Public statements by the Chairman, Commissioners, and staff of the SEC, which cover a wide range of topics concerning the state of the markets and the Commission's regulatory agenda. To view Public Statements prior to 2012, view the Public Statements Archive.
|
Published date grouping
|
Date
|
Title
|
Speaker
|
|---|---|---|---|
| Published date grouping:December 2018 | Date: | Title: Statement in Relation to the SEC Open Meeting and Thank You to Kara Stein |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:December 2018 | Date: | Title: Statement at Open Meeting on Proposed Rule 12d1-4 under the Investment Company Act of 1940 Governing Fund of Funds Arrangements |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:December 2018 | Date: | Title: Statement on Proposed Rule Regarding Risk Mitigation Techniques for Uncleared Security-Based Swaps |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:December 2018 | Date: | Title: Statement on Rule 194, Applications By Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:December 2018 | Date: | Title: Final Rules Regarding Disqualified Actors in the Security-Based Swaps Market |
Speaker:
Commissioner Robert J. Jackson Jr.
|
| Published date grouping:December 2018 | Date: | Title: Statement on the Commission’s Consideration of the Public Company Accounting Oversight Board’s Proposed 2019 Budget and Accounting Support Fee |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:December 2018 | Date: | Title: Statement at Open Meeting on Consideration of Whether to Adopt Rule of Practice 194 and to Propose Rules Regarding Risk Mitigation Techniques for Uncleared Security-Based Swaps |
Speaker:
Commissioner Hester M. Peirce
|
| Published date grouping:December 2018 | Date: | Title: Joint Statement on the IDI Exception to the Swap Dealer Definition |
Speaker:
SEC Chairman Jay Clayton CFTC Chairman Christopher Giancarlo |
| Published date grouping:December 2018 | Date: | Title: Remarks at the SEC’s Investor Advisory Committee Meeting |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:December 2018 | Date: | Title: Remarks to the Annual Government-Business Forum on Small Business Capital Formation in Columbus, Ohio |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:December 2018 | Date: | Title: Statement on the Vital Role of Audit Quality and Regulatory Access to Audit and Other Information Internationally—Discussion of Current Information Access Challenges with Respect to U.S.-listed Companies with Significant Operations in China |
Speaker:
SEC Chairman Jay Clayton SEC Chief Accountant Wes Bricker PCAOB Chairman William D. Duhnke III |
| Published date grouping:December 2018 | Date: | Title: Opening Remarks at the Municipal Securities Conference |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:December 2018 | Date: | Title: Opening Remarks at 2018 Municipal Securities Disclosure Conference |
Speaker:
Rebecca Olsen, Director, Office of Municipal Securities |
| Published date grouping:December 2018 | Date: | Title: Remarks at The Road Ahead: Municipal Securities Disclosure in an Evolving Market Conference |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:December 2018 | Date: | Title: Commission Statement on Passing of President George H.W. Bush |
Speaker:
Chairman Jay Clayton |
| Published date grouping:November 2018 | Date: | Title: Statement on Jury Trial of Ex-CFO of AVEO Pharmaceuticals |
Speaker:
Stephanie Avakian, Co-Director, SEC Division of Enforcement Steven Peikin, Co-Director, SEC Division of Enforcement |
| Published date grouping:November 2018 | Date: | Title: Statement on Digital Asset Securities Issuance and Trading |
Speaker:
Division of Corporation Finance, Division of Investment Management, and Division of Trading and Markets |
| Published date grouping:November 2018 | Date: | Title: Statement at the SEC Staff Roundtable on the Proxy Process |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:November 2018 | Date: | Title: Opening Remarks at the 2018 SEC Staff Roundtable on the Proxy Process |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:November 2018 | Date: | Title: Statement at Proxy Process Roundtable |
Speaker:
Commissioner Elad L. Roisman
|
| Published date grouping:November 2018 | Date: | Title: Remarks to the SEC Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:November 2018 | Date: | Title: Statement on Enhancing Order Handling Disclosures |
Speaker:
Brett Redfearn, Director, Division of Trading and Markets |
| Published date grouping:October 2018 | Date: | Title: Opening Statement at the October 2018 Fixed Income Market Structure Advisory Committee Meeting |
Speaker:
Commissioner Elad L. Roisman
|
| Published date grouping:October 2018 | Date: | Title: Remarks at Fixed Income Market Structure Advisory Committee Meeting |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:October 2018 | Date: | Title: Opening Statement at the SEC Staff Roundtable on Market Data and Market Access |
Speaker:
Brett Redfearn, Director, Division of Trading and Markets |
| Published date grouping:October 2018 | Date: | Title: Statement at the Roundtable on Market Data and Market Access |
Speaker:
Commissioner Elad L. Roisman
|
| Published date grouping:October 2018 | Date: | Title: Remarks at Roundtable on Market Data and Market Access |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:October 2018 | Date: | Title: Statement on Market Data Fees and Market Structure |
Speaker:
Chairman Jay Clayton[1] |
| Published date grouping:October 2018 | Date: | Title: Joint Statement on the Application of SIFMA for Review of Action Taken by NYSE Arca, Inc., and NASDAQ Stock Market LLC |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
| Published date grouping:October 2018 | Date: | Title: Opening Statement at the SEC Open Meeting |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:October 2018 | Date: | Title: Statement on Re-Opening Comment Period for Capital/Margin/Segregation for Security-Based Swap Dealers |
Speaker:
Commissioner Robert J. Jackson Jr.
|
| Published date grouping:October 2018 | Date: | Title: Statement on Re-Opening the Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers |
Speaker:
Commissioner Elad L. Roisman
|
| Published date grouping:October 2018 | Date: | Title: Statement on Commission Action Regarding Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:October 2018 | Date: | Title: Statement at Open Meeting on Re-Opening Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap |
Speaker:
Commissioner Hester M. Peirce
|
| Published date grouping:September 2018 | Date: | Title: Statement Regarding Agreed Settlements With Elon Musk and Tesla |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:September 2018 | Date: | Title: Opening Remarks at the SEC Staff Roundtable on Regulatory Approaches to Combating Retail Investor Fraud |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:September 2018 | Date: | Title: Statement on Order of Suspension of Trading of Certain Bitcoin/Ether Tracking Certificates |
Speaker:
Division of Trading and Markets and Division of Corporation Finance |
| Published date grouping:September 2018 | Date: | Title: Statement on Shareholder Voting |
Speaker:
Commissioner Robert J. Jackson Jr.
|
| Published date grouping:September 2018 | Date: | Title: Remarks to the SEC Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:September 2018 | Date: | Title: Statement Regarding Staff Proxy Advisory Letters |
Speaker:
Investment Management |
| Published date grouping:September 2018 | Date: | Title: Statement Regarding SEC Staff Views |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:September 2018 | Date: | Title: Statement on the Expiration of the Tick Size Pilot |
Speaker:
Division of Economic and Risk Analysis and Division of Trading and Markets |
| Published date grouping:September 2018 | Date: | Title: Statement on Senate Confirmation of Elad L. Roisman |
Speaker:
Chairman Jay Clayton |
| Published date grouping:August 2018 | Date: | Title: Statement on Status of the Consolidated Audit Trail |
Speaker:
Brett Redfearn, Director, SEC Division of Trading and Markets |
| Published date grouping:August 2018 | Date: | Title: Statement on Investor Roundtables Regarding Standards of Conduct for Investment Professionals Rulemaking |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:August 2018 | Date: | Title: Statement on Investing in America for the Long Term |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:July 2018 | Date: | Title: Statement Regarding Treasury's Report on Nonbank Financials, Fintech, and Innovation |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:July 2018 | Date: | Title: Statement Announcing SEC Staff Roundtable on the Proxy Process |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:July 2018 | Date: | Title: Dissent of Commissioner Hester M. Peirce to Release No. 34-83723; File No. SR-BatsBZX-2016-30 |
Speaker:
Commissioner Hester M. Peirce
|
| Published date grouping:July 2018 | Date: | Title: Statement on Proposed Amendments to the Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize A Registrant’s Securities (Rule 3-10 and Rule 3-16 of Regulation S-X) |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:July 2018 | Date: | Title: Opening Statement at the SEC Open Meeting |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:July 2018 | Date: | Title: Statement of Commissioner Robert J. Jackson, Jr. Final Rules Regarding Regulation ATS (Alternative Trading Systems) |
Speaker:
Commissioner Robert J. Jackson Jr.
|
| Published date grouping:July 2018 | Date: | Title: Statement at Open Meeting on NMS Stock Alternative Trading Systems |
Speaker:
Commissioner Hester M. Peirce
|
| Published date grouping:July 2018 | Date: | Title: Statement on Amendment to Securities Act Rule 701(e) and Concept Release on Potential Revisions to Securities Act Rule 701 and Securities Act Form S-8 |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:July 2018 | Date: | Title: Statement on Adoption of Rules to Increase the Operational Transparency of Alternative Trading Systems (ATS) |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:July 2018 | Date: | Title: Statement at Open Meeting on Rule 701 Amendment and Concept Release |
Speaker:
Commissioner Hester M. Peirce
|
| Published date grouping:July 2018 | Date: | Title: Statement at Fixed Income Market Structure Advisory Committee Meeting |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Amendments to Smaller Reporting Company Definition |
Speaker:
Commissioner Hester M. Peirce |
| Published date grouping:June 2018 | Date: | Title: Statement on Final Rule of Inline XBRL Filing of Tagged Data |
Speaker:
Commissioner Hester M. Peirce |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Exchange-Traded Funds |
Speaker:
Commissioner Hester M. Peirce |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Amendments to the Commission’s Whistleblower Program Rules |
Speaker:
Commissioner Hester M. Peirce
|
| Published date grouping:June 2018 | Date: | Title: Statement on Final Rules Regarding Smaller Reporting Companies |
Speaker:
Commissioner Robert J. Jackson, Jr. |
| Published date grouping:June 2018 | Date: | Title: Statement on Proposed Rules Regarding SEC Whistleblower Program |
Speaker:
Commissioner Robert J. Jackson, Jr. |
| Published date grouping:June 2018 | Date: | Title: Statement on Investment Company Liquidity Disclosure |
Speaker:
Commissioner Robert J. Jackson Jr.
|
| Published date grouping:June 2018 | Date: | Title: Statement on Proposed Amendments to the Commission’s Whistleblower Program Rules |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on the Proposed Rule 6c-11 under the Investment Company Act of 1940 Governing Exchange-Traded Funds |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:June 2018 | Date: | Title: Statement on Adoption of Amendments to Investment Company Liquidity Disclosure |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:June 2018 | Date: | Title: Statement on Final Rule of Inline XBRL Filing of Tagged Data |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Investment Company Liquidity Disclosure Adopting Release |
Speaker:
Commissioner Hester M. Peirce
|
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Exchange-Traded Funds |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:June 2018 | Date: | Title: Opening Statement at Open Meeting |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Amendments to the Commission’s Whistleblower Program Rules |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Amendments to Smaller Reporting Company Definition |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Inline XBRL Filing of Tagged Data |
Speaker:
Chairman Jay Clayton |
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Investment Company Liquidity Disclosure |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:June 2018 | Date: | Title: Statement of Commissioner Robert J. Jackson, Jr. on Proposed Rules Regarding Exchange Traded Funds (ETFs) |
Speaker:
Commissioner Robert J. Jackson Jr.
|
| Published date grouping:June 2018 | Date: | Title: Statement on Amendments to Smaller Reporting Company Definition |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:June 2018 | Date: | Title: Statement of Commissioner Piwowar at Open Meeting Regarding Amendments to the Commission’s Whistleblower Program Rules |
Speaker:
Commissioner Michael S. Piwowar
|
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Investment Company Liquidity Disclosure (Final Rule) |
Speaker:
Commissioner Michael S. Piwowar
|
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Exchange-Traded Funds (Proposed Rule) |
Speaker:
Commissioner Michael S. Piwowar
|
| Published date grouping:June 2018 | Date: | Title: Statement of Commissioner Piwowar at Open Meeting Regarding Amendments to Smaller Reporting Company Definition |
Speaker:
Commissioner Michael S. Piwowar
|
| Published date grouping:June 2018 | Date: | Title: Statement of Commissioner Piwowar at Open Meeting Regarding Inline XBRL Filing of Tagged Data |
Speaker:
Commissioner Michael S. Piwowar
|
| Published date grouping:June 2018 | Date: | Title: Statement on Retirement of Justice Kennedy |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:June 2018 | Date: | Title: Remarks to the SEC Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:June 2018 | Date: | Title: Remarks at the SEC’s Investor Advisory Committee Meeting |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:June 2018 | Date: | Title: Statement on Investment Company Disclosure |
Speaker:
Commissioner Robert J. Jackson Jr.
|
| Published date grouping:June 2018 | Date: | Title: Opening Remarks to the Elder Justice Coordinating Council |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Inter-Agency Proposal for Amendments to the Volcker Rule |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:June 2018 | Date: | Title: Statement at Open Meeting on Amendments to the Volcker Rule |
Speaker:
Commissioner Hester M. Peirce
|
| Published date grouping:June 2018 | Date: | Title: Statement on Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:June 2018 | Date: | Title: Proposed Amendments to the Volcker Rule |
Speaker:
Commissioner Robert J. Jackson Jr.
|
| Published date grouping:June 2018 | Date: | Title: Statement on Investment Company Design, Delivery and Disclosures Rulemaking Package |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:June 2018 | Date: | Title: Optional Internet Availability of Investment Company Shareholder Reports |
Speaker:
Commissioner Hester M. Peirce
|
| Published date grouping:June 2018 | Date: | Title: Statement on Investment Company Rule 30e-3, Enabling Optional Internet Availability of Shareholder Reports |
Speaker:
Commissioner Michael S. Piwowar
|
| Published date grouping:June 2018 | Date: | Title: Statement on Final Rule on the Optional Internet Availability of Investment Company Shareholder Reports, Request for Comment on the Investor Experience, and Request for Comment on Intermediary Fees |
Speaker:
Commissioner Kara M. Stein
|
| Published date grouping:May 2018 | Date: | Title: Statement on NASAA’s Announcement of Enforcement Sweep Targeting Fraudulent ICOs and Crypto-asset Investment Products |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:May 2018 | Date: | Title: Statement on Commissioner Michael S. Piwowar |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:May 2018 | Date: | Title: Statement of Commissioner Michael S. Piwowar |
Speaker:
Commissioner Michael S. Piwowar
|
| Published date grouping:April 2018 | Date: | Title: Statement on Public Engagement Regarding Standards of Conduct for Investment Professionals Rulemaking |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:April 2018 | Date: | Title: Overview of the Standards of Conduct for Investment Professionals Rulemaking Package |
Speaker:
Chairman Jay Clayton
|
- Show
- Items