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Deploying the Full Enforcement Arsenal (Mary Jo White, Chair — September 26, 2013)Financial Reporting and Accounting Fraud (Andrew Ceresney, Co-Director of the Division of Enforcement — September 19, 2013)Slide Presentation: Update From the Division of Corporation Finance and the Office of the Chief Accountant, 2013 AICPA National Conference on Banks & Savings Institutions (Stephanie J. Ciboroski, Senior Assistant Chief Accountant; Matthew Schell, Professional Accounting Fellow; and Mark Shannon, Associate Chief Accountant — September 18, 2013)SEC Proposes Rules for Pay Ratio Disclosure — September 18, 2013SEC Approves Registration Rules for Municipal Advisors — September 18, 2013Statement at Open Meeting — Adoption of Rules Regarding Municipal Advisor Registration (Kara M. Stein, Commissioner — September 18, 2013)Statement at Open Meeting Regarding the Proposing Release on Pay Ratio Disclosure (Kara M. Stein, Commissioner — September 18, 2013)Statement at the SEC Open Meeting (Mary Jo White, Chair — September 18, 2013)Statement at SEC Open Meeting — Adoption of Rules Regarding Municipal Advisor Registration (Daniel M. Gallagher, Commissioner — September 18, 2013)Enhancing Oversight of Municipal Advisors to Prevent Further Abuses in the Municipal Finance Market and Protect Investors (Luis A. Aguilar, Commissioner — September 18, 2013)Providing Context for Executive Compensation Decisions (Luis A. Aguilar, Commissioner — September 18, 2013)Statement at Open Meeting Regarding Municipal Advisors and Pay Ratio Disclosure (Michael S. Piwowar, Commissioner — September 18, 2013)Dissenting Statement of Commissioner Daniel M. Gallagher Concerning the Proposal of Rules to Implement the Section 953(b) Pay Ratio Disclosure Provision of the Dodd-Frank Act (Daniel M. Gallagher, Commissioner — September 18, 2013)Celebrating National Hispanic Heritage Month by Recognizing Achievements and Looking Ahead (Luis A. Aguilar, Commissioner — September 17, 2013)Current SEC Priorities Regarding Hedge Fund Managers (Norm Champ, Director of the Division of Investment Management — September 12, 2013)SEC Chair White Statement on Meeting With Leaders of Exchanges — September 12, 2013The Need for Effective Regulation of the Asset-Backed Securities Market (Luis A. Aguilar, Commissioner — August 28, 2013)Statement on the Re-Proposal of Rules Related to Risk Retention (Kara M. Stein, Commissioner — August 28, 2013)Statement Regarding Joint Rule Reproposal Concerning Credit Risk Retention (Michael S. Piwowar, Commissioner — August 28, 2013)Dissenting Statement of Commissioner Daniel M. Gallagher Concerning Re-Proposal of Rules Implementing the Credit Risk Retention Provisions of the Dodd-Frank Act (Daniel M. Gallagher, Commissioner — August 28, 2013)Agencies Request Comment on Proposed Risk Retention Rule — August 28, 2013SEC Issues Risk Alert on Investment Advisers’ Business Continuity and Disaster Recovery Planning — August 27, 2013Statement on Nasdaq Trading Interruption (Mary Jo White, Chairman — August 22, 2013)Regulators Issue Joint Staff Review of Firms’ Business Continuity and Disaster Recovery Planning — August 16, 2013Michael Piwowar Sworn in as SEC Commissioner — August 15, 2013Kara Stein Sworn in as SEC Commissioner — August 9, 2013Statement on Commissioners Elisse B. Walter and Troy A. Paredes Upon the Completion of Their Terms, and Their Succession by Kara M. Stein and Dr. Michael S. Piwowar — August 9, 2013Statement by SEC Commissioner Paredes Upon Departure From the Commission (Troy A. Paredes, Commissioner — August 5, 2013)SEC Adopts Rules to Increase Protections for Investors With Assets Being Held By Broker-Dealers — July 31, 2013SEC Adopts Amendments to Financial Responsibility Rules for Broker-Dealers — July 31, 2013Testimony on "Mitigating Systemic Risk in the Financial Markets through Wall Street Reforms" (Mary Jo White, Chairman — July 30, 2013)SEC, European Regulators Establish Supervisory Cooperation Arrangements Related to the Asset Management Industry — July 19, 2013SEC Announces Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers — July 16, 2013Addressing Investor Risks in the Retail Forex Business (Luis A. Aguilar, Commissioner — July 11, 2013)Remarks at Society of Corporate Secretaries & Governance Professionals (Daniel M. Gallagher, Commissioner — July 11, 2013)SEC Approves JOBS Act Requirement to Lift General Solicitation Ban — July 10, 2013Statement at the SEC Open Meeting (Mary Jo White, Chairman — July 10, 2013)Statement at Open Meeting Regarding Proposed Amendments to Regulation D, Form D and Rule 156 Under the Securities Act (Daniel M. Gallagher, Commissioner — July 10, 2013)Facilitating General Solicitation at the Expense of Investors (Luis A. Aguilar, Commissioner — July 10, 2013)Limiting — But Not Eliminating — Bad Actors From Certain Offerings (Luis A. Aguilar, Commissioner — July 10, 2013)Statement at Open Meeting (Luis A. Aguilar, Commissioner — July 10, 2013) Statement at Open Meeting Regarding Final Rules Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings; a Final Rule Disqualifying Felons and Other “Bad Actors” from Rule 506 Offerings; and Proposed Rules Amending Regulation D, Form D, and Rule 156 Under the Securities Act (Troy A. Paredes, Commissioner — July 10, 2013)Opening Remarks Regarding the Adoption of Rules Eliminating the Prohibition Against General Solicitation, the Adoption of Rules Regarding Disqualification of “Bad Actors” from Rule 506 Offerings and the Proposal of Amendments to Regulation D, Form D and Rule 156 (Elisse B. Walter, Commissioner — July 10, 2013)SEC Announces Enforcement Initiatives to Combat Financial Reporting and Microcap Fraud and Enhance Risk Analysis; Release No_ 2013-121; July 2, 2013.htmTimothy B. Henseler Named Director of the SEC's Office of Legislative and Intergovernmental Affairs — July 1, 2013Julie M. Riewe and Marshall S. Sprung Named Co-Chiefs of Asset Management Unit — July 1, 2013
Deploying the Full Enforcement Arsenal (Mary Jo White, Chair — September 26, 2013)Financial Reporting and Accounting Fraud (Andrew Ceresney, Co-Director of the Division of Enforcement — September 19, 2013)Slide Presentation: Update From the Division of Corporation Finance and the Office of the Chief Accountant, 2013 AICPA National Conference on Banks & Savings Institutions (Stephanie J. Ciboroski, Senior Assistant Chief Accountant; Matthew Schell, Professional Accounting Fellow; and Mark Shannon, Associate Chief Accountant — September 18, 2013)SEC Proposes Rules for Pay Ratio Disclosure — September 18, 2013SEC Approves Registration Rules for Municipal Advisors — September 18, 2013Statement at Open Meeting — Adoption of Rules Regarding Municipal Advisor Registration (Kara M. Stein, Commissioner — September 18, 2013)Statement at Open Meeting Regarding the Proposing Release on Pay Ratio Disclosure (Kara M. Stein, Commissioner — September 18, 2013)Statement at the SEC Open Meeting (Mary Jo White, Chair — September 18, 2013)Statement at SEC Open Meeting — Adoption of Rules Regarding Municipal Advisor Registration (Daniel M. Gallagher, Commissioner — September 18, 2013)Enhancing Oversight of Municipal Advisors to Prevent Further Abuses in the Municipal Finance Market and Protect Investors (Luis A. Aguilar, Commissioner — September 18, 2013)Providing Context for Executive Compensation Decisions (Luis A. Aguilar, Commissioner — September 18, 2013)Statement at Open Meeting Regarding Municipal Advisors and Pay Ratio Disclosure (Michael S. Piwowar, Commissioner — September 18, 2013)Dissenting Statement of Commissioner Daniel M. Gallagher Concerning the Proposal of Rules to Implement the Section 953(b) Pay Ratio Disclosure Provision of the Dodd-Frank Act (Daniel M. Gallagher, Commissioner — September 18, 2013)Celebrating National Hispanic Heritage Month by Recognizing Achievements and Looking Ahead (Luis A. Aguilar, Commissioner — September 17, 2013)Current SEC Priorities Regarding Hedge Fund Managers (Norm Champ, Director of the Division of Investment Management — September 12, 2013)SEC Chair White Statement on Meeting With Leaders of Exchanges — September 12, 2013The Need for Effective Regulation of the Asset-Backed Securities Market (Luis A. Aguilar, Commissioner — August 28, 2013)Statement on the Re-Proposal of Rules Related to Risk Retention (Kara M. Stein, Commissioner — August 28, 2013)Statement Regarding Joint Rule Reproposal Concerning Credit Risk Retention (Michael S. Piwowar, Commissioner — August 28, 2013)Dissenting Statement of Commissioner Daniel M. Gallagher Concerning Re-Proposal of Rules Implementing the Credit Risk Retention Provisions of the Dodd-Frank Act (Daniel M. Gallagher, Commissioner — August 28, 2013)Agencies Request Comment on Proposed Risk Retention Rule — August 28, 2013SEC Issues Risk Alert on Investment Advisers’ Business Continuity and Disaster Recovery Planning — August 27, 2013Statement on Nasdaq Trading Interruption (Mary Jo White, Chairman — August 22, 2013)Regulators Issue Joint Staff Review of Firms’ Business Continuity and Disaster Recovery Planning — August 16, 2013Michael Piwowar Sworn in as SEC Commissioner — August 15, 2013Kara Stein Sworn in as SEC Commissioner — August 9, 2013Statement on Commissioners Elisse B. Walter and Troy A. Paredes Upon the Completion of Their Terms, and Their Succession by Kara M. Stein and Dr. Michael S. Piwowar — August 9, 2013Statement by SEC Commissioner Paredes Upon Departure From the Commission (Troy A. Paredes, Commissioner — August 5, 2013)SEC Adopts Rules to Increase Protections for Investors With Assets Being Held By Broker-Dealers — July 31, 2013SEC Adopts Amendments to Financial Responsibility Rules for Broker-Dealers — July 31, 2013Testimony on "Mitigating Systemic Risk in the Financial Markets through Wall Street Reforms" (Mary Jo White, Chairman — July 30, 2013)SEC, European Regulators Establish Supervisory Cooperation Arrangements Related to the Asset Management Industry — July 19, 2013SEC Announces Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers — July 16, 2013Addressing Investor Risks in the Retail Forex Business (Luis A. Aguilar, Commissioner — July 11, 2013)Remarks at Society of Corporate Secretaries & Governance Professionals (Daniel M. Gallagher, Commissioner — July 11, 2013)SEC Approves JOBS Act Requirement to Lift General Solicitation Ban — July 10, 2013Statement at the SEC Open Meeting (Mary Jo White, Chairman — July 10, 2013)Statement at Open Meeting Regarding Proposed Amendments to Regulation D, Form D and Rule 156 Under the Securities Act (Daniel M. Gallagher, Commissioner — July 10, 2013)Facilitating General Solicitation at the Expense of Investors (Luis A. Aguilar, Commissioner — July 10, 2013)Limiting — But Not Eliminating — Bad Actors From Certain Offerings (Luis A. Aguilar, Commissioner — July 10, 2013)Statement at Open Meeting (Luis A. Aguilar, Commissioner — July 10, 2013) Statement at Open Meeting Regarding Final Rules Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings; a Final Rule Disqualifying Felons and Other “Bad Actors” from Rule 506 Offerings; and Proposed Rules Amending Regulation D, Form D, and Rule 156 Under the Securities Act (Troy A. Paredes, Commissioner — July 10, 2013)Opening Remarks Regarding the Adoption of Rules Eliminating the Prohibition Against General Solicitation, the Adoption of Rules Regarding Disqualification of “Bad Actors” from Rule 506 Offerings and the Proposal of Amendments to Regulation D, Form D and Rule 156 (Elisse B. Walter, Commissioner — July 10, 2013)SEC Announces Enforcement Initiatives to Combat Financial Reporting and Microcap Fraud and Enhance Risk Analysis; Release No_ 2013-121; July 2, 2013.htmTimothy B. Henseler Named Director of the SEC's Office of Legislative and Intergovernmental Affairs — July 1, 2013Julie M. Riewe and Marshall S. Sprung Named Co-Chiefs of Asset Management Unit — July 1, 2013