Chairman Jay Clayton
Commissioner Kara M. Stein
Commissioner Michael S. Piwowar
Commissioner Robert J. Jackson, Jr.
Commissioner Hester M. Peirce
Public statements by the Chairman, Commissioners, and staff of the SEC, which cover a wide range of topics concerning the state of the markets and the Commission's regulatory agenda. To view Public Statements prior to 2012, view the Public Statements Archive.
Published date grouping
|
Date
|
Title
|
Speaker
|
---|---|---|---|
Published date grouping:February 2021 | Date: | Title: Statement on Director Dalia Blass Departing from the Division of Investment Management |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:January 2021 | Date: | Title: Remarks at Meeting of SEC Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
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 |
Published date grouping:January 2021 | Date: | Title: Joint Statement Regarding Ongoing Market Volatility |
Speaker:
Acting Chair Allison Herren Lee |
Published date grouping:January 2021 | Date: | Title: EC Adopts Equivalence Decision With Respect to SEC Regulatory Framework for Central Counterparties |
Speaker:
Acting Chair Allison Herren Lee
|
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
|
Published date grouping:January 2021 | Date: | Title: Statement on Designation of Commissioner Lee as Acting Chairman |
Speaker:
Commissioner Hester M. Peirce |
Published date grouping:January 2021 | Date: | Title: UK ICO Provides Clarity Regarding Transfers of Personal Data to the SEC |
Speaker:
Acting Chairman Elad L. Roisman
|
Published date grouping:January 2021 | Date: | Title: Statement on FINRA’s Corporate Bond New Issue Reference Data Proposal |
Speaker:
Acting Chairman Elad L. Roisman
|
Published date grouping:January 2021 | Date: | Title: Concurrence in the Matter of Wireline, Inc. |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:January 2021 | Date: | Title: Statement on Chief Economist S.P. Kothari Concluding His Tenure at SEC |
Speaker:
Acting Chairman Elad L. Roisman
|
Published date grouping:January 2021 | Date: | Title: Statement on SEC General Counsel Bob Stebbins Concluding His Tenure |
Speaker:
Acting Chairman Elad L. Roisman
|
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 |
Published date grouping:December 2020 | Date: | Title: Farewell Statement of Stephanie Avakian, Director of the Division of Enforcement |
Speaker:
Stephanie Avakian, Director, Division of Enforcement |
Published date grouping:December 2020 | Date: | Title: Commission Statement on the Passing of Jacob Stillman |
Speaker:
Commissioner Hester M. Peirce
Acting Chairman Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
Published date grouping:December 2020 | Date: | Title: Statement on the Departure of Chairman Jay Clayton |
Speaker:
Commissioner Hester M. Peirce
|
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 |
Published date grouping:December 2020 | Date: | Title: Staff Statement Regarding Nasdaq Rule Proposal |
Speaker:
Brett Redfearn, Director, Division of Trading and Markets |
Published date grouping:December 2020 | Date: | Title: Statement on the Tenure of SEC Chairman Jay Clayton |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:December 2020 | Date: | Title: Statement of SEC Chairman Jay Clayton Regarding the Conclusion of His Tenure |
Speaker:
Jay Clayton, Chairman |
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 |
Published date grouping:December 2020 | Date: | Title: Statement on Primary Direct Listings |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
Published date grouping:December 2020 | Date: | Title: Statement on the Proposed Amendment to Rule 144 |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:December 2020 | Date: | Title: Statement on NYSE Primary Direct Listing Proposal |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:December 2020 | Date: | Title: Statement on the Investment Adviser Marketing Final Rule |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:December 2020 | Date: | Title: Statement on the New Marketing Rule for Investment Advisers |
Speaker:
Commissioner Elad L. Roisman
|
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 |
Published date grouping:December 2020 | Date: | Title: Statement on the Fixed Income Market Structure Advisory Committee |
Speaker:
Chairman Jay Clayton
|
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 |
Published date grouping:December 2020 | Date: | Title: Statement after the Enactment of the Holding Foreign Companies Accountable Act |
Speaker:
Chairman Jay Clayton
|
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 |
Published date grouping:December 2020 | Date: | Title: Consolidated Audit Trail: Focus on Effective Implementation Puts CAT on Track |
Speaker:
Chairman Jay Clayton
|
Published date grouping:December 2020 | Date: | Title: Statement on Adoption of Resource Extraction Disclosure Rules |
Speaker:
Chairman Jay Clayton
|
Published date grouping:December 2020 | Date: | Title: Statement at Open Meeting on Disclosure of Payments by Resource Extraction Issuers |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:December 2020 | Date: | Title: Statement at Open Meeting on Disclosure of Payments by Resource Extraction Issuers |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:December 2020 | Date: | Title: Statement on Rules Governing the Disclosure of Payments by Resource Extraction Issuers |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:December 2020 | Date: | Title: Statement on Resource Extraction |
Speaker:
Commissioner Caroline A. Crenshaw
|
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
|
Published date grouping:December 2020 | Date: | Title: Statement on the Departure of Director Stephanie Avakian |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:December 2020 | Date: | Title: Statement on Adoption of Market Data Infrastructure Rules under Regulation NMS |
Speaker:
Chairman Jay Clayton
|
Published date grouping:December 2020 | Date: | Title: Market Data Infrastructure: Open Meeting Statement |
Speaker:
Commissioner Hester M. Peirce
|
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
|
Published date grouping:December 2020 | Date: | Title: Roadwork Ahead: Upgrading Market Data Infrastructure |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:December 2020 | Date: | Title: Statement on Market Data Infrastructure |
Speaker:
Commissioner Caroline A. Crenshaw
|
Published date grouping:December 2020 | Date: | Title: Statement on Bob Stebbins Concluding His Tenure at SEC |
Speaker:
Chairman Jay Clayton
|
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 |
Published date grouping:December 2020 | Date: | Title: Statement at FSOC Open Meeting |
Speaker:
Chairman Jay Clayton
|
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
|
Published date grouping:December 2020 | Date: | Title: Remarks at Meeting of SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
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
|
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
|
Published date grouping:December 2020 | Date: | Title: Statement at the Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
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 |
Published date grouping:November 2020 | Date: | Title: Statement on Developments Related to the LIBOR Transition |
Speaker:
Chairman Jay Clayton
|
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 |
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 |
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 |
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 |
Published date grouping:November 2020 | Date: | Title: Statement on Departure of Chairman Jay Clayton |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
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 |
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 |
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
|
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 |
Published date grouping:November 2020 | Date: | Title: Remarks: Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Chairman Jay Clayton
|
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
|
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 |
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
|
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
|
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
|
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
|
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
|
Published date grouping:November 2020 | Date: | Title: Statement on Amendments to the Exempt Offering Framework |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:November 2020 | Date: | Title: Statement on Harmonization of Securities Offering Exemptions |
Speaker:
Commissioner Caroline A. Crenshaw
|
Published date grouping:October 2020 | Date: | Title: Modernizing the Regulatory Framework for Funds’ Use of Derivatives |
Speaker:
Chairman Jay Clayton
|
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
|
Published date grouping:October 2020 | Date: | Title: Statement on Regulation of Funds' Use of Derivatives |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:October 2020 | Date: | Title: Statement on the Final Rule on Funds' Use of Derivatives |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:October 2020 | Date: | Title: Statement on Funds' Use of Derivatives |
Speaker:
Commissioner Caroline A. Crenshaw
|
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 |
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
|
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
|
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 |
Published date grouping:October 2020 | Date: | Title: Statement Regarding Tradenet Capital Markets Ltd. |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:October 2020 | Date: | Title: Statement at the IDC Conference and Governing Council meeting |
Speaker:
Dalia Blass, Director, Division of Investment Management |
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
|
Published date grouping:October 2020 | Date: | Title: CFTC-SEC Joint Meeting |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:October 2020 | Date: | Title: Promoting an Effective Auditor Independence Framework |
Speaker:
Chairman Jay Clayton
|
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 |
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
|
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 |
Published date grouping:October 2020 | Date: | Title: Open Meeting on Proposed Finders Exemption – Providing Regulatory Clarity to Benefit Small Businesses |
Speaker:
Chairman Jay Clayton
|
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
|
Published date grouping:October 2020 | Date: | Title: Statement at Open Meeting Considering a Proposed Exemptive Order for Finders |
Speaker:
Commissioner Elad L. Roisman
|
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
|
Published date grouping:October 2020 | Date: | Title: Statement on Proposed Exemptive Relief for Finders |
Speaker:
Commissioner Caroline A. Crenshaw
|
Published date grouping:October 2020 | Date: | Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:October 2020 | Date: | Title: Statement of Commissioner Hester M. Peirce - Great Plains Trust Company |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:September 2020 | Date: | Title: Statement on Measures to Enhance the Fixed Income Markets |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:September 2020 | Date: | Title: Remarks at the Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:September 2020 | Date: | Title: Modernizing the Shareholder Proposal Framework for the Benefit of All Shareholders |
Speaker:
Chairman Jay Clayton
|
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
|
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
|
Published date grouping:September 2020 | Date: | Title: Statement on the Amendments to Rule 14a-8 |
Speaker:
Commissioner Allison Herren Lee
|
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
|
Published date grouping:September 2020 | Date: | Title: Strengthening our Whistleblower Program |
Speaker:
Chairman Jay Clayton
|
Published date grouping:September 2020 | Date: | Title: Amendments to the Commission's Whistleblower Program Rules |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:September 2020 | Date: | Title: Statement on the Commission’s New and Improved Whistleblower Program Rules |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:September 2020 | Date: | Title: June Bug vs. Hurricane:* Whistleblowers Fight Tremendous Odds and Deserve Better |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:September 2020 | Date: | Title: Statement of Commissioner Caroline Crenshaw on Whistleblower Program Rule Amendments |
Speaker:
Commissioner Caroline A. Crenshaw
|
Published date grouping:September 2020 | Date: | Title: SEC FinHub Staff Statement on OCC Interpretation |
Speaker:
SEC FinHub Staff |
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 |
Published date grouping:September 2020 | Date: | Title: Statement on the Adoption of Amendments to Exchange Act Rule 15c2-11 |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:September 2020 | Date: | Title: Statement on Commission Action to Enhance Investor Protections in the OTC Market |
Speaker:
Chairman Jay Clayton
|
Published date grouping:September 2020 | Date: | Title: Statement at the SEC Regulation Think-In 2020 Conference |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Published date grouping:September 2020 | Date: | Title: Statement on Adoption of Amendments to Rule 15c2-11 |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:September 2020 | Date: | Title: Statement at the Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
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
|
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 |
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
|
Published date grouping:August 2020 | Date: | Title: Modernizing the Framework for Business, Legal Proceedings and Risk Factor Disclosures |
Speaker:
Chairman Jay Clayton
|
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
|
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
|
Published date grouping:August 2020 | Date: | Title: Regulation S-K and ESG Disclosures: An Unsustainable Silence |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:August 2020 | Date: | Title: Statement on the “Modernization” of Regulation S-K Items 101, 103, and 105 |
Speaker:
Commissioner Caroline Crenshaw |
Published date grouping:August 2020 | Date: | Title: Statement on Modernization of the Accredited Investor Definition |
Speaker:
Chairman Jay Clayton
|
Published date grouping:August 2020 | Date: | Title: Statement on Amending the “Accredited Investor” Definition |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:August 2020 | Date: | Title: Commissioner Roisman Statement on Amending the “Accredited Investor” Definition |
Speaker:
Commissioner Elad L. Roisman
|
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 |
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 |
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
|
Published date grouping:August 2020 | Date: | Title: Statement on SEC Response to the Report of the President’s Working Group on Financial 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 Raquel Fox, Director, Office of International Affairs Sagar Teotia, Chief Accountant |
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 |
Published date grouping:August 2020 | Date: | Title: Transparency for our Investors and at the Commission |
Speaker:
Chairman Jay Clayton
|
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
|
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
|
Published date grouping:August 2020 | Date: | Title: Statement on the Investor Advisory Committee Nominating Process |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:August 2020 | Date: | Title: Statement on Tailored Shareholder Reports |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:August 2020 | Date: | Title: Statement on Proposal to Improve Information Available to Fund Investors |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:August 2020 | Date: | Title: Statement on Proposed Summary Shareholder Report |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:August 2020 | Date: | Title: Opening Remarks: Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Chairman Jay Clayton
|
Published date grouping:August 2020 | Date: | Title: Opening Remarks at the Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:August 2020 | Date: | Title: Remarks at Meeting of the SEC Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:August 2020 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:July 2020 | Date: | Title: Statement Regarding SEC Ongoing Efforts to Protect Teachers’ Retirement Savings |
Speaker:
Chairman Jay Clayton
|
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 |
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
|
Published date grouping:July 2020 | Date: | Title: Open Meeting to Adopt Amendments to the Proxy Solicitation Rules |
Speaker:
Commissioner Elad L. Roisman
|
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
|
Published date grouping:July 2020 | Date: | Title: Paying More For Less: Higher Costs for Shareholders, Less Accountability for Management |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:July 2020 | Date: | Title: Remarks at the Special Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:July 2020 | Date: | Title: Statement at the Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:July 2020 | Date: | Title: Remarks at the Special Meeting of the Asset Management Advisory Committee |
Speaker:
Chairman Jay Clayton
|
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 |
Published date grouping:July 2020 | Date: | Title: Credit Ratings, Procyclicality and Related Financial Stability Issues: Select Observations |
Speaker:
COVID-19 Market Monitoring Group* |
Published date grouping:July 2020 | Date: | Title: Remarks to the Financial Stability Oversight Council |
Speaker:
Chairman Jay Clayton
|
Published date grouping:July 2020 | Date: | Title: Statement on the Proposal to Substantially Reduce 13F Reporting |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:July 2020 | Date: | Title: Statement at the SEC’s Emerging Markets Roundtable |
Speaker:
Chairman Jay Clayton
|
Published date grouping:July 2020 | Date: | Title: Remarks at the Emerging Markets Roundtable |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:July 2020 | Date: | Title: Opening Remarks at the Emerging Markets Roundtable |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:June 2020 | Date: | Title: Statement on the Department of Labor’s Investment Advice Proposal |
Speaker:
Chairman Jay Clayton
|
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 |
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 |
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
|
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 |
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 |
Published date grouping:June 2020 | Date: | Title: Remarks to the Annual Government-Business Forum on Small Business Capital Formation |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2020 | Date: | Title: Remarks at the Virtual Small Business Forum |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:June 2020 | Date: | Title: Remarks at the Annual Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Elad L. Roisman
|
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
|
Published date grouping:June 2020 | Date: | Title: Welcome Remarks at the SEC’s 39th Annual Small Business Forum |
Speaker:
Martha Miller, Advocate for Small Business Capital Formation |
Published date grouping:June 2020 | Date: | Title: Statement on the Passing of Martin P. Dunn |
Speaker:
William H. Hinman, Director, Division of Corporation Finance |
Published date grouping:June 2020 | Date: | Title: Remarks at the 2020 Municipal Securities Disclosure Conference |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2020 | Date: | Title: Introductory Remarks: Municipal Securities Disclosure Conference |
Speaker:
Commissioner Hester M. Peirce
|
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
|
Published date grouping:June 2020 | Date: | Title: Opening Remarks at 2020 Municipal Securities Disclosure Conference |
Speaker:
Rebecca Olsen, Director, Office of Municipal Securities |
Published date grouping:June 2020 | Date: | Title: Confirmation of June 30 Compliance Date for Regulation Best Interest and Form CRS |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2020 | Date: | Title: Statement on the Tenure of Andrew Olmem |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2020 | Date: | Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2020 | Date: | Title: Opening Remarks at the June 2020 FIMSAC Meeting |
Speaker:
Commissioner Elad L. Roisman
|
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
|
Published date grouping:May 2020 | Date: | Title: Investment Company Act Section 18(i) |
Speaker:
Chairman Jay Clayton
|
Published date grouping:May 2020 | Date: | Title: Remarks at Meeting of the Asset Management Advisory Committee |
Speaker:
Chairman Jay Clayton
|
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 |
Published date grouping:May 2020 | Date: | Title: Statement on Financial Disclosures About Acquired and Disposed Businesses |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:May 2020 | Date: | Title: Remarks at Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:May 2020 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:May 2020 | Date: | Title: Statement on the Tenure of Comptroller Joseph Otting |
Speaker:
Chairman Jay Clayton
|
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
|
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 |
Published date grouping:May 2020 | Date: | Title: Remarks at Meeting of the SEC Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
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
|
Published date grouping:May 2020 | Date: | Title: Statement on Equity Market Data Governance Reforms |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:May 2020 | Date: | Title: Statement at Open Meeting Considering Commission Order Addressing Equity Market Data Plans |
Speaker:
Commissioner Elad L. Roisman
|
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
|
Published date grouping:May 2020 | Date: | Title: Statement Announcing SEC Staff Roundtable on Emerging Markets |
Speaker:
Chairman Jay Clayton
|
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 |
Published date grouping:May 2020 | Date: | Title: Remarks at Special Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:May 2020 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:April 2020 | Date: | Title: Statement on the Tenure of CFTC Commissioner Brian Quintenz |
Speaker:
Chairman Jay Clayton
|
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
|
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 |
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 |
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
|
Published date grouping:April 2020 | Date: | Title: Statement on Securities Offering Reform for Closed-End Investment Companies |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:April 2020 | Date: | Title: Rulemaking in the Time of COVID-19 |
Speaker:
Commissioner Elad L. Roisman
|
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
|
Published date grouping:April 2020 | Date: | Title: Regulatory Priorities and COVID-19 |
Speaker:
Commissioner Allison Herren Lee
|
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 |
Published date grouping:April 2020 | Date: | Title: Remarks at Special Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:April 2020 | Date: | Title: Remarks at Special Meeting of the Small Business Capital Formation Advisory Committee |
Speaker:
Chairman Jay Clayton
|
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
|
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
|
Published date grouping:March 2020 | Date: | Title: Statement at FSOC Open Meeting |
Speaker:
Chairman Jay Clayton
|
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
|
Published date grouping:March 2020 | Date: | Title: Statement on the Passing of Judge Stanley Sporkin |
Speaker:
Chairman Jay Clayton
|
Published date grouping:March 2020 | Date: | Title: Statement on the Passing of Judge Stanley Sporkin |
Speaker:
Stephanie Avakian, Director, Division of Enforcement Steven Peikin, Co-Director, Division of Enforcement |
Published date grouping:March 2020 | Date: | Title: Statement from Stephanie Avakian and Steven Peikin, Co-Directors of the SEC’s Division of Enforcement, Regarding Market Integrity |
Speaker:
Stephanie Avakian, Director, Division of Enforcement Steven Peikin, Co-Director, Division of Enforcement |
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
|
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
|
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
|
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
|
Published date grouping:March 2020 | Date: | Title: Statement on the Rollback of Auditor Attestation Requirements |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:March 2020 | Date: | Title: Statement on Harmonizing, Simplifying and Improving the Exempt Offering Framework |
Speaker:
Chairman Jay Clayton
|
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
|
Published date grouping:March 2020 | Date: | Title: Statement on the Harmonization Proposal |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:March 2020 | Date: | Title: Statement on Proposed Amendments to the Exempt Offering Framework |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:March 2020 | Date: | Title: Statement on Amendments to Registered Debt Disclosure Rules |
Speaker:
Commissioner Allison Herren Lee
|
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
|
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 |
Published date grouping:February 2020 | Date: | Title: Commission Statement on the Passing of Former Chairman David S. Ruder |
Speaker:
Chairman Jay Clayton |
Published date grouping:February 2020 | Date: | Title: Statement of Commissioner Robert J. Jackson, Jr. on His Tenure as an SEC Commissioner |
Speaker:
Commissioner Robert J. Jackson Jr.
|
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
|
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
|
Published date grouping:February 2020 | Date: | Title: Statement on Proposed Rule on Market Data Infrastructure |
Speaker:
Commissioner Allison Herren Lee
|
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
|
Published date grouping:January 2020 | Date: | Title: Statement on Proposed Amendments to Modernize and Enhance Financial Disclosures |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:January 2020 | Date: | Title: “Modernizing” Regulation S-K: Ignoring the Elephant in the Room |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:January 2020 | Date: | Title: Statement on Proposed Amendments to the Volcker Rule |
Speaker:
Chairman Jay Clayton
|
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 |
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
|
Published date grouping:January 2020 | Date: | Title: Statement on Commissioner Robert J. Jackson, Jr. |
Speaker:
Chairman Jay Clayton
|
Published date grouping:January 2020 | Date: | Title: Remarks at the Inaugural Meeting of the Asset Management Advisory Committee |
Speaker:
Chairman Jay Clayton
|
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
|
Published date grouping:January 2020 | Date: | Title: Statement at the Inaugural Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:January 2020 | Date: | Title: Statement at Inaugural Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Allison Herren Lee
|
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 |
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
|
Published date grouping:January 2020 | Date: | Title: Statement on Reforming Stock Exchange Governance |
Speaker:
Commissioner Robert J. Jackson Jr.
|
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
|
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
|
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
|
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
|
Published date grouping:December 2019 | Date: | Title: Statement on Role of Audit Committees in Financial Reporting and Key Reminders Regarding Oversight Responsibilities |
Speaker:
Chairman Jay Clayton
William Hinman, Director, Division of Corporation Finance Sagar Teotia, Chief Accountant |
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
|
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 |
Published date grouping:December 2019 | Date: | Title: Statement of Chairman Jay Clayton at Open Meeting |
Speaker:
Chairman Jay Clayton
|
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
|
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
|
Published date grouping:December 2019 | Date: | Title: Statement on Adoption of and Changes to Security-Based Swap Rules |
Speaker:
Commissioner Allison Herren Lee
|
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.
|
Published date grouping:December 2019 | Date: | Title: Statement at Open Meeting on Disclosure of Payments by Resource Extraction Issuers |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:December 2019 | Date: | Title: Statement at Open Meeting on Resource Extraction |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:December 2019 | Date: | Title: Statement on Proposed Resource Extraction Rule |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:December 2019 | Date: | Title: Statement on Reducing Investor Protections around Private Markets |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Published date grouping:December 2019 | Date: | Title: Statement at Open Meeting on Amending the “Accredited Investor” Definition |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:December 2019 | Date: | Title: Statement at Open Meeting on Proposed Amendments to the Accredited Investor Definition |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:December 2019 | Date: | Title: Statement on the Proposed Expansion of the Accredited Investor Definition |
Speaker:
Commissioner Allison Herren Lee
|
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 |
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 |
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.
|
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 |
Published date grouping:November 2019 | Date: | Title: Statement on Whistleblower Program 2019 Annual Report to Congress |
Speaker:
Chairman Jay Clayton
|
Published date grouping:November 2019 | Date: | Title: Remarks at Meeting of the Small Business Capital Formation Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:November 2019 | Date: | Title: Remarks before the Investor Advisory Committee |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:November 2019 | Date: | Title: Remarks at Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
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
|
Published date grouping:November 2019 | Date: | Title: Statement at the Open Meeting: Modernizing SEC Rules Governing Proxy Voting Advice |
Speaker:
Commissioner Elad L. Roisman
|
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
|
Published date grouping:November 2019 | Date: | Title: Statement on Proposals to Restrict Shareholder Voting |
Speaker:
Commissioner Robert J. Jackson Jr.
|
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
|
Published date grouping:November 2019 | Date: | Title: Statement at Open Meeting on Proposed Amendments to Modernize Shareholder Proposal Rule |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:November 2019 | Date: | Title: Statement on Shareholder Rights |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:November 2019 | Date: | Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee |
Speaker:
Chairman Jay Clayton
|
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.
|
Published date grouping:October 2019 | Date: | Title: Asset-Level Disclosure Requirements for Residential Mortgage-Backed Securities |
Speaker:
Chairman Jay Clayton
|
Published date grouping:October 2019 | Date: | Title: Statement on the Passing of Chancellor William T. Allen |
Speaker:
Commissioner Robert J. Jackson Jr.
|
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) |
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 |
Published date grouping:October 2019 | Date: | Title: Remarks at Roundtable on Combating Elder Investor Fraud |
Speaker:
Chairman Jay Clayton
|
Published date grouping:October 2019 | Date: | Title: Remarks at the SEC Roundtable on Combating Elder Investor Fraud |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:October 2019 | Date: | Title: Remarks at the SEC Roundtable on Combating Elder Investor Fraud |
Speaker:
Commissioner Allison Herren Lee
|
Published date grouping:September 2019 | Date: | Title: Statement on DERA’s 10th Anniversary |
Speaker:
Chairman Jay Clayton
|
Published date grouping:September 2019 | Date: | Title: Taking Significant Steps to Modernize Our Regulatory Framework |
Speaker:
Chairman Jay Clayton
|
Published date grouping:September 2019 | Date: | Title: Statement on Volcker Rule Amendments |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Published date grouping:September 2019 | Date: | Title: Statement of Commissioner Allison Herren Lee on Amendments to the Volcker Rule |
Speaker:
Commissioner Allison Herren Lee
|
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 |
Published date grouping:September 2019 | Date: | Title: Statement on Amendments to the Volcker Rule |
Speaker:
Chairman Jay Clayton
|
Published date grouping:September 2019 | Date: | Title: Statement on Passing of Former SEC Chief Accountant James Schnurr |
Speaker:
Chairman Jay Clayton |
Published date grouping:September 2019 | Date: | Title: Statement on Status of the Consolidated Audit Trail |
Speaker:
Chairman Jay Clayton |
Published date grouping:September 2019 | Date: | Title: Remarks at Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
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 |
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
|
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
|
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
|
Published date grouping:August 2019 | Date: | Title: Statement on Proxy-Advisor Guidance |
Speaker:
Commissioner Robert J. Jackson Jr.
|
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
|
Published date grouping:August 2019 | Date: | Title: Remarks at the 38th Government-Business Forum on Small Business Capital Formation |
Speaker:
Chairman Jay Clayton
|
Published date grouping:August 2019 | Date: | Title: Commissioner Roisman Opening Remarks Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:August 2019 | Date: | Title: Remarks before the 38th Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:August 2019 | Date: | Title: Opening Remarks at the 38th Government-Business Forum on Small Business Capital Formation |
Speaker:
Martha Miller, Advocate for Small Business Capital Formation |
Published date grouping:August 2019 | Date: | Title: Remarks at Meeting of the Small Business Capital Formation Advisory Committee |
Speaker:
Chairman Jay Clayton
|
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
|
Published date grouping:August 2019 | Date: | Title: Statement on Retirement of Lynnette Kelly |
Speaker:
Chairman Jay Clayton
|
Published date grouping:August 2019 | Date: | Title: Statement on Retirement of Lynnette Kelly |
Speaker:
Rebecca Olsen, Director, Office of Municipal Securities |
Published date grouping:July 2019 | Date: | Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:July 2019 | Date: | Title: Remarks at Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:July 2019 | Date: | Title: Remarks to the SEC Investor Advisory Committee |
Speaker:
Commissioner Allison Herren Lee
|
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
|
Published date grouping:July 2019 | Date: | Title: Statement on Opportunity Zones |
Speaker:
Chairman Jay Clayton
|
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] |
Published date grouping:July 2019 | Date: | Title: Statement on Retirement of Chief Justice Strine |
Speaker:
Chairman Jay Clayton
|
Published date grouping:July 2019 | Date: | Title: Statement on the Retirement of Chief Justice Strine |
Speaker:
Commissioner Robert J. Jackson Jr.
|
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 |
Published date grouping:July 2019 | Date: | Title: Statement on Margin for Security Futures |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Published date grouping:July 2019 | Date: | Title: Statement Regarding Offers of Settlement |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2019 | Date: | Title: Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2019 | Date: | Title: Statement on Commencement of Appointment Process for the 2019-2024 PCAOB Board Seat |
Speaker:
|
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
|
Published date grouping:June 2019 | Date: | Title: Statement on Senate Confirmation of Allison H. Lee |
Speaker:
Chairman Jay Clayton |
Published date grouping:June 2019 | Date: | Title: Statement on Division of Trading and Markets Staff Fee Guidance |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2019 | Date: | Title: Exchanging Views on Exchange-Traded Funds |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:June 2019 | Date: | Title: Remarks at “Veterans Hall” Dedication on the 75th Anniversary of D-Day |
Speaker:
Chairman Jay Clayton
|
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
|
Published date grouping:June 2019 | Date: | Title: Statement at the Open Meeting on Regulation Best Interest and Related Actions |
Speaker:
Commissioner Hester M. Peirce
|
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
|
Published date grouping:June 2019 | Date: | Title: Statement on Final Rules Governing Investment Advice |
Speaker:
Commissioner Robert J. Jackson Jr.
|
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 |
Published date grouping:May 2019 | Date: | Title: Remarks at the SEC’s FinTech Forum |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:May 2019 | Date: | Title: Statement on Memorial Day |
Speaker:
Chairman Jay Clayton
|
Published date grouping:May 2019 | Date: | Title: Remarks at SEC Memorial Day Ceremony |
Speaker:
Chairman Jay Clayton
|
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
|
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
|
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.
|
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
|
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
|
Published date grouping:May 2019 | Date: | Title: Statement on Financial Disclosures about Acquired and Disposed Businesses |
Speaker:
Commissioner Robert J. Jackson Jr.
|
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
|
Published date grouping:April 2019 | Date: | Title: Statement on Departure of FDA Commissioner Dr. Scott Gottlieb |
Speaker:
Chairman Jay Clayton
|
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 |
Published date grouping:April 2019 | Date: | Title: Remarks at the 29th International Institute for Securities Market Growth and Development |
Speaker:
Chairman Jay Clayton
|
Published date grouping:March 2019 | Date: | Title: Remarks at Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:March 2019 | Date: | Title: Remarks at the March 2019 Investor Advisory Committee Meeting |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:March 2019 | Date: | Title: Statement on Final Rules Implementing FAST Act |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Published date grouping:February 2019 | Date: | Title: Statement on Shareholder Proposals Seeking to Require Mandatory Arbitration Bylaw Provisions |
Speaker:
Chairman Jay Clayton
|
Published date grouping:February 2019 | Date: | Title: Remarks on Telephone Call with Investor Advisory Committee Members |
Speaker:
Chairman Jay Clayton
|
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] |
Published date grouping:January 2019 | Date: | Title: Statement Regarding Recommencement of Normal Operations |
Speaker:
Chairman Jay Clayton
|
Published date grouping:January 2019 | Date: | Title: Statement on EDGAR Hacking Enforcement Action |
Speaker:
Chairman Jay Clayton
|
Published date grouping:December 2018 | Date: | Title: Statement at Open Meeting and Thank You to Kara Stein |
Speaker:
Chairman Jay Clayton
|
Published date grouping:December 2018 | Date: | Title: Statement at Open Meeting on Proposed Rule 12d1-4 under the Investment Company Act of 1940 Governing Fund of Funds Arrangements |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:December 2018 | Date: | Title: Statement on Proposed Rule Regarding Risk Mitigation Techniques for Uncleared Security-Based Swaps |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:December 2018 | Date: | Title: Statement on Rule 194, Applications By Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:December 2018 | Date: | Title: Final Rules Regarding Disqualified Actors in the Security-Based Swaps Market |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Published date grouping:December 2018 | Date: | Title: Statement on the Commission’s Consideration of the Public Company Accounting Oversight Board’s Proposed 2019 Budget and Accounting Support Fee |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:December 2018 | Date: | Title: 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
|
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 |
Published date grouping:December 2018 | Date: | Title: Remarks at Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:December 2018 | Date: | Title: Remarks at the SEC’s Investor Advisory Committee Meeting |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:December 2018 | Date: | Title: Remarks to the Annual Government-Business Forum on Small Business Capital Formation in Columbus, Ohio |
Speaker:
Chairman Jay Clayton
|
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 |
Published date grouping:December 2018 | Date: | Title: Remarks at the SEC’s Municipal Securities Conference |
Speaker:
Chairman Jay Clayton
|
Published date grouping:December 2018 | Date: | Title: Opening Remarks at 2018 Municipal Securities Disclosure Conference |
Speaker:
Rebecca Olsen, Director, Office of Municipal Securities |
Published date grouping:December 2018 | Date: | Title: Remarks at The Road Ahead: Municipal Securities Disclosure in an Evolving Market Conference |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:December 2018 | Date: | Title: Commission Statement on Passing of President George H.W. Bush |
Speaker:
Chairman Jay Clayton |
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 |
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 |
Published date grouping:November 2018 | Date: | Title: Statement at the SEC Staff Roundtable on the Proxy Process |
Speaker:
Chairman Jay Clayton
|
Published date grouping:November 2018 | Date: | Title: Opening Remarks at the 2018 SEC Staff Roundtable on the Proxy Process |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:November 2018 | Date: | Title: Statement at Proxy Process Roundtable |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:November 2018 | Date: | Title: Remarks at Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:November 2018 | Date: | Title: Statement on Enhancing Order Handling Disclosures |
Speaker:
Brett Redfearn, Director, Division of Trading and Markets |
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
|
Published date grouping:October 2018 | Date: | Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee |
Speaker:
Chairman Jay Clayton
|
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 |
Published date grouping:October 2018 | Date: | Title: Statement at the Roundtable on Market Data and Market Access |
Speaker:
Commissioner Elad L. Roisman
|
Published date grouping:October 2018 | Date: | Title: Remarks at Roundtable on Market Data and Market Access |
Speaker:
Chairman Jay Clayton
|
Published date grouping:October 2018 | Date: | Title: Statement on Market Data Fees and Market Structure |
Speaker:
Chairman Jay Clayton[1] |
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 |
Published date grouping:October 2018 | Date: | Title: Statement at Open Meeting |
Speaker:
Chairman Jay Clayton
|
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.
|
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
|
Published date grouping:October 2018 | Date: | Title: Statement on Commission Action Regarding Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping: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
|
Published date grouping:September 2018 | Date: | Title: Statement Regarding Agreed Settlements With Elon Musk and Tesla |
Speaker:
Chairman Jay Clayton
|
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
|
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 |
Published date grouping:September 2018 | Date: | Title: Statement on Shareholder Voting |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Published date grouping:September 2018 | Date: | Title: Remarks at Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:September 2018 | Date: | Title: Statement Regarding Staff Proxy Advisory Letters |
Speaker:
Investment Management |
Published date grouping:September 2018 | Date: | Title: Statement Regarding SEC Staff Views |
Speaker:
Chairman Jay Clayton
|
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 |
Published date grouping:September 2018 | Date: | Title: Statement on Senate Confirmation of Elad L. Roisman |
Speaker:
Chairman Jay Clayton |
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 |
Published date grouping:August 2018 | Date: | Title: Statement on Investor Roundtables Regarding Standards of Conduct for Investment Professionals Rulemaking |
Speaker:
Chairman Jay Clayton
|
Published date grouping:August 2018 | Date: | Title: Statement on Investing in America for the Long Term |
Speaker:
Chairman Jay Clayton
|
Published date grouping:July 2018 | Date: | Title: Statement Regarding Treasury's Report on Nonbank Financials, Fintech, and Innovation |
Speaker:
Chairman Jay Clayton
|
Published date grouping:July 2018 | Date: | Title: Statement Announcing SEC Staff Roundtable on the Proxy Process |
Speaker:
Chairman Jay Clayton
|
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
|
Published date grouping:July 2018 | Date: | Title: Statement on Proposed Amendments to the Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize A Registrant’s Securities (Rule 3-10 and Rule 3-16 of Regulation S-X) |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:July 2018 | Date: | Title: Statement at Open Meeting |
Speaker:
Chairman Jay Clayton
|
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.
|
Published date grouping:July 2018 | Date: | Title: Statement at Open Meeting on NMS Stock Alternative Trading Systems |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:July 2018 | Date: | Title: Statement on Amendment to Securities Act Rule 701(e) and Concept Release on Potential Revisions to Securities Act Rule 701 and Securities Act Form S-8 |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:July 2018 | Date: | Title: Statement on Adoption of Rules to Increase the Operational Transparency of Alternative Trading Systems (ATS) |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:July 2018 | Date: | Title: Statement at Open Meeting on Rule 701 Amendment and Concept Release |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:July 2018 | Date: | Title: Statement at Fixed Income Market Structure Advisory Committee Meeting |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Amendments to Smaller Reporting Company Definition |
Speaker:
Commissioner Hester M. Peirce |
Published date grouping:June 2018 | Date: | Title: Statement on Final Rule of Inline XBRL Filing of Tagged Data |
Speaker:
Commissioner Hester M. Peirce |
Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Exchange-Traded Funds |
Speaker:
Commissioner Hester M. Peirce |
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
|
Published date grouping:June 2018 | Date: | Title: Statement on Final Rules Regarding Smaller Reporting Companies |
Speaker:
Commissioner Robert J. Jackson, Jr. |
Published date grouping:June 2018 | Date: | Title: Statement on Proposed Rules Regarding SEC Whistleblower Program |
Speaker:
Commissioner Robert J. Jackson, Jr. |
Published date grouping:June 2018 | Date: | Title: Statement on Investment Company Liquidity Disclosure |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Published date grouping:June 2018 | Date: | Title: Statement on Proposed Amendments to the Commission’s Whistleblower Program Rules |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on the Proposed Rule 6c-11 under the Investment Company Act of 1940 Governing Exchange-Traded Funds |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:June 2018 | Date: | Title: Statement on Adoption of Amendments to Investment Company Liquidity Disclosure |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:June 2018 | Date: | Title: Statement on Final Rule of Inline XBRL Filing of Tagged Data |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Investment Company Liquidity Disclosure Adopting Release |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Exchange-Traded Funds |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Investment Company Liquidity Disclosure |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2018 | Date: | Title: Opening Statement at Open Meeting |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Amendments to the Commission’s Whistleblower Program Rules |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Amendments to Smaller Reporting Company Definition |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Inline XBRL Filing of Tagged Data |
Speaker:
Chairman Jay Clayton |
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.
|
Published date grouping:June 2018 | Date: | Title: Statement on Amendments to Smaller Reporting Company Definition |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:June 2018 | Date: | Title: Statement of Commissioner Piwowar at Open Meeting Regarding Amendments to the Commission’s Whistleblower Program Rules |
Speaker:
Commissioner Michael S. Piwowar
|
Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Investment Company Liquidity Disclosure (Final Rule) |
Speaker:
Commissioner Michael S. Piwowar
|
Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Exchange-Traded Funds (Proposed Rule) |
Speaker:
Commissioner Michael S. Piwowar
|
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
|
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
|
Published date grouping:June 2018 | Date: | Title: Statement on Retirement of Justice Kennedy |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2018 | Date: | Title: Remarks at Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2018 | Date: | Title: Remarks at the SEC’s Investor Advisory Committee Meeting |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:June 2018 | Date: | Title: Statement on Investment Company Disclosure |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Published date grouping:June 2018 | Date: | Title: Opening Remarks to the Elder Justice Coordinating Council |
Speaker:
Chairman Jay Clayton
|
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
|
Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Amendments to the Volcker Rule |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:June 2018 | Date: | Title: Statement on Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:June 2018 | Date: | Title: Proposed Amendments to the Volcker Rule |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Published date grouping:June 2018 | Date: | Title: Statement on Investment Company Design, Delivery and Disclosures Rulemaking Package |
Speaker:
Chairman Jay Clayton
|
Published date grouping:June 2018 | Date: | Title: Optional Internet Availability of Investment Company Shareholder Reports |
Speaker:
Commissioner Hester M. Peirce
|
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
|
Published date grouping:June 2018 | Date: | Title: Statement on Final Rule on the Optional Internet Availability of Investment Company Shareholder Reports, Request for Comment on the Investor Experience, and Request for Comment on Intermediary Fees |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:May 2018 | Date: | Title: Statement on NASAA’s Announcement of Enforcement Sweep Targeting Fraudulent ICOs and Crypto-asset Investment Products |
Speaker:
Chairman Jay Clayton
|
Published date grouping:May 2018 | Date: | Title: Statement on Commissioner Michael S. Piwowar |
Speaker:
Chairman Jay Clayton
|
Published date grouping:May 2018 | Date: | Title: Statement of Commissioner Michael S. Piwowar |
Speaker:
Commissioner Michael S. Piwowar
|
Published date grouping:April 2018 | Date: | Title: Statement on Public Engagement Regarding Standards of Conduct for Investment Professionals Rulemaking |
Speaker:
Chairman Jay Clayton
|
Published date grouping:April 2018 | Date: | Title: Overview of the Standards of Conduct for Investment Professionals Rulemaking Package |
Speaker:
Chairman Jay Clayton
|
Published date grouping:April 2018 | Date: | Title: Statement at the Open Meeting on Standards of Conduct for Investment Professionals |
Speaker:
Chairman Jay Clayton
|
Published date grouping:April 2018 | Date: | Title: Statement on Proposals Relating to Regulation Best Interest, Form CRS, Restrictions on the Use of Certain Names or Titles, and Commission Interpretation Regarding the Standard of Conduct for Investment Advisers |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:April 2018 | Date: | Title: Statement 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
|
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.
|
Published date grouping:April 2018 | Date: | Title: Statement at the Open Meeting on Standards of Conduct for Investment Professionals |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:April 2018 | Date: | Title: Letter of Commissioners Piwowar and Peirce on Regulation A Offering Amount Limitation |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:April 2018 | Date: | Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:April 2018 | Date: | Title: Statement on Passing of Enforcement Division Associate Director Scott W. Friestad |
Speaker:
|
Published date grouping:March 2018 | Date: | Title: Statement at Open Meeting on the Proposed Transaction Fee Pilot for NMS Stocks |
Speaker:
Chairman Jay Clayton
|
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
|
Published date grouping:March 2018 | Date: | Title: Statement at Open Meeting on Investment Company Liquidity Disclosure |
Speaker:
Commissioner Michael S. Piwowar
|
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
|
Published date grouping:March 2018 | Date: | Title: Statement on the Proposed Transaction Fee Pilot for NMS Stocks |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:March 2018 | Date: | Title: Statement on Proposed Amendments to Public Reporting of Fund Liquidity Information |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:March 2018 | Date: | Title: Statement on the Proposed Transaction Fee Pilot for NMS Stocks |
Speaker:
Commissioner Robert J. Jackson, Jr. |
Published date grouping:March 2018 | Date: | Title: Statement on Proposed Amendments to Public Reporting of Fund Liquidity Information |
Speaker:
Commissioner Robert J. Jackson, Jr. |
Published date grouping:March 2018 | Date: | Title: Statement at Open Meeting on Transaction Fee Pilot Proposal |
Speaker:
Commissioner Hester M. Peirce
|
Published date grouping:March 2018 | Date: | Title: Statement on Proposed Amendments to Public Reporting of Fund Liquidity Information |
Speaker:
Commissioner Hester M. Peirce |
Published date grouping:March 2018 | Date: | Title: Remarks at Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:March 2018 | Date: | Title: Remarks at the SEC’s Investor Advisory Committee Meeting |
Speaker:
Commissioner Kara M. Stein
|
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 |
Published date grouping:February 2018 | Date: | Title: Statement on Cybersecurity Interpretive Guidance |
Speaker:
Chairman Jay Clayton
|
Published date grouping:February 2018 | Date: | Title: Statement on Commission Statement and Guidance on Public Company Cybersecurity Disclosures |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Published date grouping:February 2018 | Date: | Title: Statement on Commission Statement and Guidance on Public Company Cybersecurity Disclosures |
Speaker:
Commissioner Kara M. Stein
|
Published date grouping:February 2018 | Date: | Title: Joint Statement: Thank You Jacob "Jake" Stillman |
Speaker:
Chairman Jay Clayton |
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 |
Published date grouping:January 2018 | Date: | Title: Statement on Charges Against Former KPMG and PCAOB Personnel |
Speaker:
Chairman Jay Clayton |
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 |
Published date grouping:January 2018 | Date: | Title: Remarks at the Inaugural Meeting of the Fixed Income Market Structure Advisory Committee |
Speaker:
Chairman Jay Clayton
|
Published date grouping:January 2018 | Date: | Title: Remarks to the Fixed Income Market Structure Advisory Committee |
Speaker:
Commissioner Kara M. Stein
|
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
|
Published date grouping:January 2018 | Date: | Title: Statement on NASAA’s Message to Investors about ICOs |
Speaker:
Chairman Jay Clayton |
Published date grouping:January 2018 | Date: | Title: Statement on PCAOB Board Member Changes |
Speaker:
Chairman Jay Clayton |
Published date grouping:December 2017 | Date: | Title: Statement on Senate Confirmation of Hester Peirce and Robert J. Jackson, Jr. |
Speaker:
Chairman Jay Clayton |
Published date grouping:December 2017 | Date: | Title: Statement on the Tax Cuts and Jobs Act |
Speaker:
Chairman Jay Clayton |
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, SEC Division of Enforcement |
Published date grouping:December 2017 | Date: | Title: Statement on Appointment of New PCAOB Board Members |
Speaker:
Chairman Jay Clayton
|
Published date grouping:December 2017 | Date: | Title: Statement on Cryptocurrencies and Initial Coin Offerings |
Speaker:
Chairman Jay Clayton
|
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, SEC Division of Enforcement |
Published date grouping:December 2017 | Date: | Title: Remarks to the SEC Investor Advisory Committee |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:November 2017 | Date: | Title: Remarks at the Annual Government-Business Forum on Small Business Capital Formation |
Speaker:
Chairman Jay Clayton
|
Published date grouping:November 2017 | Date: | Title: 2017 Government–Business Forum on Small Business Capital Formation Opening Remarks |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:November 2017 | Date: | Title: Remarks to the SEC Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:November 2017 | Date: | Title: Statement on Status of the Consolidated Audit Trail |
Speaker:
Chairman Jay Clayton |
Published date grouping:November 2017 | Date: | Title: Statement on Passing of Former SEC Commissioner Isaac Hunt |
Speaker:
Chairman Jay Clayton |
Published date grouping:November 2017 | Date: | Title: SEC Statement Urging Caution Around Celebrity Backed ICOs |
Speaker:
SEC Division of Enforcement and |
Published date grouping:October 2017 | Date: | Title: Statement on the Staff’s No-Action Relief Regarding MiFID II |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:October 2017 | Date: | Title: Statement on SEC Approval of the PCAOB’s New Auditor’s Reporting Standard |
Speaker:
Chairman Jay Clayton
|
Published date grouping:October 2017 | Date: | Title: Statement on PCAOB’s New Auditor’s Reporting Standard |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:October 2017 | Date: | Title: Statement on Adoption of Auditor’s Reporting Model |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:October 2017 | Date: | Title: Remarks to the SEC Investor Advisory Committee |
Speaker:
Chairman Jay Clayton |
Published date grouping:October 2017 | Date: | Title: Remarks at the SEC’s Investor Advisory Committee Meeting |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:October 2017 | Date: | Title: Statement at Open Meeting: Proposal to Modernize and Simplify Disclosure Requirements |
Speaker:
Chairman Jay Clayton |
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 |
Published date grouping:October 2017 | Date: | Title: Statement on Proposal of FAST Act Modernization and Simplification of Regulation S-K |
Speaker:
Commissioner Kara M. Stein |
Published date grouping: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 |
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
|
Published date grouping:September 2017 | Date: | Title: Statement on Cybersecurity |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:September 2017 | Date: | Title: Statement on Cybersecurity |
Speaker:
Chairman Jay Clayton
|
Published date grouping:September 2017 | Date: | Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:September 2017 | Date: | Title: Remarks at Meeting of the Advisory Committee on Small and Emerging Companies |
Speaker:
Chairman Jay Clayton
|
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 |
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
|
Published date grouping:August 2017 | Date: | Title: Commission Statement on Passing of Former SEC Chairman Harold M. Williams |
Speaker:
Chairman Jay Clayton |
Published date grouping:July 2017 | Date: | Title: Remarks at the National Compliance Outreach Program for Broker-Dealers |
Speaker:
Chairman Jay Clayton
|
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 |
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 |
Published date grouping:June 2017 | Date: | Title: Remarks at Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
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
|
Published date grouping:May 2017 | Date: | Title: Statement on Leon Cooperman Settling Insider Trading Charges |
Speaker:
Stephanie Avakian, Acting Enforcement Division Director |
Published date grouping:May 2017 | Date: | Title: Remarks at Meeting of the Advisory Committee on Small and Emerging Companies |
Speaker:
Chairman Jay Clayton
|
Published date grouping:May 2017 | Date: | Title: Remarks Before the SEC Advisory Committee on Small and Emerging Companies |
Speaker:
Commissioner Kara Stein |
Published date grouping:April 2017 | Date: | Title: Statement of Acting Chairman Piwowar on the Court of Appeals Decision on the Conflict Minerals Rule |
Speaker:
Acting Chairman Michael S. Piwowar |
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 |
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 |
Published date grouping:April 2017 | Date: | Title: Remarks at the Meeting of the Equity Market Structure Advisory Committee |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:March 2017 | Date: | Title: Statement at Open Meeting: Amendment to Shorten the Trade Settlement Cycle |
Speaker:
Acting Chairman Michael S. Piwowar |
Published date grouping:March 2017 | Date: | Title: Statement at Open Meeting: Amendment to Shorten the Trade Settlement Cycle |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:March 2017 | Date: | Title: Remarks at Office of the Investor Advocate’s Evidence Summit |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:March 2017 | Date: | Title: Remarks to the SEC Investor Advisory Committee |
Speaker:
Acting Chairman Michael S. Piwowar |
Published date grouping:March 2017 | Date: | Title: Remarks at the SEC’s Investor Advisory Committee Meeting |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:March 2017 | Date: | Title: Opening Statement on Proposed Amendment to Rule 15c2-12 |
Speaker:
Acting Chairman Michael S. Piwowar |
Published date grouping:March 2017 | Date: | Title: Opening Statement on Inline XBRL Filing of Tagged Data |
Speaker:
Acting Chairman Michael S. Piwowar
|
Published date grouping:March 2017 | Date: | Title: Opening Statement on Hyperlinks and HTML Adopting Release |
Speaker:
Acting Chairman Michael S. Piwowar |
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 |
Published date grouping:March 2017 | Date: | Title: Statement at Open Meeting: Proposed Amendments to Exchange Act Rule 15c2-12 |
Speaker:
Commissioner Kara M. Stein U.S. Securities and Exchange Commission |
Published date grouping:March 2017 | Date: | Title: Statement at Open Meeting: Exhibit Hyperlinks and HTML Format |
Speaker:
Commissioner Kara M. Stein U.S. Securities and Exchange Commission |
Published date grouping:March 2017 | Date: | Title: Statement at Open Meeting: Inline XBRL Filing of Tagged Data |
Speaker:
Commissioner Kara M. Stein U.S. Securities and Exchange Commission |
Published date grouping:March 2017 | Date: | Title: Statement at Open Meeting: Request for Comment on Possible Changes to Industry Guide 3 |
Speaker:
Commissioner Kara M. Stein U.S. Securities and Exchange Commission |
Published date grouping:February 2017 | Date: | Title: SEC-NYU Dialogue on Securities Market Regulation: U.S. Securities-Based Crowdfunding - Welcoming Remarks |
Speaker:
Acting Chairman Michael Piwowar |
Published date grouping:February 2017 | Date: | Title: SEC-NYU Dialogue on Securities Market Regulation: U.S. Securities-Based Crowdfunding - Closing Remarks |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:February 2017 | Date: | Title: Commission Statement Regarding Decision in Bartko v. SEC |
Speaker:
The Commission |
Published date grouping:February 2017 | Date: | Title: Statement on Jury's Verdict in Trial of Christopher J. Hall |
Speaker:
Stephanie Avakian |
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 |
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 |
Published date grouping:February 2017 | Date: | Title: Remarks of Commissioner Kara Stein before the SEC Advisory Committee on Small and Emerging Companies |
Speaker:
Commissioner Kara Stein |
Published date grouping:February 2017 | Date: | Title: Reconsideration of Pay Ratio Rule Implementation |
Speaker:
Acting Chairman Michael S. Piwowar |
Published date grouping:January 2017 | Date: | Title: Reconsideration of Conflict Minerals Rule Implementation |
Speaker:
Acting Chairman Michael S. Piwowar |
Published date grouping:January 2017 | Date: | Title: A U.S. Imperative: High-Quality, Globally Accepted Accounting Standards |
Speaker:
Chair Mary Jo White |
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 |
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 |
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 |
Published date grouping:November 2016 | Date: | Title: Opening Remarks at the Equity Market Structure Advisory Committee Meeting |
Speaker:
Chair Mary Jo White |
Published date grouping:November 2016 | Date: | Title: Opening Remarks to the Government-Business Forum on Small Business Capital Formation |
Speaker:
Chair Mary Jo White |
Published date grouping:November 2016 | Date: | Title: Opening Remarks to the Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:November 2016 | Date: | Title: Opening Remarks to the Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:November 2016 | Date: | Title: Statement on the Work of the Financial Stability Oversight Council’s Hedge Fund Working Group |
Speaker:
Chair Mary Jo White |
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 |
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 |
Published date grouping:November 2016 | Date: | Title: Statement at Open Meeting: Order Approving the Consolidated Audit Trail National Market System Plan |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:November 2016 | Date: | Title: Statement on Jury’s Verdict in Insider Trading Case Against Pharmaceutical Executive and Friend |
Speaker:
Andrew Ceresney
|
Published date grouping:November 2016 | Date: | Title: Opening Remarks at the Fintech Forum |
Speaker:
Chair Mary Jo White |
Published date grouping:November 2016 | Date: | Title: Statement at Financial Technology Forum |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:October 2016 | Date: | Title: Remarks at the PCAOB Investor Advisory Group Meeting |
Speaker:
Chair Mary Jo White |
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 |
Published date grouping:October 2016 | Date: | Title: Statement at Open Meeting: Universal Proxy System |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:October 2016 | Date: | Title: Statement at Open Meeting: Exemptions to Facilitate Intrastate and Regional Securities Offerings |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:October 2016 | Date: | Title: Dissenting Statement at Open Meeting: Universal Proxy System |
Speaker:
Commissioner Michael S. Piwowar |
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 |
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 |
Published date grouping:October 2016 | Date: | Title: Statement at Open Meeting: Adoption of Open-End Fund Liquidity Risk Management Programs and Swing Pricing |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:October 2016 | Date: | Title: Statement at Open Meeting: Adoption of Investment Company Reporting Modernization |
Speaker:
Commissioner Kara M. Stein |
Published date grouping: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 |
Published date grouping:October 2016 | Date: | Title: Remarks before the SEC Advisory Committee on Small and Emerging Companies |
Speaker:
Chair Mary Jo White |
Published date grouping:September 2016 | Date: | Title: Statement at Open Meeting: Covered Clearing Agencies and Shortening the Settlement Cycle |
Speaker:
Chair Mary Jo White |
Published date grouping:September 2016 | Date: | Title: Statement on the Proposed Rule Amendment to Shorten the Transaction Settlement Cycle |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:September 2016 | Date: | Title: Statement at Open Meeting: Shortening the Settlement Cycle |
Speaker:
Commissioner Michael S. Piwowar |
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 |
Published date grouping:September 2016 | Date: | Title: Statement at Open Meeting: Adoption of Rule on Standards for Covered Clearing Agencies and Proposal on Amendments to Related Definitions |
Speaker:
Commissioner Kara M. Stein |
Published date grouping: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 |
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
|
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 |
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 |
Published date grouping:August 2016 | Date: | Title: Opening Remarks at the Equity Market Structure Advisory Committee Meeting |
Speaker:
Chair Mary Jo White |
Published date grouping:August 2016 | Date: | Title: Remarks at the Equity Market Structure Advisory Committee Meeting |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:July 2016 | Date: | Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies |
Speaker:
Chair Mary Jo White |
Published date grouping:July 2016 | Date: | Title: Opening Remarks to the Investor Advisory Committee |
Speaker:
Chair Mary Jo White |
Published date grouping:July 2016 | Date: | Title: Statement at Meeting of the Investor Advisory Committee |
Speaker:
Commissioner Michael S. Piwowar |
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 |
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 |
Published date grouping:July 2016 | Date: | Title: Statement at Open Meeting on Disclosure of Order Handling Information |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:July 2016 | Date: | Title: Statement at Open Meeting on Disclosure Update and Simplification |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:July 2016 | Date: | Title: Statement on Adoption of Rule on Reporting and Dissemination of Security-Based Swap Information |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:July 2016 | Date: | Title: Statement on Amendments to Disclosure of Order Handling Information |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:July 2016 | Date: | Title: Statement on the Disclosure Update and Simplification Proposing Release |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:July 2016 | Date: | Title: Statement Regarding the Delay in Proposing to Shorten the Trade Settlement Cycle |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:July 2016 | Date: | Title: Statement on Passing of Former SEC Commissioner Irving M. Pollack |
Speaker:
Chair Mary Jo White |
Published date grouping:June 2016 | Date: | Title: Statement from Chair Mary Jo White on U.S. Equity Markets |
Speaker:
Chair Mary Jo White |
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
|
Published date grouping:June 2016 | Date: | Title: Opening Remarks at the Investor Advisory Committee Meeting |
Speaker:
Chair Mary Jo White
|
Published date grouping:June 2016 | Date: | Title: Remarks at the Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Michael S. Piwowar |
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 |
Published date grouping:May 2016 | Date: | Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies |
Speaker:
Chair Mary Jo White
|
Published date grouping:May 2016 | Date: | Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:May 2016 | Date: | Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:April 2016 | Date: | Title: SEC Enforcement Director Statement on Jury Finding That CEO Defrauded Investors |
Speaker:
Andrew Ceresney |
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 |
Published date grouping:April 2016 | Date: | Title: Statement at an Open Meeting on a Notice of the Consolidated Audit Trail National Market System Plan |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:April 2016 | Date: | Title: Statement at an Open Meeting on a Notice of the Consolidated Audit Trail National Market System Plan |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:April 2016 | Date: | Title: Opening Remarks at the Equity Market Structure Advisory Committee Meeting |
Speaker:
Chair Mary Jo White |
Published date grouping:April 2016 | Date: | Title: Opening Remarks at the Equity Market Structure Advisory Committee Meeting |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:April 2016 | Date: | Title: Opening Remarks at the Equity Market Structure Advisory Committee Meeting |
Speaker:
Commissioner Michael S. Piwowar |
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 |
Published date grouping:April 2016 | Date: | Title: Statement on Financial Stability Oversight Council’s Review of Asset Management Products and Activities |
Speaker:
Chair Mary Jo White
|
Published date grouping:April 2016 | Date: | Title: Remarks to the Investor Advisory Committee |
Speaker:
Chair Mary Jo White |
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 |
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 |
Published date grouping:April 2016 | Date: | Title: Statement at Open Meeting on a Concept Release on the Business and Financial Disclosure Required by Regulation S-K |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:April 2016 | Date: | Title: Statement at Open Meeting on Adoption of External Business Conduct Rule for Security-Based Swap Dealers and Major Security-Based Swap Participants |
Speaker:
Commissioner Kara M. Stein |
Published date grouping: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 |
Published date grouping:April 2016 | Date: | Title: Remarks at the International Institute for Securities Market Growth and Development |
Speaker:
Chair Mary Jo White |
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 |
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 |
Published date grouping:March 2016 | Date: | Title: Opening Remarks at Open Meeting to Consider PCAOB Proposed Budget and Accounting Support Fee for 2016 |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:March 2016 | Date: | Title: Statement on Jury’s Verdict in Trial of Daryl Payton and Benjamin Durant |
Speaker:
Andrew Ceresney
Director, Division of Enforcement
|
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 |
Published date grouping:February 2016 | Date: | Title: Opening Remarks of Commissioner Kara M. Stein before the SEC Advisory Committee on Small and Emerging Companies |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:February 2016 | Date: | Title: Statement at Open Meeting on Final Rules Regarding Application of Title VII Dealer De Minimis Requirements to Security-Based Swap Dealing Activity in the United States |
Speaker:
Chair Mary Jo White |
Published date grouping:February 2016 | Date: | Title: Statement at Open Meeting on Final Rules Regarding Application of Title VII Dealer De Minimis Requirements to Security-Based Swap Dealing Activity in the United States |
Speaker:
Commissioner Kara M. Stein |
Published date grouping: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 |
Published date grouping:February 2016 | Date: | Title: Opening Remarks to the Equity Market Structure Advisory Committee Meeting |
Speaker:
Chair Mary Jo White |
Published date grouping:February 2016 | Date: | Title: Opening Remarks to the Equity Market Structure Advisory Committee Meeting |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:January 2016 | Date: | Title: Opening Remarks to the Investor Advisory Committee |
Speaker:
Chair Mary Jo White |
Published date grouping:January 2016 | Date: | Title: Opening Remarks to the Investor Advisory Committee |
Speaker:
Commissioner Michael S. Piwowar |
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* |
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 [*] |
Published date grouping:December 2015 | Date: | Title: Statement In The Matter Of JPMorgan Chase Bank, N.A., Regarding Order Under 506(d) Of The Securities Act Of 1933 Granting A Waiver Of The Rule 506(d)(1)(iii) Disqualification Provision |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:December 2015 | Date: | Title: 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] |
Published date grouping:December 2015 | Date: | Title: Statement at Open Meeting |
Speaker:
Chair Mary Jo White |
Published date grouping:December 2015 | Date: | Title: Statement on Proposed Disclosure of Payments by Resource Extraction Issuers |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:December 2015 | Date: | Title: Statement on Use of Derivatives by Registered Investment Companies and Business Development Companies |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:December 2015 | Date: | Title: Dissenting Statement at Open Meeting on Resource Extraction |
Speaker:
Commissioner Michael S. Piwowar |
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:
|
Published date grouping:December 2015 | Date: | Title: Statement at Open Meeting regarding Disclosure of Payments by Resource Extraction Issuers |
Speaker:
Commissioner Luis A. Aguilar |
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 |
Published date grouping:December 2015 | Date: | Title: Statement Regarding Repeal of Indemnification Requirement |
Speaker:
Commissioner Michael S. Piwowar |
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] |
Published date grouping:November 2015 | Date: | Title: Opening Remarks to the Government-Business Forum on Small Business Capital Formation |
Speaker:
Chair Mary Jo White |
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] |
Published date grouping:November 2015 | Date: | Title: Statement to the Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:November 2015 | Date: | Title: Statement to the Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:November 2015 | Date: | Title: Statement at Open Meeting on Regulation of NMS Stock Alternative Trading Systems |
Speaker:
Chair Mary Jo White |
Published date grouping:November 2015 | Date: | Title: Statement at Open Meeting on Regulation of NMS Stock Alternative Trading Systems |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:November 2015 | Date: | Title: Statement at Open Meeting on Regulation of NMS Stock Alternative Trading Systems |
Speaker:
|
Published date grouping:November 2015 | Date: | Title: Statement at Open Meeting on Regulation of NMS Stock Alternative Trading Systems |
Speaker:
Commissioner Kara M. Stein |
Published date grouping: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] |
Published date grouping:November 2015 | Date: | Title: Statement on Departure from the SEC |
Speaker:
Commissioner Luis A. Aguilar |
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 |
Published date grouping:October 2015 | Date: | Title: Statement on the Retirement of FINRA Chairman and CEO Richard Ketchum |
Speaker:
Chair Mary Jo White |
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 |
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 |
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 |
Published date grouping:October 2015 | Date: | Title: Statement at Open Meeting on Regulation Crowdfunding |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:October 2015 | Date: | Title: Statement at Open Meeting on Securities Act Rules 147 and 504 |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:October 2015 | Date: | Title: Opening Remarks at the October 2015 Meeting of the Equity Market Structure Advisory Committee |
Speaker:
Chair Mary Jo White |
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
|
Published date grouping:October 2015 | Date: | Title: Remarks at the SEC Equity Market Structure Advisory Committee Meeting |
Speaker:
Commissioner Michael S. Piwowar |
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* |
Published date grouping:October 2015 | Date: | Title: Statement of Investor Advocate Rick A. Fleming Regarding His First Official Recommendation to the Securities and Exchange Commission |
Speaker:
Rick A. Fleming, Investor Advocate |
Published date grouping:October 2015 | Date: | Title: How Can the Markets Best Adapt to the Rapid Growth of ETFs |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:October 2015 | Date: | Title: Opening Remarks to the Investor Advisory Committee |
Speaker:
Chair Mary Jo White |
Published date grouping:October 2015 | Date: | Title: Commission Statement Regarding Decision in Koch v. SEC |
Speaker:
The Commission |
Published date grouping:October 2015 | Date: | Title: Statement of Commissioner Daniel M. Gallagher on His Departure from the SEC |
Speaker:
Commissioner Daniel M. Gallagher |
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 |
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 |
Published date grouping:September 2015 | Date: | Title: Statement Regarding Security-Based Swap Rules |
Speaker:
Commissioner Daniel M. Gallagher and Commissioner Michael S. Piwowar |
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 |
Published date grouping:September 2015 | Date: | Title: Statement on New Rulemaking Website |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission* |
Published date grouping:September 2015 | Date: | Title: Announcement of New Rulemaking Database |
Speaker:
Chair Mary Jo White |
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 |
Published date grouping:September 2015 | Date: | Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies |
Speaker:
Chair Mary Jo White |
Published date grouping:September 2015 | Date: | Title: Opening Remarks before the SEC Advisory Committee on Small and Emerging Companies |
Speaker:
Commissioner Daniel M. Gallagher |
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* |
Published date grouping:September 2015 | Date: | Title: Statement on Open-End Fund Liquidity Risk Management Programs and Swing Pricing |
Speaker:
Chair Mary Jo White |
Published date grouping:September 2015 | Date: | Title: Statement on Open-End Fund Liquidity Risk Management Programs and Swing Pricing |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:September 2015 | Date: | Title: Statement on Open-End Fund Liquidity Risk Management Programs and Swing Pricing |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:September 2015 | Date: | Title: Statement on Open-End Fund Liquidity Risk Management Programs and Swing Pricing |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:September 2015 | Date: | Title: Statement on Open-End Fund Liquidity Risk Management Programs and Swing Pricing |
Speaker:
Commissioner Kara M. Stein |
Published date grouping: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 |
Published date grouping:September 2015 | Date: | Title: Finishing the Work of Regulating Security-Based Derivatives |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:September 2015 | Date: | Title: Statement of Commissioner Daniel M. Gallagher |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:August 2015 | Date: | Title: Enhancing the Commission’s Waiver Process |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission[*] |
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 |
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 |
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[*] |
Published date grouping:August 2015 | Date: | Title: Additional Dissenting Comments on Pay Ratio Disclosure |
Speaker:
Commissioner Michael S. Piwowar |
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 |
Published date grouping:August 2015 | Date: | Title: Statement at Open Meeting on Pay Ratio Disclosure |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:August 2015 | Date: | Title: Dissenting Statement at Open Meeting on Pay Ratio Disclosure |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:August 2015 | Date: | Title: Dissenting Statement at Open Meeting on Pay Ratio Disclosure |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:August 2015 | Date: | Title: Statement at Open Meeting on Pay Ratio Disclosure |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:August 2015 | Date: | Title: Statement at Open Meeting on Registration Requirements for SBS Entities |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:August 2015 | Date: | Title: Statement at Open Meeting on Registration Requirements for SBS Entities |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:August 2015 | Date: | Title: Statement at Open Meeting on Registration Requirements for SBS Entities |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:August 2015 | Date: | Title: Statement at Open Meeting on Registration Requirements for SBS Entities |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:July 2015 | Date: | Title: Statement on Decision of the D.C. Circuit on Retroactive Collateral Bars |
Speaker:
Commissioner Daniel M. Gallagher and Commissioner Michael S. Piwowar |
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 |
Published date grouping:July 2015 | Date: | Title: Statement on the Anniversary of the Dodd-Frank Act |
Speaker:
Chair Mary Jo White |
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] |
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]
|
Published date grouping:July 2015 | Date: | Title: Statement on NYSE |
Speaker:
Chair Mary Jo White |
Published date grouping:July 2015 | Date: | Title: Statement at an Open Meeting on Dodd-Frank Act “Clawback” Provision |
Speaker:
Chair Mary Jo White |
Published date grouping:July 2015 | Date: | Title: Statement at an Open Meeting on Dodd-Frank Act “Clawback” Provision |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:July 2015 | Date: | Title: Dissenting Statement at an Open Meeting On Dodd-Frank Act “Clawback” Provision |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:July 2015 | Date: | Title: Dissenting Statement at an Open Meeting on Dodd-Frank Act “Clawback” Provision |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:July 2015 | Date: | Title: Statement at an Open Meeting on Dodd-Frank Act “Clawback” Provision |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:June 2015 | Date: | Title: The Role of Chief Compliance Officers Must be Supported |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission[*] |
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 |
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 |
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 |
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[*] |
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[*] |
Published date grouping:June 2015 | Date: | Title: Crazy Quilt Chart of Regulation |
Speaker:
Commissioner Daniel M. Gallagher |
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 |
Published date grouping:May 2015 | Date: | Title: Dissenting Statement Regarding Certain Waivers Granted by the Commission for Certain Entities Pleading Guilty to Criminal Charges Involving Manipulation of Foreign Exchange Rates |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:May 2015 | Date: | Title: Remarks at the 2015 SEC Memorial Day Tribute and Presentation of the John P. Wheeler, III, Veterans Charity Award |
Speaker:
Chair Mary Jo White |
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 |
Published date grouping:May 2015 | Date: | Title: Statement at an Open Meeting on Investment Company and Investment Adviser Reporting |
Speaker:
Chair Mary Jo White |
Published date grouping:May 2015 | Date: | Title: Statement at an Open Meeting on Investment Company and Investment Adviser Reporting |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:May 2015 | Date: | Title: Statement at an Open Meeting on Investment Company and Investment Adviser Reporting |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:May 2015 | Date: | Title: Statement at an Open Meeting on Investment Company and Investment Adviser Reporting |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:May 2015 | Date: | Title: Statement at an Open Meeting on Investment Company and Investment Adviser Reporting |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:May 2015 | Date: |
Title: Optimizing Our Equity Market Structure Opening Remarks at the Inaugural Meeting of the Equity Market Structure Advisory Committee |
Speaker:
Chair Mary Jo White |
Published date grouping:May 2015 | Date: | Title: Remarks at the Inaugural SEC Equity Market Structure Advisory Committee Meeting |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:May 2015 | Date: | Title: Remarks at the Inaugural SEC Equity Market Structure Advisory Committee Meeting |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:May 2015 | Date: | Title: Remarks at the Inaugural Meeting of the Equity Market Structure Advisory Committee |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:May 2015 | Date: | Title: Remarks at the Inaugural Meeting of the Equity Market Structure Advisory Committee |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission[1] |
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] |
Published date grouping:May 2015 | Date: | Title: Dissenting Statement in the Matter of Deutsche Bank AG, Regarding WKSI |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:April 2015 | Date: | Title: Statement at an Open Meeting on Cross-Border Security-Based Swap Rules Regarding Activity in the United States and Pay Versus Performance Disclosures |
Speaker:
Chair Mary Jo White |
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 |
Published date grouping:April 2015 | Date: | Title: Statement at an Open Meeting on Pay Versus Performance Disclosures |
Speaker:
Commissioner Luis A. Aguilar |
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 |
Published date grouping:April 2015 | Date: | Title: Dissenting Statement at an Open Meeting on Pay Versus Performance Disclosures |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:April 2015 | Date: | Title: Statement at an Open Meeting on Cross-Border Security-Based Swap Rules Regarding Activity in the United States |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:April 2015 | Date: | Title: Statement at an Open Meeting on Pay Versus Performance Disclosures |
Speaker:
Commissioner Kara M. Stein |
Published date grouping: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 |
Published date grouping:April 2015 | Date: | Title: Dissenting Statement at an Open Meeting on Pay Versus Performance Disclosures |
Speaker:
Commissioner Michael S. Piwowar
|
Published date grouping:April 2015 | Date: | Title: Opening Remarks to the Investor Advisory Committee |
Speaker:
Chair Mary Jo White |
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 |
Published date grouping:March 2015 | Date: | Title: Statement at Open Meeting on Rule 15b9-1 and Reg A+ |
Speaker:
Chair Mary Jo White |
Published date grouping:March 2015 | Date: | Title: Statement at Open Meeting on Rule 15b9-1 |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:March 2015 | Date: | Title: Statement at Open Meeting on Reg A+ |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:March 2015 | Date: | Title: Statement at Open Meeting on Rule 15b9-1 |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:March 2015 | Date: | Title: Statement at Open Meeting on Rule 15b9-1 |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:March 2015 | Date: | Title: Statement at Open Meeting on Reg A+ |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:March 2015 | Date: | Title: Statement at Open Meeting on Rule 15b9-1 |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:March 2015 | Date: | Title: Statement at Open Meeting on Reg A+ |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:March 2015 | Date: | Title: Statement at Open Meeting on Reg A+ |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:March 2015 | Date: | Title: Statement on Jury Verdict in Willie Gault/Heart Tronics Case |
Speaker:
Andrew Ceresney Director, Division of Enforcement |
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* |
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 |
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 |
Published date grouping:March 2015 | Date: | Title: Statement on the Aggregate Impact of Financial Services Regulations |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:February 2015 | Date: | Title: Dissenting Statement Regarding the Commission’s Order Approving a Proposed Rule Change to Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares® Commodities Trust I |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:February 2015 | Date: | Title: Opening Statement at the Proxy Voting Roundtable |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:February 2015 | Date: | Title: Ensuring the Proxy Process Works for Shareholders |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:February 2015 | Date: | Title: Ensuring that Shareholders Have a Meaningful, Effective Vote |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:February 2015 | Date: | Title: Statement on Making the Municipal Securities Market More Transparent, Liquid, and Fair |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission* |
Published date grouping:February 2015 | Date: | Title: Statement on Passing of Former SEC Commissioner Harvey J. Goldschmid |
Speaker:
Chair Mary Jo White |
Published date grouping:February 2015 | Date: | Title: Investor Advisory Committee Opening Remarks |
Speaker:
Chair Mary Jo White |
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 |
Published date grouping:February 2015 | Date: | Title: Aligning the Interests of Company Executives and Directors with Shareholders |
Speaker:
Commissioner Luis A. Aguilar |
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 |
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 |
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 |
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 |
Published date grouping:February 2015 | Date: | Title: Statement on the Commission’s Consideration of the Public Company Accounting Oversight Board’s Proposed 2015 Budget and Accounting Support Fee |
Speaker:
Commissioner Kara M. Stein |
Published date grouping: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 |
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 |
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] |
Published date grouping:February 2015 | Date: | Title: Statement on Proposed SEC Budget for FY 2016 |
Speaker:
Chair Mary Jo White |
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
|
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 |
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 |
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 |
Published date grouping:January 2015 | Date: | Title: Statement at Open Meeting Concerning Rules Regarding Security-Based Swap Data Repositories and Regulation SBSR |
Speaker:
Commissioner Kara M. Stein |
Published date grouping: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 |
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* |
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 |
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* |
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 |
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
|
Published date grouping:December 2014 | Date: | Title: Statement on Court’s Final Judgment in Case Against Life Partners Holdings, Brian Pardo, and R. Scott Peden |
Speaker:
Andrew Ceresney Director, Division of Enforcement |
Published date grouping:November 2014 | Date: | Title: Opening Remarks to the Government-Business Forum on Small Business Capital Formation |
Speaker:
Chair Mary Jo White |
Published date grouping:November 2014 | Date: | Title: Opening Remarks to the Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:November 2014 | Date: | Title: Opening Remarks to the Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:November 2014 | Date: | Title: Statement to the SEC Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:November 2014 | Date: | Title: Opening Remarks to the 2014 Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:November 2014 | Date: | Title: Statement at Open Meeting on Regulation SCI |
Speaker:
Chair Mary Jo White |
Published date grouping:November 2014 | Date: | Title: Statement at Open Meeting on Regulation SCI |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:November 2014 | Date: | Title: Statement at Open Meeting on Regulation SCI |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:November 2014 | Date: | Title: Statement at Open Meeting on Regulation SCI |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:November 2014 | Date: | Title: Statement at Open Meeting on Regulation SCI |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:November 2014 | Date: | Title: Statement on Receiving the Fordham-Stein Prize |
Speaker:
Chair Mary Jo White |
Published date grouping:November 2014 | Date: | Title: Statement on Jury Verdict in Case Against Charles Kokesh |
Speaker:
Andrew Ceresney Director, SEC Division of Enforcement |
Published date grouping:October 2014 | Date: | Title: Statement on Passing of Former SEC Chairman Rod Hills |
Speaker:
Chair Mary Jo White |
Published date grouping:October 2014 | Date: | Title: Statement at the SEC Open Meeting on Credit Risk Retention |
Speaker:
Chair Mary Jo White |
Published date grouping:October 2014 | Date: | Title: Dissenting Statement at the SEC Open Meeting on Credit Risk Retention |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:October 2014 | Date: | Title: Dissenting Statement at the SEC Open Meeting on Credit Risk Retention |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:October 2014 | Date: | Title: Statement at the SEC Open Meeting on Credit Risk Retention |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:October 2014 | Date: | Title: Statement at the SEC Open Meeting on Credit Risk Retention |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:October 2014 | Date: | Title: Opening Remarks at Investor Advisory Committee |
Speaker:
Chair Mary Jo White |
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 |
Published date grouping:August 2014 | Date: | Title: Statement on Credit Rating Agencies at SEC Open Meeting |
Speaker:
Chair Mary Jo White |
Published date grouping:August 2014 | Date: | Title: Statement on Credit Rating Agencies at SEC Open Meeting |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:August 2014 | Date: | Title: Dissenting Statement on Credit Rating Agencies at SEC Open Meeting |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:August 2014 | Date: | Title: Statement on Credit Rating Agencies at SEC Open Meeting |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:August 2014 | Date: | Title: Dissenting Statement on Credit Rating Agencies at SEC Open Meeting |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:August 2014 | Date: | Title: Statement on Asset-Backed Securities at SEC Open Meeting |
Speaker:
Chair Mary Jo White |
Published date grouping:August 2014 | Date: | Title: Statement on Asset-Backed Securities at SEC Open Meeting |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:August 2014 | Date: | Title: Statement on Asset-Backed Securities at SEC Open Meeting |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:August 2014 | Date: | Title: Statement on Asset-Backed Securities at SEC Open Meeting |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:August 2014 | Date: | Title: Statement on Asset-Backed Securities at SEC Open Meeting |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:August 2014 | Date: | Title: Statement on Favorable Jury Verdict Against Investment Adviser |
Speaker:
Andrew Ceresney Director, SEC Division of Enforcement
|
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 |
Published date grouping:August 2014 | Date: | Title: Statement on the Matter of John W. Lawton |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:July 2014 | Date: | Title: Statement at SEC Open Meeting on Money Market Fund Reform |
Speaker:
Chair Mary Jo White |
Published date grouping:July 2014 | Date: | Title: Statement at SEC Open Meeting on Money Market Fund Reform |
Speaker:
Commissioner Daniel Gallagher |
Published date grouping:July 2014 | Date: | Title: Statement at SEC Open Meeting On Money Market Fund Reform |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:July 2014 | Date: | Title: Dissenting Statement at SEC Open Meeting On Money Market Fund Reform |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:July 2014 | Date: | Title: Statement at SEC Open Meeting on Money Market Fund Reform |
Speaker:
Commissioner Luis Aguilar
|
Published date grouping:July 2014 | Date: | Title: Statement on the Anniversary of the Dodd-Frank Act |
Speaker:
Chair Mary Jo White |
Published date grouping:July 2014 | Date: | Title: Opening Statement at Investor Advisory Committee Meeting |
Speaker:
Chair Mary Jo White |
Published date grouping:July 2014 | Date: | Title: Opening Statement at Investor Advisory Committee Meeting |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:June 2014 | Date: | Title: Statement at Open Meeting on Cross-Border Security-Based Swap Rules |
Speaker:
Chair Mary Jo White |
Published date grouping:June 2014 | Date: | Title: Statement at Open Meeting on Cross-Border Security-Based Swap Rules |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:June 2014 | Date: | Title: Statement at Open Meeting on Cross-Border Security-Based Swap Rules |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:June 2014 | Date: | Title: Statement at Open Meeting on Cross-Border Security-Based Swap Rules |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:June 2014 | Date: | Title: Statement at Open Meeting on Cross-Border Security-Based Swap Rules |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:June 2014 | Date: | Title: Statement on 2nd Circuit Decision |
Speaker:
Andrew Ceresney |
Published date grouping:May 2014 | Date: | Title: Comment Letter on the OFR Asset Management and Financial Stability Report |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:May 2014 | Date: | Title: Statement on Jury’s Verdict in Case Against the Wylys: |
Speaker:
Andrew Ceresney |
Published date grouping:April 2014 | Date: | Title: Statement of the Division of Corporation Finance on the Conflict Minerals Decision |
Speaker:
Keith F. Higgins
|
Published date grouping:April 2014 | Date: | Title: Statement on WKSI Waivers |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:April 2014 | Date: | Title: Dissenting Statement in the Matter of The Royal Bank of Scotland Group, plc, Regarding Order Under Rule 405 of the Securities Act of 1933, Granting a Waiver From Being an Ineligible Issuer |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:April 2014 | Date: | Title: Joint Statement on the Conflict Minerals Decision |
Speaker:
Commissioners Daniel M. Gallagher and Michael S. Piwowar |
Published date grouping:March 2014 | Date: | Title: Opening Statement at SEC Roundtable on Cybersecurity |
Speaker:
Chair Mary Jo White |
Published date grouping:March 2014 | Date: | Title: Statement at SEC Roundtable on Cybersecurity |
Speaker:
Commissioner Luis A. Aguilar |
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 |
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 |
Published date grouping:March 2014 | Date: | Title: Statement at Open Meeting on Rules for Systemically Important and Security-Based Swap Clearing Agencies |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:March 2014 | Date: | Title: Statement at Open Meeting on Rules for Systemically Important and Security-Based Swap Clearing Agencies |
Speaker:
Commissioner Daniel M. Gallagher |
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 |
Published date grouping:March 2014 | Date: | Title: Statement on Judge's Ruling on Sanctions for Fabrice Tourre |
Speaker:
Andrew Ceresney |
Published date grouping:March 2014 | Date: | Title: Statement on Jury Verdict in Insider Trading Case |
Speaker:
Andrew Ceresney |
Published date grouping:March 2014 | Date: | Title: Statement on Proposed SEC Budget for Fiscal 2015 |
Speaker:
Chair Mary Jo White |
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 |
Published date grouping:February 2014 | Date: | Title: Statement on Court Filing by SEC to Protect Whistleblowers From Retaliation |
Speaker:
Sean McKessy |
Published date grouping:February 2014 | Date: | Title: Statement on Verdict in Jury Trial of Fund Manager Involved in Petters Ponzi Scheme |
Speaker:
Andrew Ceresney |
Published date grouping:February 2014 | Date: | Title: Statement at Open Meeting on 2014 PCAOB Budget and Accounting Support Fee |
Speaker:
Chair Mary Jo White |
Published date grouping:February 2014 | Date: | Title: Statement at Open Meeting on 2014 PCAOB Budget and Accounting Support Fee |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:February 2014 | Date: | Title: Statement at Open Meeting on 2014 PCAOB Budget and Accounting Support Fee |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:February 2014 | Date: | Title: Statement at Open Meeting on 2014 PCAOB Budget and Accounting Support Fee |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:February 2014 | Date: | Title: Statement at Open Meeting on 2014 PCAOB Budget and Accounting Support Fee |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:February 2014 | Date: | Title: Statement on Life Partners Verdict |
Speaker:
Andrew Ceresney |
Published date grouping:January 2014 | Date: | Title: Statement on Financial Accounting Foundation Announcement |
Speaker:
Chair Mary Jo White |
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 |
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] |
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
|
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 |
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 |
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 |
Published date grouping:December 2013 | Date: | Title: Promoting Investor Protection in Small Business Capital Formation |
Speaker:
Commissioner Luis A. Aguilar |
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 |
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 |
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 |
Published date grouping:December 2013 | Date: | Title: Dissenting Statement Regarding Adoption of Rule Implementing the Volcker Rule |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:December 2013 | Date: | Title: Statement Regarding Adoption of Rule Implementing the Volcker Rule |
Speaker:
Commissioner Kara M. Stein |
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 |
Published date grouping:December 2013 | Date: | Title: Adoption of the Volcker Rule |
Speaker:
Chair Mary Jo White |
Published date grouping:December 2013 | Date: | Title: Opening Statement at the Proxy Advisory Services Roundtable |
Speaker:
Chair Mary Jo White |
Published date grouping:December 2013 | Date: | Title: Opening Statement at the Proxy Advisory Services Roundtable |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:December 2013 | Date: | Title: Opening Statement at the Proxy Advisory Services Roundtable |
Speaker:
Commissioner Michael S. Piwowar |
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 |
Published date grouping:October 2013 | Date: | Title: Statement at Open Meeting on Proposal on Crowdfunding |
Speaker:
Chair Mary Jo White |
Published date grouping:October 2013 | Date: | Title: Statement at Open Meeting on Proposal on Crowdfunding |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:October 2013 | Date: | Title: Statement at Open Meeting on Proposal on Crowdfunding |
Speaker:
Commissioner Michael S. Piwowar |
Published date grouping:October 2013 | Date: | Title: Statement at Open Meeting on Proposal on Crowdfunding |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:October 2013 | Date: | Title: Statement at Open Meeting on Proposal on Crowdfunding |
Speaker:
Commissioner Kara M. Stein |
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 |
Published date grouping:September 2013 | Date: | Title: Statement on SEC Enforcement Action Against JPMorgan |
Speaker:
George Canellos |
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 |
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 |
Published date grouping:September 2013 | Date: | Title: Statement at Open Meeting on Pay Ratio Disclosures |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:September 2013 | Date: | Title: Statement at Open Meeting on Registration Rules for Municipal Advisors |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:September 2013 | Date: | Title: Statement at Open Meeting on Pay Ratio Disclosures |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:September 2013 | Date: | Title: Statement at Open Meeting on Registration Rules for Municipal Advisors |
Speaker:
Commissioner Kara M. Stein |
Published date grouping:September 2013 | Date: | Title: Statement at Open Meeting on Pay Ratio Disclosures |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:September 2013 | Date: | Title: Statement at Open Meeting on Registration Rules for Municipal Advisors |
Speaker:
Commissioner Luis A. Aguilar |
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* |
Published date grouping:August 2013 | Date: | Title: Statement on the Re-Proposal of Rules Related to Risk Retention |
Speaker:
Commissioner Kara M. Stein |
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 |
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 |
Published date grouping:August 2013 | Date: | Title: Statement on Nasdaq Trading Interruption |
Speaker:
Chair Mary Jo White |
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 |
Published date grouping:August 2013 | Date: | Title: Statement upon Departure from the Commission |
Speaker:
Commissioner Troy A. ParedesU.S. Securities and Exchange Commission
|
Published date grouping:August 2013 | Date: | Title: Statement on the Tourre Verdict |
Speaker:
Andrew CeresneyCo-Director of the SEC's Division of Enforcement |
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] |
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
|
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 |
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 |
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 |
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 |
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 |
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 |
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 |
Published date grouping:July 2013 | Date: | Title: Open Meeting Statement on General Solicitation for Rule 506 of Regulation D |
Speaker:
Commissioner Luis A. Aguilar |
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 |
Published date grouping:June 2013 | Date: | Title: Opening Statement at the SEC Open Meeting |
Speaker:
Chair Mary Jo White |
Published date grouping:June 2013 | Date: | Title: Statement at Open Meeting on Money Market Fund Reforms |
Speaker:
Commissioner Troy A. Paredes |
Published date grouping:June 2013 | Date: | Title: Statement at Open Meeting on Money Market Fund Reforms |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:June 2013 | Date: | Title: Statement at Open Meeting on Money Market Fund Reforms |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:June 2013 | Date: | Title: Statement at Open Meeting on Money Market Fund Reforms |
Speaker:
Commissioner Elisse B. Walter |
Published date grouping:May 2013 | Date: | Title: Statement Congratulating SEC Nominees |
Speaker:
Commissioner Troy A. ParedesU.S. Securities and Exchange Commission |
Published date grouping:May 2013 | Date: | Title: Opening Remarks at SEC Roundtable on Credit Ratings |
Speaker:
Chair Mary Jo White |
Published date grouping:May 2013 | Date: | Title: Opening Remarks at SEC Roundtable on Credit Ratings |
Speaker:
Commissioner Luis A. Aguilar |
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* |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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* |
Published date grouping:March 2013 | Date: | Title: Statement at Open Meeting on Rules to Improve Systems Compliance and Integrity |
Speaker:
Chairman Elisse Walter |
Published date grouping:March 2013 | Date: | Title: Statement at Open Meeting on Rules to Improve Systems Compliance and Integrity |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:March 2013 | Date: | Title: Statement at Open Meeting on Rules to Improve Systems Compliance and Integrity |
Speaker:
Commissioner Daniel M. Gallagher |
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* |
Published date grouping:February 2013 | Date: | Title: Statement at Open Meeting on 2013 PCAOB Budget and Accounting Support Fee |
Speaker:
Chairman Elisse Walter |
Published date grouping:February 2013 | Date: | Title: Statement at Open Meeting on 2013 PCAOB Budget and Accounting Support Fee |
Speaker:
Commissioner Luis A. Aguilar |
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 |
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 |
Published date grouping:January 2013 | Date: | Title: Opening Remarks at Investor Advisory Committee Meeting on Responding to Recommendations |
Speaker:
Chairman Elisse Walter |
Published date grouping:January 2013 | Date: | Title: Opening Remarks at Investor Advisory Committee Meeting on Responding to Recommendations |
Speaker:
Commissioner Luis A. Aguilar |
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 |
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 |
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 |
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 |
Published date grouping:October 2012 | Date: | Title: Speech by SEC Chairman: Remarks at 2012 New England Securities Conference |
Speaker:
Chairman Mary L. Schapiro |
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 |
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 |
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 |
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 |
Published date grouping:August 2012 | Date: | Title: Increasing the Vulnerability of Investors |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
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 |
Published date grouping:August 2012 | Date: | Title: Statement Regarding Money Market Funds |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Published date grouping:August 2012 | Date: | Title: Statement at Open Meeting on Rule for Disclosing Use of Conflict Minerals |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:August 2012 | Date: | Title: Statement at Open Meeting on Rule for Disclosing Use of Conflict Minerals |
Speaker:
Chairman Mary L. Schapiro |
Published date grouping:August 2012 | Date: | Title: Statement at Open Meeting on Rule for Disclosing Use of Conflict Minerals |
Speaker:
Commissioner Troy A. Paredes |
Published date grouping:August 2012 | Date: | Title: Statement at Open Meeting on Rule for Disclosing Use of Conflict Minerals |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:August 2012 | Date: | Title: Statement at Open Meeting on Rule for Disclosing Use of Conflict Minerals |
Speaker:
Commissioner Daniel M. Gallagher |
Published date grouping:August 2012 | Date: | Title: Statement at Open Meeting on Rule for Disclosing Use of Conflict Minerals |
Speaker:
Commissioner Elisse B. Walter |
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 |
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 |
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 |
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 |
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 |
Published date grouping:June 2012 | Date: | Title: Public Statement by Commissioner: Investor Voices Renewed: The New Investor Advisory Committee |
Speaker:
Commissioner Luis A. Aguilar |
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 |
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 |
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 |
Published date grouping:April 2012 | Date: | Title: Statement at Open Meeting on Rule Defining Swaps-Related Terms for Regulating Derivatives |
Speaker:
Commissioner Troy Paredes |
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 |
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 |
Published date grouping:April 2012 | Date: | Title: Statement at Open Meeting on Rule Defining Swaps-Related Terms for Regulating Derivatives |
Speaker:
Chairman Mary Schapiro |
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 |
Published date grouping:March 2012 | Date: | Title: Public Statement by SEC Staff: Commission Credits Individual Under Cooperation Initiative |
Speaker:
Robert KhuzamiDirector, Division of Enforcement
|
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 |
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 |
Published date grouping:January 2012 | Date: | Title: Statement at Open Meeting on 2012 PCAOB Budget and Accounting Support Fee |
Speaker:
Commissioner Luis A. Aguilar |
Published date grouping:January 2012 | Date: | Title: Statement at Open Meeting on 2012 PCAOB Budget and Accounting Support Fee |
Speaker:
Commissioner Daniel M. Gallagher |
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 |
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
|