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:May 2024 | Date: | 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 |
Type:Statement |
| Published date grouping:April 2024 | Date: | Title: New Registered Fund Statistics Report |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| 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: 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: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: 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: 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: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: 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: 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: 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: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: 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: 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: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: 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: 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: 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: 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:October 2023 | Date: | Title: Overdue: Statement of Dissent on LBRY |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: 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: Statement on Current Market Events |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| 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: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: 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: 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: 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: 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: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: 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: 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: 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: 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: 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: 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: 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: 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: Statement on Speaker Pelosi’s Future Plans |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Statement |
| 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: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: 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: 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: 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: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: 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: 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: 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: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: 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: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: 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: 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: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: Statement in the Matter of David Hansen |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| 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: 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: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: 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 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: 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: 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: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: 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 at SEC Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Commissioner Hester M. Peirce
|
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 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: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: 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: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: Statement on the PCAOB’s Actions |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| 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: 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: 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: 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: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: 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: 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: 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: 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 Asset Management Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| 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: 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: 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: Statement on Rules Regarding Clawbacks of Erroneously Awarded Compensation |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| 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: 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: 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: 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: 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: 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: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: 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: 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: Statement on Investor Protection Related to Recent Developments in China |
Speaker:
Chair Gary Gensler
|
Type:Statement |
| 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: 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: 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: 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: 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: 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: 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 at the 40th Annual SEC Small Business Forum |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Statement |
| 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: Statement on S&P Dow Jones Indices LLC |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| 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: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: 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: 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: Enhancing Focus on the SEC’s Enhanced Climate Change Efforts |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
Type:Statement |
| 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: 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 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: 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 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: 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: 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: 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: 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: 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: 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: 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: Statement on Measures to Enhance the Fixed Income Markets |
Speaker:
Commissioner Elad L. Roisman
|
Type:Statement |
| 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: 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: 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: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: 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: 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: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: 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: 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: 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: 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: 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: 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: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: 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: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: Remarks at Meeting of the Small Business Capital Formation Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| 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: 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: 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: 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: 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: 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: 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: 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 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: 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: 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: 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: 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: 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: 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: 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: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: 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: 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: Statement on Financial Disclosures about Acquired and Disposed Businesses |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Type:Statement |
| 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: 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: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: 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: 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: 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: Commission Statement on Passing of President George H.W. Bush |
Speaker:
Chairman Jay Clayton |
Type:Statement |
| 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: 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: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: 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: Remarks at Roundtable on Market Data and Market Access |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| 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: 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: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: 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: 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: 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: 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: 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: 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:June 2018 | Date: | Title: Statement at Open Meeting on Amendments to Smaller Reporting Company Definition |
Speaker:
Commissioner Hester M. Peirce |
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement on Final Rule of Inline XBRL Filing of Tagged Data |
Speaker:
Commissioner Hester M. Peirce |
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Exchange-Traded Funds |
Speaker:
Commissioner Hester M. Peirce |
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Amendments to the Commission’s Whistleblower Program Rules |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement on Final Rules Regarding Smaller Reporting Companies |
Speaker:
Commissioner Robert J. Jackson, Jr. |
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement on Proposed Rules Regarding SEC Whistleblower Program |
Speaker:
Commissioner Robert J. Jackson, Jr. |
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement on Investment Company Liquidity Disclosure |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement on Proposed Amendments to the Commission’s Whistleblower Program Rules |
Speaker:
Commissioner Kara M. Stein
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on the Proposed Rule 6c-11 under the Investment Company Act of 1940 Governing Exchange-Traded Funds |
Speaker:
Commissioner Kara M. Stein
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement on Adoption of Amendments to Investment Company Liquidity Disclosure |
Speaker:
Commissioner Kara M. Stein
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement on Final Rule of Inline XBRL Filing of Tagged Data |
Speaker:
Commissioner Kara M. Stein
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Investment Company Liquidity Disclosure Adopting Release |
Speaker:
Commissioner Hester M. Peirce
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Exchange-Traded Funds |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Amendments to the Commission’s Whistleblower Program Rules |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Amendments to Smaller Reporting Company Definition |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Inline XBRL Filing of Tagged Data |
Speaker:
Chairman Jay Clayton |
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Investment Company Liquidity Disclosure |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Opening Statement at Open Meeting |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement of Commissioner Robert J. Jackson, Jr. on Proposed Rules Regarding Exchange Traded Funds (ETFs) |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement on Amendments to Smaller Reporting Company Definition |
Speaker:
Commissioner Kara M. Stein
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement of Commissioner Piwowar at Open Meeting Regarding Amendments to the Commission’s Whistleblower Program Rules |
Speaker:
Commissioner Michael S. Piwowar
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Investment Company Liquidity Disclosure (Final Rule) |
Speaker:
Commissioner Michael S. Piwowar
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Exchange-Traded Funds (Proposed Rule) |
Speaker:
Commissioner Michael S. Piwowar
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement of Commissioner Piwowar at Open Meeting Regarding Amendments to Smaller Reporting Company Definition |
Speaker:
Commissioner Michael S. Piwowar
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement of Commissioner Piwowar at Open Meeting Regarding Inline XBRL Filing of Tagged Data |
Speaker:
Commissioner Michael S. Piwowar
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: Statement on Retirement of Justice Kennedy |
Speaker:
Chairman Jay Clayton
|
Type:Statement |
| Published date grouping:June 2018 | Date: | Title: 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: Statement on Investment Company Disclosure |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Type:Statement |
| 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: 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: 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: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: 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: 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: 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: 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: 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: 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: 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: Joint Statement: Thank You Jacob "Jake" Stillman |
Speaker:
Chairman Jay Clayton |
Type:Statement |
| 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: Statement on Charges Against Former KPMG and PCAOB Personnel |
Speaker:
Chairman Jay Clayton |
Type:Statement |
| 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 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: Remarks to the SEC Investor Advisory Committee |
Speaker:
Commissioner Michael S. Piwowar |
Type:Statement |
| 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: Statement on Status of the Consolidated Audit Trail |
Speaker:
Chairman Jay Clayton |
Type:Statement |
| 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: 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: 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: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: 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: 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: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: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: 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: 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: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: 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: 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 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: 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: 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: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: 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: 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: 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: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: 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: 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: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: 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: 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: 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: 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: 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: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: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: 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: Remarks at the International Institute for Securities Market Growth and Development |
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:
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: 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: 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: 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: 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: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: 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: Statement Regarding Repeal of Indemnification Requirement |
Speaker:
Commissioner Michael S. Piwowar |
Type:Statement |
| 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: 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: Statement on Departure from the SEC |
Speaker:
Commissioner Luis A. Aguilar |
Type:Statement |
| 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: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: 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: 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: 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: 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: 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: 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: 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: Finishing the Work of Regulating Security-Based Derivatives |
Speaker:
Commissioner Luis A. Aguilar |
Type:Statement |
| 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 Michael S. Piwowar |
Type:Statement |
| Published date grouping:August 2015 | Date: | Title: Statement at Open Meeting on Registration Requirements for SBS Entities |
Speaker:
Commissioner Kara M. Stein |
Type:Statement |
| Published date grouping:August 2015 | Date: | Title: Statement at Open Meeting on Registration Requirements for SBS Entities |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Statement |
| Published date grouping: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: 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: 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: 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: 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: 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: 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: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: 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: 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: 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: 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: 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: 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: 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: 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: Statement on the Aggregate Impact of Financial Services Regulations |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Statement |
| 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: 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: 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: 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: 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: 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: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: 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: 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: 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: 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: 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: Opening Remarks at Investor Advisory Committee |
Speaker:
Chair Mary Jo White |
Type:Statement |
| 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: 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: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: 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: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: Statement on 2nd Circuit Decision |
Speaker:
Andrew Ceresney |
Type:Statement |
| 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: Statement on Jury’s Verdict in Case Against the Wylys: |
Speaker:
Andrew Ceresney |
Type:Statement |
| 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: 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: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: 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: Statement on Jury Verdict in Insider Trading Case |
Speaker:
Andrew Ceresney |
Type:Statement |
| 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: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: 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: 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: 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: 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: 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: Opening Statement at the Proxy Advisory Services Roundtable |
Speaker:
Chair Mary Jo White |
Type:Statement |
| 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: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: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:September 2013 | Date: | Title: Statement on SEC Enforcement Action Against JPMorgan |
Speaker:
George Canellos |
Type:Statement |
| 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: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: 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: 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: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: 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: 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: 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: 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: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: 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: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: 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: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: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: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: Speech by SEC Chairman: Remarks at 2012 New England Securities Conference |
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 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: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: Public Statement by Commissioner: Investor Voices Renewed: The New Investor Advisory Committee |
Speaker:
Commissioner Luis A. Aguilar |
Type:Statement |
| 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: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: 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: 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: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: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 |