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Agencies Reviewing Treatment of Collateralized Debt Obligations Backed by Trust Preferred Securities Under Final Rules Implementing the “Volcker Rule” — December 27, 2013Joint Statement Regarding Treatment of Certain Collateralized Debt Obligations Backed by Trust Preferred Securities Under the Rules Implementing Section 619 of the Dodd-Frank Act — December 27, 2013Statement of Commissioner Daniel M. Gallagher Regarding the Removal of Certain References to Credit Ratings Under the Securities and Exchange Act of 1934 and the Investment Company Act — December 27, 2013SEC Removes References to NRSRO Ratings in Certain Rules and Forms — December 27, 2013SEC Issues Annual Staff Reports on Credit Rating Agencies — December 24, 2013SEC Issues Staff Report on Public Company Disclosure — December 20, 2013Federal Financial Regulators Extend Comment Period for Proposed Policy Statement on Assessing Diversity Policies and Practices of Regulated Entities — December 19, 2013SEC Proposes Rules to Increase Access to Capital for Smaller Companies — December 18, 2013Opening Statement on Proposal for Regulation A+ (Mary Jo White, Chair — December 18, 2013)Promoting Investor Protection in Small Business Capital Formation (Luis A. Aguilar, Commissioner — December 18, 2013)Statement at an Open Meeting of the Commission to Consider a Proposal for Amendments to Regulation A to Implement Section 401 of the Jumpstart Our Business Startups Act (Daniel M. Gallagher, Commissioner — December 18, 2013)Statement on Proposed Rules to Amend Regulation A (Michael S. Piwowar, Commissioner — December 18, 2013)Statement on Proposed Rules to Amend Regulation A (Kara M. Stein, Commissioner — December 18, 2013)SEC Announces Enforcement Results for FY 2013 — December 17, 20132013 AICPA Conference on Current SEC and PCAOB DevelopmentsAgencies Issue Final Rules Implementing the Volcker Rule — December 10, 2013Adoption of the Volcker Rule SEC (Mary Jo White, Chair — December 10, 2013)Statement on the Volcker Rule: Reducing Systemic Risk by Banning Excessive Proprietary Trading With Depositors’ Money (Luis A. Aguilar, Commissioner — December 10, 2013)Dissenting Statement Regarding Adoption of Rule Implementing the Volcker Rule (Daniel M. Gallagher, Commissioner — December 10, 2013)Statement Regarding Adoption of Rule Implementing the Volcker Rule (Kara M. Stein, Commissioner — December 10, 2013)Dissenting Statement Regarding Adoption of Rule Implementing the Volcker Rule (Michael S. Piwowar, Commissioner — December 10, 2013)SEC Names Sebastian Gomez Abero to Head Office of Small Business Policy in the Division of Corporation Finance — December 9, 2013The Benefit of Hindsight and the Promise of Foresight: A Proposal for a Comprehensive Review of Equity Market Structure (Michael S. Piwowar, Commissioner — December 9, 2013)Remarks at the 2nd Annual Institute for Corporate Counsel (Daniel M. Gallagher, Commissioner — December 6, 2013)“Seeing Capital Markets Through Investor Eyes” (Luis A. Aguilar, Commissioner — December 5, 2013)Welcoming Remarks (taped) for Central and Eastern Europe Capital Market Summit (Daniel M. Gallagher, Commissioner — December 5, 2013)Welcoming Remarks at Proxy Advisory Services Roundtable (Mary Jo White, Chair — December 5, 2013)Opening Statement at the Proxy Advisory Services Roundtable (Michael S. Piwowar, Commissioner — December 5, 2013)Looking at Proxy Advisory Firms From the Investor’s Perspective (Luis A. Aguilar, Commissioner — December 5, 2013)Remarks at the 10th Annual Transatlantic Corporate Governance Dialogue (Mary Jo White, Chair — December 3, 2013)Remarks at Transatlantic Corporate Governance Dialogue Conference: The Realities of Stewardship for Institutional Owners, Activist Investors and Proxy Advisors (Daniel M. Gallagher, Commissioner — December 3, 2013)Remarks at the American Bar Association Business Law Section’s Federal Regulation of Securities Committee Fall Meeting (Kara M. Stein, Commissioner — November 22, 2013)Remarks to the Los Angeles County Bar Association Securities Regulation Seminar (Michael S. Piwowar, Commissioner — November 22, 2013)Keynote Address at the International Conference on the Foreign Corrupt Practices Act (Andrew Ceresney, Co-Director, Division of Enforcement — November 19, 2013)The Importance of Trials to the Law and Public Accountability (Mary Jo White, Chair — November 14, 2013)Kevin W. Goodman Named Head of SEC’s Broker-Dealer Examination Program — November 14, 2013SEC Names LeeAnn Gaunt as Chief of Municipal Securities and Public Pensions Unit — November 8, 2013Remarks at FINRA Enforcement Conference (Daniel M. Gallagher, Commissioner — November 7, 2013)Remarks at FIA Futures and Options Expo (Daniel M. Gallagher, Commissioner — November 6, 2013)Remarks at Practising Law Institute’s 45th Annual Securities Regulation Institute (Mary Jo White, Chair — November 6, 2013)SEC to Hold Roundtable on Proxy Advisory Services — November 5, 2013Remarks at Georgetown University’s Center for Financial Markets and Policy Event (Daniel M. Gallagher, Commissioner — October 30, 2013)Testimony Providing an Update on JOBS Act Implementation (Keith Higgins, Director, Division of Corporation Finance — October 30, 2013)A Stronger Enforcement Program to Enhance Investor Protection (Luis A. Aguilar, Commissioner — October 25, 2013)A Renewed Focus on SEC Priorities (Daniel M. Gallagher, Commissioner — October 25, 2013)Slide Presentation: AICPA/SIFMA FMS National Conference on the Securities Industry 2013: Broker-Dealer Rulemaking and Applicability of Auditor Independence Rules to Broker-Dealer Audits (Brian T. Croteau, Deputy Chief Accountant — October 24, 2013)Financial Regulators Propose Joint Standards for Assessing Diversity Policies and Practices of Regulated Entities — October 23, 2013Statement on the Proposed Interagency Policy Statement to Establish Standards to Assess the Diversity Policies and Practices of Regulated Entities (Luis A. Aguilar, Commissioner — October 23, 2013)SEC Issues Proposal on Crowdfunding — October 23, 2013Remarks at Open Meeting (Mary Jo White, Chair — October 23, 2013)Statement at Open Meeting Regarding Crowdfunding (Michael S. Piwowar, Commissioner — October 23, 2013)Harnessing the Internet to Promote Access to Capital for Small Businesses, While Protecting the Interests of Investors (Luis A. Aguilar, Commissioner — October 23, 2013)Statement Regarding the Proposing Release on Crowdfunding (Kara M. Stein, Commissioner — October 23, 2013) Statement at an Open Meeting of the Commission to Consider a Proposal to Implement Title III (“Crowdfunding”) of the JOBS Act (Daniel M. Gallagher, Commissioner — October 23, 2013)Remarks at National Society of Compliance Professionals National Membership Meeting (Mary Jo White, Chair — October 22, 2013)Remarks to the Independent Directors Council Annual Fall Meeting (Norm Champ, Director, Division of Investment Management — October 22, 2013)Hedge Funds – A New Era of Transparency and Openness (Mary Jo White, Chair — October 18, 2013)The Path Forward on Disclosure (Mary Jo White, Chair — October 15, 2013)Daniel Murdock Named SEC Deputy Chief Accountant — October 11, 2013Mark Kronforst Named Chief Accountant in Division of Corporation Finance — October 10, 2013Remarks at the Securities Enforcement Forum (Mary Jo White, Chair — October 9, 2013)SEC Launches Market Structure Data and Analysis Website — October 9, 2013Remarks at SCCE's Annual Compliance & Ethics Institute (Stephen L. Cohen, Associate Director of Enforcement — October 7, 2013)The Importance of Independence (Mary Jo White, Chair — October 3, 2013)SEC Announces Date for Annual Government-Business Forum on Small Business Capital Formation — October 3, 2013Focusing on Fundamentals: The Path to Address Equity Market Structure (Mary Jo White, Chair — October 2, 2013)SEC Announces Renewal of Advisory Committee on Small and Emerging Companies — October 2, 2013
Agencies Reviewing Treatment of Collateralized Debt Obligations Backed by Trust Preferred Securities Under Final Rules Implementing the “Volcker Rule” — December 27, 2013Joint Statement Regarding Treatment of Certain Collateralized Debt Obligations Backed by Trust Preferred Securities Under the Rules Implementing Section 619 of the Dodd-Frank Act — December 27, 2013Statement of Commissioner Daniel M. Gallagher Regarding the Removal of Certain References to Credit Ratings Under the Securities and Exchange Act of 1934 and the Investment Company Act — December 27, 2013SEC Removes References to NRSRO Ratings in Certain Rules and Forms — December 27, 2013SEC Issues Annual Staff Reports on Credit Rating Agencies — December 24, 2013SEC Issues Staff Report on Public Company Disclosure — December 20, 2013Federal Financial Regulators Extend Comment Period for Proposed Policy Statement on Assessing Diversity Policies and Practices of Regulated Entities — December 19, 2013SEC Proposes Rules to Increase Access to Capital for Smaller Companies — December 18, 2013Opening Statement on Proposal for Regulation A+ (Mary Jo White, Chair — December 18, 2013)Promoting Investor Protection in Small Business Capital Formation (Luis A. Aguilar, Commissioner — December 18, 2013)Statement at an Open Meeting of the Commission to Consider a Proposal for Amendments to Regulation A to Implement Section 401 of the Jumpstart Our Business Startups Act (Daniel M. Gallagher, Commissioner — December 18, 2013)Statement on Proposed Rules to Amend Regulation A (Michael S. Piwowar, Commissioner — December 18, 2013)Statement on Proposed Rules to Amend Regulation A (Kara M. Stein, Commissioner — December 18, 2013)SEC Announces Enforcement Results for FY 2013 — December 17, 20132013 AICPA Conference on Current SEC and PCAOB DevelopmentsAgencies Issue Final Rules Implementing the Volcker Rule — December 10, 2013Adoption of the Volcker Rule SEC (Mary Jo White, Chair — December 10, 2013)Statement on the Volcker Rule: Reducing Systemic Risk by Banning Excessive Proprietary Trading With Depositors’ Money (Luis A. Aguilar, Commissioner — December 10, 2013)Dissenting Statement Regarding Adoption of Rule Implementing the Volcker Rule (Daniel M. Gallagher, Commissioner — December 10, 2013)Statement Regarding Adoption of Rule Implementing the Volcker Rule (Kara M. Stein, Commissioner — December 10, 2013)Dissenting Statement Regarding Adoption of Rule Implementing the Volcker Rule (Michael S. Piwowar, Commissioner — December 10, 2013)SEC Names Sebastian Gomez Abero to Head Office of Small Business Policy in the Division of Corporation Finance — December 9, 2013The Benefit of Hindsight and the Promise of Foresight: A Proposal for a Comprehensive Review of Equity Market Structure (Michael S. Piwowar, Commissioner — December 9, 2013)Remarks at the 2nd Annual Institute for Corporate Counsel (Daniel M. Gallagher, Commissioner — December 6, 2013)“Seeing Capital Markets Through Investor Eyes” (Luis A. Aguilar, Commissioner — December 5, 2013)Welcoming Remarks (taped) for Central and Eastern Europe Capital Market Summit (Daniel M. Gallagher, Commissioner — December 5, 2013)Welcoming Remarks at Proxy Advisory Services Roundtable (Mary Jo White, Chair — December 5, 2013)Opening Statement at the Proxy Advisory Services Roundtable (Michael S. Piwowar, Commissioner — December 5, 2013)Looking at Proxy Advisory Firms From the Investor’s Perspective (Luis A. Aguilar, Commissioner — December 5, 2013)Remarks at the 10th Annual Transatlantic Corporate Governance Dialogue (Mary Jo White, Chair — December 3, 2013)Remarks at Transatlantic Corporate Governance Dialogue Conference: The Realities of Stewardship for Institutional Owners, Activist Investors and Proxy Advisors (Daniel M. Gallagher, Commissioner — December 3, 2013)Remarks at the American Bar Association Business Law Section’s Federal Regulation of Securities Committee Fall Meeting (Kara M. Stein, Commissioner — November 22, 2013)Remarks to the Los Angeles County Bar Association Securities Regulation Seminar (Michael S. Piwowar, Commissioner — November 22, 2013)Keynote Address at the International Conference on the Foreign Corrupt Practices Act (Andrew Ceresney, Co-Director, Division of Enforcement — November 19, 2013)The Importance of Trials to the Law and Public Accountability (Mary Jo White, Chair — November 14, 2013)Kevin W. Goodman Named Head of SEC’s Broker-Dealer Examination Program — November 14, 2013SEC Names LeeAnn Gaunt as Chief of Municipal Securities and Public Pensions Unit — November 8, 2013Remarks at FINRA Enforcement Conference (Daniel M. Gallagher, Commissioner — November 7, 2013)Remarks at FIA Futures and Options Expo (Daniel M. Gallagher, Commissioner — November 6, 2013)Remarks at Practising Law Institute’s 45th Annual Securities Regulation Institute (Mary Jo White, Chair — November 6, 2013)SEC to Hold Roundtable on Proxy Advisory Services — November 5, 2013Remarks at Georgetown University’s Center for Financial Markets and Policy Event (Daniel M. Gallagher, Commissioner — October 30, 2013)Testimony Providing an Update on JOBS Act Implementation (Keith Higgins, Director, Division of Corporation Finance — October 30, 2013)A Stronger Enforcement Program to Enhance Investor Protection (Luis A. Aguilar, Commissioner — October 25, 2013)A Renewed Focus on SEC Priorities (Daniel M. Gallagher, Commissioner — October 25, 2013)Slide Presentation: AICPA/SIFMA FMS National Conference on the Securities Industry 2013: Broker-Dealer Rulemaking and Applicability of Auditor Independence Rules to Broker-Dealer Audits (Brian T. Croteau, Deputy Chief Accountant — October 24, 2013)Financial Regulators Propose Joint Standards for Assessing Diversity Policies and Practices of Regulated Entities — October 23, 2013Statement on the Proposed Interagency Policy Statement to Establish Standards to Assess the Diversity Policies and Practices of Regulated Entities (Luis A. Aguilar, Commissioner — October 23, 2013)SEC Issues Proposal on Crowdfunding — October 23, 2013Remarks at Open Meeting (Mary Jo White, Chair — October 23, 2013)Statement at Open Meeting Regarding Crowdfunding (Michael S. Piwowar, Commissioner — October 23, 2013)Harnessing the Internet to Promote Access to Capital for Small Businesses, While Protecting the Interests of Investors (Luis A. Aguilar, Commissioner — October 23, 2013)Statement Regarding the Proposing Release on Crowdfunding (Kara M. Stein, Commissioner — October 23, 2013) Statement at an Open Meeting of the Commission to Consider a Proposal to Implement Title III (“Crowdfunding”) of the JOBS Act (Daniel M. Gallagher, Commissioner — October 23, 2013)Remarks at National Society of Compliance Professionals National Membership Meeting (Mary Jo White, Chair — October 22, 2013)Remarks to the Independent Directors Council Annual Fall Meeting (Norm Champ, Director, Division of Investment Management — October 22, 2013)Hedge Funds – A New Era of Transparency and Openness (Mary Jo White, Chair — October 18, 2013)The Path Forward on Disclosure (Mary Jo White, Chair — October 15, 2013)Daniel Murdock Named SEC Deputy Chief Accountant — October 11, 2013Mark Kronforst Named Chief Accountant in Division of Corporation Finance — October 10, 2013Remarks at the Securities Enforcement Forum (Mary Jo White, Chair — October 9, 2013)SEC Launches Market Structure Data and Analysis Website — October 9, 2013Remarks at SCCE's Annual Compliance & Ethics Institute (Stephen L. Cohen, Associate Director of Enforcement — October 7, 2013)The Importance of Independence (Mary Jo White, Chair — October 3, 2013)SEC Announces Date for Annual Government-Business Forum on Small Business Capital Formation — October 3, 2013Focusing on Fundamentals: The Path to Address Equity Market Structure (Mary Jo White, Chair — October 2, 2013)SEC Announces Renewal of Advisory Committee on Small and Emerging Companies — October 2, 2013