Date: May 29, 2024
Title: Comment on Digital Securities Sandbox Joint Bank of England and Financial Conduct Authority Consultation Paper
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: May 23, 2024
Title: “The Five Principles of Effective Cooperation in SEC Investigations,” Remarks at Securities Enforcement Forum West 2024
Speaker:
Gurbir S. Grewal , Director, Division of Enforcement
Type: Speech
Date: May 22, 2024
Title: Forget about Collaborating—Stop, Pay-Up, and Listen: Statement on Intercontinental Exchange et al.
Speaker:
Commissioner Hester M. Peirce
Commissioner Mark T. Uyeda
Type: Statement
Date: May 22, 2024
Title: Statement on the Financial Innovation and Technology for the 21st Century Act
Speaker:
Chair Gary Gensler
Type: Statement
Date: May 21, 2024
Title: Disclosure of Cybersecurity Incidents Determined To Be Material and Other Cybersecurity Incidents [*]
Speaker:
Erik Gerding , Director, Division of Corporation Finance
Type: Statement
Date: May 17, 2024
Title: Statement on the Application of IFRS 19, Subsidiaries without Public Accountability: Disclosures, in Filings with the SEC [1]
Speaker:
Erik Gerding , Director, Division of Corporation Finance
Paul Munter , Chief Accountant
Type: Statement
Date: May 16, 2024
Title: Statement on the Amendments to Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Speaker:
Commissioner Mark T. Uyeda
Type: Statement
Date: May 16, 2024
Title: Please Mr. Postman – Statement on Regulation S-P
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: May 16, 2024
Title: Remarks Before the Conference on Emerging Trends in Asset Management
Speaker:
Natasha Vij Greiner , Director, Division of Investment Management
Type: Speech
Date: May 16, 2024
Title: Protecting Investors with More Timely Disclosure of Cyber Breaches
Speaker:
Commissioner Jaime Lizárraga
Type: Statement
Date: May 16, 2024
Title: “Jack Bogle, Haystacks, and Putting the Interest of the Clients First”, Prepared Remarks Before the 2024 Conference on Emerging Trends in Asset Management
Speaker:
Chair Gary Gensler
Type: Speech
Date: May 16, 2024
Title: Statement on Amendments to Regulation S-P
Speaker:
Chair Gary Gensler
Type: Statement
Date: May 15, 2024
Title: Fostering a Healthy “Tone at the Top” at Audit Firms
Speaker:
Paul Munter , Chief Accountant
Type: Statement
Date: May 13, 2024
Title: Statement on Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers
Speaker:
Commissioner Mark T. Uyeda
Type: Statement
Date: May 13, 2024
Title: Statement on Customer Identification Program
Speaker:
Chair Gary Gensler
Type: Statement
Date: May 10, 2024
Title: Remarks of Commissioner Mark T. Uyeda at 2024 Conference on Financial Market Regulation: The Analytical Challenges of Regulating Today’s Financial Markets
Speaker:
Commissioner Mark T. Uyeda
Type: Speech
Date: May 10, 2024
Title: Remarks before the Financial Stability Oversight Council: Report on Nonbank Mortgage Servicing
Speaker:
Chair Gary Gensler
Type: Speech
Date: May 10, 2024
Title: The Pursuit of Excellence; Opening Remarks before Eleventh Annual Conference on Financial Market Regulation
Speaker:
Commissioner Jaime Lizárraga
Type: Speech
Date: May 9, 2024
Title: "Adam Smith, the SEC, Data, and the Public Good" Prepared Remarks Before the 11th Annual Conference on Financial Market Regulation
Speaker:
Chair Gary Gensler
Type: Speech
Date: May 9, 2024
Title: CFMR 2024 Keynote - Finance and the Unexpected (PDF)
Speaker:
Jessica Wachter , Chief Economist and Director of the Division of Economic and Risk Analysis
Type: Speech
Date: May 6, 2024
Title: Prepared Remarks before the Small Business Capital Formation Advisory Committee
Speaker:
Chair Gary Gensler
Type: Speech
Date: May 6, 2024
Title: A Crowd of Angels: Remarks before the Small Business Capital Formation Advisory Committee
Speaker:
Commissioner Hester M. Peirce
Type: Speech
Date: May 6, 2024
Title: Remarks to the Small Business Capital Formation Advisory Committee
Speaker:
Commissioner Mark T. Uyeda
Type: Speech
Date: May 3, 2024
Title: Lane Drifting: Remarks at the Hoover Monetary Policy Conference
Speaker:
Commissioner Hester M. Peirce
Type: Speech
Date: May 3, 2024
Title: Staff Statement on Issuer Disclosure and Reporting Obligations in Light of Rule 102(e) Order against BF Borgers CPA PC [1]
Speaker:
Division of Corporation Finance
Office of the Chief Accountant
Type: Statement
Date: April 24, 2024
Title: New Registered Fund Statistics Report
Speaker:
Chair Gary Gensler
Type: Statement
Date: April 18, 2024
Title: Remarks at the 43rd Annual Small Business Forum Catching up with Small Caps: Lessons Learned from Going Public and Staying Public
Speaker:
Commissioner Jaime Lizárraga
Type: Speech
Date: April 18, 2024
Title: Earthquakes, Eclipses, and Enigmas: Remarks at the SEC’s 43nd Annual Small Business Forum – Catching up with Small Caps: Lessons learned going public and staying public
Speaker:
Commissioner Hester M. Peirce
Type: Speech
Date: April 17, 2024
Title: Remarks at the 43rd Annual Small Business Forum
Speaker:
Commissioner Mark T. Uyeda
Type: Speech
Date: April 16, 2024
Title: Prepared Remarks Before the 2024 43rd Annual Small Business Forum
Speaker:
Chair Gary Gensler
Type: Speech
Date: April 16, 2024
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
Date: April 15, 2024
Title: Remarks at Program on Corporate Compliance and Enforcement Spring Conference 2024
Speaker:
Gurbir S. Grewal , Director, Division of Enforcement
Type: Speech
Date: April 15, 2024
Title: There’s Got to Be a Better Way: Statement of Dissent Regarding Wayzata Investment Partners LLC
Speaker:
Commissioner Hester M. Peirce
Type: Statement
Date: April 12, 2024
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
Date: April 9, 2024
Title: Office Hours with Gary Gensler: U.S. Treasury Markets
Speaker:
Chair Gary Gensler
Type: Video Transcript
Date: April 8, 2024
Title: Pourquoi Pas? Securities Regulation and the American Dream: Remarks before the Association of Private Enterprise Education
Speaker:
Commissioner Hester M. Peirce
Type: Speech
Date: April 8, 2024
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
Date: April 5, 2024
Title: Statement on Jury’s Verdict in Trial of Matthew Panuwat
Speaker:
Gurbir S. Grewal
Director, Division of Enforcement
Type: Statement
Date: April 5, 2024
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
Date: April 3, 2024
Title: Remarks at SEC Speaks 2024
Speaker:
Sanjay Wadhwa , Deputy Director, Division of Enforcement
Type: Speech
Date: April 3, 2024
Title: Remarks at SEC Speaks 2024
Speaker:
Gurbir S. Grewal , Director, Division of Enforcement
Type: Speech
Date: April 3, 2024
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
Date: April 2, 2024
Title: Remarks at SEC Speaks 2024 Division of Examinations Panel
Speaker:
Richard Best , Director, Division of Examinations
Type: Speech
Date: April 2, 2024
Title: “U.S. Capital Markets and the Public Good” Prepared Remarks before SEC Speaks
Speaker:
Chair Gary Gensler
Type: Speech
Date: April 2, 2024
Title: At the SEC: Nothing but Crickets Remarks at SEC Speaks
Speaker:
Commissioner Hester M. Peirce
Type: Speech
Date: April 2, 2024
Title: Remarks at the “SEC Speaks” Conference 2024
Speaker:
Commissioner Mark T. Uyeda
Type: Speech
Date: March 28, 2024
Title: 2024 Roundtable on Retail Investors and Fraud Prevention Welcome Remarks
Speaker:
Commissioner Jaime Lizárraga
Type: Speech
Date: March 27, 2024
Title: Prepared Remarks before the SEC / NASAA / Georgia Secretary of State Joint Public Roundtable
Speaker:
Chair Gary Gensler
Type: Speech
Date: March 27, 2024
Title: Remarks to the Investor Roundtable Co-Hosted by the SEC, NASAA, and Georgia Secretary of State
Speaker:
Commissioner Mark T. Uyeda
Type: Speech
Date: March 27, 2024
Title: Statement on Internet Investment Advisers
Speaker:
Chair Gary Gensler
Type: Statement