Speeches and Statements
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:
Speeches and Statements Table
Published date grouping
|
Date
|
Title
|
Speaker
|
Type
|
---|---|---|---|---|
Published date grouping:April 2024 | Date: | Title: Remarks at the 43rd Annual Small Business Forum |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:April 2024 | Date: | Title: Prepared Remarks Before the 2024 43rd Annual Small Business Forum |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:April 2024 | Date: | Title: AMPLIFYING VOICES: Opening Remarks at the SEC’s Small Business Forum |
Speaker:
Stacey Bowers, Director, Office of the Advocate for Small Business Capital Formation |
Type:Speech |
Published date grouping:April 2024 | Date: | Title: Remarks at Program on Corporate Compliance and Enforcement Spring Conference 2024 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
Published date grouping:April 2024 | Date: | Title: There’s Got to Be a Better Way: Statement of Dissent Regarding Wayzata Investment Partners LLC |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:April 2024 | Date: | Title: Comment on FinCEN’s AML/CFT Program and SAR Filing for Registered Investment Advisers and Exempt Reporting Advisers Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:April 2024 | Date: | Title: Office Hours with Gary Gensler: U.S. Treasury Markets |
Speaker:
Chair Gary Gensler
|
Type:Video Transcript |
Published date grouping:April 2024 | Date: | Title: Pourquoi Pas? Securities Regulation and the American Dream: Remarks before the Association of Private Enterprise Education |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:April 2024 | Date: | Title: Filling the Gap: Comments on the Proposal to Amend FINRA’s Codes of Arbitration Procedure and Code of Mediation Procedure to Modify the Qualifications for Representatives in Arbitrations and Mediations |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
Published date grouping:April 2024 | Date: | Title: Statement on Jury’s Verdict in Trial of Matthew Panuwat |
Speaker:
Gurbir S. Grewal Director, Division of Enforcement |
Type:Statement |
Published date grouping:April 2024 | Date: | Title: Statement on Jury’s Verdict in Trial of Terraform Labs PTE Ltd. and Do Kwon |
Speaker:
Gurbir S. Grewal Director, Division of Enforcement |
Type:Statement |
Published date grouping:April 2024 | Date: | Title: Remarks at SEC Speaks 2024 |
Speaker:
Sanjay Wadhwa, Deputy Director, Division of Enforcement |
Type:Speech |
Published date grouping:April 2024 | Date: | Title: Remarks at SEC Speaks 2024 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
Published date grouping:April 2024 | Date: | Title: We Will Rock You: [1] The Small but Mighty Office of the Advocate for Small Business Capital Formation |
Speaker:
Stacey Bowers, Director, Office of the Advocate for Small Business Capital Formation |
Type:Speech |
Published date grouping:April 2024 | Date: | Title: Remarks at SEC Speaks 2024 Division of Examinations Panel |
Speaker:
Richard Best, Director, Division of Examinations |
Type:Speech |
Published date grouping:April 2024 | Date: | Title: “U.S. Capital Markets and the Public Good” Prepared Remarks before SEC Speaks |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:April 2024 | Date: | Title: At the SEC: Nothing but Crickets Remarks at SEC Speaks |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
Published date grouping:April 2024 | Date: | Title: Remarks at the “SEC Speaks” Conference 2024 |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:March 2024 | Date: | Title: 2024 Roundtable on Retail Investors and Fraud Prevention Welcome Remarks |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
Published date grouping:March 2024 | Date: | Title: Prepared Remarks before the SEC / NASAA / Georgia Secretary of State Joint Public Roundtable |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:March 2024 | Date: | Title: Remarks to the Investor Roundtable Co-Hosted by the SEC, NASAA, and Georgia Secretary of State |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
Published date grouping:March 2024 | Date: | Title: Statement on Internet Investment Advisers |
Speaker:
Chair Gary Gensler
|
Type:Statement |
Published date grouping:March 2024 | Date: | Title: Commission Statement on the Passing of Former Commissioner Roberta Karmel |
Speaker:
Chair Gary Gensler
Commissioner Hester M. Peirce Commissioner Caroline A. Crenshaw Commissioner Mark T. Uyeda Commissioner Jaime Lizárraga |
Type:Statement |
Published date grouping:March 2024 | Date: | Title: “I’m with Roosevelt and Jack: Benefits of Mandatory Disclosure” Prepared Remarks before Columbia Law School Conference in Honor of John C. Coffee, Jr. |
Speaker:
Chair Gary Gensler
|
Type:Speech |
Published date grouping:March 2024 | Date: | Title: Office Hours with Gary Gensler: Corporate Governance |
Speaker:
Chair Gary Gensler
|
Type:Video Transcript |
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 |
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 |
Type:Statement |
Published date grouping:January 2021 | Date: | Title: Joint Statement Regarding Ongoing Market Volatility |
Speaker:
Acting Chair Allison Herren Lee |
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 |
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 |
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 |
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: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: 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 |
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 |
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 |
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 |
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 |
Type:Statement |
Published date grouping:February 2020 | Date: | Title: Commission Statement on the Passing of Former Chairman David S. Ruder |
Speaker:
Chairman Jay Clayton |
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 |
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 |
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:
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, |
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 |
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 |
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, |
Type:Speech |
Published date grouping:December 2019 | Date: | Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Nipa Patel |
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 |
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 |
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 |
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 |
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 |
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 |
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 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 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 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 |
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 |
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 |
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 |
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 |
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 |
Type:Statement |
Published date grouping:January 2018 | Date: | Title: Statement on PCAOB Board Member Changes |
Speaker:
Chairman Jay Clayton |
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 |
Type:Statement |
Published date grouping:December 2017 | Date: | Title: Statement on the Tax Cuts and Jobs Act |
Speaker:
Chairman Jay Clayton |
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 |
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 |
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 |
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 |
Type:Statement |
Published date grouping:November 2017 | Date: | Title: SEC Statement Urging Caution Around Celebrity Backed ICOs |
Speaker:
SEC Division of Enforcement and |
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 |
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 |
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 |
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. SteinU.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 AdvocateU.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 AdvocateU.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
|
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. PiwowarU.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
|
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
|
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 AdvocateU.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 |
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 AnalysisMarc Wyatt, Director, Office of Compliance Inspections and ExaminationsThomas J. Butler, Director, Office of Credit RatingsSean 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 AdvocateU.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
|
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 |
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. CohenAssociate 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. AguilarU.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. AguilarU.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. AguilarUnited 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
|
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. CroteauDeputy 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. ErhardtDeputy 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 CeresneyDirector, 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. AguilarU.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. AguilarU.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. PiwowarU.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 |
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. AguilarU.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. AguilarU.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. AguilarU.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 |
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. AguilarU.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. AguilarU.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 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: Statement at Open Meeting on Registration Requirements for SBS Entities |
Speaker:
Commissioner Michael S. Piwowar |
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. AguilarUnited 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. AguilarUnited 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. AguilarU.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. AguilarUnited 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. GallagherU.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. AguilarU.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. AguilarU.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. AguilarU.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 AdvocateU.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
|
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. AguilarU.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. AguilarU.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. AguilarU.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. AguilarU.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. AguilarU.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
|
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
|
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. CroteauDeputy 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. RogersProfessional 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. StoutSenior 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. TartarAssociate 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
|
Type:Speech |
Published date grouping:December 2014 | Date: | Title: Remarks before the 2014 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Dan MurdockDeputy 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. ErhardtDeputy 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. SaloProfessional 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 SchnurrChief 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 |
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
|
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
|
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 ChampDirector, 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
|
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. FlanneryChief 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 ChampDirector, 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. FlemingInvestor 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 |
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, DirectorDivision 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 ChampDirector, 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 ChampDirector, 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 |
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 |
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. StoutSenior Associate Chief Accountant |
Type:Speech |
Published date grouping:May 2014 | Date: | Title: Keynote Address at Compliance Week 2014 |
Speaker:
Andrew CeresneyDirector 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 |
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
|
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
|
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. HigginsDirector, 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. GrimDeputy 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,
|
Type:Speech |
Published date grouping:March 2014 | Date: | Title: Remarks to the 2014 Mutual Funds and Investment Management Conference |
Speaker:
Norm ChampDirector, 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 |
Type:Statement |
Published date grouping:March 2014 | Date: | Title: Remarks to the 2014 IAA Investment Adviser Compliance Conference |
Speaker:
Norm Champ
|
Type:Speech |
Published date grouping:March 2014 | Date: | Title: Statement on Jury Verdict in Insider Trading Case |
Speaker:
Andrew Ceresney |
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
|
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. GallagherU.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
|
Type:Speech |
Published date grouping:February 2014 | Date: | Title: An Open Letter to the SEC Staff |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
Published date grouping:February 2014 | Date: | Title: Remarks at the “SEC Speaks” Conference |
Speaker:
Commissioner Kara M. SteinU.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. AguilarU.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 |
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 |
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
|
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 |
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. AguilarU.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. AguilarU.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 OlingerDeputy Chief Accountant, Division of Corporation FinanceJill DavisAssociate Chief Accountant, Division of Corporation Finance |
Type:Speech |
Published date grouping:December 2013 | Date: | Title: National Conference on Current SEC & PCAOB Developments |
Speaker:
Craig OlingerDeputy 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. PiwowarU.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. ErhardtDeputy 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 BeswickChief Accountant, Office of the Chief Accountant
|
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. AguilarU.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 CeresneyCo-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
|
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, DirectorDivision of Corporation FinanceU.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. CroteauDeputy 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 ChampDirector, Division of Investment Management
|
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. CohenAssociate 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 CeresneyCo-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 |
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. AguilarU.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 |
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. ParedesU.S. Securities and Exchange Commission
|
Type:Statement |
Published date grouping:August 2013 | Date: | Title: Statement on the Tourre Verdict |
Speaker:
Andrew CeresneyCo-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. AguilarU.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
|
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. WalterU.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. AguilarU.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. WalterU.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 ChampDirector, Division of Investment Management
|
Type:Speech |
Published date grouping:June 2013 | Date: | Title: Transformational Technologies, Market Structure, and the SEC |
Speaker:
Gregg E. BermanAssociate Director, Office of Analytics and Research
|
Type:Speech |
Published date grouping:June 2013 | Date: | Title: Remarks at the DirectWomen Board Institute |
Speaker:
Commissioner Elisse B. WalterU.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. WalterU.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 ChampDirector, Division of Investment Management
|
Type:Speech |
Published date grouping:May 2013 | Date: | Title: Keynote Luncheon Speech |
Speaker:
Commissioner Elisse B. WalterU.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 BeswickChief Accountant, Office of the Chief Accountant
|
Type:Speech |
Published date grouping:May 2013 | Date: | Title: Remarks at Joint News Conference on National Financial Capability Study |
Speaker:
Chair Mary Jo WhiteU.S. Securities and Exchange Commission |
Type:Speech |
Published date grouping:May 2013 | Date: | Title: Statement Congratulating SEC Nominees |
Speaker:
Commissioner Troy A. ParedesU.S. Securities and Exchange Commission |
Type:Statement |
Published date grouping:May 2013 | Date: | Title: Investor Protection Through Economic Analysis |
Speaker:
Craig M. LewisChief Economist and Director
|
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. AguilarU.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. AguilarU.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. GallagherU.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 RamsayActing Director, Division of Trading and Markets
|
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. WalterU.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. AguilarU.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. GallagherU.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. AguilarU.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. AguilarU.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. AguilarU.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 WhiteU.S. Securities and Exchange Commission |
Type:Speech |
Published date grouping:April 2013 | Date: | Title: Examining Investment Advisers: The Challenge Continues |
Speaker:
Commissioner Elisse B. WalterU.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. AguilarU.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. AguilarU.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. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
Published date grouping:April 2013 | Date: | Title: Testimony on "JOBS Act Implementation Update" |
Speaker:
by Lona Nallengara and John Ramsay |
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. AguilarU.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. GallagherU.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 WalterU.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. BlassChief Counsel, Division of Trading and Markets
|
Type:Speech |
Published date grouping:April 2013 | Date: | Title: Remarks to Students at The George Washington University |
Speaker:
Chairman Elisse WalterU.S. Securities and Exchange Commission |
Type:Speech |
Published date grouping:March 2013 | Date: | Title: Remarks Before the ASIC Forum |
Speaker:
Chairman Elisse WalterU.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. GallagherU.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. AguilarU.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 ChampDirector, Division of Investment Management
|
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 ManagementU.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 ManagementU.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. GallagherU.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. GallagherU.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. ParedesU.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. AguilarU.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 WalterU.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. AguilarU.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 WalterU.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. GallagherU.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 WalterU.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 |
Type:Speech |
Published date grouping:February 2013 | Date: | Title: Opening Remarks at Meeting of Advisory Committee on Small and Emerging Companies |
Speaker:
Chairman Elisse WalterU.S. Securities and Exchange Commission |
Type:Speech |
Published date grouping:January 2013 | Date: | Title: Remarks before the Corporate Directors Forum |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
Published date grouping:January 2013 | Date: | Title: Private Equity Enforcement Concerns |
Speaker:
Bruce KarpatiChief, SEC Enforcement Division's Asset Management Unit
|
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. GallagherU.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. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
Published date grouping:December 2012 | Date: | Title: Enforcement Priorities in the Alternative Space |
Speaker:
Bruce KarpatiChief, SEC Enforcement Division's Asset Management Unit
|
Type:Speech |
Published date grouping:December 2012 | Date: | Title: Risk Modeling at the SEC: The Accounting Quality Model |
Speaker:
Craig M. LewisChief Economist and Director, Division of Risk, Strategy, and Financial Innovation
|
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 ChampDirector, Division of Investment Management
|
Type:Speech |
Published date grouping:December 2012 | Date: | Title: Statement on Money Market Funds as to Recent Developments |
Speaker:
Commissioner Luis A. AguilarU.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-GirardSenior Associate Chief Accountant, Office of the Chief Accountant
|
Type:Speech |
Published date grouping:December 2012 | Date: | Title: Capital Formation from the Investor's Perspective |
Speaker:
Commissioner Luis AguilarU.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. ErhardtDeputy Chief Accountant, Office of the Chief Accountant
|
Type:Speech |
Published date grouping:December 2012 | Date: | Title: Remarks Before the 2012 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Paul A. BeswickActing Chief Accountant, Office of the Chief Accountant
|
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. CroteauDeputy Chief Accountant, Office of the Chief Accountant
|
Type:Speech |
Published date grouping:November 2012 | Date: | Title: Remarks During News Conference Announcing Charges in a $276 Million Insider Trading Scheme |
Speaker:
Robert KhuzamiDirector of the SEC’s Division of Enforcement
|
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 KhuzamiDirector of the SEC’s Division of Enforcement
|
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. WalterU.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. ParedesU.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 AguilarU.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 KhuzamiDirector of the SEC’s Division of Enforcement
|
Type:Speech |
Published date grouping:November 2012 | Date: | Title: Remarks During News Briefing About SEC-DOJ FCPA Guide |
Speaker:
Robert KhuzamiDirector of the SEC’s Division of Enforcement
|
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 ChampDirector, Division of Investment Management
|
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. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
Published date grouping:October 2012 | Date: | Title: Conflicts of Interest and Risk Governance |
Speaker:
Carlo V. di FlorioDirector, 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. WalterU.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 AguilarU.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. LewisChief Economist and Director, Division of Risk, Strategy, and Financial Innovation
|
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. SchapiroU.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. WalterU.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. SchapiroU.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. WalterU.S. Securities and Exchange Commission |
Type:Speech |
Published date grouping:September 2012 | Date: | Title: Crisis and Conflicts |
Speaker:
Ethiopis TafaraDirector, Office of International Affairs
|
Type:Speech |
Published date grouping:September 2012 | Date: | Title: "SEC Priorities in Perspective" |
Speaker:
Commissioner Daniel M. GallagherU.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. WalterU.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 AguilarU.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. GallagherGeorgetown 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. AguilarU.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. ParedesU.S. Securities and Exchange Commission |
Type:Statement |
Published date grouping:August 2012 | Date: | Title: Statement Regarding Money Market Funds |
Speaker:
Commissioner Luis A. AguilarU.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. AguilarU.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. CroteauDeputy Chief Accountant, Office of the Chief Accountant
|
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. WalterU.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. ParedesU.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. AguilarU.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. AguilarU.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 NashAssociate Director, Division of Investment Management
|
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: Speech by SEC Chairman: Remarks at the Meeting of the Investor Advisory Committee |
Speaker:
Chairman Mary L. SchapiroU.S. Securities and Exchange Commission |
Type:Speech |
Published date grouping:June 2012 | Date: | Title: Public Statement by Commissioner: Investor Voices Renewed: The New Investor Advisory Committee |
Speaker:
Commissioner Luis A. AguilarInvestor Advisory Committee
|
Type:Speech |
Published date grouping:June 2012 | Date: | Title: Outline of Dodd-Frank Act and JOBS Act |
Speaker:
Lori Schock |
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. WalterU.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. LewisChief Economist and Director, Division of Risk, Strategy, and Financial Innovation
|
Type:Speech |
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. WalterU.S. Securities and 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: Remarks at AICPA Council Spring Meeting |
Speaker:
Commissioner Troy A. ParedesU.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. WalterU.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. ParedesU.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. AguilarU.S. Securities and Exchange CommissionCommissioner Daniel M. GallagherU.S. Securities and Exchange CommissionCommissioner Troy A. ParedesU.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 ChampDeputy Director, Office of Compliance Inspections and Examinations
|
Type:Speech |
Published date grouping:May 2012 | Date: | Title: Advocating for Greater Federal and State Securities Regulatory Cooperation and Collaboration |
Speaker:
Commissioner Luis A. AguilarU.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 FlorioDirector, Office of Compliance Inspections and Examinations
|
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. GallagherU.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. GallagherU.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 StarrDeputy Chief Accountant
|
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. GallagherU.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. AguilarU.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. SchapiroU.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. WalterU.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 KhuzamiDirector, Division of Enforcement
|
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. AguilarU.S. Securities and Exchange Commission |
Type:Statement |
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. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
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. SchapiroU.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 CrossDirector, Division of Corporation Finance
|
Type:Speech |
Published date grouping:March 2012 | Date: | Title: Keynote Address: Investment Adviser Association Investment Adviser Compliance Conference/2012 |
Speaker:
Commissioner Daniel M. GallagherU.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. GallagherU.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. BlassChief Counsel, Division of Trading and Markets
|
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. GallagherU.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. AguilarU.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. ParedesU.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. SchapiroU.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. RomingerDirector, Division of Investment Management
|
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. AguilarU.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 KhuzamiDirector of the SEC’s Division of Enforcement
|
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
|
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 KhuzamiDirector of the SEC’s Division of Enforcement
|
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 KhuzamiDirector of the SEC’s Division of Enforcement
|
Type:Speech |
Published date grouping:January 2012 | Date: | Title: Remarks at the SRO Outreach Conference |
Speaker:
Commissioner Daniel M. GallagherU.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 KhuzamiDirector of the SEC’s Division of Enforcement
|
Type:Statement |