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Baby on Board: Remarks Before the Society for Corporate Governance National Conference (Hester M. Peirce, Commissioner — June 28, 2019)Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts (Jay Clayton, Chairman — June 27, 2019)Chairman Clayton Highlights New Members of Executive Staff — June 26, 2019SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs — June 26, 2019SEC Names Sean Memon as Chief of Staff — June 26, 2019SEC Names Bryan Wood as Deputy Chief of Staff — June 26, 2019SEC Chief of Staff Lucas Moskowitz to Leave the Agency — June 26, 2019SEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers — June 21, 2019Statement on the Adoption of Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants (Hester M. Peirce, Commissioner — June 21, 2019)SEC Chairman Clayton Announces Events for Main Street Investors in Boston — June 19, 2019Scarlet Letters: Remarks Before the American Enterprise Institute (Hester M. Peirce, Commissioner — June 18, 2019)SEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision — June 18, 2019SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions — June 18, 2019SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management — June 17, 2019Statement on Division of Trading and Markets Staff Fee Guidance (Jay Clayton, Chairman — June 12, 2019)SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals — June 5, 2019Statement at the Open Meeting on Commission Actions to Enhance and Clarify the Obligations Financial Professionals Owe to Our Main Street Investors (Jay Clayton, Chairman — June 5, 2019)Statement at the Open Meeting on Regulation Best Interest, the Interpretation of the Standard of Conduct for Investment Advisers, the Form CRS Relationship Summary, and the Interpretation of “Solely Incidental” (Elad L. Roisman, Commissioner — June 5, 2019)Statement on Final Rules Governing Investment Advice (Robert J. Jackson Jr., Commissioner — June 5, 2019)Statement Regarding the SEC’s Rulemaking Package for Investment Advisers and Broker-Dealers (Rick Fleming, Investor Advocate — June 5, 2019)Keynote Remarks at the Mid-Atlantic Regional Conference (Jay Clayton, Chairman — June 4, 2019)Marshall Gandy Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program — June 4, 201919th Amendment Lessons for 2019’s Advocates: Remarks to the National Association of Women Business Owners (Martha Miller, Advocate for Small Business Capital Formation — June 4, 2019)SEC Announces Enforcement and Investor Education Initiatives to Protect Teachers and Military Service Members — June 3, 2019Ahmed Abonamah Named Deputy Director of the Office of Municipal Securities — June 3, 2019SEC Announces Kevin Zerrusen as Senior Advisor to the Chairman for Cybersecurity Policy — June 3, 2019The Nexus of Equity Market Structure and Investor Relations: Remarks at the 2019 Annual Conference of the National Investor Relations Institute (Brett Redfearm, Director, Division of Trading and Markets — June 3, 2019)Sagar Teotia Named the SEC's Acting Chief Accountant — May 30, 2019Wesley R. Bricker, Chief Accountant, to Leave SEC — May 30, 2019A Quarter Century of Exchange-Traded Fun! (Hester M. Peirce, Commissioner — May 24, 2019)SEC, NASAA, and FINRA Issue Senior Safe Act Fact Sheet to Help Promote Greater Reporting of Suspected Senior Financial Exploitation — May 23, 2019Remarks at SEC Memorial Day Ceremony (Jay Clayton, Chairman — May 21, 2019)SEC and CFTC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral Memorandum of Understanding Concerning Cross-Border Enforcement — May 20, 2019Statement Announcing SEC Staff Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements (Jay Clayton, Chairman — May 20, 2019)Alligators in Nirvana: Smart Regulation and the Future of Financial Services-Public Policy Conference (Hester M. Peirce, Commissioner — May 16, 2019)SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements — May 10, 2019Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition (Hester M. Peirce, Commissioner — May 9, 2019)Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition (Elad L. Roisman, Commissioner — May 9, 2019)SEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions — May 9, 2019Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition (Jay Clayton, Chairman — May 9, 2019)Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition (Robert J. Jackson Jr., Commissioner — May 9, 2019)How We Howey (Hester M. Peirce, Commissioner — May 9, 2019)Testimony Before the Financial Services and General Government Subcommittee of the U.S. Senate Committee on Appropriations (Jay Clayton, Chairman — May 8, 2019)SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses — May 3, 2019Statement on Financial Disclosures about Acquired and Disposed Businesses (Robert J. Jackson Jr., Commissioner — May 3, 2019) Adam S. Aderton Named Co-Chief of the Asset Management Unit — May 2, 2019Remarks Before the 2019 Baruch College Financial Reporting Conference: Aiming Toward the Future (Wesley Bricker, Chief Accountant — May 2, 2019)Opening Remarks at the April 2019 Fixed Income Market Structure Advisory Committee Meeting (Elad L. Roisman, Commissioner — April 15, 2019)SECret Garden: Remarks at SEC Speaks (Hester M. Peirce, Commissioner — April 8, 2019)Remarks at SEC Speaks: Encouraging Smaller Entrants to Our Capital Markets (Elad L. Roisman, Commissioner — April 8, 2019)Management’s Discussion and Analysis of the SEC: Remarks at the “SEC Speaks” Conference (Jay Clayton, Chairman — April 8, 2019)Statement on “Framework for ‘Investment Contract’ Analysis of Digital Assets” (Bill Hinman, Director of Division of Corporation Finance and Valerie Szczepanik, Senior Advisor for Digital Assets and Innovation — April 3, 2019)Remarks at the 29th International Institute for Securities Market Growth and Development (Jay Clayton, Chairman — April 1, 2019)Are You Prepared for Your Financial Future Use the SEC’s Investor Preparedness Checklist to Find Out — April 1, 2019
Baby on Board: Remarks Before the Society for Corporate Governance National Conference (Hester M. Peirce, Commissioner — June 28, 2019)Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts (Jay Clayton, Chairman — June 27, 2019)Chairman Clayton Highlights New Members of Executive Staff — June 26, 2019SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs — June 26, 2019SEC Names Sean Memon as Chief of Staff — June 26, 2019SEC Names Bryan Wood as Deputy Chief of Staff — June 26, 2019SEC Chief of Staff Lucas Moskowitz to Leave the Agency — June 26, 2019SEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers — June 21, 2019Statement on the Adoption of Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants (Hester M. Peirce, Commissioner — June 21, 2019)SEC Chairman Clayton Announces Events for Main Street Investors in Boston — June 19, 2019Scarlet Letters: Remarks Before the American Enterprise Institute (Hester M. Peirce, Commissioner — June 18, 2019)SEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision — June 18, 2019SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions — June 18, 2019SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management — June 17, 2019Statement on Division of Trading and Markets Staff Fee Guidance (Jay Clayton, Chairman — June 12, 2019)SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals — June 5, 2019Statement at the Open Meeting on Commission Actions to Enhance and Clarify the Obligations Financial Professionals Owe to Our Main Street Investors (Jay Clayton, Chairman — June 5, 2019)Statement at the Open Meeting on Regulation Best Interest, the Interpretation of the Standard of Conduct for Investment Advisers, the Form CRS Relationship Summary, and the Interpretation of “Solely Incidental” (Elad L. Roisman, Commissioner — June 5, 2019)Statement on Final Rules Governing Investment Advice (Robert J. Jackson Jr., Commissioner — June 5, 2019)Statement Regarding the SEC’s Rulemaking Package for Investment Advisers and Broker-Dealers (Rick Fleming, Investor Advocate — June 5, 2019)Keynote Remarks at the Mid-Atlantic Regional Conference (Jay Clayton, Chairman — June 4, 2019)Marshall Gandy Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program — June 4, 201919th Amendment Lessons for 2019’s Advocates: Remarks to the National Association of Women Business Owners (Martha Miller, Advocate for Small Business Capital Formation — June 4, 2019)SEC Announces Enforcement and Investor Education Initiatives to Protect Teachers and Military Service Members — June 3, 2019Ahmed Abonamah Named Deputy Director of the Office of Municipal Securities — June 3, 2019SEC Announces Kevin Zerrusen as Senior Advisor to the Chairman for Cybersecurity Policy — June 3, 2019The Nexus of Equity Market Structure and Investor Relations: Remarks at the 2019 Annual Conference of the National Investor Relations Institute (Brett Redfearm, Director, Division of Trading and Markets — June 3, 2019)Sagar Teotia Named the SEC's Acting Chief Accountant — May 30, 2019Wesley R. Bricker, Chief Accountant, to Leave SEC — May 30, 2019A Quarter Century of Exchange-Traded Fun! (Hester M. Peirce, Commissioner — May 24, 2019)SEC, NASAA, and FINRA Issue Senior Safe Act Fact Sheet to Help Promote Greater Reporting of Suspected Senior Financial Exploitation — May 23, 2019Remarks at SEC Memorial Day Ceremony (Jay Clayton, Chairman — May 21, 2019)SEC and CFTC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral Memorandum of Understanding Concerning Cross-Border Enforcement — May 20, 2019Statement Announcing SEC Staff Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements (Jay Clayton, Chairman — May 20, 2019)Alligators in Nirvana: Smart Regulation and the Future of Financial Services-Public Policy Conference (Hester M. Peirce, Commissioner — May 16, 2019)SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements — May 10, 2019Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition (Hester M. Peirce, Commissioner — May 9, 2019)Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition (Elad L. Roisman, Commissioner — May 9, 2019)SEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions — May 9, 2019Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition (Jay Clayton, Chairman — May 9, 2019)Statement at Open Meeting on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition (Robert J. Jackson Jr., Commissioner — May 9, 2019)How We Howey (Hester M. Peirce, Commissioner — May 9, 2019)Testimony Before the Financial Services and General Government Subcommittee of the U.S. Senate Committee on Appropriations (Jay Clayton, Chairman — May 8, 2019)SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses — May 3, 2019Statement on Financial Disclosures about Acquired and Disposed Businesses (Robert J. Jackson Jr., Commissioner — May 3, 2019) Adam S. Aderton Named Co-Chief of the Asset Management Unit — May 2, 2019Remarks Before the 2019 Baruch College Financial Reporting Conference: Aiming Toward the Future (Wesley Bricker, Chief Accountant — May 2, 2019)Opening Remarks at the April 2019 Fixed Income Market Structure Advisory Committee Meeting (Elad L. Roisman, Commissioner — April 15, 2019)SECret Garden: Remarks at SEC Speaks (Hester M. Peirce, Commissioner — April 8, 2019)Remarks at SEC Speaks: Encouraging Smaller Entrants to Our Capital Markets (Elad L. Roisman, Commissioner — April 8, 2019)Management’s Discussion and Analysis of the SEC: Remarks at the “SEC Speaks” Conference (Jay Clayton, Chairman — April 8, 2019)Statement on “Framework for ‘Investment Contract’ Analysis of Digital Assets” (Bill Hinman, Director of Division of Corporation Finance and Valerie Szczepanik, Senior Advisor for Digital Assets and Innovation — April 3, 2019)Remarks at the 29th International Institute for Securities Market Growth and Development (Jay Clayton, Chairman — April 1, 2019)Are You Prepared for Your Financial Future Use the SEC’s Investor Preparedness Checklist to Find Out — April 1, 2019