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 RSS Feed
Date Title Speaker Type
Statement at Open Meeting on Proposed Rule 12d1-4 under the Investment Company Act of 1940 Governing Fund of Funds Arrangements Commissioner Kara M. Stein
Statement
Statement on Proposed Rule Regarding Risk Mitigation Techniques for Uncleared Security-Based Swaps Commissioner Kara M. Stein
Statement
Statement on Rule 194, Applications By Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps Commissioner Kara M. Stein
Statement
Statement on the Commission’s Consideration of the Public Company Accounting Oversight Board’s Proposed 2019 Budget and Accounting Support Fee Commissioner Kara M. Stein
Statement
Remarks at the SEC’s Investor Advisory Committee Meeting Commissioner Kara M. Stein
Statement
Remarks at The Road Ahead: Municipal Securities Disclosure in an Evolving Market Conference Commissioner Kara M. Stein
Statement
Opening Remarks at the 2018 SEC Staff Roundtable on the Proxy Process Commissioner Kara M. Stein
Statement
Improving Information for Investors in the Digital Age Commissioner Kara M. Stein
Speech
The New American Dream: Retirement Security Commissioner Kara M. Stein
Speech
Statement on Commission Action Regarding Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers Commissioner Kara M. Stein
Statement
From the Data Rush to the Data Wars: A Data Revolution in Financial Markets Commissioner Kara M. Stein
Speech
Statement on Proposed Amendments to the Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize A Registrant’s Securities (Rule 3-10 and Rule 3-16 of Regulation S-X) Commissioner Kara M. Stein
Statement
Statement on Amendment to Securities Act Rule 701(e) and Concept Release on Potential Revisions to Securities Act Rule 701 and Securities Act Form S-8 Commissioner Kara M. Stein
Statement
Statement on Adoption of Rules to Increase the Operational Transparency of Alternative Trading Systems (ATS) Commissioner Kara M. Stein
Statement
Statement at Fixed Income Market Structure Advisory Committee Meeting Commissioner Kara M. Stein
Statement
Statement on Proposed Amendments to the Commission’s Whistleblower Program Rules Commissioner Kara M. Stein
Statement
Statement at Open Meeting on the Proposed Rule 6c-11 under the Investment Company Act of 1940 Governing Exchange-Traded Funds Commissioner Kara M. Stein
Statement
Statement on Adoption of Amendments to Investment Company Liquidity Disclosure Commissioner Kara M. Stein
Statement
Statement on Final Rule of Inline XBRL Filing of Tagged Data Commissioner Kara M. Stein
Statement
Statement on Amendments to Smaller Reporting Company Definition Commissioner Kara M. Stein
Statement
Remarks at the SEC’s Investor Advisory Committee Meeting Commissioner Kara M. Stein
Statement
"A Framework of Trust" Commissioner Kara M. Stein
Speech
Statement on Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Commissioner Kara M. Stein
Statement
Statement on Final Rule on the Optional Internet Availability of Investment Company Shareholder Reports, Request for Comment on the Investor Experience, and Request for Comment on Intermediary Fees Commissioner Kara M. Stein
Statement
Statement on Proposals Relating to Regulation Best Interest, Form CRS, Restrictions on the Use of Certain Names or Titles, and Commission Interpretation Regarding the Standard of Conduct for Investment Advisers Commissioner Kara M. Stein
Statement
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