Speeches and Statements
Speeches and statements (including testimony and video transcripts) given by the Chair, Commissioners, and SEC staff. To view these prior to 2012, refer to the archive pages:
Speeches and Statements Table
|
Published date grouping
|
Date
|
Title
|
Speaker
|
Type
|
|---|---|---|---|---|
| Published date grouping:April 2024 | Date: |
Title: Remarks at the 43rd Annual Small Business Forum Catching up with Small Caps: Lessons Learned from Going Public and Staying Public |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:April 2024 | Date: | Title: Earthquakes, Eclipses, and Enigmas: Remarks at the SEC’s 43nd Annual Small Business Forum – Catching up with Small Caps: Lessons learned going public and staying public |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2024 | Date: | Title: Remarks at the 43rd Annual Small Business Forum |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:April 2024 | Date: | Title: Prepared Remarks Before the 2024 43rd Annual Small Business Forum |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2024 | Date: | Title: AMPLIFYING VOICES: Opening Remarks at the SEC’s Small Business Forum |
Speaker:
Stacey Bowers, Director, Office of the Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:April 2024 | Date: | Title: Remarks at Program on Corporate Compliance and Enforcement Spring Conference 2024 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:April 2024 | Date: | Title: Pourquoi Pas? Securities Regulation and the American Dream: Remarks before the Association of Private Enterprise Education |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2024 | Date: | Title: Remarks at SEC Speaks 2024 |
Speaker:
Sanjay Wadhwa, Deputy Director, Division of Enforcement |
Type:Speech |
| Published date grouping:April 2024 | Date: | Title: Remarks at SEC Speaks 2024 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:April 2024 | Date: | Title: We Will Rock You: [1] The Small but Mighty Office of the Advocate for Small Business Capital Formation |
Speaker:
Stacey Bowers, Director, Office of the Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:April 2024 | Date: | Title: Remarks at SEC Speaks 2024 Division of Examinations Panel |
Speaker:
Richard Best, Director, Division of Examinations |
Type:Speech |
| Published date grouping:April 2024 | Date: | Title: “U.S. Capital Markets and the Public Good” Prepared Remarks before SEC Speaks |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2024 | Date: | Title: At the SEC: Nothing but Crickets Remarks at SEC Speaks |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2024 | Date: | Title: Remarks at the “SEC Speaks” Conference 2024 |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:March 2024 | Date: | Title: 2024 Roundtable on Retail Investors and Fraud Prevention Welcome Remarks |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:March 2024 | Date: | Title: Prepared Remarks before the SEC / NASAA / Georgia Secretary of State Joint Public Roundtable |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:March 2024 | Date: | Title: Remarks to the Investor Roundtable Co-Hosted by the SEC, NASAA, and Georgia Secretary of State |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:March 2024 | Date: | Title: “I’m with Roosevelt and Jack: Benefits of Mandatory Disclosure” Prepared Remarks before Columbia Law School Conference in Honor of John C. Coffee, Jr. |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:March 2024 | Date: | Title: Prepared Remarks before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:March 2024 | Date: | Title: Change: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:March 2024 | Date: | Title: Remarks to the Council of Institutional Investors – Dangers of the Unbounded Administrative State |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:March 2024 | Date: | Title: Prepared Remarks Before the 2024 SEC Investor Advocacy Clinic Summit |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:February 2024 | Date: | Title: Prepared Remarks before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:February 2024 | Date: | Title: Angels and IPOs: Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:February 2024 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:February 2024 | Date: | Title: Remarks at the Small Business Advisory Committee Meeting |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:February 2024 | Date: | Title: Remarks at Ohio State Law Journal Symposium 2024: ESG and Enforcement of the Federal Securities Laws |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:February 2024 | Date: |
Title: “AI, Finance, Movies, and the Law” Prepared Remarks before the Yale Law School |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:January 2024 | Date: | Title: “Time is Money. Time is Risk” Prepared Remarks before the European Commission |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:January 2024 | Date: | Title: Remarks at the 51st Annual Securities Regulation Institute |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:December 2023 | Date: | Title: Remarks before the Financial Stability Oversight Council: 2023 Annual Report |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:December 2023 | Date: | Title: Closing Remarks – Compliance Conference |
Speaker:
Dave Sanchez, Director, Office of Municipal Securities |
Type:Speech |
| Published date grouping:December 2023 | Date: | Title: Prepared Remarks before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:December 2023 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:December 2023 | Date: | Title: Remarks on Digital Engagement Practices, before the Investor Advisory Committee (IAC) |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:December 2023 | Date: | Title: “They Are Merely the Agents”: Prepared Remarks before the American Bar Association |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:December 2023 | Date: | Title: “Exorbitant Privilege: Responsibilities and Challenges”: Prepared Remarks before the Council on Foreign Relations |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2023 | Date: | Title: Prepared Remarks before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2023 | Date: | Title: Freedom: Remarks at Meeting of the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:November 2023 | Date: | Title: Remarks to Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:November 2023 | Date: | Title: Remarks Upon the 20th Anniversary of the Autorité des Marchés Financiers (AMF) |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2023 | Date: | Title: Remarks at the Harvard Law School Program on International Financial Systems, 2023 Japan – U.S. Symposium |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:November 2023 | Date: | Title: Private Equity: Past & Present, Charters & Code |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:November 2023 | Date: | Title: “Fall Feelings: Treasury Markets’ Efficiency and Resiliency” Remarks before SIFMA |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2023 | Date: | Title: Remarks at the Practising Law Institute’s 55th Annual Institute on Securities Regulation |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:November 2023 | Date: | Title: Remarks to the 2023 Conference on SEC Regulation Outside the United States: Fifth Annual Scott Friestad Memorial Lecture |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:November 2023 | Date: | Title: Remarks before the Financial Stability Oversight Council: Financial Stability Guidance Regarding Non-Bank Financial Company Designations |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2023 | Date: | Title: Remarks at the ALI – CLE 2023 Conference on Life Insurance Company Products |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:October 2023 | Date: | Title: “Partners of Honest Business and Prosecutors of Dishonesty”: Remarks Before the 2023 Securities Enforcement Forum |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:October 2023 | Date: | Title: Remarks at New York City Bar Association Compliance Institute |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:October 2023 | Date: | Title: Remarks at the NSCP National Conference |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:October 2023 | Date: |
Title: In-securities: What Happens When Investors in an Important Market are not Protected? Remarks to the Center for American Progress |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:September 2023 | Date: | Title: Prepared Remarks Before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:September 2023 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:September 2023 | Date: | Title: Remarks before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:September 2023 | Date: | Title: Remarks at the Meeting of SEC Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:September 2023 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:September 2023 | Date: | Title: Building on Our Trans-Atlantic Partnership to Strengthen Market Oversight: Remarks before Eurofi |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:September 2023 | Date: | Title: Ugh and Awe: Remarks before the IFC-Milken Institute’s Capital Markets Scholars Program |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:September 2023 | Date: | Title: Remarks to the 2023 NASAA Fall Annual Meeting – Modernizing Investor Protection for the Digital Age |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:July 2023 | Date: | Title: Remarks before the Financial Stability Oversight Council: LIBOR |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2023 | Date: | Title: Remarks before the Financial Stability Oversight Council: Climate Risk Disclosure |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2023 | Date: | Title: Remarks for the SEC / DFI / NASAA Joint Public Roundtable |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2023 | Date: | Title: Remarks at the SEC/DFI/NASAA Joint Public Roundtable |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:July 2023 | Date: | Title: “Isaac Newton to AI” Remarks before the National Press Club |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2023 | Date: | Title: Prepared Remarks before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2023 | Date: | Title: Remarks at Financial Times Cyber Resilience Summit |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:June 2023 | Date: | Title: Remarks at the Society for Corporate Governance 2023 National Conference |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:June 2023 | Date: | Title: Prepared Remarks before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2023 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:June 2023 | Date: | Title: Remarks at the Small Business Advisory Committee Meeting |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:June 2023 | Date: |
Title: “We’ve Seen This Story Before” Remarks before the Piper Sandler Global Exchange & Fintech Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: “Bear in the Woods” Remarks before the Investment Company Institute |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: Division of Investment Management: Conference on Emerging Trends in Asset Management Introduction |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: “Honest and Unbiased Investment Management”: Remarks before the Inaugural Conference on Emerging Trends in Asset Management |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2023 | Date: |
Title: Cybersecurity: Protecting Investors Remarks before the Digital Directors Network 2023 Conference |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: Commissioner Uyeda Remarks at MFA Global Summit |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: “Lessons from Mrs. O’Leary’s Cow:” Remarks before the Atlanta Federal Reserve Financial Markets Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: Remarks at ICAEW Event – World-Class Regulation: Building Trust and Transparency in International Markets |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: Keynote Address at the 21st Symposium on Building the Financial System of the 21st Century: An Agenda for Europe and the United States |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: Forests and Trees: Remarks before the 2023 Municipal Securities Disclosure Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: Remarks at the 2023 SEC Municipal Securities Disclosure Conference |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: The Next “Century of Progress": Remarks before the International Swaps and Derivatives Association Annual Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: Remarks before the Municipal Securities Disclosure Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: “Public Service is a Noble Pursuit, a Higher Calling:” Commencement Address, Lyndon B. Johnson School of Public Affairs, University of Texas, Austin |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: Prepared Remarks before the 10th Annual Conference on Financial Market Regulation |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: CFMR 2023 Keynote - Finance and the Unexpected (PDF) |
Speaker:
Jessica Wachter, Chief Economist and Director of the Division of Economic and Risk Analysis |
Type:Speech |
| Published date grouping:May 2023 | Date: | Title: “The ‘90s: Rom-coms, the Spice Girls, & MFA:” Remarks Before the Managed Funds Association |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2023 | Date: | Title: Tow Truck Taxonomies: Remarks before Eurofi |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2023 | Date: | Title: Remarks at the 42nd Annual Small Business Forum |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:April 2023 | Date: | Title: Capital On-Ramps: Remarks at the SEC’s 42nd Annual Small Business Forum – Exploring the Early-Stage Landscape: Trends and Strategies in Capital Raising |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2023 | Date: | Title: Prepared Remarks Before the 2023 42nd Annual Small Business Forum |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2023 | Date: | Title: Remarks before the Financial Stability Oversight Council Financial Stability Risks & Guidance on Nonbank Determinations |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2023 | Date: | Title: Strengthening Our Partnership with States and Other Jurisdictions to Protect Investors and Promote Market Integrity |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:April 2023 | Date: | Title: Escaping the Data Swamp: Remarks before the RegTech 2023 Data Summit |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:March 2023 | Date: |
Title: Fixed Income and Options: The Other Market Structures Remarks at the Fixed Income Forum Spring Roundtable |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:March 2023 | Date: | Title: Opening Remarks before the SEC 2023 Investor Advocacy Clinic |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:March 2023 | Date: | Title: Remarks at the ICI Investment Management Conference |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:March 2023 | Date: | Title: Remarks to Investment Company Institute 2023 Investment Management Conference |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:March 2023 | Date: | Title: Meeting the Challenges and Fulfilling The Promise of Global Financial Markets: Remarks before the Institute of International Bankers |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:March 2023 | Date: |
Title: Remarks at the “Going Public in the 2020s” Conference Columbia Law School/Business School Program in the Law and Economics of Capital Markets |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:March 2023 | Date: | Title: Prepared Remarks Before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:March 2023 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:March 2023 | Date: | Title: Remarks at the Meeting of the SEC Investor Advisory Committee (IAC) |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:February 2023 | Date: | Title: Prepared Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:February 2023 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:February 2023 | Date: | Title: Remarks at the Small Business Advisory Committee Meeting |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:January 2023 | Date: | Title: Big “Issues” in the Small Business Safe Harbor: Remarks at the 50th Annual Securities Regulation Institute |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:January 2023 | Date: | Title: Remarks at the California ‘40 Acts Group |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:January 2023 | Date: | Title: Outdated: Remarks before the Digital Assets at Duke Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:December 2022 | Date: | Title: Prepared Remarks Before the Financial Stability Oversight Council: LIBOR |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:December 2022 | Date: | Title: Prepared Remarks Before the Financial Stability Oversight Council: Annual Report |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:December 2022 | Date: | Title: Remarks Before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:December 2022 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:December 2022 | Date: | Title: It’s Not Just Scope 3: Remarks at the American Enterprise Institute |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:November 2022 | Date: | Title: Remarks at the ICI Global Asset Management Asia Forum |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:November 2022 | Date: | Title: Remarks at the 2022 Cato Summit on Financial Regulation |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:November 2022 | Date: | Title: Digital Assets: Putting Investors First |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:November 2022 | Date: | Title: “The Beatles and the Treasury Market”: Remarks Before the U.S. Treasury Market Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2022 | Date: | Title: Remarks at Securities Enforcement Forum |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:November 2022 | Date: | Title: There’s a Fund for That: Remarks before FINRA’s Certified Regulatory and Compliance Professional Dinner |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:November 2022 | Date: | Title: “Good Counsellors”: Remarks Before the Investment Adviser/Investment Company National Seminar: Compliance Outreach Program |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2022 | Date: | Title: 2022 SEC Regulation Outside the United States - Scott Friestad Memorial Keynote Address |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:November 2022 | Date: | Title: “This Law and Its Effective Administration”: Remarks Before the Practising Law Institute’s 54th Annual Institute on Securities Regulation |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:October 2022 | Date: | Title: Remarks at the Georgetown Law Hotel and Lodging Summit |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:October 2022 | Date: | Title: “Competition and the Two SECs” Remarks Before the SIFMA Annual Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:October 2022 | Date: | Title: Moving Forward in Our Lane: Remarks at the Inaugural ECGI Responsible Capitalism Summit |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:October 2022 | Date: | Title: Remarks at the APABA-DC Awards and Installation Reception |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:October 2022 | Date: | Title: Meeting Investor Demand for High Quality ESG Data |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:October 2022 | Date: | Title: Raising the Bar on Diversity, Equity and Inclusion |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:October 2022 | Date: | Title: Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:October 2022 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:October 2022 | Date: | Title: Statement on Financial Stability Oversight Council’s Report on Digital Asset Financial Stability Risks and Regulation Before the Financial Stability Oversight Council Open Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:September 2022 | Date: | Title: Remarks at the Association of Asian American Investment Managers Elevate 2022 Keynote Lunch Program |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:September 2022 | Date: | Title: Remarks to the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:September 2022 | Date: | Title: Opening Remarks to the Institute for Inclusion in the Legal Profession |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:September 2022 | Date: | Title: Remarks at SEC Speaks |
Speaker:
Sanjay Wadhwa, Deputy Director of Enforcement |
Type:Speech |
| Published date grouping:September 2022 | Date: | Title: Remarks at the “SEC Speaks” Conference 2022 |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:September 2022 | Date: | Title: Remarks at SEC Speaks 2022 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:September 2022 | Date: | Title: Federal Securities Laws: Closed-Book or Open-Book Exam? - Remarks at SEC Speaks 2022 |
Speaker:
Sebastian Gomez Abero, Deputy Director, Office of the Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:September 2022 | Date: | Title: Prepared Remarks of Gary Gensler “Kennedy and Crypto” At SEC Speaks |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:August 2022 | Date: | Title: Prepared Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:August 2022 | Date: | Title: Remarks to the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Mark T. Uyeda
|
Type:Speech |
| Published date grouping:August 2022 | Date: | Title: Remarks at the Small Business Capital Formation Advisory Committee Meeting: Shining a Spotlight (or Searchlight) on Secondary Market Liquidity for Small Businesses |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:August 2022 | Date: | Title: Remarks at the Small Business Advisory Committee Meeting |
Speaker:
Commissioner Jaime Lizárraga
|
Type:Speech |
| Published date grouping:July 2022 | Date: | Title: Remarks at Financial Stability Oversight Council Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2022 | Date: | Title: Prepared Remarks at Center for Audit Quality “Sarbanes-Oxley at 20: The Work Ahead” |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2022 | Date: | Title: Remarks at PLI: Investment Management 2022 |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:June 2022 | Date: |
Title: On the Spot: Remarks at “Regulatory Transparency Project Conference on Regulating the New Crypto Ecosystem: Necessary Regulation or Crippling Future Innovation?” |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:June 2022 | Date: | Title: Remarks at Meeting of the SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:June 2022 | Date: | Title: Remarks Before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2022 | Date: | Title: “Market Structure and the Retail Investor:” Remarks Before the Piper Sandler Global Exchange Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2022 | Date: | Title: Resolving the Lack of Audit Transparency in China and Hong Kong: Remarks at the International Council of Securities Associations (ICSA) Annual General Meeting |
Speaker:
YJ Fischer, Director, Office of International Affairs |
Type:Speech |
| Published date grouping:May 2022 | Date: | Title: “Investor Protection in a Digital Age," Remarks Before the 2022 NASAA Spring Meeting & Public Policy Symposium |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2022 | Date: | Title: Remarks at Securities Enforcement Forum West 2022 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:May 2022 | Date: | Title: “A ‘New’ New Era:” Prepared Remarks Before the International Swaps and Derivatives Association Annual Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2022 | Date: | Title: Remarks at SEC Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:May 2022 | Date: | Title: Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2022 | Date: | Title: Prepared Remarks Before the Annual Conference on Financial Market Regulation - "A Century with a Gold Standard" |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Remarks at Virtual Roundtable on the Future of Going Public and Expanding Investor Opportunities: A Comparative Discussion on IPOs and the Rise of SPACs |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Closing Remarks to the Older Investor Roundtable |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Remarks before the Older Investor Roundtable |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: “The Name’s Bond:" Remarks at City Week |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Remarks Before the Reuters Events’ Responsible Business USA 2022 |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Grading the Regulators and Homework for the Teachers: Remarks at Symposium on Private Firms: Reporting, Financing, and the Aggregate Economy at the University of Chicago Booth School of Business |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: "Working On ‘Team Cyber’" - Remarks Before the Joint Meeting of the Financial and Banking Information Infrastructure Committee (FBIIC) and the Financial Services Sector Coordinating Council (FSSCC) |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: “Building Upon a Long Tradition” - Remarks before the Ceres Investor Briefing |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Remarks at 2022 Small Business Forum |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2022 | Date: |
Title: Prepared Remarks of Gary Gensler On Crypto Markets Penn Law Capital Markets Association Annual Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Rethinking Capital Raising Policy: Opening Remarks at the SEC’s Small Business Forum |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Prepared Remarks Before the 2022 41st Annual Small Business Forum |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2022 | Date: | Title: Is that a Fish Behind the Wheel? Remarks before the University of Central Florida’s Inaugural FinTech Summit |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:March 2022 | Date: | Title: Prepared Remarks Before the 2022 SEC Investor Advocacy Clinic Summit |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:March 2022 | Date: | Title: Statement on the Proposal to Enhance Investor Protections in SPACs |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:March 2022 | Date: | Title: Remarks at the ICI Investment Management Conference |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:March 2022 | Date: | Title: Prepared Remarks before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:March 2022 | Date: | Title: The Shareholder Proposal Rule: A Cornerstone of Corporate Democracy |
Speaker:
Renee Jones , Former Director, Division of Corporation Finance |
Type:Speech |
| Published date grouping:March 2022 | Date: | Title: Send Lawyers, Guns and Money: (Over-) Zealous Representation by Corporate Lawyers |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:March 2022 | Date: | Title: Remarks at the IAA Investment Adviser Compliance Conference |
Speaker:
William Birdthistle, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:February 2022 | Date: | Title: Audit Regulators and Cliff Hangers |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:February 2022 | Date: | Title: Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:February 2022 | Date: | Title: Statement before the Financial Stability Oversight Council on Money Market Funds, Open-End Bond Funds, and Hedge Funds |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:January 2022 | Date: | Title: Remarks on Cybersecurity and Securities Laws at the Northwestern University Pritzker School of Law |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:January 2022 | Date: | Title: Prepared Remarks: “Dynamic Regulation for a Dynamic Society” Before the Exchequer Club of Washington, D.C. |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:December 2021 | Date: | Title: Statements at the Financial Stability Oversight Council Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:December 2021 | Date: | Title: Virtual Remarks at the Center for American Progress and Sierra Club: Down the Rabbit Hole of Climate Pledges |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:December 2021 | Date: | Title: Remarks Before the Healthy Markets Association Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:December 2021 | Date: | Title: Remarks before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Prepared Remarks at U.S. Treasury Market Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Remarks at the PepsiCo-PwC CPE Conference: Controlling Internal Controls |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Prepared Remarks at the Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: The Lessons of Structured Data |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Prepared Remarks At the Institutional Limited Partners Association Summit |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Remarks at Interagency Convening on Equitable Economic Growth |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: 2021 SEC Regulation Outside the United States - Scott Friestad Memorial Keynote Address |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Prepared Remarks At the Securities Enforcement Forum |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2021 | Date: |
Title: A Call to Action: Recommendations for Complying with Reg BI Remarks at the ALI CLE 2021 Conference on Life Insurance Company Products |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Remarks Before the Asset Management Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:November 2021 | Date: | Title: Prepared Remarks Before the SIFMA Annual Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Cybersecurity: Meeting the Emerging Challenge |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Inside Chicken: Remarks before Fordham Journal of Corporate and Financial Law Conference: “Here to Stay: Wrestling with the Future of the Quickly Maturing SPAC Market” |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Statement Before the Financial Stability Oversight Council |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Prepared Remarks At DC Fintech Week |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Remarks at the PRI/LSEG Investor Action on Climate Webinar |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Enhancing Equity Market Competition |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Banner Year in the Markets Solves Capital Raising Woes: Headline Clickbait and the Real Story of Access to Capital |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Investor Protection in the Age of Gamification: Game Over for Regulation Best Interest? |
Speaker:
Rick Fleming, Investor Advocate |
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Remarks at SEC Speaks 2021 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Digital Asset Securities – Common Goals and a Bridge to Better Outcomes |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Going Dark: The Growth of Private Markets and the Impact on Investors and the Economy |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Remarks at SEC Speaks |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Prepared Remarks at SEC Speaks |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: Lawless in Austin |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:October 2021 | Date: | Title: PLI Broker/Dealer Regulation and Enforcement 2021 |
Speaker:
Gurbir S. Grewal, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:September 2021 | Date: | Title: Prepared Remarks Before The Future of Asset Management North America Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:September 2021 | Date: | Title: Prepared Remarks Before the Small Business Capital Formation Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:September 2021 | Date: | Title: Prepared Remarks Before the Asset Management Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:September 2021 | Date: | Title: Assessing the Unknown |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:September 2021 | Date: | Title: Remarks Before the Alternative Reference Rates Committee’s SOFR Symposium |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:September 2021 | Date: | Title: Prepared Remarks Before the Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:September 2021 | Date: | Title: Remarks before the European Parliament Committee on Economic and Monetary Affairs |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:August 2021 | Date: | Title: Remarks Before the Aspen Security Forum |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2021 | Date: | Title: Prepared Remarks for National Whistleblower Day Celebration |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2021 | Date: | Title: Prepared Remarks Before the Principles for Responsible Investment “Climate and Global Financial Markets” Webinar |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2021 | Date: | Title: Prosperity’s Door |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:July 2021 | Date: | Title: Prepared Remarks of Gary Gensler, Chair of the Securities and Exchange Commission, Before the American Bar Association Derivatives and Futures Law Committee Virtual Mid-Year Program |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:July 2021 | Date: | Title: Chocolate-Covered Cicadas |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:July 2021 | Date: | Title: Prepared Remarks Before the Asset Management Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Climate, ESG, and the Board of Directors: “You Cannot Direct the Wind, But You Can Adjust Your Sails” |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Prepared remarks at London City Week |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Can the SEC Make ESG Rules that are Sustainable? |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Prepared Remarks Before the Financial Stability Oversight Council - LIBOR |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Prepared Remarks Before the Financial Stability Oversight Council - Money Market Funds |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Prepared Remarks at the Meeting of SEC Investor Advisory Committee |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Prepared Remarks at the Global Exchange and FinTech Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Remarks at CFO Network Summit |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:June 2021 | Date: | Title: Putting the Electric Cart before the Horse:[1] Addressing Inevitable Costs of a New ESG Disclosure Regime |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:May 2021 | Date: | Title: Remarks Before Eighth Annual Conference on Financial Market Regulation |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2021 | Date: | Title: Living in a Material World: Myths and Misconceptions about “Materiality” |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:May 2021 | Date: | Title: Leveraging Regulatory Cooperation to Protect America’s Investors |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:May 2021 | Date: | Title: Remarks at 2021 FINRA Annual Conference |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:May 2021 | Date: | Title: Mind the (Data) Gaps |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:April 2021 | Date: | Title: Prepared Remarks at SEC Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Chair Gary Gensler
|
Type:Speech |
| Published date grouping:April 2021 | Date: |
Title: Werewolves of Change: Remarks before the ISDA Derivatives Trading Forum on Regulatory Change |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:March 2021 | Date: | Title: Statement at the Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:March 2021 | Date: | Title: Every Vote Counts: The Importance of Fund Voting and Disclosure |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:March 2021 | Date: | Title: Paper, Plastic, Peer-to-Peer |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:March 2021 | Date: | Title: A Climate for Change: Meeting Investor Demand for Climate and ESG Information at the SEC |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:March 2021 | Date: | Title: Moving Forward Together – Enforcement for Everyone |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:March 2021 | Date: | Title: Small World |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:February 2021 | Date: | Title: Atomic Trading |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:January 2021 | Date: | Title: Remarks at the Meeting of the Small Business Capital Formation Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks to The Federalist Society’s Capital Conversations: A Teleforum Series |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Statement on OCA’s Focus on High-Quality Financial Reporting During an Unusual Year and a Discussion of our Upcoming Priorities |
Speaker:
Sagar Teotia, Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Kevin Cherrstrom, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Geoff Griffin, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Jeffery Joseph, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Sheena Lam, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Jeffrey Nick, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Jillian Pearce, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2020 | Date: | Title: Remarks before the 2020 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Damon Romano, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:November 2020 | Date: |
Title: Putting Principles into Practice, the SEC from 2017-2020 Remarks to the Economic Club of New York |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:November 2020 | Date: | Title: The Role of the CCO – Empowered, Senior and With Authority |
Speaker:
Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations |
Type:Speech |
| Published date grouping:November 2020 | Date: | Title: The Regulation of Corporation Finance – A Principles-Based Approach |
Speaker:
William Hinman, Director, Division of Corporation Finance |
Type:Speech |
| Published date grouping:November 2020 | Date: | Title: The Promise of Structured Data: True Modernization of Disclosure Effectiveness |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:November 2020 | Date: | Title: Keynote Address: ALI CLE 2020 Conference on Life Insurance Company Products |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:November 2020 | Date: | Title: Playing the Long Game: The Intersection of Climate Change Risk and Financial Regulation |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:October 2020 | Date: | Title: Statement on Funds' Use of Derivatives |
Speaker:
Commissioner Caroline A. Crenshaw
|
Type:Speech |
| Published date grouping:October 2020 | Date: | Title: When the Nail Fails – Remarks before the National Society of Compliance Professionals |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:October 2020 | Date: | Title: The Car Talk of Capital Raising |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:October 2020 | Date: | Title: Volume, Value, and Impact: Remarks by the SEC Ombudsman |
Speaker:
Tracey McNeil, Ombudsman |
Type:Speech |
| Published date grouping:October 2020 | Date: |
Title: Investing in the Public Option: Promoting Growth in Our Public Markets Remarks at The SEC Speaks in 2020 |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:October 2020 | Date: | Title: Remarks At SEC Speaks 2020 |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:October 2020 | Date: | Title: An Update on FY 2020 Results – Remarks at SEC Speaks |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: Remarks at U.S. Treasury Market Conference |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: Keynote Address: Regulating with our Eyes on the Future |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: Diversity Matters, Disclosure Works, and the SEC Can Do More: Remarks at the Council of Institutional Investors Fall 2020 Conference |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: Remarks at the 7th Annual Conference on Financial Market Regulation |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: Investor-Focused, Nimble and Vigorous Enforcement at the SEC |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: Protecting Everyday Investors and Preserving Market Integrity: The SEC’s Division of Enforcement |
Speaker:
Stephanie Avakian, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:September 2020 | Date: | Title: Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset Management in ESG Investing Hosted By Harvard Law School and the Program on International Financial Systems |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:August 2020 | Date: | Title: Markets, Morality, and Mobsters: Remarks at the 18th Annual Corporate Governance Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:July 2020 | Date: | Title: Speech: PLI Investment Management Institute |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:July 2020 | Date: | Title: Not Braking and Breaking |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:July 2020 | Date: | Title: Keynote Speech at the Society for Corporate Governance National Conference |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:June 2020 | Date: | Title: Modernizing U.S. Equity Market Structure |
Speaker:
Chairman Jay Clayton
Brett Redfearn, Director, Division of Trading and Markets |
Type:Speech |
| Published date grouping:May 2020 | Date: | Title: Remarks to the Financial Stability Oversight Council |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:May 2020 | Date: | Title: Keynote Address: Securities Enforcement Forum West 2020 |
Speaker:
Steven Peikin, Co-Director, Division of Enforcement |
Type:Speech |
| Published date grouping:March 2020 | Date: | Title: Speech at the Council of Institutional Investors’ (“CII”) Conference |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:March 2020 | Date: |
Title: Getting Back to Basics: Protecting, Serving, and Empowering Investors Remarks before the Investment Adviser Association Compliance Conference 2020 |
Speaker:
Commissioner Allison Herren Lee
|
Type:Speech |
| Published date grouping:February 2020 | Date: | Title: The SEC’s Office of Credit Ratings and NRSRO Regulation: Past, Present, and Future |
Speaker:
Jessica Kane |
Type:Speech |
| Published date grouping:February 2020 | Date: | Title: Running on Empty: A Proposal to Fill the Gap Between Regulation and Decentralization |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:January 2020 | Date: | Title: Myths and Realities: Modernizing the Proxy Rules |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:January 2020 | Date: | Title: Learning from Miami’s Emprendimientos |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:December 2019 | Date: | Title: Mochas, Mariners, and Morality -- Remarks before the National Economists Club |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:December 2019 | Date: | Title: Statement in Connection with the 2019 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Sagar Teotia, Chief Accountant |
Type:Speech |
| Published date grouping:December 2019 | Date: | Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Jamie N. Davis, |
Type:Speech |
| Published date grouping:December 2019 | Date: | Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Nipa Patel |
Type:Speech |
| Published date grouping:December 2019 | Date: | Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Erin Bennett, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2019 | Date: | Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Vassilios Karapanos, |
Type:Speech |
| Published date grouping:December 2019 | Date: | Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Susan M. Mercier |
Type:Speech |
| Published date grouping:December 2019 | Date: | Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Louis J. Collins, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2019 | Date: | Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Lauren K. Alexander |
Type:Speech |
| Published date grouping:December 2019 | Date: | Title: Remarks before the 2019 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Aaron Shaw, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2019 | Date: | Title: Remarks at the Elder Justice Coordinating Council Fall 2019 Meeting |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:December 2019 | Date: | Title: Keynote Address — 2019 ICI Securities Law Developments Conference |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:December 2019 | Date: | Title: Remarks to the Greater Cincinnati Mutual Fund Association |
Speaker:
Alison Staloch, Chief Accountant, Division of Investment Management |
Type:Speech |
| Published date grouping:November 2019 | Date: | Title: Modernizing our Regulatory Framework: Focus on Authority, Expertise and Long-Term Investor Interests |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:November 2019 | Date: | Title: Government Finance Officers Association (GFOA) Mini-Muni Conference Welcome Remarks |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:November 2019 | Date: | Title: Keynote Address - ALI CLE 2019 Conference on Life Insurance Company Products |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:November 2019 | Date: | Title: What You Don’t Know Can Hurt You |
Speaker:
|
Type:Speech |
| Published date grouping:November 2019 | Date: | Title: Broken Windows: Remarks before the 51st Annual Institute on Securities Regulation |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:October 2019 | Date: | Title: Opening Remarks at Conversations on Raising Capital for Businesses of Color at Morehouse College |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:October 2019 | Date: | Title: Dual-Class Shares: A Recipe for Disaster |
Speaker:
Rick Fleming, Investor Advocate |
Type:Speech |
| Published date grouping:October 2019 | Date: | Title: Start Off by Making Your Bed: Translating Military Lessons to Entrepreneurship |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:October 2019 | Date: | Title: Introduction of AG William Barr at the Criminal Coordination Conference |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:September 2019 | Date: | Title: Remarks at the U.S. Treasury Market Conference |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:September 2019 | Date: | Title: Remarks at the SIFMA Equity Market Structure Conference: The Dynamics of our Markets and the Changing Structure on which they are Built |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:September 2019 | Date: | Title: Remarks at Central Michigan University |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:September 2019 | Date: | Title: Braided Bread and Boiled Beer: Remarks before the Eurofi Financial Forum 2019 |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:September 2019 | Date: | Title: Remarks to the Economic Club of New York |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:September 2019 | Date: | Title: Remarks before the AICPA National Conference on Banks & Savings Institutions |
Speaker:
Sagar Teotia, Chief Accountant |
Type:Speech |
| Published date grouping:September 2019 | Date: | Title: Keynote Speech at Southeastern Securities Conference 2019 |
Speaker:
Steven Peikin, Co-Director, Division of Enforcement |
Type:Speech |
| Published date grouping:August 2019 | Date: | Title: Long Title. Big Mission. |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:August 2019 | Date: | Title: Cleveland, Kondo, and Capital: Remarks before the American Chamber of Commerce |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:July 2019 | Date: | Title: Renegade Pandas: Opportunities for Cross Border Cooperation in Regulation of Digital Assets |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:July 2019 | Date: | Title: Policy Challenges and Research Opportunities in the Era of Big Data |
Speaker:
S.P. Kothari, Chief Economist and Director, Division of Economic and Risk Analysis |
Type:Speech |
| Published date grouping:July 2019 | Date: | Title: Regulation Best Interest and the Investment Adviser Fiduciary Duty: Two Strong Standards that Protect and Provide Choice for Main Street Investors |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:June 2019 | Date: | Title: Baby on Board: Remarks before the Society for Corporate Governance National Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:June 2019 | Date: | Title: Scarlet Letters: Remarks before the American Enterprise Institute |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:June 2019 | Date: | Title: Keynote Remarks at the Mid-Atlantic Regional Conference |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:June 2019 | Date: | Title: 19th Amendment Lessons for 2019’s Advocates: Remarks to the National Association of Women Business Owners |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:June 2019 | Date: | Title: The Nexus of Equity Market Structure and Investor Relations: Remarks at the 2019 Annual Conference of the National Investor Relations Institute |
Speaker:
Brett Redfearn, Director, Division of Trading and Markets[1] |
Type:Speech |
| Published date grouping:May 2019 | Date: | Title: A Quarter Century of Exchange-Traded Fun! |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:May 2019 | Date: | Title: Sunsets, Russets, and Rule Resets |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:May 2019 | Date: | Title: Alligators in Nirvana: Smart Regulation and the Future of Financial Services-Public Policy Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:May 2019 | Date: | Title: How We Howey |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:May 2019 | Date: | Title: Reasonableness Pants |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:May 2019 | Date: | Title: Remarks at the SIFMA Operations Conference & Exhibition: Staying Vigilant to Protect Investors |
Speaker:
Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations (OCIE) |
Type:Speech |
| Published date grouping:May 2019 | Date: | Title: Remarks before the 2019 Baruch College Financial Reporting Conference: Aiming toward the future |
Speaker:
Wesley Bricker, Chief Accountant |
Type:Speech |
| Published date grouping:April 2019 | Date: | Title: How We Protect Retail Investors |
Speaker:
Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations |
Type:Speech |
| Published date grouping:April 2019 | Date: | Title: Executive Pay Needs a Transparent Scorecard |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Type:Speech |
| Published date grouping:April 2019 | Date: | Title: Management’s Discussion and Analysis of the SEC: Remarks at the “SEC Speaks” Conference |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:April 2019 | Date: | Title: Remarks at SEC Speaks: Encouraging Smaller Entrants to Our Capital Markets |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:April 2019 | Date: | Title: SECret Garden: Remarks at SEC Speaks |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2019 | Date: | Title: Important Issues for Investors in 2019 |
Speaker:
Rick Fleming, Investor Advocate |
Type:Speech |
| Published date grouping:April 2019 | Date: | Title: Bolstering Capital Formation: The Third Leg of the SEC's Mission |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:March 2019 | Date: | Title: Remarks – PLI Investment Management Institute 2019 |
Speaker:
Paul Cellupica, Former Deputy Director and Chief Counsel, Division of Investment Management |
Type:Speech |
| Published date grouping:March 2019 | Date: | Title: A Start-Up Within the Government: Introducing the SEC’s Office of the Advocate for Small Business Capital Formation |
Speaker:
Martha Miller, Director, Advocate for Small Business Capital Formation |
Type:Speech |
| Published date grouping:March 2019 | Date: | Title: Keynote Remarks: ICI Mutual Funds and Investment Management Conference |
Speaker:
Commissioner Elad L. Roisman
|
Type:Speech |
| Published date grouping:March 2019 | Date: | Title: Keynote Address: ICI Mutual Funds and Investment Management Conference |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:March 2019 | Date: | Title: Applying a Principles-Based Approach to Disclosing Complex, Uncertain and Evolving Risks |
Speaker:
William Hinman, Director, Division of Corporation Finance |
Type:Speech |
| Published date grouping:March 2019 | Date: | Title: Equity Market Structure 2019: Looking Back & Moving Forward |
Speaker:
Chairman Jay Clayton Brett Redfearn, Director, Division of Trading and Markets |
Type:Speech |
| Published date grouping:March 2019 | Date: | Title: Festivus, Fortnite, and Focus: Remarks before the Council of Institutional Investors Spring Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:February 2019 | Date: | Title: Introductory Remarks for Dr. Henry Louis Gates, Jr. at African American History Month Celebration |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:February 2019 | Date: | Title: What’s Really in Your Index Fund? |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Type:Speech |
| Published date grouping:February 2019 | Date: | Title: Regulation: A View from Inside the Machine |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:December 2018 | Date: | Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Tom W. Collens, Professional Accounting Fellow |
Type:Speech |
| Published date grouping:December 2018 | Date: | Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Emily L. Fitts, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2018 | Date: | Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Sarah N. Esquivel, Associate Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2018 | Date: | Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Sheri L. York, Professional Accounting Fellow |
Type:Speech |
| Published date grouping:December 2018 | Date: | Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Andrew W. Pidgeon, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2018 | Date: | Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Rahim M. Ismail, Professional Accounting Fellow |
Type:Speech |
| Published date grouping:December 2018 | Date: | Title: Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Kevin L. Vaughn, Senior Associate Chief Accountant |
Type:Speech |
| Published date grouping:December 2018 | Date: | Title: Statement in Connection with the 2018 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Wesley Bricker |
Type:Speech |
| Published date grouping:December 2018 | Date: | Title: SEC Rulemaking Over the Past Year, the Road Ahead and Challenges Posed by Brexit, LIBOR Transition and Cybersecurity Risks |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:December 2018 | Date: | Title: The Salutary Effects of International Cooperation on SEC Enforcement |
Speaker:
Steven Peikin, Co-Director, Division of Enforcement |
Type:Speech |
| Published date grouping:November 2018 | Date: | Title: Regulatory Apparitions: Remarks at the Exchequer Club |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:November 2018 | Date: | Title: Keynote Address: ALI CLE 2018 Conference on Life Insurance Company Products |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:November 2018 | Date: | Title: Lasting Impressions: Remarks before the CV Summit—Crypto Valley |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:November 2018 | Date: | Title: Pondering Financial Reporting: Remarks before the 2018 Leet Business Law Symposium |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: Introductory Remarks for Veterans Day Commemoration Panel Discussion |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: Costumes, Candy, and Compliance: Remarks at the National Membership Conference of the National Society of Compliance Professionals |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: Lies and Statistics: Remarks at the 26th Annual Securities Litigation and Regulatory Enforcement Seminar |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: Keynote Address - ICI Securities Law Developments Conference |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: Improving Information for Investors in the Digital Age |
Speaker:
Commissioner Kara M. Stein
|
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: The New American Dream: Retirement Security |
Speaker:
Commissioner Kara M. Stein
|
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: Remarks at the IDC - 2018 Fund Directors Conference |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: Pittsburgh Principles and Regulatory Realities: Remarks before the International Regulators Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: Competition: The Forgotten Fourth Pillar of the SEC’s Mission |
Speaker:
Robert J. Jackson, Jr.* |
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: Remarks at the Municipal Finance Leadership Conference |
Speaker:
Rebecca Olsen, Director, Office of Municipal Securities |
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: Insider Trading Laws Haven’t Kept Up With the Crooks |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: Why and Whither Title VII?: Remarks before the 2018 ISDA Annual North America Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: Remedies and Relief in SEC Enforcement Actions |
Speaker:
Steven Peikin, Co-Director, Division of Enforcement |
Type:Speech |
| Published date grouping:October 2018 | Date: | Title: Pickups and Put Downs: Remarks at the Financial Planning Association 2018 Major Firms Symposium |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:September 2018 | Date: | Title: From the Data Rush to the Data Wars: A Data Revolution in Financial Markets |
Speaker:
Commissioner Kara M. Stein
|
Type:Speech |
| Published date grouping:September 2018 | Date: | Title: Introductory Remarks for U.S. Treasurer Jovita Carranza at the SEC Hispanic Heritage Month Celebration |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:September 2018 | Date: | Title: Wolves and Wolverines: Remarks at the University of Michigan Law School |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:September 2018 | Date: | Title: My Beef with Stakeholders: Remarks at the 17th Annual SEC Conference, Center for Corporate Reporting and Governance |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:September 2018 | Date: | Title: Measuring the Impact of the SEC’s Enforcement Program |
Speaker:
Stephanie Avakian, Co-Director, Division of Enforcement |
Type:Speech |
| Published date grouping:September 2018 | Date: | Title: Unfair Exchange: The State of America's Stock Markets |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Type:Speech |
| Published date grouping:September 2018 | Date: | Title: Remarks before the AICPA National Conference on Banks & Saving Institutions |
Speaker:
Wesley Bricker, Chief Accountant |
Type:Speech |
| Published date grouping:September 2018 | Date: | Title: Motherhood and Humble Pie: Remarks before the Cato Institute’s FinTech Unbound Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:August 2018 | Date: | Title: Remarks on Capital Formation at the Nashville 36|86 Entrepreneurship Festival |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:July 2018 | Date: | Title: What’s in a Name? Regulation Best Interest v. Fiduciary |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:July 2018 | Date: | Title: Remarks on the Establishment of the Task Force on Market Integrity and Consumer Fraud |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:June 2018 | Date: | Title: Remarks before the Institute of Management Accountant’s 2018 Annual Conference and Expo: “Advancing the Purpose and Promise of Those Involved in Financial Reporting” |
Speaker:
Wesley Bricker, Chief Accountant |
Type:Speech |
| Published date grouping:June 2018 | Date: | Title: Observations on Culture at Financial Institutions and the SEC |
Speaker:
Chairman Jay Clayton |
Type:Speech |
| Published date grouping:June 2018 | Date: | Title: Digital Asset Transactions: When Howey Met Gary (Plastic) |
Speaker:
William Hinman, Director, Division of Corporation Finance |
Type:Speech |
| Published date grouping:June 2018 | Date: | Title: Stock Buybacks and Corporate Cashouts |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Type:Speech |
| Published date grouping:June 2018 | Date: | Title: Progress Is Being Made: Continued Focus on Addressing Implementation Matters |
Speaker:
|
Type:Speech |
| Published date grouping:June 2018 | Date: | Title: "A Framework of Trust" |
Speaker:
Commissioner Kara M. Stein
|
Type:Speech |
| Published date grouping:June 2018 | Date: | Title: Remarks to the Institute of Chartered Accountants in England and Wales: “The intersection of financial reporting and innovation" |
Speaker:
Wesley Bricker, Chief Accountant |
Type:Speech |
| Published date grouping:May 2018 | Date: | Title: Remarks at the FINRA Annual Conference |
Speaker:
Brett Redfearn, Director, Division of Trading and Markets |
Type:Speech |
| Published date grouping:May 2018 | Date: | Title: Keynote Address to the UJA Federation |
Speaker:
Steven Peikin, Co-Director, Division of Enforcement |
Type:Speech |
| Published date grouping:May 2018 | Date: | Title: The Why Behind the No: Remarks at the 50th Annual Rocky Mountain Securities Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:May 2018 | Date: | Title: Keynote Address at the New York City Bar Association’s 7th Annual White Collar Crime Institute |
Speaker:
Steven Peikin, Co-Director, Division of Enforcement |
Type:Speech |
| Published date grouping:May 2018 | Date: | Title: Tossing Fish and Catching Capital: Remarks at the 38th Annual Northwest Securities Institute CLE at the Washington State Bar Association |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:May 2018 | Date: | Title: Remarks before the 2018 Baruch College Financial Reporting Conference: “Working Together to Advance Financial Reporting” |
Speaker:
Wesley Bricker, Chief Accountant |
Type:Speech |
| Published date grouping:May 2018 | Date: | Title: The Role of Machine Readability in an AI World |
Speaker:
Scott W. Bauguess |
Type:Speech |
| Published date grouping:May 2018 | Date: | Title: The Evolving Market for Retail Investment Services and Forward-Looking Regulation — Adding Clarity and Investor Protection while Ensuring Access and Choice |
Speaker:
Chairman Jay Clayton |
Type:Speech |
| Published date grouping:May 2018 | Date: | Title: Beaches and Bitcoin: Remarks before the Medici Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2018 | Date: | Title: Remarks at the PLI Investment Management Institute 2018 |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:April 2018 | Date: | Title: The Middle-Market IPO Tax |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Type:Speech |
| Published date grouping:April 2018 | Date: | Title: Remarks at MSRB Dinner to Celebrate Milestones in Municipal Market Transparency |
Speaker:
Commissioner Michael S. Piwowar
|
Type:Speech |
| Published date grouping:April 2018 | Date: | Title: Remarks before the SIFMA Equity Market Structure Conference |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2018 | Date: | Title: Reflections of an Economist Commissioner |
Speaker:
Commissioner Michael S. Piwowar
|
Type:Speech |
| Published date grouping:April 2018 | Date: | Title: International Organizations: Learning from the Past to Build for the Future |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:April 2018 | Date: | Title: Remarks at the Equity Market Structure Symposium Sponsored by the University of Chicago and the STA Foundation |
Speaker:
Brett Redfearn, Director, Division of Trading and Markets |
Type:Speech |
| Published date grouping:April 2018 | Date: | Title: Remarks at the Equity Market Structure Symposium Sponsored by the University of Chicago and the STA Foundation |
Speaker:
Chairman Jay Clayton |
Type:Speech |
| Published date grouping:March 2018 | Date: | Title: Keynote Address, ICI 2018 Mutual Funds and Investment Management Conference |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:March 2018 | Date: | Title: Looking at Funds through the Right Glasses |
Speaker:
Commissioner Hester M. Peirce
|
Type:Speech |
| Published date grouping:March 2018 | Date: | Title: Corporate Governance: On the Front Lines of America's Cyber War |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Type:Speech |
| Published date grouping:March 2018 | Date: | Title: SEC Women’s History Month Celebration — Introductory Remarks |
Speaker:
Chairman Jay Clayton |
Type:Speech |
| Published date grouping:March 2018 | Date: | Title: Remarks at the 2018 RegTech Data Summit - Old Fields, New Corn: Innovation in Technology and Law |
Speaker:
Commissioner Michael S. Piwowar
|
Type:Speech |
| Published date grouping:February 2018 | Date: | Title: Keeping Shareholders on the Beat: A Call for a Considered Conversation About Mandatory Arbitration |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Type:Speech |
| Published date grouping:February 2018 | Date: | Title: Mandatory Arbitration: An Illusory Remedy for Public Company Shareholders |
Speaker:
Rick Fleming, Investor Advocate |
Type:Speech |
| Published date grouping:February 2018 | Date: | Title: Opening Remarks at the “SEC Speaks” Conference |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:February 2018 | Date: | Title: Remarks at SEC Speaks: Increasing Product Complexity: What’s at Stake? |
Speaker:
Commissioner Kara M. Stein
|
Type:Speech |
| Published date grouping:February 2018 | Date: | Title: SEC African American History Month Celebration Introductory Remarks for Command Sergeant Major Michael L. Gragg |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:February 2018 | Date: | Title: Perpetual Dual-Class Stock: The Case Against Corporate Royalty |
Speaker:
Commissioner Robert J. Jackson Jr.
|
Type:Speech |
| Published date grouping:February 2018 | Date: | Title: “Mutualism: Reimagining the Role of Shareholders in Modern Corporate Governance” Remarks at Stanford University |
Speaker:
Commissioner Kara M. Stein
|
Type:Speech |
| Published date grouping:February 2018 | Date: | Title: Keynote Address at the PLI’s Seventeenth Annual Institute on Securities Regulation in Europe |
Speaker:
William Hinman, Director, Division of Corporation Finance |
Type:Speech |
| Published date grouping:January 2018 | Date: | Title: Opening Remarks at the Securities Regulation Institute |
Speaker:
Chairman Jay Clayton |
Type:Speech |
| Published date grouping:January 2018 | Date: | Title: Opening Remarks to SEC-NYU Dialogue on Securities Markets #4: Shareholder Engagement |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:January 2018 | Date: | Title: SEC-NYU Dialogue on Securities Market Regulation Concluding Remarks |
Speaker:
Commissioner Kara M. Stein
|
Type:Speech |
| Published date grouping:January 2018 | Date: | Title: Remarks at Ceremonial Swearing In of Commissioners Hester M. Peirce and Robert J. Jackson, Jr. |
Speaker:
Chairman Jay Clayton
|
Type:Speech |
| Published date grouping:December 2017 | Date: | Title: Address at Investment Company Institute’s 2017 Securities Law Developments Conference |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:December 2017 | Date: | Title: Keynote Address: ICI Securities Law Developments Conference |
Speaker:
Dalia Blass, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:December 2017 | Date: | Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Joseph R. Epstein, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2017 | Date: | Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Ryan Wolfe, Senior Associate Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2017 | Date: | Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Robert B. Sledge, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2017 | Date: | Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Nigel J. James |
Type:Speech |
| Published date grouping:December 2017 | Date: | Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Michael P. Berrigan, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2017 | Date: | Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Michal P. Dusza, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2017 | Date: | Title: Remarks before the 2017 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Barry Kanczuker, Associate Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2017 | Date: | Title: Statement in Connection with the 2017 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Wesley R. Bricker, Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:November 2017 | Date: | Title: Remarks at the Third Annual Conference on the Evolving Structure of the U.S. Treasury Market |
Speaker:
Chairman Jay Clayton |
Type:Speech |
| Published date grouping:November 2017 | Date: | Title: Remarks before the Financial Executives International 36th Annual Current Financial Reporting Issues Conference: Effective Financial Reporting in a Period of Change |
Speaker:
Wesley R. Bricker, Chief Accountant, U.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:November 2017 | Date: | Title: Reflections on the Past, Present, and Future of the SEC’s Enforcement of the Foreign Corrupt Practices Act |
Speaker:
Steven R. Peikin, Co-Director, Enforcement Division |
Type:Speech |
| Published date grouping:November 2017 | Date: | Title: Governance and Transparency at the Commission and in Our Markets |
Speaker:
Chairman Jay Clayton |
Type:Speech |
| Published date grouping:October 2017 | Date: | Title: Securities Enforcement Forum Keynote Speech |
Speaker:
Stephanie Avakian, Co-Director, Division of Enforcement |
Type:Speech |
| Published date grouping:October 2017 | Date: | Title: Remarks at FINRA and Columbia University Market Structure Conference |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:September 2017 | Date: | Title: Remarks before the San Diego Chapter of the Financial Executives Institute |
Speaker:
Sagar Teotia, Deputy Chief Accountant |
Type:Speech |
| Published date grouping:September 2017 | Date: | Title: Improving Investment Adviser Compliance |
Speaker:
Peter B. Driscoll, Acting Director, Office of Compliance Inspections and Examinations |
Type:Speech |
| Published date grouping:September 2017 | Date: | Title: A Joint Path Forward: Address at Eurofi |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:September 2017 | Date: | Title: Remarks before the AICPA National Conference on Banks & Savings Institutions |
Speaker:
Wesley R. Bricker, Chief Accountant |
Type:Speech |
| Published date grouping:September 2017 | Date: | Title: SEC-NYU Dialogue on Exchange-Traded Products |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:September 2017 | Date: | Title: SEC-NYU Dialogue on Exchange-Traded Products |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:August 2017 | Date: | Title: The Rulemaking Process: Two Accounting and Auditing Mini-case Studies |
Speaker:
Stephen Deane, CFA, Investor Engagement Advisor, Office of the Investor Advocate |
Type:Speech |
| Published date grouping:July 2017 | Date: | Title: Remarks at the Economic Club of New York |
Speaker:
SEC Chairman Jay Clayton |
Type:Speech |
| Published date grouping:July 2017 | Date: | Title: Remarks at the Healthy Market Structure Conference |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:June 2017 | Date: | Title: The Role of Big Data, Machine Learning, and AI in Assessing Risks: a Regulatory Perspective |
Speaker:
Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA |
Type:Speech |
| Published date grouping:June 2017 | Date: | Title: Keynote Address before the Buy-Side Risk USA 2017 Conference – "Market Fragility and Interconnectedness in the Asset Management Industry" |
Speaker:
Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA |
Type:Speech |
| Published date grouping:June 2017 | Date: | Title: Keynote Address before the 2017 Journal of Accounting and Public Policy Conference – “The Interaction between Regulatory Institutions and Accounting: A Public Policy Perspective” |
Speaker:
Wesley R. Bricker, Chief Accountant |
Type:Speech |
| Published date grouping:June 2017 | Date: | Title: Remarks before the 36th Annual SEC and Financial Reporting Institute Conference: “Advancing the Role of Credible Financial Reporting in the Capital Markets” |
Speaker:
Wesley R. Bricker, Chief Accountant |
Type:Speech |
| Published date grouping:May 2017 | Date: | Title: Opening Remarks at SEC-NYU Dialogue on Securities Market Regulation: Reviving the U.S. IPO Market |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:May 2017 | Date: | Title: Opening Remarks at 2017 SEC/NASAA Annual Section 19(d) Conference |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:May 2017 | Date: | Title: Closing Remarks at 2017 SEC/NASAA Annual Section 19(d) Conference |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:May 2017 | Date: | Title: Enhancing the Demand for IPOs |
Speaker:
Rick A. Fleming, Investor Advocate |
Type:Speech |
| Published date grouping:May 2017 | Date: | Title: Remarks before the Bloomberg BNA Conference on Revenue Recognition |
Speaker:
Sylvia E. Alicea, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:May 2017 | Date: | Title: Remarks before the 2017 Baruch College Financial Reporting Conference: "Advancing Our Capital Markets with High-Quality Information" |
Speaker:
Wesley R. Bricker, Chief Accountant |
Type:Speech |
| Published date grouping:March 2017 | Date: | Title: Remarks Before the 27th International Institute for Securities Market Growth and Development |
Speaker:
Acting Chairman Michael Piwowar |
Type:Speech |
| Published date grouping:March 2017 | Date: | Title: Remarks before the University of Tennessee’s C. Warren Neel Corporate Governance Center: “Advancing the Role and Effectiveness of Audit Committees” |
Speaker:
Wesley R. Bricker, Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:March 2017 | Date: | Title: New Special Study of the Securities Markets: Keynote Address |
Speaker:
Acting Chairman Michael S. Piwowar |
Type:Speech |
| Published date grouping:March 2017 | Date: | Title: Remarks before the Annual Life Sciences Accounting & Reporting Congress: “Advancing Effective Internal Control and Credible Financial Reporting” |
Speaker:
Wesley R. Bricker, Chief Accountant |
Type:Speech |
| Published date grouping:February 2017 | Date: | Title: Improving Investor Engagement |
Speaker:
Rick A. Fleming, Investor Advocate U.S. Securities and Exchange Commission[1] |
Type:Speech |
| Published date grouping:February 2017 | Date: | Title: Remarks at the “SEC Speaks” Conference 2017: Remembering the Forgotten Investor |
Speaker:
Acting Chairman Michael S. Piwowar |
Type:Speech |
| Published date grouping:February 2017 | Date: | Title: Remarks at the “SEC Speaks” Conference: The Markets in 2017: What’s at Stake? |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:January 2017 | Date: | Title: “The SEC after the Financial Crisis: Protecting Investors, Preserving Markets” |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:December 2016 | Date: | Title: Remarks to the Investor Advisory Committee |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:December 2016 | Date: | Title: Working Together to Advance High Quality Information in the Capital Markets |
Speaker:
Wesley R. Bricker, Chief Accountant |
Type:Speech |
| Published date grouping:December 2016 | Date: | Title: Remarks before the 2016 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Ruth Uejio, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2016 | Date: | Title: Remarks before the 2016 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Brian Staniszewski, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2016 | Date: | Title: Remarks before the 2016 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Jennifer L. Todling, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2016 | Date: | Title: Remarks before the 2016 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Marc Panucci, Deputy Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2016 | Date: | Title: Remarks before the 2016 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Sylvia E. Alicea, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2016 | Date: | Title: Remarks at the 2016 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2016 | Date: | Title: Remarks before the 2016 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Jonathan Wiggins, Associate Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2016 | Date: | Title: Remarks before the 2016 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Jenifer Minke-Girard, Assistant Deputy Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2016 | Date: | Title: Remarks before the 2016 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Sean May, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:November 2016 | Date: | Title: Keynote Speech, ACI’s 33rd International Conference on the FCPA |
Speaker:
Andrew Ceresney, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:November 2016 | Date: | Title: Moving Forward with the Commission's Disclosure Effectiveness Initiative |
Speaker:
Rick A. Fleming, Investor AdvocateU.S. Securities and Exchange Commission[1] |
Type:Speech |
| Published date grouping:November 2016 | Date: | Title: A New Model for SEC Enforcement: Producing Bold and Unrelenting Results |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:November 2016 | Date: | Title: Examining the Dodd-Frank Act and the Future of Financial Regulation |
Speaker:
Rick A. Fleming, Investor AdvocateU.S. Securities and Exchange Commission[1] |
Type:Speech |
| Published date grouping:November 2016 | Date: | Title: Remarks to the ALI CLE 2016 Conference on Life Insurance Products |
Speaker:
David W. Grim, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:October 2016 | Date: | Title: A Vision for Data at the SEC, Keynote address to Big Data in Finance Conference |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:October 2016 | Date: | Title: Keynote Address, The Evolving Structure of the U.S. Treasury Market: Second Annual Conference |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:October 2016 | Date: | Title: Improving Disclosure with Smart Data |
Speaker:
Rick A. Fleming, Investor Advocate |
Type:Speech |
| Published date grouping:October 2016 | Date: | Title: Remarks at 2016 Conference on Auditing and Capital Markets |
Speaker:
Commissioner Michael S. PiwowarU.S. Securities and Exchange Commission [1] |
Type:Speech |
| Published date grouping:October 2016 | Date: | Title: Has Big Data Made Us Lazy? |
Speaker:
Scott W. Bauguess
|
Type:Speech |
| Published date grouping:October 2016 | Date: | Title: Remarks at the National Society of Compliance Professionals 2016 National Conference |
Speaker:
Andrew J. Donohue, Chief of Staff |
Type:Speech |
| Published date grouping:October 2016 | Date: | Title: Inside the National Exam Program in 2016 |
Speaker:
Marc Wyatt, Director, Office of Compliance Inspections and Examinations |
Type:Speech |
| Published date grouping:October 2016 | Date: | Title: The Impact of SEC Enforcement on Public Finance |
Speaker:
Andrew J. Ceresney, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:September 2016 | Date: | Title: The SEC Enforcement Division’s Focus on Auditors and Auditing |
Speaker:
Andrew Ceresney, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:September 2016 | Date: | Title: Securities Regulation in the Interconnected, Global Marketplace |
Speaker:
Chair Mary Jo White
|
Type:Speech |
| Published date grouping:September 2016 | Date: | Title: Remarks before the AICPA National Conference on Banks & Savings Institutions |
Speaker:
Wesley R. Bricker, Interim Chief Accountant |
Type:Speech |
| Published date grouping:September 2016 | Date: | Title: Keynote Address, Security Traders Association, 83rd Annual Market Structure Conference |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:September 2016 | Date: | Title: The SEC’s Whistleblower Program: The Successful Early Years |
Speaker:
Andrew Ceresney, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:September 2016 | Date: | Title: Remarks at FINRA’s 2016 Fixed Income Conference |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:August 2016 | Date: | Title: Investor Protection in the Municipal Securities Markets |
Speaker:
Rick A. Fleming, Investor AdvocateU.S. Securities and Exchange Commission [1] |
Type:Speech |
| Published date grouping:July 2016 | Date: | Title: Remarks Before the Quadrilateral Meeting of the FMLC/FMLG/FLB/EFMLG |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:July 2016 | Date: | Title: Remarks at the FINRA Foundation 2015 National Financial Capability Study Release |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:June 2016 | Date: | Title: Keynote Address, SEC Regulation Outside the United States “The SEC at Home and Abroad” |
Speaker:
Andrew J. Donohue, Chief of Staff |
Type:Speech |
| Published date grouping:June 2016 | Date: | Title: Keynote Address, International Corporate Governance Network Annual Conference: Focusing the Lens of Disclosure to Set the Path Forward on Board Diversity, Non-GAAP, and Sustainability |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:June 2016 | Date: | Title: Remarks at the ISDA Annual Legal Forum in New York |
Speaker:
Gary Barnett, Deputy Director, Division of Trading and Markets |
Type:Speech |
| Published date grouping:June 2016 | Date: | Title: Remarks before the 35th Annual SEC and Financial Reporting Institute Conference |
Speaker:
Wesley R. Bricker, Deputy Chief Accountant |
Type:Speech |
| Published date grouping:June 2016 | Date: | Title: Remarks Before the SEC Historical Society – “The Continuous Process of Optimizing the Equity Markets” |
Speaker:
Chair Mary Jo White
|
Type:Speech |
| Published date grouping:May 2016 | Date: | Title: Keynote Address Investment Company Institute 2016 General Meeting – "The Future of Investment Company Regulation" |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:May 2016 | Date: | Title: New Directions in Corporate Compliance: Keynote Luncheon Speech |
Speaker:
Andrew J. Donohue, Chief of Staff |
Type:Speech |
| Published date grouping:May 2016 | Date: | Title: Securities Enforcement Forum West 2016 Keynote Address: Private Equity Enforcement |
Speaker:
Andrew Ceresney, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:May 2016 | Date: | Title: New Ways for the Financing of Small and Medium Enterprises and the Challenges of Crowdfunding |
Speaker:
Chair Mary Jo White
|
Type:Speech |
| Published date grouping:May 2016 | Date: | Title: Keynote Address at the 48th Annual Rocky Mountain Securities Conference |
Speaker:
Commissioner Kara M Stein |
Type:Speech |
| Published date grouping:May 2016 | Date: | Title: Remarks before the 2016 Baruch College Financial Reporting Conference |
Speaker:
Wesley R. Bricker, Deputy Chief Accountant |
Type:Speech |
| Published date grouping:April 2016 | Date: | Title: Keynote Address at the SEC-Rock Center on Corporate Governance Silicon Valley Initiative |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:March 2016 | Date: | Title: Keynote Address at the Mutual Fund Directors Forum 2016 Policy Conference |
Speaker:
Chairman Mary Jo White
|
Type:Speech |
| Published date grouping:March 2016 | Date: | Title: Acceptance Remarks at the Penn Law Women’s Summit Awards Luncheon |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:March 2016 | Date: | Title: Remarks before the 12th Annual Life Sciences Accounting and Reporting Congress |
Speaker:
James V. Schnurr, Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:March 2016 | Date: | Title: Remarks to the Investment Company Institute’s 2016 Mutual Funds and Investment Management Conference |
Speaker:
David W. Grim, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:March 2016 | Date: | Title: Remarks to the PLI Investment Management Institute – 2016 |
Speaker:
David Grim, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:March 2016 | Date: | Title: Opening Remarks: UIC-SEC Joint Symposium to Raise Public Awareness |
Speaker:
Andrew Ceresney, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:March 2016 | Date: | Title: Remarks at ABS Vegas 2016 |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:February 2016 | Date: | Title: Chairman’s Address at SEC Speaks - “Beyond Disclosure at the SEC in 2016” |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:February 2016 | Date: | Title: Remarks at the “SEC Speaks” Conference: What Lies Ahead? The SEC in 2016 |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:February 2016 | Date: | Title: The Falling Leaves of the Buttonwood Tree |
Speaker:
Rick A. Fleming, Investor AdvocateU.S. Securities and Exchange Commission[1] |
Type:Speech |
| Published date grouping:February 2016 | Date: | Title: Accredited Investors (slides from DERA presentation) (PDF) |
Speaker:
Mark J. Flannery
|
Type:Speech |
| Published date grouping:February 2016 | Date: | Title: Leveraging Data and Analytics at the SEC to Assess Risk (slides from DERA presentation) (PDF) |
Speaker:
Scott W. Bauguess |
Type:Speech |
| Published date grouping:February 2016 | Date: | Title: Analysis Supporting the SEC’s Rulemaking (slides from DERA presentation) (PDF) |
Speaker:
Christof W. Stahel
Assistant Director
|
Type:Speech |
| Published date grouping:January 2016 | Date: | Title: Keynote Session at the 43rd Annual Securities Regulation Institute in San Diego, California |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:January 2016 | Date: | Title: Directors Forum 2016 Keynote Address |
Speaker:
Andrew Ceresney, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:January 2016 | Date: | Title: International Developments – Past, Present and Future |
Speaker:
Keith F. Higgins, Director, Division of Corporation Finance |
Type:Speech |
| Published date grouping:December 2015 | Date: | Title: Remarks to the ICI 2015 Securities Law Development Conference |
Speaker:
David Grim, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:December 2015 | Date: | Title: Keynote Address at the 2015 AICPA National Conference: "Maintaining High-Quality, Reliable Financial Reporting: A Shared and Weighty Responsibility" |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:December 2015 | Date: | Title: Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Barry Kanczuker, Associate Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2015 | Date: | Title: Remarks before the 2015 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Courtney D. Sachtleben
|
Type:Speech |
| Published date grouping:December 2015 | Date: | Title: Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Christopher D. Semesky, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2015 | Date: | Title: Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Ashley Wright, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2015 | Date: | Title: Remarks before the 2015 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Christopher M. Rickli, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2015 | Date: | Title: Remarks Before the 2015 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Michael W. Husich, Senior Associate Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2015 | Date: | Title: Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Kris Shirley, Professional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2015 | Date: | Title: Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Brian T. CroteauDeputy Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2015 | Date: | Title: Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Julie A. ErhardtDeputy Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2015 | Date: | Title: Remarks before the 2015 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Wesley R. Bricker, Deputy Chief Accountant |
Type:Speech |
| Published date grouping:December 2015 | Date: | Title: Remarks Before the 2015 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
James V. Schnurr, Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:November 2015 | Date: | Title: Keynote Remarks at the Women's Forum of New York Breakfast of Corporate Champions: "The Pursuit of Gender Parity in the American Boardroom" |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:November 2015 | Date: | Title: ACI’s 32nd FCPA Conference Keynote Address |
Speaker:
Andrew Ceresney, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:November 2015 | Date: | Title: Executive Compensation: Looking Beyond the Dodd-Frank Horizon |
Speaker:
Keith F. Higgins, Director, Division of Corporation Finance |
Type:Speech |
| Published date grouping:November 2015 | Date: | Title: Remarks at the 34th Annual Current Financial Reporting Issues Conference |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:November 2015 | Date: | Title: Surfing the Wave: Technology, Innovation, and Competition – Remarks at Harvard Law School’s Fidelity Guest Lecture Series |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:November 2015 | Date: | Title: 2015 National Society of Compliance Professionals, National Conference: Keynote Address |
Speaker:
Andrew Ceresney, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:November 2015 | Date: | Title: Remarks to the ALI CLE 2015 Conference on Life Insurance Company Products |
Speaker:
Dave Grim, Director, Division of Investment Management, U.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:November 2015 | Date: | Title: Market Structure Enforcement: Looking Back and Forward |
Speaker:
Andrew Ceresney, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:October 2015 | Date: | Title: Keynote Address at the 47th Annual Securities Regulation Institute: "Building a Dynamic Framework for Offering Reform" |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:October 2015 | Date: | Title: Remarks Before the UCI Audit Committee Summit |
Speaker:
James Schnurr, Chief Accountant |
Type:Speech |
| Published date grouping:October 2015 | Date: | Title: Economic Analysis: Providing Insight to Advance the Missions of the SEC and the PCAOB |
Speaker:
Mark J. Flannery, Chief Economist and Director, Division of Economic and Risk Analysis |
Type:Speech |
| Published date grouping:October 2015 | Date: | Title: Keynote Address at the Evolving Structure of the U.S. Treasury Market Conference, Federal Reserve Bank of New York: "Taking Stock of Treasury Market Regulation" |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:October 2015 | Date: | Title: Keynote Remarks at the 2015 Women in Policing Conference: “Women in the NYPD: Hear Them Roar” |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:October 2015 | Date: | Title: Keynote Address at the Managed Fund Association: “Five Years On: Regulation of Private Fund Advisers After Dodd-Frank” |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:October 2015 | Date: | Title: Remarks at NRS 30th Annual Fall Investment Adviser and Broker-Dealer Compliance Conference |
Speaker:
Andrew J. Donohue, Chief of Staff |
Type:Speech |
| Published date grouping:October 2015 | Date: | Title: The Important Work of Boards of Directors |
Speaker:
Commissioner Luis A. Aguilar |
Type:Speech |
| Published date grouping:October 2015 | Date: | Title: Introductory Remarks at the National Faith Leaders Conference “Protecting Investors Protects You” |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:September 2015 | Date: | Title: Market Structure in the 21st Century: Bringing Light to the Dark |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:September 2015 | Date: | Title: Remarks at the AICPA National Conference on Banks and Savings Institutions |
Speaker:
James Schnurr, Chief Accountant |
Type:Speech |
| Published date grouping:September 2015 | Date: | Title: Remarks at the Bloomberg BNA Conference on Revenue Recognition |
Speaker:
Wesley R. Bricker, Deputy Chief Accountant |
Type:Speech |
| Published date grouping:September 2015 | Date: | Title: Building Healthy Capital Markets: From the 2008 Financial Crisis to Digital Disruption and Beyond – Keynote Address to the Eurofi Financial Forum |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:September 2015 | Date: | Title: Accountants and Capital Markets in an Era of Digital Disruption: Remarks to the Institute of Chartered Accountants in England and Wales and BritishAmerican Business |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:August 2015 | Date: | Title: Dodd-Frank at Five: A Capital Markets Swan Song |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:July 2015 | Date: | Title: The Need for Proactivity:Remarks at the 2015 National Association of Women Lawyers Annual Meeting and Awards Luncheon |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:July 2015 | Date: | Title: Opening Remarks at the Compliance Outreach Program for Broker-Dealers |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:June 2015 | Date: | Title: Building Meaningful Communication and Engagement with Shareholders |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:June 2015 | Date: | Title: A Threefold Cord — Working Together to Meet the Pervasive Challenge of Cyber-Crime |
Speaker:
Commissioner Luis A. AguilarUnited States Securities and Exchange Commission |
Type:Speech |
| Published date grouping:June 2015 | Date: | Title: Activism, Short-Termism, and the SEC: Remarks at the 21st Annual Stanford Directors’ College |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:June 2015 | Date: | Title: Anti-Money Laundering: An Often-Overlooked Cornerstone of Effective Compliance |
Speaker:
Kevin W. Goodman, National Associate Director, Broker-Dealer Examination Program, Office of Compliance Inspections and Examinations |
Type:Speech |
| Published date grouping:June 2015 | Date: | Title: Mutual Funds - The Next 75 Years |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:June 2015 | Date: | Title: Quality Data and the Power of Prevention: Remarks at Meet the Market, North America |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:June 2015 | Date: | Title: Remarks at the 34th Annual SEC and Financial Reporting Institute Conference |
Speaker:
James Schnurr, Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:June 2015 | Date: | Title: Remarks Before the SEC Historical Society |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:June 2015 | Date: | Title: Capital Unbound: Remarks at the Cato Summit on Financial Regulation |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:May 2015 | Date: | Title: Remarks Before the Exchequer Club of Washington, D.C. |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:May 2015 | Date: | Title: Structured Products – Complexity and Disclosure – Do Retail Investors Really Understand What They Are Buying and What the Risks Are? |
Speaker:
Amy M. Starr, Chief, Office of Capital Market Trends |
Type:Speech |
| Published date grouping:May 2015 | Date: | Title: Private Equity: A Look Back and a Glimpse Ahead |
Speaker:
Marc Wyatt, Acting Director, Office of Compliance Inspections and Examinations |
Type:Speech |
| Published date grouping:May 2015 | Date: | Title: The SEC’s Cooperation Program: Reflections on Five Years of Experience |
Speaker:
Andrew Ceresney, Director, Division of Enforcement |
Type:Speech |
| Published date grouping:May 2015 | Date: | Title: Remarks before the 2015 Baruch College Financial Reporting Conference |
Speaker:
James Schnurr, Chief Accountant |
Type:Speech |
| Published date grouping:April 2015 | Date: | Title: The SEC as the Whistleblower's Advocate |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:April 2015 | Date: | Title: Toward Healthy Companies and a Stronger Economy: Remarks to the U.S. Treasury Department’s Corporate Women in Finance Symposium |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:April 2015 | Date: | Title: Remarks at University of South Carolina and UNC-Charlotte 4th Annual Fixed Income Conference |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:April 2015 | Date: | Title: Remarks at the Harvard Law School Symposium on Building the Financial System of the 21st Century: An Agenda for Europe and the United States |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:April 2015 | Date: | Title: The Dominance of Data and the Need for New Tools: Remarks at the SIFMA Operations Conference |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:April 2015 | Date: | Title: The Importance of Smart Regulation |
Speaker:
Rick A. Fleming, Investor AdvocateU.S. Securities and Exchange Commission[1] |
Type:Speech |
| Published date grouping:April 2015 | Date: | Title: Regulators Working Together to Serve Investors |
Speaker:
Commissioner Luis A. Aguilar |
Type:Speech |
| Published date grouping:April 2015 | Date: | Title: Bank Regulators at the Gates: The Misguided Quest for Prudential Regulation of Asset Managers: Remarks at the 2015 Virginia Law and Business Review Symposium |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:March 2015 | Date: | Title: Grading the Commission’s Record on Capital Formation: A+, D, or Incomplete? |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:March 2015 | Date: | Title: International Cooperation in a New Data-Driven World |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:March 2015 | Date: | Title: The Benefits of Structured Data for Investors |
Speaker:
Rick A. Fleming
|
Type:Speech |
| Published date grouping:March 2015 | Date: | Title: Preparing for the Regulatory Challenges of the 21st Century |
Speaker:
Commissioner Luis A. Aguilar |
Type:Speech |
| Published date grouping:March 2015 | Date: | Title: A Few Observations on Shareholders in 2015 |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:March 2015 | Date: | Title: Remarks at the 2015 Mutual Funds and Investment Management Conference |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:March 2015 | Date: | Title: Remarks at the University of Notre Dame, Mendoza College of Business, Center for the Study of Financial Regulation |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:March 2015 | Date: | Title: Understanding Disqualifications, Exemptions and Waivers Under the Federal Securities Laws |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:March 2015 | Date: | Title: A Watched Pot Never Boils: the Need for SEC Supervision of Fixed Income Liquidity, Market Structure, and Pension Accounting |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:March 2015 | Date: | Title: Remarks to 2015 IAA Compliance Conference |
Speaker:
Dave Grim, Acting Director, Division of Investment Management |
Type:Speech |
| Published date grouping:March 2015 | Date: | Title: Supporting Innovation Through the Commission’s Mission to Facilitate Capital Formation |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:March 2015 | Date: | Title: Remarks to PLI Investment Management Institute 2015 |
Speaker:
Dave Grim, Acting Director, Division of Investment Management |
Type:Speech |
| Published date grouping:March 2015 | Date: | Title: Remarks at CBI's Pharmaceutical Compliance Congress |
Speaker:
Andrew Ceresney
Director, Division of Enforcement
|
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Conflicts, Conflicts Everywhere – Remarks to the IA Watch 17th Annual IA Compliance Conference: The Full 360 View |
Speaker:
Julie M. Riewe, Co-Chief, Asset Management Unit, Division of Enforcement |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Insights into the SEC’s Risk Assessment Programs |
Speaker:
Mark J. Flannery, Chief Economist and Director, Division of Economic and Risk Analysis |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Remarks at SIFMA's 2015 Anti-Money Laundering & Financial Crimes Conference |
Speaker:
Andrew Ceresney |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Remarks at the “SEC Speaks” Conference 2015: A Fair, Orderly, and Efficient SEC |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Remarks at the “SEC Speaks” Conference |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Remarks at The SEC Speaks in 2015 |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Setting Forth Goals for 2015: Address to Practising Law Institute’s SEC Speaks in 2015 Program |
Speaker:
Commissioner Luis A. Aguilar |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Effective Disclosure for the 21st Century Investor |
Speaker:
Rick A. Fleming, Investor Advocate |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Chairman’s Address at SEC Speaks 2015 |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Why is the SEC Wavering on Waivers? Remarks at the 37th Annual Conference on Securities Regulation and Business Law |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Opening Remarks on SEC Investor Education and Advocacy to Military Service Men and Women at Ft. Hood |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Rule 14a-8: Conflicting Proposals, Conflicting Views |
Speaker:
Keith F. Higgins, Director, Division of Corporation Finance |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: The Volcker Rule: Observations on Systemic Resiliency, Competition, and Implementation |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Advocating for Investors Saving for Retirement |
Speaker:
Commissioner Luis A. Aguilar |
Type:Speech |
| Published date grouping:February 2015 | Date: | Title: Protecting Elderly Investors from Financial Exploitation: Questions to Consider |
Speaker:
Rick A. Fleming, Investor Advocate |
Type:Speech |
| Published date grouping:January 2015 | Date: | Title: Can the U.S. Be an International Financial Center? |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:January 2015 | Date: | Title: Public Service: An Obligation and Opportunity for Lawyers |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:December 2014 | Date: | Title: Enhancing Risk Monitoring and Regulatory Safeguards for the Asset Management Industry |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:December 2014 | Date: | Title: Remarks to the ICI 2014 Securities Law Developments Conference |
Speaker:
Norm Champ
|
Type:Speech |
| Published date grouping:December 2014 | Date: | Title: Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
T. Kirk Crews
|
Type:Speech |
| Published date grouping:December 2014 | Date: | Title: Remarks Before the 2014 AICPA National Conference on Current SEC and PCAOB Developments — Audit Policy and Current Auditing, Independence, and Internal Control Matters |
Speaker:
Brian T. CroteauDeputy Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2014 | Date: | Title: Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Christopher F. RogersProfessional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2014 | Date: | Title: Remarks before the 2014 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Kevin M. StoutSenior Associate Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2014 | Date: | Title: Remarks before the 2014 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Carlton E. TartarAssociate Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2014 | Date: | Title: Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Steve Mack
|
Type:Speech |
| Published date grouping:December 2014 | Date: | Title: Remarks before the 2014 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Dan MurdockDeputy Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2014 | Date: | Title: Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Julie A. ErhardtDeputy Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2014 | Date: | Title: Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Hillary H. SaloProfessional Accounting Fellow, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2014 | Date: | Title: Remarks before the 2014 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
James SchnurrChief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2014 | Date: | Title: Remarks Before the Consumer Federation of America’s 27th Annual Financial Services Conference |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:November 2014 | Date: | Title: Keynote Address at Columbia Law School Conference on Current Issues in Securities Regulation: The ‘Hot’ Topics |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:November 2014 | Date: | Title: Remarks to the American Bar Association's Business Law Section Fall Meeting |
Speaker:
Andrew Ceresney
|
Type:Speech |
| Published date grouping:November 2014 | Date: | Title: Remarks at 31st International Conference on the Foreign Corrupt Practices Act |
Speaker:
Andrew Ceresney
|
Type:Speech |
| Published date grouping:November 2014 | Date: | Title: Remarks at the 15th Annual "Live from the SEC" Conference |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:November 2014 | Date: | Title: Remarks to the ALI CLE 2014 Conference on Life Insurance Company Products |
Speaker:
Norm ChampDirector, Division of Investment Management, U.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:October 2014 | Date: | Title: Remarks to the SIFMA Complex Products Forum |
Speaker:
Norm Champ, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:October 2014 | Date: |
Title: The Importance of the SEC’s Rulemaking Agenda - You Are What You Prioritize: Remarks at the 47th Annual Securities Regulation Seminar of the Los Angeles County Bar Association |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:October 2014 | Date: | Title: Remarks before Los Angeles County Bar Association 47th Annual Securities Regulation Seminar |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:October 2014 | Date: | Title: The Securities and Exchange Commission — The Next 80 Years: The 15th Annual A.A. Sommer Jr. Lecture on Corporate, Securities and Financial Law |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:October 2014 | Date: | Title: Remarks to the Securities Enforcement Forum 2014 |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:October 2014 | Date: | Title: Shaping Company Disclosure: Remarks before the George A. Leet Business Law Conference |
Speaker:
Keith F. Higgins
|
Type:Speech |
| Published date grouping:October 2014 | Date: | Title: The Challenge of Coverage, Accountability and Deterrence in Global Enforcement |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:September 2014 | Date: | Title: Remarks at the National Association of Plan Advisors D.C. Fly-In Forum |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:September 2014 | Date: | Title: The Commission’s Production and Use of Structured Data |
Speaker:
Mark J. FlanneryChief Economist and Director |
Type:Speech |
| Published date grouping:September 2014 | Date: | Title: Whatever Happened to Promoting Small Business Capital Formation? |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:September 2014 | Date: | Title: Remarks at the 2014 SRO Outreach Conference |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:September 2014 | Date: | Title: Remarks to the Georgetown University Center for Financial Markets and Policy Conference on Financial Markets Quality |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:September 2014 | Date: | Title: Collaboration, Cooperation and Oversight |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:September 2014 | Date: | Title: Completing the Journey: Women as Directors of Public Companies |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:September 2014 | Date: | Title: Remarks to the Practising Law Institute, Hedge Fund Management Seminar 2014 |
Speaker:
Norm ChampDirector, Division of Investment Management U.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:August 2014 | Date: | Title: The Case for User Fees |
Speaker:
Rick A. FlemingInvestor Advocate |
Type:Speech |
| Published date grouping:August 2014 | Date: | Title: Remarks at the 2014 Municipal Finance Conference presented by The Bond Buyer and Brandeis International Business School |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:July 2014 | Date: | Title: Remarks at AEI Conference on Financial Stability |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:July 2014 | Date: | Title: Remarks to the 2014 Insured Retirement Institute Government, Legal & Regulatory Conference |
Speaker:
Norm ChampDirector, Division of Investment Management U.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:June 2014 | Date: | Title: Remarks to the Practising Law Institute, Private Equity Forum |
Speaker:
Norm ChampDirector, Division of Investment Management |
Type:Speech |
| Published date grouping:June 2014 | Date: | Title: Evaluating Pension Fund Investments Through The Lens Of Good Corporate Governance |
Speaker:
Commissioner Luis A. Aguilar |
Type:Speech |
| Published date grouping:June 2014 | Date: | Title: A Few Things Directors Should Know About the SEC |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:June 2014 | Date: | Title: Intermediation in the Modern Securities Markets: Putting Technology and Competition to Work for Investors |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:June 2014 | Date: | Title: Remarks Before the Peterson Institute of International Economics |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:June 2014 | Date: | Title: Boards of Directors, Corporate Governance and Cyber-Risks: Sharpening the Focus |
Speaker:
Commissioner Luis A. Aguilar |
Type:Speech |
| Published date grouping:June 2014 | Date: | Title: Remarks at SEC Historical Society 2014 Annual Meeting: On the 80th Anniversary of the SEC |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:June 2014 | Date: | Title: Enhancing Our Equity Market Structure |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:May 2014 | Date: | Title: Remarks before FINRA's Division of Market Regulation |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:May 2014 | Date: | Title: Remarks at Municipal Securities Rulemaking Board’s 1st Annual Municipal Securities Regulator Summit |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:May 2014 | Date: | Title: Presentation to the PCAOB Forum on Auditing Smaller Broker-Dealers |
Speaker:
Kevin M. StoutSenior Associate Chief Accountant |
Type:Speech |
| Published date grouping:May 2014 | Date: | Title: Keynote Address at Compliance Week 2014 |
Speaker:
Andrew CeresneyDirector of the Division of Enforcement |
Type:Speech |
| Published date grouping:May 2014 | Date: | Title: Remarks at the Financial Accounting Foundation Trustees Dinner |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:May 2014 | Date: | Title: Three Key Pressure Points in the Current Enforcement Environment |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:May 2014 | Date: | Title: Keynote Address at Compliance Week 2014 |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:May 2014 | Date: | Title: Remarks to the First Annual Conference on the Regulation of Financial Markets |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:May 2014 | Date: | Title: Introductory Remarks at The Evolving Role of Compliance in the Securities Industry Presentation |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:May 2014 | Date: | Title: Remarks at the 46th Annual Rocky Mountain Securities Conference |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:May 2014 | Date: | Title: Remarks to the Council of Institutional Investors |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:May 2014 | Date: | Title: Spreading Sunshine in Private Equity |
Speaker:
Andrew J. Bowden, Director, Office of Compliance Inspections and Examinations |
Type:Speech |
| Published date grouping:April 2014 | Date: | Title: Looking at Corporate Governance from the Investor’s Perspective |
Speaker:
Commissioner Luis A. Aguilar |
Type:Speech |
| Published date grouping:April 2014 | Date: | Title: Closing Remarks at the SEC's 24th Annual International Institute for Market Development |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:April 2014 | Date: | Title: What Drives the Complexity and Speed of our Markets? |
Speaker:
Gregg E. Berman
Associate Director, Office of Analytics and Research
|
Type:Speech |
| Published date grouping:April 2014 | Date: | Title: The Future of Capital Formation |
Speaker:
Craig M. Lewis, Chief Economist and Director of the Division of Economic and Risk Analysis |
Type:Speech |
| Published date grouping:April 2014 | Date: | Title: Disclosure Effectiveness: Remarks Before the American Bar Association Business Law Section Spring Meeting |
Speaker:
Keith F. HigginsDirector, Division of Corporation Finance |
Type:Speech |
| Published date grouping:April 2014 | Date: | Title: Remarks before The North American Securities Administrators Association 2014 Public Policy Conference |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:April 2014 | Date: | Title: NASAA and the SEC: Presenting a United Front to Protect Investors |
Speaker:
Commissioner Luis A. Aguilar |
Type:Speech |
| Published date grouping:April 2014 | Date: | Title: Welcoming Remarks at the SEC 24th Annual International Institute for Securities Market Development |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:April 2014 | Date: | Title: Remarks Before the SEC / Academy of Finance Student Shadowing Program |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:April 2014 | Date: | Title: Remarks before the 5th Annual DCIIA Public Policy Forum |
Speaker:
David W. GrimDeputy Director, Division of Investment Management[1] |
Type:Speech |
| Published date grouping:April 2014 | Date: | Title: Taking an Informed Approach to Issues Facing the Mutual Fund Industry |
Speaker:
Commissioner Luis A. Aguilar |
Type:Speech |
| Published date grouping:March 2014 | Date: | Title: Keynote Address - SIFMA Compliance & Legal Society Annual Seminar |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:March 2014 | Date: | Title: Keynote Address at the 2014 Angel Capital Association Summit |
Speaker:
Keith F. Higgins, Director, Division of Corporation Finance |
Type:Speech |
| Published date grouping:March 2014 | Date: | Title: Remarks at the 26th Annual Corporate Law Institute, Tulane University Law School: Federal Preemption of State Corporate Governance |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:March 2014 | Date: | Title: Perspectives on Strengthening Enforcement |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:March 2014 | Date: | Title: Protecting the Retail Investor |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:March 2014 | Date: | Title: Keynote Address at PLI – Thirteenth Annual Institute on Securities Regulation in Europe |
Speaker:
Keith F. Higgins, Director, Division of Corporation Finance |
Type:Speech |
| Published date grouping:March 2014 | Date: | Title: Encouraging Economic Discourse |
Speaker:
Craig M. Lewis, Chief Economist and Director,
|
Type:Speech |
| Published date grouping:March 2014 | Date: | Title: Remarks to the 2014 Mutual Funds and Investment Management Conference |
Speaker:
Norm ChampDirector, Division of Investment Management[*] |
Type:Speech |
| Published date grouping:March 2014 | Date: | Title: Remarks to the 2014 IAA Investment Adviser Compliance Conference |
Speaker:
Norm Champ
|
Type:Speech |
| Published date grouping:March 2014 | Date: | Title: People Handling Other Peoples’ Money |
Speaker:
Andrew J. Bowden, Director, Office of Compliance Inspections and Examinations |
Type:Speech |
| Published date grouping:March 2014 | Date: | Title: Remarks to the PLI Investment Management Institute |
Speaker:
Norm Champ
|
Type:Speech |
| Published date grouping:March 2014 | Date: | Title: Remarks at AIMA Global Policy & Regulatory Forum |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:March 2014 | Date: | Title: Remarks Given at the Institute of International Bankers 25th Annual Washington Conference |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2014 | Date: | Title: Slide Presentation (PDF): Regarding Audit Committees at SEC Speaks 2014 |
Speaker:
Paul Beswick
|
Type:Speech |
| Published date grouping:February 2014 | Date: | Title: An Open Letter to the SEC Staff |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2014 | Date: | Title: Remarks at the “SEC Speaks” Conference |
Speaker:
Commissioner Kara M. SteinU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2014 | Date: | Title: Addressing Known Risks to Better Protect Investors |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2014 | Date: | Title: Chairman’s Address at SEC Speaks 2014 |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:February 2014 | Date: | Title: Remarks before Trader Forum 2014 Equity Trading Summit |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:February 2014 | Date: | Title: Statement at Open Meeting on 2014 PCAOB Budget and Accounting Support Fee |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:February 2014 | Date: | Title: Remarks on the Volcker Rule’s Market Making Exemption |
Speaker:
John Ramsay
|
Type:Speech |
| Published date grouping:February 2014 | Date: | Title: Protecting the Financial Future of Seniors and Retirees |
Speaker:
Commissioner Luis A. Aguilar |
Type:Speech |
| Published date grouping:January 2014 | Date: | Title: The SEC in 2014 |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:January 2014 | Date: | Title: Advancing and Defending the SEC’s Core Mission |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:January 2014 | Date: | Title: Remarks to the Forum for Corporate Directors, Orange County, California |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:January 2014 | Date: | Title: The Philosophies of Capital Requirements |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:January 2014 | Date: | Title: Making A Difference Through Public Service |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:December 2013 | Date: | Title: International Reporting Issues |
Speaker:
Craig OlingerDeputy Chief Accountant, Division of Corporation FinanceJill DavisAssociate Chief Accountant, Division of Corporation Finance |
Type:Speech |
| Published date grouping:December 2013 | Date: | Title: National Conference on Current SEC & PCAOB Developments |
Speaker:
Craig OlingerDeputy Chief Accountant, Division of Corporation Finance |
Type:Speech |
| Published date grouping:December 2013 | Date: | Title: The Impacts of Post-Crisis Global Regulatory Reforms on Financial Markets |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:December 2013 | Date: | Title: Remarks at the AICPA 2013 Conference on Current SEC and PCAOB Developments |
Speaker:
Julie A. ErhardtDeputy Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2013 | Date: | Title: Remarks Before the 2013 AICPA National Conference on Current SEC and PCAOB Developments — Audit Policy and Current Auditing and Internal Control Matters |
Speaker:
Brian T. Croteau Deputy Chief Accountant, Office of the Chief Accountant |
Type:Speech |
| Published date grouping:December 2013 | Date: | Title: Remarks at the AICPA 2013 Conference on Current SEC and PCAOB Developments |
Speaker:
Paul BeswickChief Accountant, Office of the Chief Accountant
|
Type:Speech |
| Published date grouping:December 2013 | Date: | Title: The Benefit of Hindsight and the Promise of Foresight: A Proposal for A Comprehensive Review of Equity Market Structure |
Speaker:
Commissioner Michael S. Piwowar U.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:December 2013 | Date: | Title: Remarks at the 2nd Annual Institute for Corporate Counsel |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:December 2013 | Date: | Title: “Seeing Capital Markets Through Investor Eyes” |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:December 2013 | Date: | Title: Welcoming Remarks (taped) for Central and Eastern Europe Capital Market Summit |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:December 2013 | Date: | Title: Remarks at Transatlantic Corporate Governance Dialogue Conference: The Realities of Stewardship for Institutional Owners, Activist Investors and Proxy Advisors |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:December 2013 | Date: | Title: Remarks at the 10th Annual Transatlantic Corporate Governance Dialogue |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:November 2013 | Date: | Title: Remarks at the American Bar Association Business Law Section’s Federal Regulation of Securities Committee Fall Meeting |
Speaker:
Commissioner Kara M. Stein |
Type:Speech |
| Published date grouping:November 2013 | Date: | Title: Remarks to the Los Angeles County Bar Association Securities Regulation Seminar |
Speaker:
Commissioner Michael S. Piwowar |
Type:Speech |
| Published date grouping:November 2013 | Date: | Title: Keynote Address at the International Conference on the Foreign Corrupt Practices Act |
Speaker:
Andrew CeresneyCo-Director of the Division of Enforcement |
Type:Speech |
| Published date grouping:November 2013 | Date: | Title: Remarks at Columbia Law School Conference (Hot Topics: Leading Current Issues in Securities Regulation and Enforcement) |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:November 2013 | Date: | Title: The Importance of Trials to the Law and Public Accountability |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:November 2013 | Date: | Title: Remarks to the ALI CLE 2013 Conference on Life Insurance Company Products |
Speaker:
Norm Champ
Director, Division of Investment Management
|
Type:Speech |
| Published date grouping:November 2013 | Date: | Title: Remarks at FINRA Enforcement Conference |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:November 2013 | Date: | Title: Knowing Your SEC: A Tribute to the SEC Staff |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:November 2013 | Date: | Title: Remarks at FIA Futures and Options Expo |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:October 2013 | Date: | Title: Remarks at Georgetown University’s Center for Financial Markets and Policy Event |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:October 2013 | Date: | Title: A Stronger Enforcement Program to Enhance Investor Protection |
Speaker:
Commissioner Luis A. Aguilar |
Type:Speech |
| Published date grouping:October 2013 | Date: | Title: A Renewed Focus on SEC Priorities |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:October 2013 | Date: | Title: Slide Presentation (PDF): Broker-Dealer Rulemaking and Applicability of Auditor Independence Rules to Broker-Dealer Audits |
Speaker:
Brian T. CroteauDeputy Chief Accountant |
Type:Speech |
| Published date grouping:October 2013 | Date: | Title: Remarks to the Independent Directors Council Annual Fall Meeting |
Speaker:
Norm ChampDirector, Division of Investment Management
|
Type:Speech |
| Published date grouping:October 2013 | Date: | Title: Remarks at National Society of Compliance Professionals National Membership Meeting |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:October 2013 | Date: | Title: Hedge Funds – A New Era of Transparency and Openness |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:October 2013 | Date: | Title: The Path Forward on Disclosure |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:October 2013 | Date: | Title: Remarks at the Securities Enforcement Forum |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:October 2013 | Date: | Title: Remarks at SCCE's Annual Compliance & Ethics Institute |
Speaker:
Stephen L. CohenAssociate Director of Enforcement |
Type:Speech |
| Published date grouping:October 2013 | Date: | Title: The Importance of Independence |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:October 2013 | Date: | Title: Focusing on Fundamentals: The Path to Address Equity Market Structure |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:September 2013 | Date: | Title: Deploying the Full Enforcement Arsenal |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:September 2013 | Date: | Title: Financial Reporting and Accounting Fraud |
Speaker:
Andrew CeresneyCo-Director of the Division of Enforcement |
Type:Speech |
| Published date grouping:September 2013 | Date: | Title: Slide Presentation (PDF): Update from the Division of Corporation Finance and the Office of the Chief Accountant, 2013 AICPA National Conference on Banks & Savings Institutions |
Speaker:
Stephanie J. Ciboroski, Senior Assistant Chief Accountant; Matthew Schell, Professional Accounting Fellow; and Mark Shannon, Associate Chief Accountant |
Type:Speech |
| Published date grouping:September 2013 | Date: | Title: Celebrating National Hispanic Heritage Month by Recognizing Achievements and Looking Ahead |
Speaker:
Commissioner Luis A. Aguilar |
Type:Speech |
| Published date grouping:September 2013 | Date: | Title: Current SEC Priorities Regarding Hedge Fund Managers |
Speaker:
Norm Champ Director of the Division of Investment Management |
Type:Speech |
| Published date grouping:July 2013 | Date: | Title: Remarks at Society of Corporate Secretaries & Governance Professionals |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:June 2013 | Date: | Title: Corporate Disclosure: The Stage, the Audience and the Players |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:June 2013 | Date: | Title: Remarks to the 2013 Insured Retirement Institute Government, Legal & Regulatory Conference |
Speaker:
Norm ChampDirector, Division of Investment Management
|
Type:Speech |
| Published date grouping:June 2013 | Date: | Title: Transformational Technologies, Market Structure, and the SEC |
Speaker:
Gregg E. BermanAssociate Director, Office of Analytics and Research
|
Type:Speech |
| Published date grouping:June 2013 | Date: | Title: Remarks at the DirectWomen Board Institute |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:June 2013 | Date: | Title: Remarks at the SEC Historical Society Annual Meeting |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:June 2013 | Date: | Title: Money Market Mutual Fund Reform: Opening Statement at the SEC Open Meeting |
Speaker:
Norm ChampDirector, Division of Investment Management
|
Type:Speech |
| Published date grouping:May 2013 | Date: | Title: Remarks at the 32nd Annual SEC and Financial Reporting Institute Conference |
Speaker:
Paul BeswickChief Accountant, Office of the Chief Accountant
|
Type:Speech |
| Published date grouping:May 2013 | Date: | Title: Keynote Luncheon Speech |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:May 2013 | Date: | Title: Remarks at Joint News Conference on National Financial Capability Study |
Speaker:
Chair Mary Jo WhiteU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:May 2013 | Date: | Title: Investor Protection Through Economic Analysis |
Speaker:
Craig M. LewisChief Economist and Director
|
Type:Speech |
| Published date grouping:May 2013 | Date: | Title: Merely Cracking the Glass Ceiling is Not Enough: Corporate America Needs More than Just A Few Women in Leadership |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:May 2013 | Date: | Title: The Important Role of Immigrants in Our Economy |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:May 2013 | Date: | Title: Remarks at 12th European Corporate Governance & Company Law Conference |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:May 2013 | Date: | Title: Cross-Border at the Crossroads: The SEC's "Middle Ground" |
Speaker:
John RamsayActing Director, Division of Trading and Markets
|
Type:Speech |
| Published date grouping:May 2013 | Date: | Title: Remarks at SRO Outreach Conference |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:May 2013 | Date: | Title: Georgia Southern University Commencement Address: Preparing for Challenges and Opportunities |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission* |
Type:Speech |
| Published date grouping:May 2013 | Date: | Title: Remarks at the 45th Annual Rocky Mountain Securities Conference |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:May 2013 | Date: | Title: Regulation in a Global Financial System |
Speaker:
Chair Mary Jo White |
Type:Speech |
| Published date grouping:April 2013 | Date: | Title: Institutional Investors: Power and Responsibility |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:April 2013 | Date: | Title: Doing the Right Thing: Compliance That Works for Investors |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:April 2013 | Date: | Title: Speech by SEC Chairman: Opening Remarks at SEC Roundtable on Fixed Income Markets |
Speaker:
Chair Mary Jo WhiteU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:April 2013 | Date: | Title: Examining Investment Advisers: The Challenge Continues |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:April 2013 | Date: | Title: Keeping a Retail Investor Focus in Overseeing the Fixed Income Market |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:April 2013 | Date: | Title: Outmanned and Outgunned: Fighting on Behalf of Investors Despite Efforts to Weaken Investor Protections |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:April 2013 | Date: | Title: Remarks at the SEC 2013 Spring International Institute for Securities Market Development |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:April 2013 | Date: | Title: Promulgating Rules to Prevent Identity Theft |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:April 2013 | Date: | Title: Remarks at The 2013 National Compliance Outreach Program for Broker-Dealers |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:April 2013 | Date: | Title: Regulation of Cross-Border OTC Derivatives Activities: Finding the Middle Ground |
Speaker:
Chairman Elisse WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:April 2013 | Date: | Title: A Few Observations in the Private Fund Space |
Speaker:
David W. BlassChief Counsel, Division of Trading and Markets
|
Type:Speech |
| Published date grouping:April 2013 | Date: | Title: Remarks to Students at The George Washington University |
Speaker:
Chairman Elisse WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:March 2013 | Date: | Title: Remarks Before the ASIC Forum |
Speaker:
Chairman Elisse WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:March 2013 | Date: | Title: Slide Presentation (PDF): SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, 2012 PCAOB Forums on Auditing in the Small Business Environment |
Speaker:
Craig Olinger |
Type:Speech |
| Published date grouping:March 2013 | Date: | Title: Key Note: Symposium on Building the Financial System of the 21st Century: An Agenda for Europe and the United States |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:March 2013 | Date: | Title: Remarks to the 2013 Mutual Funds and Investment Management Conference |
Speaker:
Norm ChampDirector, Division of Investment Management
|
Type:Speech |
| Published date grouping:March 2013 | Date: | Title: Remarks to the IA Compliance Best Practices Summit 2013 |
Speaker:
Norm Champ, Director, Division of Investment ManagementU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:March 2013 | Date: | Title: Remarks to the IAA Investment Adviser Compliance Conference 2013 |
Speaker:
Norm Champ, Director, Division of Investment ManagementU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:March 2013 | Date: | Title: Remarks to the Investment Management Institute 2013 |
Speaker:
Norm Champ, Director, Division of Investment Management |
Type:Speech |
| Published date grouping:February 2013 | Date: | Title: Keynote Speech at the 7th Gulf Cooperation Council Regulators' Summit |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2013 | Date: | Title: Remarks at "The SEC Speaks in 2013" |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2013 | Date: | Title: Remarks at The SEC Speaks in 2013 |
Speaker:
Commissioner Troy A. ParedesU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2013 | Date: | Title: Addressing Market Instability through Informed and Smart Regulation |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2013 | Date: | Title: Making the Markets Safe for Informed Risk-Taking |
Speaker:
Chairman Elisse WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2013 | Date: | Title: Harnessing Tomorrow's Technology for Today's Investors and Markets |
Speaker:
Chairman Elisse WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2013 | Date: | Title: Opening Remarks at Foreign Bribery and Corruption Training Conference |
Speaker:
Chairman Elisse WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2013 | Date: | Title: Introductory Remarks at the SEC's Roundtable on Decimalization |
Speaker:
James R. Burns |
Type:Speech |
| Published date grouping:February 2013 | Date: | Title: Opening Remarks at Meeting of Advisory Committee on Small and Emerging Companies |
Speaker:
Chairman Elisse WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:January 2013 | Date: | Title: Remarks before the Corporate Directors Forum |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:January 2013 | Date: | Title: Private Equity Enforcement Concerns |
Speaker:
Bruce KarpatiChief, SEC Enforcement Division's Asset Management Unit
|
Type:Speech |
| Published date grouping:January 2013 | Date: | Title: Remarks before the U.S. Chamber Center for Capital Markets Competitiveness |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:December 2012 | Date: | Title: Enforcement Priorities in the Alternative Space |
Speaker:
Bruce KarpatiChief, SEC Enforcement Division's Asset Management Unit
|
Type:Speech |
| Published date grouping:December 2012 | Date: | Title: Risk Modeling at the SEC: The Accounting Quality Model |
Speaker:
Craig M. LewisChief Economist and Director, Division of Risk, Strategy, and Financial Innovation
|
Type:Speech |
| Published date grouping:December 2012 | Date: | Title: Remarks to the ALI CLE 2012 Conference on Investment Adviser Regulation: Legal and Compliance Forum on Institutional Advisory Services |
Speaker:
Norm ChampDirector, Division of Investment Management
|
Type:Speech |
| Published date grouping:December 2012 | Date: | Title: Slide Presentation (PDF): Remarks before the 2012 AICPA National Conference on Current SEC and PCAOB Developments |
Speaker:
Craig Olinger
|
Type:Speech |
| Published date grouping:December 2012 | Date: | Title: Slide Presentation (PDF): Remarks before the 2012 AICPA National Conference on Current SEC and PCAOB Developments - International Reporting Issues |
Speaker:
Craig Olinger
|
Type:Speech |
| Published date grouping:December 2012 | Date: | Title: Remarks Before the 2012 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Jenifer Minke-GirardSenior Associate Chief Accountant, Office of the Chief Accountant
|
Type:Speech |
| Published date grouping:December 2012 | Date: | Title: Capital Formation from the Investor's Perspective |
Speaker:
Commissioner Luis AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:December 2012 | Date: | Title: Remarks Before the 2012 AICPA National Conference on Current SEC and PCAOB Developments - Audit Policy and Current Auditing and Internal Control Matters |
Speaker:
Brian T. CroteauDeputy Chief Accountant, Office of the Chief Accountant
|
Type:Speech |
| Published date grouping:December 2012 | Date: | Title: Remarks at the AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Julie A. ErhardtDeputy Chief Accountant, Office of the Chief Accountant
|
Type:Speech |
| Published date grouping:December 2012 | Date: | Title: Remarks Before the 2012 AICPA Conference on Current SEC and PCAOB Developments |
Speaker:
Paul A. BeswickActing Chief Accountant, Office of the Chief Accountant
|
Type:Speech |
| Published date grouping:November 2012 | Date: | Title: Remarks During News Conference Announcing Charges in a $276 Million Insider Trading Scheme |
Speaker:
Robert KhuzamiDirector of the SEC’s Division of Enforcement
|
Type:Speech |
| Published date grouping:November 2012 | Date: | Title: Remarks During News Conference Call About Enforcement Actions Against J.P. Morgan and Credit Suisse |
Speaker:
Robert KhuzamiDirector of the SEC’s Division of Enforcement
|
Type:Speech |
| Published date grouping:November 2012 | Date: | Title: Remarks at the 2012 SEC Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:November 2012 | Date: | Title: Remarks at the 2012 SEC Government-Business Forum on Small Business Capital Formation |
Speaker:
Commissioner Troy A. ParedesU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:November 2012 | Date: | Title: Effective Small Business Capital Formation Requires Investor Protection to Foster Investor Confidence |
Speaker:
Commissioner Luis AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:November 2012 | Date: | Title: Remarks During News Conference About Enforcement Actions Against BP |
Speaker:
Robert KhuzamiDirector of the SEC’s Division of Enforcement
|
Type:Speech |
| Published date grouping:November 2012 | Date: | Title: Remarks During News Briefing About SEC-DOJ FCPA Guide |
Speaker:
Robert KhuzamiDirector of the SEC’s Division of Enforcement
|
Type:Speech |
| Published date grouping:November 2012 | Date: | Title: Remarks at the Financial Stability Oversight Council Meeting |
Speaker:
Chairman Mary L. Schapiro |
Type:Speech |
| Published date grouping:November 2012 | Date: | Title: Remarks to the ALI CLE 2012 Conference on Life Insurance Company Products |
Speaker:
Norm ChampDirector, Division of Investment Management
|
Type:Speech |
| Published date grouping:October 2012 | Date: | Title: Remarks at the George Washington University Center for Law, Economics and Finance Fourth Annual Regulatory Reform Symposium |
Speaker:
Chairman Mary L. Schapiro |
Type:Speech |
| Published date grouping:October 2012 | Date: | Title: Keynote Address at the National Society of Compliance Professionals National Meeting |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:October 2012 | Date: | Title: Conflicts of Interest and Risk Governance |
Speaker:
Carlo V. di FlorioDirector, Office of Compliance Inspections and Examinations* |
Type:Speech |
| Published date grouping:October 2012 | Date: | Title: Speech by SEC Commissioner: Enhancing Disclosure in the Municipal Securities Market: What Now? |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:October 2012 | Date: | Title: Taking a No-Nonsense Approach to Enforcing the Federal Securities Laws |
Speaker:
Commissioner Luis AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:October 2012 | Date: | Title: The Expanded Role of Economists in SEC Rulemaking |
Speaker:
Craig M. LewisChief Economist and Director, Division of Risk, Strategy, and Financial Innovation
|
Type:Speech |
| Published date grouping:October 2012 | Date: | Title: Speech by SEC Chairman: Remarks at 2012 New England Securities Conference |
Speaker:
Chairman Mary L. SchapiroU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:October 2012 | Date: | Title: “Market 2012: Time for a Fresh Look at Equity Market Structure and Self-Regulation” |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:October 2012 | Date: | Title: Speech by SEC Commissioner: Remarks to American Bar Association International Section |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:October 2012 | Date: | Title: Introductory Remarks at SEC's Market Technology Roundtable |
Speaker:
Chairman Mary L. SchapiroU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:October 2012 | Date: | Title: Speech by SEC Commissioner: Bringing Municipal Bond Trading Into the Light |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:September 2012 | Date: | Title: Crisis and Conflicts |
Speaker:
Ethiopis TafaraDirector, Office of International Affairs
|
Type:Speech |
| Published date grouping:September 2012 | Date: | Title: "SEC Priorities in Perspective" |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:September 2012 | Date: | Title: Remarks at Third SAIS Global Conference on Women in the Boardroom |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:September 2012 | Date: | Title: Working to Achieve the American Dream: Remarks to the Hispanic Bar Association of the District of Columbia |
Speaker:
Commissioner Luis AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:September 2012 | Date: | Title: Remarks Regarding the Fixed Income Markets at the Conference on Financial Markets Quality |
Speaker:
Commissioner Daniel M. GallagherGeorgetown University McDonough School of Business |
Type:Speech |
| Published date grouping:September 2012 | Date: | Title: Slide Presentation (PDF): Update from the Division of Corporation Finance, 2012 AICPA National Conference on Banks & Savings Institutions |
Speaker:
Stephanie Ciboroski, Mark Shannon
|
Type:Speech |
| Published date grouping:August 2012 | Date: | Title: Remarks Before the 2012 American Accounting Association Annual Meeting - Policy Choices Informed by Root Cause Analysis and the Audit Performance Feedback Loop – Investors are counting on all of us |
Speaker:
Brian T. CroteauDeputy Chief Accountant, Office of the Chief Accountant
|
Type:Speech |
| Published date grouping:July 2012 | Date: | Title: Speech by SEC Commissioner: Remarks on News Conference Call About the SEC’s Report on the Municipal Securities Market |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:July 2012 | Date: | Title: Remarks at Society of Corporate Secretaries & Governance Professionals, 66th National Conference on "The Shape of Things to Come" |
Speaker:
Commissioner Troy A. ParedesU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:June 2012 | Date: | Title: Pension Funds as Owners and Investors: A Voice for Working Families |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:June 2012 | Date: | Title: Remarks to the IRI 2012 Government, Legal & Regulatory Conference |
Speaker:
Susan NashAssociate Director, Division of Investment Management
|
Type:Speech |
| Published date grouping:June 2012 | Date: | Title: Public Statement by Commissioner: Investor Voices Renewed: The New Investor Advisory Committee |
Speaker:
Commissioner Luis A. AguilarInvestor Advisory Committee
|
Type:Speech |
| Published date grouping:June 2012 | Date: | Title: Speech by SEC Chairman: Remarks at the Meeting of the Investor Advisory Committee |
Speaker:
Chairman Mary L. SchapiroU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:June 2012 | Date: | Title: Outline of Dodd-Frank Act and JOBS Act |
Speaker:
Lori Schock |
Type:Speech |
| Published date grouping:June 2012 | Date: | Title: Speech by SEC Commissioner: Remarks at the Conference on Current Topics in Financial Regulation, organized by the Center for the Study of Financial Regulation, University of Notre Dame |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:June 2012 | Date: | Title: Risk Assessment at the U.S. Securities & Exchange Commission |
Speaker:
Craig M. LewisChief Economist and Director, Division of Risk, Strategy, and Financial Innovation
|
Type:Speech |
| Published date grouping:May 2012 | Date: | Title: Speech by SEC Commissioner: Remarks Before the Financial Accounting Foundation's 2012 Annual Board of Trustees Dinner |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:May 2012 | Date: | Title: Remarks at AICPA Council Spring Meeting |
Speaker:
Commissioner Troy A. ParedesU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:May 2012 | Date: | Title: Remarks at the 37th International Organization of Securities Commissions Annual Conference |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:May 2012 | Date: | Title: Speech by SEC Staff: What SEC Registration Means for Hedge Fund Advisers |
Speaker:
Norm ChampDeputy Director, Office of Compliance Inspections and Examinations
|
Type:Speech |
| Published date grouping:May 2012 | Date: | Title: Advocating for Greater Federal and State Securities Regulatory Cooperation and Collaboration |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:May 2012 | Date: | Title: Speech by SEC Staff: Address at the Private Equity International Private Fund Compliance Forum |
Speaker:
Carlo V. di FlorioDirector, Office of Compliance Inspections and Examinations
|
Type:Speech |
| Published date grouping:May 2012 | Date: | Title: Summary of Remarks at a Meeting of OTC Derivatives Regulators |
Speaker:
Chairman Mary L. Schapiro
|
Type:Speech |
| Published date grouping:May 2012 | Date: | Title: Remarks before AusBiotech |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:April 2012 | Date: | Title: Remarks to the American Chamber of Commerce in Australia |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:April 2012 | Date: | Title: Remarks to the IFRS Taxonomy Annual Convention 2012 |
Speaker:
Mike StarrDeputy Chief Accountant
|
Type:Speech |
| Published date grouping:April 2012 | Date: | Title: Remarks at the 44th Annual Rocky Mountain Securities Conference |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:March 2012 | Date: | Title: Speech by SEC Chairman: Remarks at the SIFMA C&L Conference |
Speaker:
Chairman Mary L. SchapiroU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:March 2012 | Date: | Title: Remarks at the 2012 Mutual Funds and Investment Management Conference |
Speaker:
Commissioner Elisse B. WalterU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:March 2012 | Date: | Title: Speech by SEC Chairman: Remarks at the Society of American Business Editors and Writers (SABEW) Annual Convention |
Speaker:
Chairman Mary L. SchapiroU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:March 2012 | Date: | Title: Speech by Commissioner: Why Seniors Are More Vulnerable Now As Targets for Financial Abuse |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:March 2012 | Date: | Title: Keynote Address: Investment Adviser Association Investment Adviser Compliance Conference/2012 |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:March 2012 | Date: | Title: Keynote Address at PLI - Eleventh Annual Institute on Securities Regulation in Europe |
Speaker:
Meredith CrossDirector, Division of Corporation Finance
|
Type:Speech |
| Published date grouping:March 2012 | Date: | Title: Ongoing Regulatory Reform in the Global Capital Markets |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2012 | Date: | Title: “Broker-Dealer Anti-Money Laundering Compliance – Learning Lessons from the Past and Looking to the Future” |
Speaker:
David W. BlassChief Counsel, Division of Trading and Markets
|
Type:Speech |
| Published date grouping:February 2012 | Date: | Title: Remarks at The SEC Speaks in 2012 |
Speaker:
Commissioner Elisse B. Walter |
Type:Speech |
| Published date grouping:February 2012 | Date: | Title: Remarks at “The SEC Speaks in 2012” |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities & Exchange Commission |
Type:Speech |
| Published date grouping:February 2012 | Date: | Title: Shining a Light on Expenditures of Shareholder Money |
Speaker:
Commissioner Luis A. AguilarU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2012 | Date: | Title: Remarks at “The SEC Speaks in 2012” |
Speaker:
Commissioner Troy A. ParedesU.S. Securities & Exchange Commission |
Type:Speech |
| Published date grouping:February 2012 | Date: | Title: Speech by SEC Chairman: Remarks at the Practising Law Institute’s SEC Speaks |
Speaker:
Chairman Mary L. SchapiroU.S. Securities and Exchange Commission |
Type:Speech |
| Published date grouping:February 2012 | Date: | Title: Remarks at the Credit Suisse Global Equity Trading Forum |
Speaker:
Commissioner Daniel M. Gallagher |
Type:Speech |
| Published date grouping:February 2012 | Date: | Title: Slide Presentation (PDF): SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, PCAOB Forums on Auditing in the Small Business Environment |
Speaker:
Craig Olinger |
Type:Speech |
| Published date grouping:February 2012 | Date: | Title: Remarks Before the PLI Investment Management Institute 2012 |
Speaker:
Eileen P. RomingerDirector, Division of Investment Management
|
Type:Speech |
| Published date grouping:February 2012 | Date: | Title: Slide Presentation (PDF): SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, PCAOB Forums on Auditing in the Small Business Environment |
Speaker:
Craig Olinger
|
Type:Speech |
| Published date grouping:February 2012 | Date: | Title: Speech by SEC Staff: Remarks on News Conference Call About Case Against Credit Suisse Investment Bankers |
Speaker:
Robert KhuzamiDirector of the SEC’s Division of Enforcement
|
Type:Speech |
| Published date grouping:January 2012 | Date: | Title: Speech by SEC Staff: Remarks at the Compliance Outreach Program |
Speaker:
Carlo V. di Florio
Director, Office of Compliance Inspections and Examinations
|
Type:Speech |
| Published date grouping:January 2012 | Date: | Title: Speech by SEC Staff: Remarks at Joint News Conference to Announce RMBS Working Group |
Speaker:
Robert KhuzamiDirector of the SEC’s Division of Enforcement
|
Type:Speech |
| Published date grouping:January 2012 | Date: | Title: Speech by SEC Staff: News Conference Remarks |
Speaker:
Robert KhuzamiDirector of the SEC’s Division of Enforcement
|
Type:Speech |
| Published date grouping:January 2012 | Date: | Title: Remarks at the SRO Outreach Conference |
Speaker:
Commissioner Daniel M. GallagherU.S. Securities and Exchange Commission |
Type:Speech |