review of Asset Management Products and Activities Speaker: Chairman Mary Jo White
Type:Statement
Published date grouping:April 2016 Date: Title: Remarks to the Investor Advisory Committee Speaker:

Chair Mary Jo White

Type:Statement
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:

Chair Mary Jo White

Type:Statement
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:

Chair Mary Jo White

Type:Statement
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

Type:Statement
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

Type:Statement
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 Michael S. Piwowar

Type:Statement
Published date grouping:April 2016 Date: Title: Testimony on the Fiscal Year 2017 Budget Request of the U.S. Securities and Exchange Commission Speaker:

Chair Mary Jo White

Type:Testimony
Published date grouping:April 2016 Date: Title: Remarks at the International Institute for Securities Market Growth and Development Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:April 2016 Date: Title: Keynote Address at the SEC-Rock Center on Corporate Governance Silicon Valley Initiative Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:March 2016 Date: Title: Keynote Address at the Mutual Fund Directors Forum 2016 Policy Conference Speaker: Chairman Mary Jo White
Type:Speech
Published date grouping:March 2016 Date: Title: Acceptance Remarks at the Penn Law Women’s Summit Awards Luncheon Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:March 2016 Date: Title: Remarks before the 12th Annual Life Sciences Accounting and Reporting Congress Speaker:

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

Type:Speech
Published date grouping:March 2016 Date: Title: Testimony on the Fiscal Year 2017 Budget Request of the U.S. Securities and Exchange Commission Speaker:

Chair Mary Jo White

Type:Testimony
Published date grouping:March 2016 Date: Title: Remarks to the Investment Company Institute’s 2016 Mutual Funds and Investment Management Conference Speaker:

David W. Grim, Director, Division of Investment Management

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

Chair Mary Jo White

Type:Statement
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 Michael S. Piwowar

Type:Statement
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

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

David Grim, Director, Division of Investment Management

Type:Speech
Published date grouping:March 2016 Date: Title: Testimony on Regulatory Reforms to Improve Equity Market Structure Speaker:

Stephen Luparello, Director, Division of Trading and Markets

Type:Testimony
Published date grouping:March 2016 Date: Title: Opening Remarks: UIC-SEC Joint Symposium to Raise Public Awareness Speaker:

Andrew Ceresney, Director, Division of Enforcement

Type:Speech
Published date grouping:March 2016 Date: Title: Remarks at ABS Vegas 2016 Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:March 2016 Date: Title: Statement on Jury’s Verdict in Trial of Daryl Payton and Benjamin Durant Speaker:
Andrew Ceresney
Director, Division of Enforcement 
Type:Statement
Published date grouping:February 2016 Date: Title: Opening Remarks of SEC Chair Mary Jo White before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Chair Mary Jo White

Type:Statement
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

Type:Statement
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

Type:Speech
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

Type:Speech
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]

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

Mark J. Flannery
Director and Chief Economist

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

Scott W. Bauguess
Deputy Director and Deputy Chief Economist

Type:Speech
Published date grouping:February 2016 Date: Title: Analysis Supporting the SEC’s Rulemaking (slides from DERA presentation) (PDF) Speaker:
Christof W. Stahel
Assistant Director
Type:Speech
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:

Chair Mary Jo White

Type:Statement
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

Type:Statement
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 Michael S. Piwowar

Type:Statement
Published date grouping:February 2016 Date: Title: Testimony on the EB-5 Immigrant Investor Program Speaker:

Stephen L. Cohen

Associate Director, Division of Enforcement

Type:Testimony
Published date grouping:February 2016 Date: Title: Opening Remarks to the Equity Market Structure Advisory Committee Meeting Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:February 2016 Date: Title: Opening Remarks to the Equity Market Structure Advisory Committee Meeting Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:January 2016 Date: Title: Keynote Session at the 43rd Annual Securities Regulation Institute in San Diego, California Speaker:

Chair Mary Jo White

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

Andrew Ceresney, Director, Division of Enforcement 

Type:Speech
Published date grouping:January 2016 Date: Title: Opening Remarks to the Investor Advisory Committee Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:January 2016 Date: Title: Opening Remarks to the Investor Advisory Committee Speaker:

Commissioner Michael S. Piwowar

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

Keith F. Higgins, Director, Division of Corporation Finance

Type:Speech
Published date grouping:December 2015 Date: Title: Modernizing the Commission's Regulatory Structure for Transfer Agents Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission*

Type:Statement
Published date grouping:December 2015 Date: Title: Commissioner Aguilar: Looking Back at The SEC’s Transformation (and a few other things) Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission [*]

Type:Statement
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

Type:Statement
Published date grouping:December 2015 Date: Title: Being a Responsible Steward: Ensuring that the SEC Implements Effective Cybersecurity Protocols for its Data Gathering Efforts Speaker:

Commissioner Luis A. Aguilar

United States Securities and Exchange Commission[1]

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

David Grim, Director, Division of Investment Management

Type:Speech
Published date grouping:December 2015 Date: Title: Statement at Open Meeting Speaker:

Chair Mary Jo White

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

Commissioner Kara M. Stein

Type:Statement
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 

Type:Statement
Published date grouping:December 2015 Date: Title: Dissenting Statement at Open Meeting on Resource Extraction Speaker:

Commissioner Michael S. Piwowar

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

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:December 2015 Date: Title: Statement at Open Meeting regarding Disclosure of Payments by Resource Extraction Issuers Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:December 2015 Date: Title: Statement at Open Meeting regarding Use of Derivatives by Registered Investment Companies and Business Development Companies Speaker:

Commissioner Luis A. Aguilar

Type:Statement
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
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 

Type:Speech
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

Type:Speech
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

Type:Speech
Published date grouping:December 2015 Date: Title: Statement Regarding Repeal of Indemnification Requirement Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:December 2015 Date: Title: Testimony on “Oversight of the Financial Stability Oversight Council” Speaker:

Chair Mary Jo White

Type:Testimony
Published date grouping:December 2015 Date: Title: Testimony on Updating the Electronic Communications Privacy Act Speaker:

Andrew Ceresney

Director, Division of Enforcement

Type:Testimony
Published date grouping:November 2015 Date: Title: Commissioner Aguilar's (Hopefully) Helpful Tips for New SEC Commissioners Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission[1]

Type:Statement
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

Type:Speech
Published date grouping:November 2015 Date: Title: Opening Remarks to the Government-Business Forum on Small Business Capital Formation Speaker:

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission[1]

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

Commissioner Kara M. Stein

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

Commissioner Michael S. Piwowar

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

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

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

Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:November 2015 Date: Title: Dissenting From an SEC Windfall For Lawyers Speaker:

Commissioners Daniel M. Gallagher and Michael S. Piwowar 

U.S. Securities and Exchange Commission[1]

Type:Statement
Published date grouping:November 2015 Date: Title: Testimony on “Examining the SEC’s Agenda, Operations, and FY 2017 Budget Request” Speaker:

Chair Mary Jo White

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

Andrew Ceresney, Director, Division of Enforcement

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

Keith F. Higgins, Director, Division of Corporation Finance

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

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:November 2015 Date: Title: Statement on Departure from the SEC Speaker:

Commissioner Luis A. Aguilar

Type:Statement
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

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

Andrew Ceresney, Director, Division of Enforcement

Type:Speech
Published date grouping:November 2015 Date: Title: Opening Remarks at the 21st Annual International Institute for Securities Enforcement and Market Oversight Speaker:

Chair Mary Jo White

Type:Statement
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

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

Andrew Ceresney, Director, Division of Enforcement

Type:Speech
Published date grouping:October 2015 Date: Title: Statement on the Retirement of FINRA Chairman and CEO Richard Ketchum Speaker:

Chair Mary Jo White

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

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

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

Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein

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

Commissioner Kara M. Stein

Type:Statement
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

Type:Speech
Published date grouping:October 2015 Date: Title: Opening Remarks at the October 2015 Meeting of the Equity Market Structure Advisory Committee Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:October 2015 Date: Title: Opening Remarks at the October 2015 Meeting of the Equity Market Structure Advisory Committee Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:October 2015 Date: Title: Remarks at the SEC Equity Market Structure Advisory Committee Meeting Speaker:

Commissioner Michael S. Piwowar

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

James Schnurr, Chief Accountant

Type:Speech
Published date grouping:October 2015 Date: Title: Testimony on “Oversight of the SEC’s Division of Investment Management” Speaker:

David W. Grim
Director, Division of Investment Management

Type:Testimony
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

Type:Speech
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

Type:Speech
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

Type:Speech
Published date grouping:October 2015 Date: Title: The Need for Greater Focus on the Cybersecurity Challenges Facing Small and Midsize Businesses Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission*

Type:Statement
Published date grouping:October 2015 Date: Title: OIA What's new (36716) Speaker:

Rick A. Fleming, Investor Advocate

Type:Statement
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

Type:Speech
Published date grouping:October 2015 Date: Title: How Can the Markets Best Adapt to the Rapid Growth of ETFs Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:October 2015 Date: Title: Opening Remarks to the Investor Advisory Committee Speaker:

Chair Mary Jo White

Type:Statement
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

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

Commissioner Luis A. Aguilar

Type:Speech
Published date grouping:October 2015 Date: Title: Commission Statement Regarding Decision in Koch v. SEC Speaker:

The Commission

Type:Statement
Published date grouping:October 2015 Date: Title: Statement of Commissioner Daniel M. Gallagher on His Departure from the SEC Speaker: Commissioner Daniel M. Gallagher
Type:Statement
Published date grouping:October 2015 Date: Title: Introductory Remarks at the National Faith Leaders Conference “Protecting Investors Protects You” Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:October 2015 Date: Title: Opinion of Commissioner Gallagher and Commissioner Piwowar, dissenting from the opinion of the Commission Speaker:

Commissioner Daniel M. Gallagher and Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein

Type:Speech
Published date grouping:September 2015 Date: Title: The Investment Company Act and Investment Advisers Act Standing the Test of Time Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:September 2015 Date: Title: Statement Regarding Security-Based Swap Rules Speaker:

Commissioner Daniel M. Gallagher and Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:September 2015 Date: Title: Statement on Final Judgment Entered Against BBX Capital Corporation and Alan B. Levan Speaker:

Andrew Ceresney

Director, Division of Enforcement

Type:Statement
Published date grouping:September 2015 Date: Title: Statement on New Rulemaking Website Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission*

Type:Statement
Published date grouping:September 2015 Date: Title: Announcement of New Rulemaking Database Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:September 2015 Date: Title: Statement on Jury Verdict in Insider Trading Trial of Ralph J. Pirtle and Morando Berrettini Speaker:

Andrew Ceresney

Director of Enforcement

Type:Statement
Published date grouping:September 2015 Date: Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:September 2015 Date: Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:September 2015 Date: Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission*

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

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

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

Commissioner Daniel M. Gallagher

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

Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein 

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

James Schnurr, Chief Accountant

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

Wesley R. Bricker, Deputy Chief Accountant

Type:Speech
Published date grouping:September 2015 Date: Title: Statement on Adoption of Amendments to Remove References to Credit Ratings in Money Market Fund Rule 2a-7 and Form N-MFP Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:September 2015 Date: Title: Testimony on Updating the Electronic Communications Privacy Act Speaker:

Andrew Ceresney
Director, Division of Enforcement

Type:Testimony
Published date grouping:September 2015 Date: Title: Finishing the Work of Regulating Security-Based Derivatives Speaker:

Commissioner Luis A. Aguilar

Type:Statement
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

Type:Speech
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

Type:Speech
Published date grouping:September 2015 Date: Title: Statement of Commissioner Daniel M. Gallagher Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:August 2015 Date: Title: Enhancing the Commission’s Waiver Process Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission[*]

Type:Statement
Published date grouping:August 2015 Date: Title: Statement on Edward D. Jones Enforcement Action Speaker:

Commissioners Luis A. Aguilar, Daniel M. Gallagher, Kara M. Stein and Michael S. Piwowar

Type:Statement
Published date grouping:August 2015 Date: Title: Remarks at a Press Conference Announcing Enforcement Charges Involving an International Hacking Trading Scheme Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:August 2015 Date: Title: Statement on the Importance of Clarity in Commission Orders Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission[*]

Type:Statement
Published date grouping:August 2015 Date: Title: Additional Dissenting Comments on Pay Ratio Disclosure Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:August 2015 Date: Title: Statement at Open Meeting on Security-based Swap Rules Under Title VII and on Pay Ratio Disclosure Rule Speaker:

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

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

Commissioner Daniel M. Gallagher

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

Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein

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

Commissioner Luis A. Aguilar

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

Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein

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

Commissioner Daniel M. Gallagher

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

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:July 2015 Date: Title: Statement on Decision of the D.C. Circuit on Retroactive Collateral Bars Speaker:

Commissioner Daniel M. Gallagher and Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:July 2015 Date: Title: Comment Letter on the Department of Labor Proposed Rule on Conflicts of Interest and Fiduciary Duty Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
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

Type:Speech
Published date grouping:July 2015 Date: Title: Statement on the Anniversary of the Dodd-Frank Act Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:July 2015 Date: Title: The Benefits of Shortening the Securities Settlement Cycle Speaker:

Commissioner Luis A. Aguilar

United States Securities and Exchange Commission[1]

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

Chair Mary Jo White

Type:Speech
Published date grouping:July 2015 Date: Title: Ere Misery Made Me Wise — The Need to Revisit the Regulatory Framework of the U.S. Treasury Market Speaker:

Commissioner Luis A. Aguilar

United States Securities and Exchange Commission[2]

Type:Statement
Published date grouping:July 2015 Date: Title: Statement on NYSE Speaker:

Chair Mary Jo White

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

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

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

Commissioner Daniel M. Gallagher

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

Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:June 2015 Date: Title: The Role of Chief Compliance Officers Must be Supported Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission[*]

Type:Statement
Published date grouping:June 2015 Date: Title: Statement Regarding Proposals to Shorten the Trade Settlement Cycle Speaker:

Commissioner Michael S. Piwowar and Commissioner Kara M. Stein

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

Chair Mary Jo White

Type:Speech
Published date grouping:June 2015 Date: Title: A Threefold Cord — Working Together to Meet the Pervasive Challenge of Cyber-Crime Speaker:

Commissioner Luis A. Aguilar

United States Securities and Exchange Commission

Type:Speech
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

Type:Speech
Published date grouping:June 2015 Date: Title: Statement on Recent SEC Settlements Charging Chief Compliance Officers With Violations of Investment Advisers Act Rule 206(4)-7 Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
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

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

Commissioner Kara M. Stein

Type:Speech
Published date grouping:June 2015 Date: Title: Statement of Support for the Need to Modernize the Commission’s Transfer Agent Rules Speaker:

Commissioner Michael S. Piwowar and Commissioner Kara M. Stein

Type:Statement
Published date grouping:June 2015 Date: Title: Statement Regarding the Need to Modernize the Commission’s Transfer Agent Rules Speaker:

Commissioner Luis A. Aguilar and Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission[*]

Type:Statement
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

Type:Speech
Published date grouping:June 2015 Date: Title: Dissenting Statement on the Final Interagency Policy Statement:
Failing to Advance Diversity and Inclusion
Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission[*]

Type:Statement
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

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

Chair Mary Jo White

Type:Speech
Published date grouping:June 2015 Date: Title: Crazy Quilt Chart of Regulation Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:June 2015 Date: Title: Opening Remarks of SEC Chair Mary Jo White before the SEC Advisory Committee on Small and Emerging Companies Speaker:

Chair Mary Jo White

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

Commissioner Michael S. Piwowar

Type:Speech
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

Type:Statement
Published date grouping:May 2015 Date: Title: Remarks at the 2015 SEC Memorial Day Tribute and Presentation of the John P. Wheeler, III, Veterans Charity Award Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:May 2015 Date: Title: Remarks at Veterans Committee Program: Wrapping Up Panelist Tribute to John P. Wheeler, III and Introducing the 2015 Winner of the John P. Wheeler Veterans Charity Award Speaker:

Commissioner Daniel M. Gallagher

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

Commissioner Michael S. Piwowar

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

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

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

Commissioner Daniel M. Gallagher

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

Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein

Type:Statement
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

Type:Speech
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

Type:Speech
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

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

Chair Mary Jo White

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

Commissioner Michael S. Piwowar

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

Commissioner Daniel M. Gallagher

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

Commissioner Kara M. Stein

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

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission[1]

Type:Statement
Published date grouping:May 2015 Date: Title: U.S. Equity Market Structure: Making Our Markets Work Better for Investors Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission[1]

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

James Schnurr, Chief Accountant

Type:Speech
Published date grouping:May 2015 Date: Title: Testimony on the Fiscal Year 2016 Budget Request of the U.S. Securities and Exchange Commission Speaker:

Chair Mary Jo White

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

Commissioner Kara M. Stein

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

Chair Mary Jo White

Type:Speech
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

Type:Speech
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 and Pay Versus Performance Disclosures Speaker:

Chair Mary Jo White

Type:Statement
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 Luis A. Aguilar

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

Commissioner Luis A. Aguilar

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

Commissioner Daniel M. Gallagher

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

Commissioner Daniel M. Gallagher

Type:Statement
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

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

Commissioner Kara M. Stein

Type:Statement
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 Michael S. Piwowar

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

Commissioner Michael S. Piwowar

Type:Statement
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

Type:Speech
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

Type:Speech
Published date grouping:April 2015 Date: Title: Testimony on the Fiscal Year 2016 Budget Request of the U.S. Securities and Exchange Commission Speaker:

Chair Mary Jo White

Type:Testimony
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

Type:Speech
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]

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

Commissioner Luis A. Aguilar

Type:Speech
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

Type:Speech
Published date grouping:April 2015 Date: Title: Opening Remarks to the Investor Advisory Committee Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:April 2015 Date: Title: Statement on Jury Verdict in Trial Of George Levin Who Raised $157 Million for Scott Rothstein’s Ponzi Scheme Speaker:

Andrew Ceresney

Director, Division of Enforcement

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

Commissioner Daniel M. Gallagher

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

Commissioner Kara M. Stein

Type:Speech
Published date grouping:March 2015 Date: Title: Statement at Open Meeting on Rule 15b9-1 and Reg A+ Speaker:

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

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

Commissioner Luis A. Aguilar

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

Commissioner Michael S. Piwowar

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

Commissioner Daniel M. Gallagher

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

Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein

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

Commissioner Kara M. Stein

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

Commissioner Daniel M. Gallagher

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

Rick A. Fleming
Investor Advocate

Type:Speech
Published date grouping:March 2015 Date: Title: Testimony on “Examining the SEC’s Agenda, Operations and FY 2016 Budget Request” Speaker:

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

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

Chair Mary Jo White

Type:Speech
Published date grouping:March 2015 Date: Title: Testimony on “Oversight of the SEC’s Division of Enforcement” Speaker:

Andrew Ceresney, Director Division of Enforcement

Type:Testimony
Published date grouping:March 2015 Date: Title: Statement on Jury Verdict in Willie Gault/Heart Tronics Case Speaker:

Andrew Ceresney

Director, Division of Enforcement

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

Commissioner Michael S. Piwowar

Type:Speech
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

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

Chair Mary Jo White

Type:Speech
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

Type:Speech
Published date grouping:March 2015 Date: Title: Testimony on “Venture Exchanges and Small-Cap Companies” Speaker:

Stephen Luparello, Director, Division of Trading and Markets

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

Dave Grim, Acting Director, Division of Investment Management

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

Commissioner Kara M. Stein

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

Dave Grim, Acting Director, Division of Investment Management

Type:Speech
Published date grouping:March 2015 Date: Title: The Need for Greater Secondary Market Liquidity for Small Businesses Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission*

Type:Statement
Published date grouping:March 2015 Date: Title: Opening Statement to the March 2015 Meeting of the SEC Advisory Committee on Small and Emerging Companies Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:March 2015 Date: Title: Opening Remarks at Meeting of SEC Advisory Committee on Small and Emerging Companies Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:March 2015 Date: Title: Remarks at CBI's Pharmaceutical Compliance Congress Speaker:
Andrew Ceresney
Director, Division of Enforcement
Type:Speech
Published date grouping:March 2015 Date: Title: Statement on the Aggregate Impact of Financial Services Regulations Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
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

Type:Speech
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

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

Andrew Ceresney

Type:Speech
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

Type:Statement
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

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

Commissioner Kara M. Stein

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

Commissioner Daniel M. Gallagher

Type:Speech
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

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

Rick A. Fleming, Investor Advocate

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

Chair Mary Jo White

Type:Speech
Published date grouping:February 2015 Date: Title: Opening Statement at the Proxy Voting Roundtable Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:February 2015 Date: Title: Ensuring the Proxy Process Works for Shareholders Speaker:

Commissioner Luis A. Aguilar

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

Commissioner Kara M. Stein

Type:Statement
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

Type:Speech
Published date grouping:February 2015 Date: Title: Statement on Making the Municipal Securities Market More Transparent, Liquid, and Fair Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission*

Type:Statement
Published date grouping:February 2015 Date: Title: Statement on Passing of Former SEC Commissioner Harvey J. Goldschmid Speaker:

Chair Mary Jo White

Type:Statement
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

Type:Speech
Published date grouping:February 2015 Date: Title: Investor Advisory Committee Opening Remarks Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:February 2015 Date: Title: Joint Dissenting Statement Concerning Modifications to Previously-Adopted Regulation SBSR Speaker:

Commissioners Daniel M. Gallagher and Michael S. Piwowar

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

Keith F. Higgins, Director, Division of Corporation Finance

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

Commissioner Kara M. Stein

Type:Speech
Published date grouping:February 2015 Date: Title: Aligning the Interests of Company Executives and Directors with Shareholders Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:February 2015 Date: Title: Joint Statement on the Commission’s Proposed Rule on Hedging Disclosures Speaker:

Commissioners Daniel M. Gallagher and Michael S. Piwowar

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

Commissioner Luis A. Aguilar

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

Rick A. Fleming, Investor Advocate

Type:Speech
Published date grouping:February 2015 Date: Title: Dissenting Statement In the Matter of Oppenheimer & Co., Inc. Speaker:

Commissioner Luis A. Aguilar and Commissioner Kara M. Stein

Type:Statement
Published date grouping:February 2015 Date: Title: Statement at Open Meeting on the PCAOB Proposed Budget and Accounting Support Fee for 2015 Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:February 2015 Date: Title: Statement at Open Meeting on the PCAOB Proposed Budget and Accounting Support Fee for 2015 Speaker:

Commissioner Luis A. Aguilar

Type:Statement
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

Type:Statement
Published date grouping:February 2015 Date: Title: Statement at an Open Meeting of the Commission to Consider the Public Company Accounting Oversight Board’s 2015 Budget and Accounting Support Fee Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:February 2015 Date: Title: Statement at Open Meeting on the PCAOB Proposed Budget and Accounting Support Fee for 2015 Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:February 2015 Date: Title: Statement on the Commission’s Issuance of a Risk Alert Related to the Results of a Recent Cybersecurity Sweep Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission[1]

Type:Statement
Published date grouping:February 2015 Date: Title: Statement on Proposed SEC Budget for FY 2016 Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:January 2015 Date: Title: Statement from Chair White Directing Staff to Review Commission Rule for Excluding Conflicting Proxy Proposals Speaker:

Chair Mary Jo White

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

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

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

Commissioner Michael S. Piwowar

Type:Statement
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

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

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:January 2015 Date: Title: Can the U.S. Be an International Financial Center? Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:January 2015 Date: Title: Public Service: An Obligation and Opportunity for Lawyers Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:December 2014 Date: Title: The Importance to the Capital Markets of Updating the Rules Regarding Transfer Agents Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission*

Type:Statement
Published date grouping:December 2014 Date: Title: Opening Remarks at Meeting of SEC Advisory Committee on Small and Emerging Companies Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:December 2014 Date: Title: Opening Remarks at Meeting of SEC Advisory Committee on Small and Emerging Companies Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission*

Type:Statement
Published date grouping:December 2014 Date: Title: Opening Remarks at Meeting of SEC Advisory Committee on Small and Emerging Companies Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:December 2014 Date: Title: Statement on Jury's Verdict in Trial of BankAtlantic Bancorp, Inc. and Alan Levan Speaker:
Andrew Ceresney
Director, Division of Enforcement

Type:Statement
Published date grouping:December 2014 Date: Title: Enhancing Risk Monitoring and Regulatory Safeguards for the Asset Management Industry Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:December 2014 Date: Title: Remarks to the ICI 2014 Securities Law Developments Conference Speaker:

Norm Champ
Director, Division of Investment Management

Type:Speech
Published date grouping:December 2014 Date: Title: Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

T. Kirk Crews
Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2014 Date: Title: Remarks Before the 2014 AICPA National Conference on Current SEC and PCAOB Developments — Audit Policy and Current Auditing, Independence, and Internal Control Matters Speaker:

Brian T. Croteau

Deputy Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2014 Date: Title: Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Christopher F. Rogers

Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2014 Date: Title: Remarks before the 2014 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Kevin M. Stout

Senior Associate Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2014 Date: Title: Remarks before the 2014 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Carlton E. Tartar

Associate Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2014 Date: Title: Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Steve Mack
Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2014 Date: Title: Remarks before the 2014 AICPA Conference on Current SEC and PCAOB Developments Speaker:

Dan Murdock

Deputy Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2014 Date: Title: Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Julie A. Erhardt

Deputy Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2014 Date: Title: Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

Hillary H. Salo

Professional Accounting Fellow, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2014 Date: Title: Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments Speaker:

James Schnurr

Chief Accountant, Office of the Chief Accountant

Type:Speech
Published date grouping:December 2014 Date: Title: Remarks Before the Consumer Federation of America’s 27th Annual Financial Services Conference Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:December 2014 Date: Title: Statement on Court’s Final Judgment in Case Against Life Partners Holdings, Brian Pardo, and R. Scott Peden Speaker:

Andrew Ceresney
Director, Division of Enforcement

Type:Statement
Published date grouping:November 2014 Date: Title: Keynote Address at Columbia Law School Conference on Current Issues in Securities Regulation: The ‘Hot’ Topics Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:November 2014 Date: Title: Remarks to the American Bar Association's Business Law Section Fall Meeting Speaker:

Andrew Ceresney
Director, SEC Division of Enforcement

Type:Speech
Published date grouping:November 2014 Date: Title: Opening Remarks to the Government-Business Forum on Small Business Capital Formation Speaker:

Chair Mary Jo White

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

Commissioner Michael S. Piwowar

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

Commissioner Luis A. Aguilar

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

Commissioner Kara M. Stein

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

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:November 2014 Date: Title: Remarks at 31st International Conference on the Foreign Corrupt Practices Act Speaker:

Andrew Ceresney
Director, SEC Division of Enforcement

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

Chair Mary Jo White

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

Commissioner Daniel M. Gallagher

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

Commissioner Luis A. Aguilar

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

Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:November 2014 Date: Title: Statement on Receiving the Fordham-Stein Prize Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:November 2014 Date: Title: Remarks at the 15th Annual "Live from the SEC" Conference Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:November 2014 Date: Title: Remarks to the ALI CLE 2014 Conference on Life Insurance Company Products Speaker:

Norm Champ

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

Type:Speech
Published date grouping:November 2014 Date: Title: Statement on Jury Verdict in Case Against Charles Kokesh Speaker:

Andrew Ceresney

Director, SEC Division of Enforcement

Type:Statement
Published date grouping:October 2014 Date: Title: Statement on Passing of Former SEC Chairman Rod Hills Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:October 2014 Date: Title: Remarks to the SIFMA Complex Products Forum Speaker:

Norm Champ, Director, Division of Investment Management

Type:Speech
Published date grouping:October 2014 Date: Title: The Importance of the SEC’s Rulemaking Agenda - You Are What You Prioritize:
Remarks at the 47th Annual Securities Regulation Seminar of the Los Angeles County Bar Association
Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:October 2014 Date: Title: Remarks before Los Angeles County Bar Association 47th Annual Securities Regulation Seminar Speaker:

Commissioner Kara M. Stein

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

Chair Mary Jo White

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

Commissioner Daniel M. Gallagher

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

Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein

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

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:October 2014 Date: Title: The Securities and Exchange Commission — The Next 80 Years: The 15th Annual A.A. Sommer Jr. Lecture on Corporate, Securities and Financial Law Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:October 2014 Date: Title: Remarks to the Securities Enforcement Forum 2014 Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:October 2014 Date: Title: Opening Remarks at Investor Advisory Committee Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:October 2014 Date: Title: Shaping Company Disclosure: Remarks before the George A. Leet Business Law Conference Speaker:

Keith F. Higgins
Director, Division of Corporation Finance

Type:Speech
Published date grouping:October 2014 Date: Title: The Challenge of Coverage, Accountability and Deterrence in Global Enforcement Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:September 2014 Date: Title: Remarks at the National Association of Plan Advisors D.C. Fly-In Forum Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:September 2014 Date: Title: The Commission’s Production and Use of Structured Data Speaker:

Mark J. Flannery

Chief Economist and Director

Type:Speech
Published date grouping:September 2014 Date: Title: Whatever Happened to Promoting Small Business Capital Formation? Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:September 2014 Date: Title: Remarks at the 2014 SRO Outreach Conference Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:September 2014 Date: Title: Remarks to the Georgetown University Center for Financial Markets and Policy Conference on Financial Markets Quality Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:September 2014 Date: Title: Collaboration, Cooperation and Oversight Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:September 2014 Date: Title: Completing the Journey: Women as Directors of Public Companies Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:September 2014 Date: Title: Remarks to the Practising Law Institute, Hedge Fund Management Seminar 2014 Speaker:

Norm Champ

Director, Division of Investment Management

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:September 2014 Date: Title: Testimony on “Wall Street Reform: Assessing and Enhancing the Financial Regulatory System” Speaker:

Chair Mary Jo White

Type:Testimony
Published date grouping:August 2014 Date: Title: Dissenting Statement In the Matter of Lynn R. Blodgett and Kevin R. Kyser, CPA, Respondents Speaker:

Commissioner Luis A. Aguilar

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

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

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

Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein

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

Commissioner Daniel M. Gallagher

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

Chair Mary Jo White

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

Commissioner Michael S. Piwowar

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

Commissioner Luis A. Aguilar

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

Commissioner Kara M. Stein

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

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:August 2014 Date: Title: The Case for User Fees Speaker:

Rick A. Fleming

Investor Advocate

Type:Speech
Published date grouping:August 2014 Date: Title: Statement on Favorable Jury Verdict Against Investment Adviser Speaker:

Andrew Ceresney

Director, SEC Division of Enforcement

Type:Statement
Published date grouping:August 2014 Date: Title: Statement on Jury Verdict in Florida Federal Court Following Trial Against Orchestrator of Pump-and-Dump Scheme Speaker:

Andrew Ceresney
Director, SEC Division of Enforcement

Type:Statement
Published date grouping:August 2014 Date: Title: Statement on the Matter of John W. Lawton Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:August 2014 Date: Title: Remarks at the 2014 Municipal Finance Conference presented by The Bond Buyer and Brandeis International Business School Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:July 2014 Date: Title: Testimony on “Oversight of the SEC’s Division of Corporation Finance” Speaker:

Keith Higgins, Director

Division of Corporation Finance

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

Chair Mary Jo White

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

Commissioner Daniel Gallagher

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

Commissioner Kara M. Stein

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

Commissioner Michael S. Piwowar

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

Commissioner Luis Aguilar

Type:Statement
Published date grouping:July 2014 Date: Title: Statement on the Anniversary of the Dodd-Frank Act Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:July 2014 Date: Title: Remarks at AEI Conference on Financial Stability Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:July 2014 Date: Title: Opening Statement at Investor Advisory Committee Meeting Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:July 2014 Date: Title: Opening Statement at Investor Advisory Committee Meeting Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:July 2014 Date: Title: Remarks to the 2014 Insured Retirement Institute Government, Legal & Regulatory Conference Speaker:

Norm Champ

Director, Division of Investment Management

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:June 2014 Date: Title: Remarks to the Practising Law Institute, Private Equity Forum Speaker:

Norm Champ

Director, Division of Investment Management

Type:Speech
Published date grouping:June 2014 Date: Title: Evaluating Pension Fund Investments Through The Lens Of Good Corporate Governance Speaker:

Commissioner Luis A. Aguilar

Type:Speech
Published date grouping:June 2014 Date: Title: Testimony on “Oversight of the SEC’s Division of Trading and Markets” Speaker:

Stephen Luparello, Director
Division of Trading and Markets

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

Chair Mary Jo White

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

Commissioner Michael S. Piwowar

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

Commissioner Luis A. Aguilar

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

Commissioner Daniel M. Gallagher

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

Commissioner Kara M. Stein

Type:Statement
Published date grouping:June 2014 Date: Title: A Few Things Directors Should Know About the SEC Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:June 2014 Date: Title: Intermediation in the Modern Securities Markets: Putting Technology and Competition to Work for Investors Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:June 2014 Date: Title: Remarks Before the Peterson Institute of International Economics Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:June 2014 Date: Title: Boards of Directors, Corporate Governance and Cyber-Risks: Sharpening the Focus Speaker:

Commissioner Luis A. Aguilar

Type:Speech
Published date grouping:June 2014 Date: Title: Remarks at SEC Historical Society 2014 Annual Meeting: On the 80th Anniversary of the SEC Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:June 2014 Date: Title: Enhancing Our Equity Market Structure Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:June 2014 Date: Title: Statement on 2nd Circuit Decision Speaker:

Andrew Ceresney
Director, SEC Division of Enforcement

Type:Statement
Published date grouping:May 2014 Date: Title: Remarks before FINRA's Division of Market Regulation Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:May 2014 Date: Title: Remarks at Municipal Securities Rulemaking Board’s 1st Annual Municipal Securities Regulator Summit Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:May 2014 Date: Title: Presentation to the PCAOB Forum on Auditing Smaller Broker-Dealers Speaker:

Kevin M. Stout

Senior Associate Chief Accountant

Type:Speech
Published date grouping:May 2014 Date: Title: Keynote Address at Compliance Week 2014 Speaker:

Andrew Ceresney

Director of the Division of Enforcement

Type:Speech
Published date grouping:May 2014 Date: Title: Remarks at the Financial Accounting Foundation Trustees Dinner Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:May 2014 Date: Title: Three Key Pressure Points in the Current Enforcement Environment Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:May 2014 Date: Title: Keynote Address at Compliance Week 2014 Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:May 2014 Date: Title: Remarks to the First Annual Conference on the Regulation of Financial Markets Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:May 2014 Date: Title: Comment Letter on the OFR Asset Management and Financial Stability Report Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:May 2014 Date: Title: Testimony before the Subcommittee on Financial Services and General Government Committee on Appropriations Speaker:

Chair Mary Jo White

Type:Testimony
Published date grouping:May 2014 Date: Title: Statement on Jury’s Verdict in Case Against the Wylys: Speaker:

Andrew Ceresney
Director, SEC Division of Enforcement

Type:Statement
Published date grouping:May 2014 Date: Title: Introductory Remarks at The Evolving Role of Compliance in the Securities Industry Presentation Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:May 2014 Date: Title: Remarks at the 46th Annual Rocky Mountain Securities Conference Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:May 2014 Date: Title: Remarks to the Council of Institutional Investors Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:May 2014 Date: Title: Spreading Sunshine in Private Equity Speaker:

Andrew J. Bowden, Director, Office of Compliance Inspections and Examinations

Type:Speech
Published date grouping:April 2014 Date: Title: Statement of the Division of Corporation Finance on the Conflict Minerals Decision Speaker:

Keith F. Higgins
Director, SEC Division of Corporation Finance

Type:Statement
Published date grouping:April 2014 Date: Title: Statement on WKSI Waivers Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:April 2014 Date: Title: Testimony on “Oversight of the SEC’s Agenda, Operations and FY 2015 Budget Request” Speaker:

Chair Mary Jo White

Type:Testimony
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

Type:Statement
Published date grouping:April 2014 Date: Title: Joint Statement on the Conflict Minerals Decision Speaker:

Commissioners Daniel M. Gallagher and Michael S. Piwowar

Type:Statement
Published date grouping:April 2014 Date: Title: Looking at Corporate Governance from the Investor’s Perspective Speaker:

Commissioner Luis A. Aguilar

Type:Speech
Published date grouping:April 2014 Date: Title: Closing Remarks at the SEC's 24th Annual International Institute for Market Development Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:April 2014 Date: Title: What Drives the Complexity and Speed of our Markets? Speaker:

Gregg E. Berman

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

Type:Speech
Published date grouping:April 2014 Date: Title: The Future of Capital Formation Speaker:

Craig M. Lewis, Chief Economist and Director of the Division of Economic and Risk Analysis

Type:Speech
Published date grouping:April 2014 Date: Title: Disclosure Effectiveness: Remarks Before the American Bar Association Business Law Section Spring Meeting Speaker:

Keith F. Higgins

Director, Division of Corporation Finance

Type:Speech
Published date grouping:April 2014 Date: Title: Remarks before The North American Securities Administrators Association 2014 Public Policy Conference Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:April 2014 Date: Title: NASAA and the SEC: Presenting a United Front to Protect Investors Speaker:

Commissioner Luis A. Aguilar

Type:Speech
Published date grouping:April 2014 Date: Title: Welcoming Remarks at the SEC 24th Annual International Institute for Securities Market Development Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:April 2014 Date: Title: Remarks Before the SEC / Academy of Finance Student Shadowing Program Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:April 2014 Date: Title: Remarks before the 5th Annual DCIIA Public Policy Forum Speaker:

David W. Grim

Deputy Director, Division of Investment Management[1]

Type:Speech
Published date grouping:April 2014 Date: Title: Taking an Informed Approach to Issues Facing the Mutual Fund Industry Speaker:

Commissioner Luis A. Aguilar

Type:Speech
Published date grouping:April 2014 Date: Title: Testimony before the Subcommittee on Financial Services and General Government Speaker:

Chair Mary Jo White

Type:Testimony
Published date grouping:March 2014 Date: Title: Keynote Address - SIFMA Compliance & Legal Society Annual Seminar Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:March 2014 Date: Title: Keynote Address at the 2014 Angel Capital Association Summit Speaker:

Keith F. Higgins, Director, Division of Corporation Finance

Type:Speech
Published date grouping:March 2014 Date: Title: Remarks at the 26th Annual Corporate Law Institute, Tulane University Law School: Federal Preemption of State Corporate Governance Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:March 2014 Date: Title: Opening Statement at SEC Roundtable on Cybersecurity Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:March 2014 Date: Title: Statement at SEC Roundtable on Cybersecurity Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:March 2014 Date: Title: Perspectives on Strengthening Enforcement Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:March 2014 Date: Title: Protecting the Retail Investor Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:March 2014 Date: Title: Keynote Address at PLI – Thirteenth Annual Institute on Securities Regulation in Europe Speaker:

Keith F. Higgins, Director, Division of Corporation Finance

Type:Speech
Published date grouping:March 2014 Date: Title: Encouraging Economic Discourse Speaker:

Craig M. Lewis, Chief Economist and Director,
Division of Economic and Risk Analysis

Type:Speech
Published date grouping:March 2014 Date: Title: Remarks to the 2014 Mutual Funds and Investment Management Conference Speaker:

Norm Champ

Director, Division of Investment Management[*]

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

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

Type:Statement
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

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

Commissioner Daniel M. Gallagher

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

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:March 2014 Date: Title: Statement on Judge's Ruling on Sanctions for Fabrice Tourre Speaker:

Andrew Ceresney
Director, SEC Division of Enforcement

Type:Statement
Published date grouping:March 2014 Date: Title: Remarks to the 2014 IAA Investment Adviser Compliance Conference Speaker:

Norm Champ
Director, Division of Investment Management

Type:Speech
Published date grouping:March 2014 Date: Title: Statement on Jury Verdict in Insider Trading Case Speaker:

Andrew Ceresney
Director, SEC Division of Enforcement

Type:Statement
Published date grouping:March 2014 Date: Title: People Handling Other Peoples’ Money Speaker:

Andrew J. Bowden, Director, Office of Compliance Inspections and Examinations

Type:Speech
Published date grouping:March 2014 Date: Title: Remarks to the PLI Investment Management Institute Speaker:

Norm Champ
Director, Division of Investment Management

Type:Speech
Published date grouping:March 2014 Date: Title: Remarks at AIMA Global Policy & Regulatory Forum Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:March 2014 Date: Title: Statement on Proposed SEC Budget for Fiscal 2015 Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:March 2014 Date: Title: Remarks Given at the Institute of International Bankers 25th Annual Washington Conference Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:February 2014 Date: Title: Statement on the Re-Opening of the Comment Period for Asset-Backed Securities Disclosure and Registration Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:February 2014 Date: Title: Slide Presentation (PDF): Regarding Audit Committees at SEC Speaks 2014 Speaker:

Paul Beswick
Chief Accountant
Office of the Chief Accountant

Type:Speech
Published date grouping:February 2014 Date: Title: An Open Letter to the SEC Staff Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:February 2014 Date: Title: Remarks at the “SEC Speaks” Conference Speaker:

Commissioner Kara M. Stein

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:February 2014 Date: Title: Addressing Known Risks to Better Protect Investors Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:February 2014 Date: Title: Chairman’s Address at SEC Speaks 2014 Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:February 2014 Date: Title: Statement on Court Filing by SEC to Protect Whistleblowers From Retaliation Speaker:

Sean McKessy
Chief, Office of the Whistleblower

Type:Statement
Published date grouping:February 2014 Date: Title: Statement on Verdict in Jury Trial of Fund Manager Involved in Petters Ponzi Scheme Speaker:

Andrew Ceresney
Director, SEC Division of Enforcement

Type:Statement
Published date grouping:February 2014 Date: Title: Remarks before Trader Forum 2014 Equity Trading Summit Speaker:

Commissioner Kara M. Stein

Type:Speech
Published date grouping:February 2014 Date: Title: Testimony on “Oversight of Financial Stability and Data Security” Speaker:

Chair Mary Jo White

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

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

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

Commissioner Michael S. Piwowar

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

Commissioner Kara M. Stein

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

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:February 2014 Date: Title: Testimony on “The Impact of the Volcker Rule on Job Creators, Part II” Speaker:

Chair Mary Jo White

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

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:February 2014 Date: Title: Remarks on the Volcker Rule’s Market Making Exemption Speaker:

John Ramsay
Acting Director
Division of Trading and Markets

Type:Speech
Published date grouping:February 2014 Date: Title: Protecting the Financial Future of Seniors and Retirees Speaker:

Commissioner Luis A. Aguilar

Type:Speech
Published date grouping:February 2014 Date: Title: Statement on Life Partners Verdict Speaker:

Andrew Ceresney
Director, SEC Division of Enforcement

Type:Statement
Published date grouping:January 2014 Date: Title: Statement on Financial Accounting Foundation Announcement Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:January 2014 Date: Title: The SEC in 2014 Speaker:

Chair Mary Jo White

Type:Speech
Published date grouping:January 2014 Date: Title: Advancing and Defending the SEC’s Core Mission Speaker:

Commissioner Michael S. Piwowar

Type:Speech
Published date grouping:January 2014 Date: Title: Remarks to the Forum for Corporate Directors, Orange County, California Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:January 2014 Date: Title: The Philosophies of Capital Requirements Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:January 2014 Date: Title: Making A Difference Through Public Service Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:January 2014 Date: Title: Dissenting Statement Regarding Adoption of Interim Final Rule Regarding Certain CDOs Backed by TruPS as a "Companion Rule" to the Volcker Rule Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:January 2014 Date: Title: Statement on the Commission’s Issuance of Certain Exemptive Orders Related to Rule 17g-5(c)(1) Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission[1]

Type:Statement
Published date grouping:December 2013 Date: Title: Joint Statement regarding Treatment of Certain Collateralized Debt Obligations Backed by Trust Preferred Securities under the Rules implementing Section 619 of the Dodd-Frank Act Speaker:

Office of the Comptroller of the Currency

Board of Governors of the Federal Reserve System

Federal Deposit Insurance Corporation

Securities and Exchange Commission

Type:Statement
Published date grouping:December 2013 Date: Title: Statement of Commissioner Daniel M. Gallagher Regarding the Removal of Certain References to Credit Ratings Under the Securities and Exchange Act of 1934 and the Investment Company Act Speaker:

Commissioner Daniel M. Gallagher

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

Chair Mary Jo White

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

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:December 2013 Date: Title: Promoting Investor Protection in Small Business Capital Formation Speaker:

Commissioner Luis A. Aguilar

Type:Statement
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

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

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:December 2013 Date: Title: International Reporting Issues Speaker:

Craig Olinger

Deputy Chief Accountant, Division of Corporation Finance

Jill Davis

Associate Chief Accountant, Division of Corporation Finance

Type:Speech
Published date grouping:December 2013 Date: Title: National Conference on Current SEC & PCAOB Developments Speaker:

Craig Olinger

Deputy Chief Accountant, Division of Corporation Finance

Type:Speech
Published date grouping:December 2013 Date: Title: The Impacts of Post-Crisis Global Regulatory Reforms on Financial Markets Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:December 2013 Date: Title: Statement on the Volcker Rule: Reducing Systemic Risk By Banning Excessive Proprietary Trading with Depositors’ Money Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:December 2013 Date: Title: Dissenting Statement Regarding Adoption of Rule Implementing the Volcker Rule Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:December 2013 Date: Title: Statement Regarding Adoption of Rule Implementing the Volcker Rule Speaker:

Commissioner Kara M. Stein

Type:Statement
Published date grouping:December 2013 Date: Title: Dissenting Statement Regarding Adoption of Rule Implementing the Volcker Rule Speaker:

Commissioner Michael S. Piwowar

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:December 2013 Date: Title: Adoption of the Volcker Rule Speaker:

Chair Mary Jo White

Type:Statement
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

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

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:December 2013 Date: Title: Opening Statement at the Proxy Advisory Services Roundtable Speaker:

Chair Mary Jo White

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

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

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

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:December 2013 Date: Title: Opening Statement at the Proxy Advisory Services Roundtable Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:December 2013 Date: Title: Opening Statement at the Proxy Advisory Services Roundtable Speaker:

Commissioner Michael S. Piwowar

Type:Statement
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

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

Chair Mary Jo White

Type:Speech
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

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

Commissioner Michael S. Piwowar

Type:Speech
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

Type:Speech
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

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

Chair Mary Jo White

Type:Speech
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

Type:Speech
Published date grouping:November 2013 Date: Title: Statement in Response to Media Inquiries Regarding Nomination of Timothy Massad as CFTC Chairman Speaker:

Chair Mary Jo White

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

Commissioner Daniel M. Gallagher

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

Chair Mary Jo White

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

Commissioner Daniel M. Gallagher

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

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:October 2013 Date: Title: Testimony Providing an Update on JOBS Act Implementation Speaker:

Keith Higgins, Director

Division of Corporation Finance

U.S. Securities and Exchange Commission

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

Commissioner Luis A. Aguilar

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

Commissioner Daniel M. Gallagher

Type:Speech
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

Type:Speech
Published date grouping:October 2013 Date: Title: Statement at Open Meeting on Proposal on Crowdfunding Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:October 2013 Date: Title: Statement at Open Meeting on Proposal on Crowdfunding Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:October 2013 Date: Title: Statement at Open Meeting on Proposal on Crowdfunding Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:October 2013 Date: Title: Statement at Open Meeting on Proposal on Crowdfunding Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:October 2013 Date: Title: Statement at Open Meeting on Proposal on Crowdfunding Speaker:

Commissioner Kara M. Stein

Type:Statement
Published date grouping:October 2013 Date: Title: Statement on the Proposed Interagency Policy Statement to Establish Standards to Assess the Diversity Policies and Practices of Regulated Entities Speaker:

Commissioner Luis A. Aguilar

Type:Statement
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

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

Chair Mary Jo White

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

Chair Mary Jo White

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

Chair Mary Jo White

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

Chair Mary Jo White

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

Stephen L. Cohen

Associate Director of Enforcement

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

Chair Mary Jo White

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

Chair Mary Jo White

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

Chair Mary Jo White

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

Andrew Ceresney

Co-Director of the Division of Enforcement

Type:Speech
Published date grouping:September 2013 Date: Title: Statement on SEC Enforcement Action Against JPMorgan Speaker:

George Canellos
Co-Director of the SEC's Division of Enforcement

Type:Statement
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

Type:Speech
Published date grouping:September 2013 Date: Title: Statement at Open Meeting on Registration Rules for Municipal Advisors and Pay Ratio Disclosure Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:September 2013 Date: Title: Statement at Open Meeting on Registration Rules for Municipal Advisors and Pay Ratio Disclosure Speaker:

Commissioner Michael S. Piwowar

Type:Statement
Published date grouping:September 2013 Date: Title: Statement at Open Meeting on Pay Ratio Disclosures Speaker:

Commissioner Kara M. Stein

Type:Statement
Published date grouping:September 2013 Date: Title: Statement at Open Meeting on Registration Rules for Municipal Advisors Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:September 2013 Date: Title: Statement at Open Meeting on Pay Ratio Disclosures Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:September 2013 Date: Title: Statement at Open Meeting on Registration Rules for Municipal Advisors Speaker:

Commissioner Kara M. Stein

Type:Statement
Published date grouping:September 2013 Date: Title: Statement at Open Meeting on Pay Ratio Disclosures Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:September 2013 Date: Title: Statement at Open Meeting on Registration Rules for Municipal Advisors Speaker:

Commissioner Luis A. Aguilar

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

Commissioner Luis A. Aguilar

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

Norm Champ

Director of the Division of Investment Management

Type:Speech
Published date grouping:August 2013 Date: Title: The Need for Effective Regulation of the Asset-Backed Securities Market Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission*

Type:Statement
Published date grouping:August 2013 Date: Title: Statement on the Re-Proposal of Rules Related to Risk Retention Speaker:

Commissioner Kara M. Stein
U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:August 2013 Date: Title: Statement Regarding Joint Rule Reproposal Concerning Credit Risk Retention Speaker:

Commissioner Michael S. Piwowar

Securities and Exchange Commission

Type:Statement
Published date grouping:August 2013 Date: Title: Dissenting Statement of Commissioner Daniel M. Gallagher Concerning Re-Proposal of Rules Implementing the Credit Risk Retention Provisions of the Dodd-Frank Act Speaker:

Commissioner Daniel M.Gallagher

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:August 2013 Date: Title: Statement on Nasdaq Trading Interruption Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:August 2013 Date: Title: Statement on Commissioners Elisse B. Walter and Troy A. Paredes upon the completion of their terms, and their succession by Kara M. Stein and Dr. Michael S. Piwowar Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:August 2013 Date: Title: Statement upon Departure from the Commission Speaker:

Commissioner Troy A. Paredes

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:August 2013 Date: Title: Statement on the Tourre Verdict Speaker:

Andrew Ceresney

Co-Director of the SEC's Division of Enforcement

Type:Statement
Published date grouping:July 2013 Date: Title: Strengthening Oversight of Broker-Dealers by Instituting a Framework to Prevent Another Madoff Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission[1]

Type:Statement
Published date grouping:July 2013 Date: Title: Statement by Commissioners Gallagher and Paredes Concerning Commission Adoption of a Final Rule Regarding Assets Being Held by Broker-Dealers Speaker:

Commissioner Troy A. Paredes
Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:July 2013 Date: Title: The Commission’s Registration Process: How to Better Administer an Ounce of Prevention Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:July 2013 Date: Title: Testimony on “Mitigating Systemic Risk in the Financial Markets through Wall Street Reforms” Speaker:

Chair Mary Jo White

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

Commissioner Daniel M. Gallagher

 
Type:Speech
Published date grouping:July 2013 Date: Title: Addressing Investor Risks in the Retail Forex Business Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:July 2013 Date: Title: Statement at Open Meeting on JOBS Act Requirement to Lift General Solicitation Ban Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:July 2013 Date: Title: Statement at Open Meeting on JOBS Act Requirement to Lift General Solicitation Ban Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:July 2013 Date: Title: Statement at Open Meeting on JOBS Act Requirement to Lift General Solicitation Ban Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:July 2013 Date: Title: Statement at Open Meeting on JOBS Act Requirement to Lift General Solicitation Ban Speaker:

Commissioner Elisse B. Walter

Type:Statement
Published date grouping:July 2013 Date: Title: Statement at Open Meeting on JOBS Act Requirement to Lift General Solicitation Ban Speaker:

Commissioner Troy A. Paredes

Type:Statement
Published date grouping:July 2013 Date: Title: Open Meeting Statement on General Solicitation for Rule 506 of Regulation D Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:July 2013 Date: Title: Open Meeting Statement on Disqualifying Bad Actors under Rule 506 of Regulation D Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:June 2013 Date: Title: Testimony on SEC Budget Speaker:

Chair Mary Jo White

Type:Testimony
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

Type:Speech
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

Type:Speech
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

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

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Speech
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

Type:Speech
Published date grouping:June 2013 Date: Title: Opening Statement at the SEC Open Meeting Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:June 2013 Date: Title: Statement at Open Meeting on Money Market Fund Reforms Speaker:

Commissioner Troy A. Paredes

Type:Statement
Published date grouping:June 2013 Date: Title: Statement at Open Meeting on Money Market Fund Reforms Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:June 2013 Date: Title: Statement at Open Meeting on Money Market Fund Reforms Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:June 2013 Date: Title: Statement at Open Meeting on Money Market Fund Reforms Speaker:

Commissioner Elisse B. Walter

Type:Statement
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

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

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Speech
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

Type:Speech
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

Type:Speech
Published date grouping:May 2013 Date: Title: Statement Congratulating SEC Nominees Speaker:

Commissioner Troy A. Paredes

U.S. Securities and Exchange Commission

Type:Statement
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
Published date grouping:May 2013 Date: Title: Testimony on Oversight of the SEC Speaker:

Chair Mary Jo White

Type:Testimony
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

Type:Speech
Published date grouping:May 2013 Date: Title: Opening Remarks at SEC Roundtable on Credit Ratings Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:May 2013 Date: Title: Opening Remarks at SEC Roundtable on Credit Ratings Speaker:

Commissioner Luis A. Aguilar

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

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Speech
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*

Type:Speech
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

Type:Speech
Published date grouping:May 2013 Date: Title: The Need for Robust SEC Oversight of SROs Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission*

Type:Statement
Published date grouping:May 2013 Date: Title: Testimony on SEC Budget Speaker:

Chair Mary Jo White

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

Chair Mary Jo White

Type:Speech
Published date grouping:May 2013 Date: Title: Statement at Open Meeting on Rules for Cross-Border Security-Based Swap Activities Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:May 2013 Date: Title: Statement at Open Meeting on Rules for Cross-Border Security-Based Swap Activities Speaker:

Commissioner Elisse B. Walter

Type:Statement
Published date grouping:May 2013 Date: Title: Statement at Open Meeting on Rules for Cross-Border Security-Based Swap Activities Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:May 2013 Date: Title: Statement at Open Meeting on Rules for Cross-Border Security-Based Swap Activities Speaker:

Commissioner Troy A. Paredes

Type:Statement
Published date grouping:May 2013 Date: Title: Statement at Open Meeting on Rules for Cross-Border Security-Based Swap Activities Speaker:

Commissioner Luis A. Aguilar

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

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Speech
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

Type:Speech
Published date grouping:April 2013 Date: Title: Testimony on the Implementation of Title II of the JOBS Act Speaker:
by Commissioner Elisse B. Walter
U.S. Securities and Exchange Commission
Type:Testimony
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

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

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
Published date grouping:April 2013 Date: Title: Testimony on "JOBS Act Implementation Update" Speaker:

by Lona Nallengara
Acting Director, Division of Corporation Finance
U.S. Securities and Exchange Commission

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

Type:Testimony
Published date grouping:April 2013 Date: Title: Statement at Open Meeting on Rules to Help Protect Investors from Identity Theft Speaker:

Chair Mary Jo White

Type:Statement
Published date grouping:April 2013 Date: Title: Statement at Open Meeting on Rules to Help Protect Investors from Identity Theft Speaker:

Commissioner Luis A. Aguilar

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

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

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

Chairman Elisse Walter

U.S. Securities and Exchange Commission

Type:Speech
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

Type:Speech
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

Type:Speech
Published date grouping:March 2013 Date: Title: Inclusion is a Strength: Corporate America and the SEC Should Reflect America Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission*

Type:Statement
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

Type:Speech
Published date grouping:March 2013 Date: Title: Written Testimony Before the Subcommittee on Financial Services and General Government, Committee on Appropriations, U.S. House of Representatives Speaker:
by Carl W. Hoecker
Inspector General of the Securities and Exchange Commission
Type:Testimony
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

Type:Speech
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

Type:Speech
Published date grouping:March 2013 Date: Title: Statement at Open Meeting on Rules to Improve Systems Compliance and Integrity Speaker:

Chairman Elisse Walter

Type:Statement
Published date grouping:March 2013 Date: Title: Statement at Open Meeting on Rules to Improve Systems Compliance and Integrity Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:March 2013 Date: Title: Statement at Open Meeting on Rules to Improve Systems Compliance and Integrity Speaker:

Commissioner Daniel M. Gallagher

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

Norm Champ, Director, Division of Investment Management

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
Published date grouping:February 2013 Date: Title: Shareholders Need Robust Disclosure to Exercise Their Voting Rights as Investors and Owners Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission*

Type:Statement
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

Type:Speech
Published date grouping:February 2013 Date: Title: Testimony on "Wall Street Reform: Oversight of Financial Stability and Consumer and Investor Protections" Speaker: by Elisse B. Walter
U.S. Securities and Exchange Commission
Type:Testimony
Published date grouping:February 2013 Date: Title: Statement at Open Meeting on 2013 PCAOB Budget and Accounting Support Fee Speaker:

Chairman Elisse Walter

Type:Statement
Published date grouping:February 2013 Date: Title: Statement at Open Meeting on 2013 PCAOB Budget and Accounting Support Fee Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:February 2013 Date: Title: Statement at an Open Meeting of the Commission to Consider the Public Company Accounting Oversight Board's Proposed 2013 Budget and Accounting Support Fee Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Type:Statement
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

Type:Speech
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

Type:Speech
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

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

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Type:Speech
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

Type:Speech
Published date grouping:January 2013 Date: Title: Statement concerning publication by IOSCO on January 21, 2012 of the Final Report on "Suitability Requirements with respect to the Distribution of Complex Financial Products." Speaker:

Commissioners Troy A. Paredes and Daniel M. Gallagher

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:January 2013 Date: Title: Opening Remarks at Investor Advisory Committee Meeting on Responding to Recommendations Speaker:

Chairman Elisse Walter

Type:Statement
Published date grouping:January 2013 Date: Title: Opening Remarks at Investor Advisory Committee Meeting on Responding to Recommendations Speaker:

Commissioner Luis A. Aguilar

Type:Statement
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

Type:Speech
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

Type:Speech
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

Type:Speech
Published date grouping:December 2012 Date: Title: Testimony on Title VII Implementation Speaker: by Robert Cook
Director, Division of Trading & Markets, U.S. Securities and Exchange Commission
Type:Testimony
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

Type:Speech
Published date grouping:December 2012 Date: Title: Statement on Money Market Funds as to Recent Developments Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:December 2012 Date: Title: Slide Presentation (PDF): Remarks before the 2012 AICPA National Conference on Current SEC and PCAOB Developments Speaker:
Craig Olinger
Type:Speech
Published date grouping:December 2012 Date: Title: Slide Presentation (PDF): Remarks before the 2012 AICPA National Conference on Current SEC and PCAOB Developments - International Reporting Issues Speaker:
Craig Olinger
Type:Speech
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

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

Commissioner Luis Aguilar

U.S. Securities and Exchange Commission

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
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

Type:Speech
Published date grouping:November 2012 Date: Title: Effective Small Business Capital Formation Requires Investor Protection to Foster Investor Confidence Speaker:

Commissioner Luis Aguilar

U.S. Securities and Exchange Commission

Type:Speech
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

Type:Speech
Published date grouping:November 2012 Date: Title: Remarks During News Briefing About SEC-DOJ FCPA Guide Speaker:

Robert Khuzami

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

Type:Speech
Published date grouping:November 2012 Date: Title: Remarks at the Financial Stability Oversight Council Meeting Speaker:

Chairman Mary L. Schapiro

Type:Speech
Published date grouping:November 2012 Date: Title: Remarks to the ALI CLE 2012 Conference on Life Insurance Company Products Speaker:

Norm Champ

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

Type:Speech
Published date grouping:October 2012 Date: Title: Remarks at the George Washington University Center for Law, Economics and Finance Fourth Annual Regulatory Reform Symposium Speaker:

Chairman Mary L. Schapiro

Type:Speech
Published date grouping:October 2012 Date: Title: Keynote Address at the National Society of Compliance Professionals National Meeting Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:October 2012 Date: Title: Conflicts of Interest and Risk Governance Speaker:

Carlo V. di Florio

Director, Office of Compliance Inspections and Examinations*

Type:Speech
Published date grouping:October 2012 Date: Title: Speech by SEC Commissioner: Enhancing Disclosure in the Municipal Securities Market: What Now? Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:October 2012 Date: Title: Taking a No-Nonsense Approach to Enforcing the Federal Securities Laws Speaker:

Commissioner Luis Aguilar

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:October 2012 Date: Title: Statement at Open Meeting on Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:October 2012 Date: Title: Statement at Open Meeting on Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:October 2012 Date: Title: Statement at Open Meeting on Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:October 2012 Date: Title: The Expanded Role of Economists in SEC Rulemaking Speaker:

Craig M. Lewis

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

Type:Speech
Published date grouping:October 2012 Date: Title: Speech by SEC Chairman: Remarks at 2012 New England Securities Conference Speaker:

Chairman Mary L. Schapiro

Type:Statement
Published date grouping:October 2012 Date: Title: Speech by SEC Chairman: Remarks at 2012 New England Securities Conference Speaker:

Chairman Mary L. Schapiro

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:October 2012 Date: Title: “Market 2012: Time for a Fresh Look at Equity Market Structure and Self-Regulation” Speaker:

Commissioner Daniel M. Gallagher

Type:Speech
Published date grouping:October 2012 Date: Title: Speech by SEC Commissioner: Remarks to American Bar Association International Section Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:October 2012 Date: Title: Introductory Remarks at SEC's Market Technology Roundtable Speaker:

Chairman Mary L. Schapiro

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:October 2012 Date: Title: Speech by SEC Commissioner: Bringing Municipal Bond Trading Into the Light Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:September 2012 Date: Title: Crisis and Conflicts Speaker:

Ethiopis Tafara

Director, Office of International Affairs
U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:September 2012 Date: Title: "SEC Priorities in Perspective" Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:September 2012 Date: Title: Remarks at Third SAIS Global Conference on Women in the Boardroom Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:September 2012 Date: Title: Working to Achieve the American Dream: Remarks to the Hispanic Bar Association of the District of Columbia Speaker:

Commissioner Luis Aguilar

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:September 2012 Date: Title: Remarks Regarding the Fixed Income Markets at the Conference on Financial Markets Quality Speaker:

Commissioner Daniel M. Gallagher

Georgetown University McDonough School of Business

Type:Speech
Published date grouping:September 2012 Date: Title: Slide Presentation (PDF): Update from the Division of Corporation Finance, 2012 AICPA National Conference on Banks & Savings Institutions Speaker:
Stephanie Ciboroski, Mark Shannon
Type:Speech
Published date grouping:August 2012 Date: Title: Statement at Open Meeting on Rules to Implement JOBS Act Provision About General Solicitation and Advertising in Securities Offerings Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:August 2012 Date: Title: Statement at Open Meeting on Rules to Implement JOBS Act Provision About General Solicitation and Advertising in Securities Offerings Speaker:

Chairman Mary L. Schapiro

Type:Statement
Published date grouping:August 2012 Date: Title: Statement at Open Meeting on Rules to Implement JOBS Act Provision About General Solicitation and Advertising in Securities Offerings Speaker:

Commissioner Troy A. Paredes

Type:Statement
Published date grouping:August 2012 Date: Title: Statement at Open Meeting on Rules to Implement JOBS Act Provision About General Solicitation and Advertising in Securities Offerings Speaker:

Commissioner Elisse B. Walter

Type:Statement
Published date grouping:August 2012 Date: Title: Increasing the Vulnerability of Investors Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:August 2012 Date: Title: Statement on the Regulation of Money Market Funds Speaker:

Commissioner Daniel M. Gallagher; Commissioner Troy A. Paredes

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:August 2012 Date: Title: Statement Regarding Money Market Funds Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:August 2012 Date: Title: Statement at Open Meeting on Rule for Disclosing Use of Conflict Minerals Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:August 2012 Date: Title: Statement at Open Meeting on Rule for Disclosing Use of Conflict Minerals Speaker:

Chairman Mary L. Schapiro

Type:Statement
Published date grouping:August 2012 Date: Title: Statement at Open Meeting on Rule for Disclosing Use of Conflict Minerals Speaker:

Commissioner Troy A. Paredes

Type:Statement
Published date grouping:August 2012 Date: Title: Statement at Open Meeting on Rule for Disclosing Use of Conflict Minerals Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:August 2012 Date: Title: Statement at Open Meeting on Rule for Disclosing Use of Conflict Minerals Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:August 2012 Date: Title: Statement at Open Meeting on Rule for Disclosing Use of Conflict Minerals Speaker:

Commissioner Elisse B. Walter

Type:Statement
Published date grouping:August 2012 Date: Title: Requiring Disclosure to Increase Transparency Regarding the Sourcing of Conflict Minerals Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:August 2012 Date: Title: Remarks Before the 2012 American Accounting Association Annual Meeting - Policy Choices Informed by Root Cause Analysis and the Audit Performance Feedback Loop – Investors are counting on all of us Speaker:

Brian T. Croteau

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

Type:Speech
Published date grouping:July 2012 Date: Title: Speech by SEC Commissioner: Remarks on News Conference Call About the SEC’s Report on the Municipal Securities Market Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:July 2012 Date: Title: Testimony on Title VII Implementation Speaker: by Robert Cook
Director, Division of Trading & Markets
U.S. Securities and Exchange Commission
Type:Testimony
Published date grouping:July 2012 Date: Title: Remarks at Society of Corporate Secretaries & Governance Professionals, 66th National Conference on "The Shape of Things to Come" Speaker:

Commissioner Troy A. Paredes

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:July 2012 Date: Title: Statement at Open Meeting on New Rule Requiring Consolidated Audit Trail to Monitor and Analyze Trading Activity Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:July 2012 Date: Title: Statement at Open Meeting on New Rule Requiring Consolidated Audit Trail to Monitor and Analyze Trading Activity Speaker:

Commissioner Elisse B. Walter

Type:Statement
Published date grouping:July 2012 Date: Title: Statement at Open Meeting on New Rule Requiring Consolidated Audit Trail to Monitor and Analyze Trading Activity Speaker:

Chairman Mary L. Schapiro

Type:Statement
Published date grouping:July 2012 Date: Title: “Smart Regulation: Keeping the Door Open for Effective Ideas” Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:June 2012 Date: Title: Testimony Concerning the "JOBS Act in Action Part II: Overseeing Effective Implementation of the JOBS Act at the SEC" Speaker: by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission
Type:Testimony
Published date grouping:June 2012 Date: Title: Pension Funds as Owners and Investors: A Voice for Working Families Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:June 2012 Date: Title: Remarks to the IRI 2012 Government, Legal & Regulatory Conference Speaker:

Susan Nash

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

Type:Speech
Published date grouping:June 2012 Date: Title: Testimony on “Perspectives on Money Market Mutual Fund Reforms” Speaker: by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission
Type:Testimony
Published date grouping:June 2012 Date: Title: Testimony on "Examining Bank Supervision and Risk Management in Light of JPMorgan Chase's Trading Loss" Speaker: by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission
Type:Testimony
Published date grouping:June 2012 Date: Title: Public Statement by Commissioner: Investor Voices Renewed: The New Investor Advisory Committee Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:June 2012 Date: Title: Public Statement by Commissioner: Investor Voices Renewed: The New Investor Advisory Committee Speaker:

Commissioner Luis A. Aguilar

Investor Advisory Committee
U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:June 2012 Date: Title: Speech by SEC Chairman: Remarks at the Meeting of the Investor Advisory Committee Speaker:

Chairman Mary L. Schapiro

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:June 2012 Date: Title: Outline of Dodd-Frank Act and JOBS Act Speaker:

Lori Schock
Director, Office of Investor Education and Advocacy

InvestEd 2012

Type:Speech
Published date grouping:June 2012 Date: Title: Speech by SEC Commissioner: Remarks at the Conference on Current Topics in Financial Regulation, organized by the Center for the Study of Financial Regulation, University of Notre Dame Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:June 2012 Date: Title: Risk Assessment at the U.S. Securities & Exchange Commission Speaker:

Craig M. Lewis

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

Type:Speech
Published date grouping:May 2012 Date: Title: Testimony on Implementing Derivatives Reform: Reducing Systemic Risk and Improving Market Oversight Speaker: Chairman Mary L. Schapiro
Type:Testimony
Published date grouping:May 2012 Date: Title: Speech by SEC Commissioner: Remarks Before the Financial Accounting Foundation's 2012 Annual Board of Trustees Dinner Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:May 2012 Date: Title: Remarks at AICPA Council Spring Meeting Speaker:

Commissioner Troy A. Paredes

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:May 2012 Date: Title: Testimony on "Examining the Settlement Practices of U.S. Financial Regulators" Speaker: by Robert Khuzami
Director, Division of Enforcement
U.S. Securities and Exchange Commission
Type:Testimony
Published date grouping:May 2012 Date: Title: Remarks at the 37th International Organization of Securities Commissions Annual Conference Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:May 2012 Date: Title: Statement Regarding Commission Approval of MSRB Rule G-17 Interpretive Notice Speaker:

Commissioners Daniel M. Gallagher and Troy A. Paredes

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:May 2012 Date: Title: Statement concerning publication by IOSCO on April 27, 2012 of the “Consultation Report of the IOSCO Standing Committee 5 on Money Market Funds: Money Market Fund Systemic Risk Analysis and Reform Opt Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Commissioner Troy A. Paredes

U.S. Securities and Exchange Commission

 
Type:Statement
Published date grouping:May 2012 Date: Title: Speech by SEC Staff: What SEC Registration Means for Hedge Fund Advisers Speaker:

Norm Champ

Deputy Director, Office of Compliance Inspections and Examinations
U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:May 2012 Date: Title: Advocating for Greater Federal and State Securities Regulatory Cooperation and Collaboration Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:May 2012 Date: Title: Speech by SEC Staff: Address at the Private Equity International Private Fund Compliance Forum Speaker:

Carlo V. di Florio

Director, Office of Compliance Inspections and Examinations
U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:May 2012 Date: Title: Summary of Remarks at a Meeting of OTC Derivatives Regulators Speaker:
Chairman Mary L. Schapiro
Type:Speech
Published date grouping:May 2012 Date: Title: Remarks before AusBiotech Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:April 2012 Date: Title: Remarks to the American Chamber of Commerce in Australia Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:April 2012 Date: Title: Testimony on "SEC Oversight" Speaker: Chairman Mary L. Schapiro
Type:Testimony
Published date grouping:April 2012 Date: Title: Remarks to the IFRS Taxonomy Annual Convention 2012 Speaker:

Mike Starr

Deputy Chief Accountant
U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:April 2012 Date: Title: Testimony on The Collapse of MF Global: Lessons Learned and Policy Implications Speaker: by Robert Cook
Director, Division of Trading and Markets
U.S. Securities and Exchange Commission
Type:Testimony
Published date grouping:April 2012 Date: Title: Statement at Open Meeting on Rule Defining Swaps-Related Terms for Regulating Derivatives Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:April 2012 Date: Title: Statement at Open Meeting on Rule Defining Swaps-Related Terms for Regulating Derivatives Speaker:

Commissioner Troy Paredes

Type:Statement
Published date grouping:April 2012 Date: Title: Statement at Open Meeting on Rule Defining Swaps-Related Terms for Regulating Derivatives Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:April 2012 Date: Title: Statement at Open Meeting on Rule Defining Swaps-Related Terms for Regulating Derivatives Speaker:

Commissioner Elisse B. Walter

Type:Statement
Published date grouping:April 2012 Date: Title: Statement at Open Meeting on Rule Defining Swaps-Related Terms for Regulating Derivatives Speaker:

Chairman Mary Schapiro

Type:Statement
Published date grouping:April 2012 Date: Title: Testimony Concerning Economic Analysis in SEC Rulemaking Speaker: by Chairman Mary L. Schapiro
U.S. Securities and Exchange Commission
Type:Testimony
Published date grouping:April 2012 Date: Title: Remarks at the 44th Annual Rocky Mountain Securities Conference Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:April 2012 Date: Title: Statement by Commissioner: Defrauded Investors Deserve Their Day in Court Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

 
Type:Statement
Published date grouping:March 2012 Date: Title: Testimony Concerning Accounting and Auditing Oversight: Pending Proposals and Emerging Issues Confronting Regulators, Standard Setters, and the Economy Speaker: by James L. Kroeker
Chief Accountant, U.S. Securities and Exchange Commission
Type:Testimony
Published date grouping:March 2012 Date: Title: Testimony Concerning "International Harmonization of Wall Street Reform: Orderly Liquidation, Derivatives, and the Volcker Rule" Speaker: Commissioner Elisse B. Walter
Type:Testimony
Published date grouping:March 2012 Date: Title: Testimony Concerning Indemnification of Security-Based Swap Data Repositories Speaker: by Ethiopis Tafara
Director, Office of International Affairs
U.S. Securities and Exchange Commission
Type:Testimony
Published date grouping:March 2012 Date: Title: Speech by SEC Chairman: Remarks at the SIFMA C&L Conference Speaker:

Chairman Mary L. Schapiro

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:March 2012 Date: Title: Remarks at the 2012 Mutual Funds and Investment Management Conference Speaker:

Commissioner Elisse B. Walter

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:March 2012 Date: Title: Public Statement by SEC Staff: Commission Credits Individual Under Cooperation Initiative Speaker:

Robert Khuzami

Director, Division of Enforcement
U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:March 2012 Date: Title: Public Statement by Commissioner: Investor Protection is Needed for True Capital Formation: Views on the JOBS Act Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:March 2012 Date: Title: Speech by SEC Chairman: Remarks at the Society of American Business Editors and Writers (SABEW) Annual Convention Speaker:

Chairman Mary L. Schapiro

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:March 2012 Date: Title: Speech by Commissioner: Why Seniors Are More Vulnerable Now As Targets for Financial Abuse Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:March 2012 Date: Title: Keynote Address at PLI - Eleventh Annual Institute on Securities Regulation in Europe Speaker:

Meredith Cross

Director, Division of Corporation Finance
U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:March 2012 Date: Title: Keynote Address: Investment Adviser Association Investment Adviser Compliance Conference/2012 Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:March 2012 Date: Title: Testimony before the Subcommittee on Financial Services and General Government Committee on Appropriations United States House of Representatives Speaker: Chairman Mary L. Schapiro
Type:Testimony
Published date grouping:March 2012 Date: Title: Ongoing Regulatory Reform in the Global Capital Markets Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:February 2012 Date: Title: “Broker-Dealer Anti-Money Laundering Compliance – Learning Lessons from the Past and Looking to the Future” Speaker:

David W. Blass

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

Type:Speech
Published date grouping:February 2012 Date: Title: Remarks at The SEC Speaks in 2012 Speaker:

Commissioner Elisse B. Walter

Type:Speech
Published date grouping:February 2012 Date: Title: Remarks at “The SEC Speaks in 2012” Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities & Exchange Commission

Type:Speech
Published date grouping:February 2012 Date: Title: Shining a Light on Expenditures of Shareholder Money Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:February 2012 Date: Title: Remarks at “The SEC Speaks in 2012” Speaker:

Commissioner Troy A. Paredes

U.S. Securities & Exchange Commission

Type:Speech
Published date grouping:February 2012 Date: Title: Speech by SEC Chairman: Remarks at the Practising Law Institute’s SEC Speaks Speaker:

Chairman Mary L. Schapiro

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:February 2012 Date: Title: Remarks at the Credit Suisse Global Equity Trading Forum Speaker:

Commissioner Daniel M. Gallagher

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

Craig Olinger

Type:Speech
Published date grouping:February 2012 Date: Title: Remarks Before the PLI Investment Management Institute 2012 Speaker:

Eileen P. Rominger

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

Type:Speech
Published date grouping:February 2012 Date: Title: Slide Presentation (PDF): SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, PCAOB Forums on Auditing in the Small Business Environment Speaker:
Craig Olinger
Type:Speech
Published date grouping:February 2012 Date: Title: Statement by SEC Commissioner Regarding New Appointment to the PCAOB Board Speaker:

Commissioner Luis A. Aguilar

U.S. Securities and Exchange Commission

Type:Statement
Published date grouping:February 2012 Date: Title: Speech by SEC Staff: Remarks on News Conference Call About Case Against Credit Suisse Investment Bankers Speaker:

Robert Khuzami

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

Type:Speech
Published date grouping:January 2012 Date: Title: Speech by SEC Staff: Remarks at the Compliance Outreach Program Speaker:

Carlo V. di Florio

Director, Office of Compliance Inspections and Examinations
U.S. Securities and Exchange Commission*

Type:Speech
Published date grouping:January 2012 Date: Title: Speech by SEC Staff: Remarks at Joint News Conference to Announce RMBS Working Group Speaker:

Robert Khuzami

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

Type:Speech
Published date grouping:January 2012 Date: Title: Testimony on "Examining the Impact of the Volcker Rule on Markets, Businesses, Investors and Job Creation" Speaker: Chairman Mary L. Schapiro
Type:Testimony
Published date grouping:January 2012 Date: Title: Speech by SEC Staff: News Conference Remarks Speaker:

Robert Khuzami

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

Type:Speech
Published date grouping:January 2012 Date: Title: Remarks at the SRO Outreach Conference Speaker:

Commissioner Daniel M. Gallagher

U.S. Securities and Exchange Commission

Type:Speech
Published date grouping:January 2012 Date: Title: Statement at Open Meeting on 2012 PCAOB Budget and Accounting Support Fee Speaker:

Commissioner Luis A. Aguilar

Type:Statement
Published date grouping:January 2012 Date: Title: Statement at Open Meeting on 2012 PCAOB Budget and Accounting Support Fee Speaker:

Commissioner Daniel M. Gallagher

Type:Statement
Published date grouping:January 2012 Date: Title: Opening Statement at SEC Open Meeting: PCAOB Proposed Budget and Accounting Support Fee for 2012 Speaker:

Chairman Mary Schapiro

Type:Statement
Published date grouping:January 2012 Date: Title: Public Statement by SEC Staff: Recent Policy Change Speaker:

Robert Khuzami

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

Type:Statement