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.
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Published date grouping
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Date
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Title
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Speaker
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|---|---|---|---|
| Published date grouping:December 2020 | Date: | Title: Statement on the Renaming of the Office of Compliance Inspections and Examinations to the Division of Examinations |
Speaker:
Chairman Jay Clayton
Commissioner Hester M. Peirce Commissioner Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
| Published date grouping:December 2020 | Date: | Title: Consolidated Audit Trail: Focus on Effective Implementation Puts CAT on Track |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:December 2020 | Date: | Title: Statement on Adoption of Resource Extraction Disclosure Rules |
Speaker:
Chairman Jay Clayton
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| Published date grouping:December 2020 | Date: | Title: Statement at Open Meeting on Disclosure of Payments by Resource Extraction Issuers |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:December 2020 | Date: | Title: Statement at Open Meeting on Disclosure of Payments by Resource Extraction Issuers |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:December 2020 | Date: | Title: Statement on Rules Governing the Disclosure of Payments by Resource Extraction Issuers |
Speaker:
Commissioner Allison Herren Lee
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| Published date grouping:December 2020 | Date: | Title: Statement on Resource Extraction |
Speaker:
Commissioner Caroline A. Crenshaw
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| Published date grouping:December 2020 | Date: | Title: Statement of Dissent from the Commission’s Order Approving the Financial Industry Regulatory Authority’s Proposed Rule Change, as Modified by Amendment No. 1, to Address Brokers with a Significant History of Misconduct |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:December 2020 | Date: | Title: Statement on the Departure of Director Stephanie Avakian |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:December 2020 | Date: | Title: Statement on Adoption of Market Data Infrastructure Rules under Regulation NMS |
Speaker:
Chairman Jay Clayton
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| Published date grouping:December 2020 | Date: | Title: Market Data Infrastructure: Open Meeting Statement |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:December 2020 | Date: | Title: Statement at Open Commission Meeting to Adopt Market Data Infrastructure Rules under Regulation NMS |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:December 2020 | Date: | Title: Roadwork Ahead: Upgrading Market Data Infrastructure |
Speaker:
Commissioner Allison Herren Lee
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| Published date grouping:December 2020 | Date: | Title: Statement on Market Data Infrastructure |
Speaker:
Commissioner Caroline A. Crenshaw
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| Published date grouping:December 2020 | Date: | Title: Statement on Bob Stebbins Concluding His Tenure at SEC |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:December 2020 | Date: | Title: Statement on the Departure of Bill Hinman |
Speaker:
Chairman Jay Clayton
Commissioner Hester M. Peirce Commissioner Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
| Published date grouping:December 2020 | Date: | Title: Statement at FSOC Open Meeting |
Speaker:
Chairman Jay Clayton
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| Published date grouping:December 2020 | Date: | Title: Statement on Good Faith Determinations of Fair Value under the Investment Company Act of 1940 Final Rule |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:December 2020 | Date: | Title: Remarks at Meeting of SEC Investor Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:December 2020 | Date: | Title: Opening Remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Chairman Jay Clayton
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| Published date grouping:December 2020 | Date: | Title: Opening remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:December 2020 | Date: | Title: Statement at the Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:December 2020 | Date: | Title: Remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Dalia Blass, Director, Division of Investment Management |
| Published date grouping:November 2020 | Date: | Title: Statement on Developments Related to the LIBOR Transition |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:November 2020 | Date: | Title: Statement on Third Meeting with Audit Firm Representatives Regarding Audit Quality in Emerging Markets and Recent Developments |
Speaker:
SEC Chairman Jay Clayton |
| Published date grouping:November 2020 | Date: | Title: Statement on Proposed Temporary Rules to Include Certain “Platform Workers” in Compensatory Offerings under Rule 701 and Form S-8 |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
| Published date grouping:November 2020 | Date: | Title: Joint Statement on the Proposal to Facilitate Non-Cash Compensation for Certain Gig Workers |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
| Published date grouping:November 2020 | Date: | Title: Joint Statement on Amendments to Regulation S-K: Management’s Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
| Published date grouping:November 2020 | Date: | Title: Statement on Departure of Chairman Jay Clayton |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
| Published date grouping:November 2020 | Date: | Title: Statement on Recent Enforcement Matters Involving “VIX-Related” and Other Complex Exchange Traded Products (ETPs) from the SEC Office of Compliance Inspections and Examinations |
Speaker:
Office of Compliance Inspections and Examinations Staff |
| Published date grouping:November 2020 | Date: | Title: Statement of Commissioners Hester M. Peirce and Elad L. Roisman - Andeavor LLC |
Speaker:
Commissioner Hester M. Peirce
Commissioner Elad L. Roisman |
| Published date grouping:November 2020 | Date: | Title: Statement on Staff Bulletin Related to Risks Associated with Offshore Omnibus Accounts Transacting in “Penny Stocks” and other Low-Priced U.S. Securities |
Speaker:
Chairman Jay Clayton
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| Published date grouping:November 2020 | Date: | Title: Staff Statement on WY Division of Banking’s “NAL on Custody of Digital Assets and Qualified Custodian Status” |
Speaker:
Division of Investment Management Staff in Consultation with FinHub Staff |
| Published date grouping:November 2020 | Date: | Title: Remarks: Small Business Capital Formation Advisory Committee Meeting |
Speaker:
Chairman Jay Clayton
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| Published date grouping:November 2020 | Date: | Title: Remarks at Meeting of the SEC Small Business Capital Formation Advisory Committee, Proposed Conditional Exemption for Finders; COVID-19 Updates and Discussion |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:November 2020 | Date: | Title: Remarks at the November 5, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Dalia Blass, Director, Division of Investment Management |
| Published date grouping:November 2020 | Date: | Title: Opening remarks at the November 5, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:November 2020 | Date: | Title: Opening Remarks at the November 5, 2020 Special Meeting of the Asset Management Advisory Committee |
Speaker:
Chairman Jay Clayton
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| Published date grouping:November 2020 | Date: | Title: Statement on Harmonizing, Simplifying and Improving the Exempt Offering Framework; Benefits to Small and Medium-Sized Business and Their Investors |
Speaker:
Chairman Jay Clayton
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| Published date grouping:November 2020 | Date: | Title: Statement at Open Meeting on Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:November 2020 | Date: | Title: Statement at Open Meeting on Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:November 2020 | Date: | Title: Statement on Amendments to the Exempt Offering Framework |
Speaker:
Commissioner Allison Herren Lee
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| Published date grouping:November 2020 | Date: | Title: Statement on Harmonization of Securities Offering Exemptions |
Speaker:
Commissioner Caroline A. Crenshaw
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| Published date grouping:October 2020 | Date: | Title: Modernizing the Regulatory Framework for Funds’ Use of Derivatives |
Speaker:
Chairman Jay Clayton
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| Published date grouping:October 2020 | Date: | Title: Opening Statement on Use of Derivatives by Registered Investment Companies and Business Development Companies |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:October 2020 | Date: | Title: Statement on Regulation of Funds' Use of Derivatives |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:October 2020 | Date: | Title: Statement on the Final Rule on Funds' Use of Derivatives |
Speaker:
Commissioner Allison Herren Lee
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| Published date grouping:October 2020 | Date: | Title: Statement on Funds' Use of Derivatives |
Speaker:
Commissioner Caroline A. Crenshaw
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| Published date grouping:October 2020 | Date: | Title: Joint Statement Regarding Complex Financial Products and Retail Investors |
Speaker:
Chairman Jay Clayton; Dalia Blass, Director, Division of Investment Management; William Hinman, Director, Division of Corporation Finance; Brett Redfearn, Director, Division of Trading and Markets |
| Published date grouping:October 2020 | Date: | Title: Statement on Tenure of William Hinman as Director of the Division of Corporation Finance |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:October 2020 | Date: | Title: Statement at the SEC’s Staff Roundtable on Regulation Best Interest and Form CRS |
Speaker:
Chairman Jay Clayton
|
| Published date grouping:October 2020 | Date: | Title: Joint Statement on No-Action Relief for Non-Compliance with the Customer Protection Rule |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
| Published date grouping:October 2020 | Date: | Title: Statement Regarding Tradenet Capital Markets Ltd. |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:October 2020 | Date: | Title: Statement at the IDC Conference and Governing Council meeting |
Speaker:
Dalia Blass, Director, Division of Investment Management |
| Published date grouping:October 2020 | Date: | Title: Joint Open Meeting with CFTC - Customer Margin Rules for Security Futures and Request for Comment on Uncleared Swaps and Non-cleared Security-based Swaps |
Speaker:
Chairman Jay Clayton
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| Published date grouping:October 2020 | Date: | Title: CFTC-SEC Joint Meeting |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:October 2020 | Date: | Title: Promoting an Effective Auditor Independence Framework |
Speaker:
Chairman Jay Clayton
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| Published date grouping:October 2020 | Date: |
Title: Who Watches the Watchers?* Joint Statement on Auditor Independence Amendments |
Speaker:
Commissioner Allison Herren Lee
Commissioner Caroline A. Crenshaw |
| Published date grouping:October 2020 | Date: | Title: Statement on Order Approving a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:October 2020 | Date: | Title: Joint Statement Regarding New FAQs for Form CRS [1] |
Speaker:
Chairman Jay Clayton
Dalia Blass, Director, Division of Investment Management Brett Redfearn, Director, Division of Trading and Markets |
| Published date grouping:October 2020 | Date: | Title: Open Meeting on Proposed Finders Exemption – Providing Regulatory Clarity to Benefit Small Businesses |
Speaker:
Chairman Jay Clayton
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| Published date grouping:October 2020 | Date: | Title: Statement at Open Meeting on Proposed Exemptive Order for Certain Activities of Finders |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:October 2020 | Date: | Title: Statement at Open Meeting Considering a Proposed Exemptive Order for Finders |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:October 2020 | Date: | Title: Regulating in the Dark: What We Don’t Know About Finders Can Hurt Us |
Speaker:
Commissioner Allison Herren Lee
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| Published date grouping:October 2020 | Date: | Title: Statement on Proposed Exemptive Relief for Finders |
Speaker:
Commissioner Caroline A. Crenshaw
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| Published date grouping:October 2020 | Date: | Title: Remarks at Meeting of the Fixed Income Market Structure Advisory Committee |
Speaker:
Chairman Jay Clayton
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| Published date grouping:October 2020 | Date: | Title: Statement of Commissioner Hester M. Peirce - Great Plains Trust Company |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:September 2020 | Date: | Title: Statement on Measures to Enhance the Fixed Income Markets |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:September 2020 | Date: | Title: Remarks at the Meeting of the Investor Advisory Committee |
Speaker:
Chairman Jay Clayton
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| Published date grouping:September 2020 | Date: | Title: Modernizing the Shareholder Proposal Framework for the Benefit of All Shareholders |
Speaker:
Chairman Jay Clayton
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| Published date grouping:September 2020 | Date: | Title: Statement on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:September 2020 | Date: | Title: Statement at Open Meeting on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:September 2020 | Date: | Title: Statement on the Amendments to Rule 14a-8 |
Speaker:
Commissioner Allison Herren Lee
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| Published date grouping:September 2020 | Date: | Title: Statement on Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 |
Speaker:
Commissioner Caroline A. Crenshaw
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| Published date grouping:September 2020 | Date: | Title: Strengthening our Whistleblower Program |
Speaker:
Chairman Jay Clayton
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| Published date grouping:September 2020 | Date: | Title: Amendments to the Commission's Whistleblower Program Rules |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:September 2020 | Date: | Title: Statement on the Commission’s New and Improved Whistleblower Program Rules |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:September 2020 | Date: | Title: June Bug vs. Hurricane:* Whistleblowers Fight Tremendous Odds and Deserve Better |
Speaker:
Commissioner Allison Herren Lee
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| Published date grouping:September 2020 | Date: | Title: Statement of Commissioner Caroline Crenshaw on Whistleblower Program Rule Amendments |
Speaker:
Commissioner Caroline A. Crenshaw
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| Published date grouping:September 2020 | Date: | Title: SEC FinHub Staff Statement on OCC Interpretation |
Speaker:
SEC FinHub Staff |
| Published date grouping:September 2020 | Date: | Title: Commission Statement on the Passing of Justice Ruth Bader Ginsburg |
Speaker:
Chairman Jay Clayton
Commissioner Hester M. Peirce Commissioner Elad L. Roisman Commissioner Allison Herren Lee Commissioner Caroline A. Crenshaw |
| Published date grouping:September 2020 | Date: | Title: Statement on the Adoption of Amendments to Exchange Act Rule 15c2-11 |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:September 2020 | Date: | Title: Statement on Commission Action to Enhance Investor Protections in the OTC Market |
Speaker:
Chairman Jay Clayton
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| Published date grouping:September 2020 | Date: | Title: Statement at the SEC Regulation Think-In 2020 Conference |
Speaker:
Dalia Blass, Director, Division of Investment Management |
| Published date grouping:September 2020 | Date: | Title: Statement on Adoption of Amendments to Rule 15c2-11 |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:September 2020 | Date: | Title: Statement at the Meeting of the Asset Management Advisory Committee |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:September 2020 | Date: | Title: Opening Remarks at the September 16, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Chairman Jay Clayton
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| Published date grouping:September 2020 | Date: | Title: Remarks at the September 16, 2020 Meeting of the Asset Management Advisory Committee |
Speaker:
Dalia Blass, Director, Division of Investment Management |
| Published date grouping:September 2020 | Date: | Title: Statement on SEC Settlement Charging Token Issuer with Violation of Registration Provisions of the Securities Act of 1933 |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:August 2020 | Date: | Title: Modernizing the Framework for Business, Legal Proceedings and Risk Factor Disclosures |
Speaker:
Chairman Jay Clayton
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| Published date grouping:August 2020 | Date: | Title: Statement at Open Meeting on Modernization of Regulation S-K 101, 103, and 105 |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:August 2020 | Date: | Title: Opening Remarks at the Open Commission Meeting to Adopt Amendments to Items 101, 103, and 105 of Regulation S-K |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:August 2020 | Date: | Title: Regulation S-K and ESG Disclosures: An Unsustainable Silence |
Speaker:
Commissioner Allison Herren Lee
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| Published date grouping:August 2020 | Date: | Title: Statement on the “Modernization” of Regulation S-K Items 101, 103, and 105 |
Speaker:
Commissioner Caroline Crenshaw |
| Published date grouping:August 2020 | Date: | Title: Statement on Modernization of the Accredited Investor Definition |
Speaker:
Chairman Jay Clayton
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| Published date grouping:August 2020 | Date: | Title: Statement on Amending the “Accredited Investor” Definition |
Speaker:
Commissioner Hester M. Peirce
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| Published date grouping:August 2020 | Date: | Title: Commissioner Roisman Statement on Amending the “Accredited Investor” Definition |
Speaker:
Commissioner Elad L. Roisman
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| Published date grouping:August 2020 | Date: | Title: Joint Statement on the Failure to Modernize the Accredited Investor Definition |
Speaker:
Commissioners Allison Herren Lee and Caroline Crenshaw |
| Published date grouping:August 2020 | Date: | Title: Update on the Consolidated Audit Trail: Data Security and Implementation Progress |
Speaker:
Chairman Jay Clayton
Brett Redfearn, Director, Division of Trading and Markets Manisha Kimmel, Senior Policy Advisor, Regulatory Reporting |
| Published date grouping:August 2020 | Date: | Title: Statement on Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security |
Speaker:
Commissioner Hester M. Peirce
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