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The Role of Chief Compliance Officers Must Be Supported (Luis A. Aguilar, Commissioner — June 29, 2015) Statement Regarding Proposals to Shorten the Trade Settlement Cycle (Michael S. Piwowar, Commissioner and Kara M. Stein, Commissioner — June 29, 2015)Building Meaningful Communication and Engagement With Shareholders (Mary Jo White, Chair — June 25, 2015) A Threefold Cord — Working Together to Meet the Pervasive Challenge of Cyber-Crime (Luis A. Aguilar, Commissioner — June 25, 2015)John Roeser Named Associate Director of the Office of Market Supervision — June 25, 2015Activism, Short-Termism, and the SEC: Remarks at the 21st Annual Stanford Directors’ College (Daniel M. Gallagher, Commissioner — June 23, 2015) Statement on Recent SEC Settlements Charging Chief Compliance Officers With Violations of Investment Advisers Act Rule 206(4)-7 (Daniel M. Gallagher, Commissioner — June 18, 2015)Anti-Money Laundering: An Often-Overlooked Cornerstone of Effective Compliance (Kevin W. Goodman, National Associate Director, Broker-Dealer Examination Program, Office of Compliance Inspections and Examinations — June 18, 2015)Mutual Funds — The Next 75 Years (Kara M. Stein, Commissioner — June 15, 2015) SEC Publishes Request for Public Comment on Exchange-Traded Products — June 12, 2015Statement Regarding the Need to Modernize the Commission’s Transfer Agent Rules (Luis A. Aguilar, Commissioner, and Daniel M. Gallagher, Commissioner — June 11, 2015)Quality Data and the Power of Prevention: Remarks at Meet the Market, North America (Kara M. Stein, Commissioner — June 10, 2015)Dissenting Statement on the Final Interagency Policy Statement: Failing to Advance Diversity and Inclusion (Luis A. Aguilar, Commissioner — June 9, 2015)SEC Staff to Release Correspondence Relating to Securities Act Registration Statements That Are Not Reviewed — June 5, 2015Remarks at the 34th Annual SEC and Financial Reporting Institute Conference (James Schnurr, Chief Accountant, Office of the Chief Accountant — June 5, 2015)SEC Staff Provides Additional Analysis Related to Proposed Pay Ratio Disclosure Rules — June 4, 2015Remarks Before the SEC Historical Society (Mary Jo White, Chair — June 4, 2015) Opening Remarks of SEC Chair Mary Jo White Before the SEC Advisory Committee on Small and Emerging Companies (Mary Jo White, Chair — June 3, 2015)Crazy Quilt Chart of Regulation (Daniel M. Gallagher, Commissioner — June 3, 2015)Capital Unbound: Remarks at the Cato Summit on Financial Regulation (Michael S. Piwowar, Commissioner — June 2, 2015)SEC Names Andrew J. Donohue as Chief of Staff — May 28, 2015Dissenting Statement Regarding Certain Waivers Granted by the Commission for Certain Entities Pleading Guilty to Criminal Charges Involving Manipulation of Foreign Exchange Rates (Kara M. Stein, Commissioner — May 21, 2015)Remarks Before the Exchequer Club of Washington, D.C. (Michael S. Piwowar, Commissioner — May 20, 2015)SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers — May 20, 2015Statement at Open Meeting: Modernizing and Enhancing Investment Company and Investment Adviser Reporting (Mary Jo White, Chair — May 20, 2015)Effective Regulatory Oversight and Investor Protection Requires Better Information (Luis A. Aguilar, Commissioner — May 20, 2015)Statement at Open Meeting on Modernizing and Enhancing Investment Company and Investment Adviser Reporting (Daniel M. Gallagher, Commissioner — May 20, 2015)Statement at Open Meeting on Investment Company and Investment Adviser Reporting Modernization (Michael S. Piwowar, Commissioner — May 20, 2015)Statement on Proposed Rules on Investment Company Reporting Modernization and on Amendments to Form ADV and Investment Advisers Act Rules (Kara M. Stein, Commissioner — May 20, 2015)SEC Chief of Staff Lona Nallengara to Leave Agency — May 19, 2015SEC Names Wesley R. Bricker as Deputy Chief Accountant — May 14, 2015Deputy Chief Accountant Dan Murdock to Leave SEC — May 14, 2015Optimizing Our Equity Market Structure: Opening Remarks at the Inaugural Meeting of the Equity Market Structure Advisory Committee (Mary Jo White, Chair — May 13, 2015)Remarks at the Inaugural Meeting of the Equity Market Structure Advisory Committee (Kara M. Stein, Commissioner — May 13, 2015)Remarks at the Inaugural SEC Equity Market Structure Advisory Committee Meeting (Michael S. Piwowar, Commissioner — May 13, 2015)Statement at the Inaugural Meeting of the Market Structure Advisory Committee (Daniel M. Gallagher, Commissioner — May 13, 2015)Private Equity: A Look Back and a Glimpse Ahead (Marc Wyatt, Acting Director, Office of Compliance Inspections and Examinations — May 13, 2015)The SEC’s Cooperation Program: Reflections on Five Years of Experience (Andrew Ceresney, Director, Division of Enforcement — May 13, 2015)Keynote Speech at New York City Bar 4th Annual White Collar Institute (Andrew Ceresney, Director, SEC Division of Enforcement — May 12, 2015)U.S. Equity Market Structure: Making Our Markets Work Better for Investors (Luis A. Aguilar, Commissioner — May 11, 2015David Grim Named as Director of the Division of Investment Management — May 8, 2015SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers — May 8, 2015Remarks Before the 2015 Baruch College Financial Reporting Conference (James Schnurr, Chief Accountant — May 7, 2015)Testimony on the Fiscal Year 2016 Budget Request of the U.S. Securities and Exchange Commission (Mary Jo White, Chair — May 5, 2015)SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies — May 6, 2015SEC Announces Outreach Programs to Help Firms Comply With Regulation Systems Compliance and Integrity — May 5, 2015SEC Announces Compliance Outreach Program Seminars for Investment Adviser and Investment Company Senior Officers — April 30, 2015Toward Healthy Companies and a Stronger Economy: Remarks to the U.S. Treasury Department’s Corporate Women in Finance Symposium (Kara M. Stein, Commissioner — April 30, 2015)The SEC as the Whistleblower's Advocate (Mary Jo White, Chair — April 30, 2015)SEC Proposes Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.: Rules Would Provide Increased Transparency and Enhanced Oversight — April 29, 2015SEC Proposes Rules to Require Companies to Disclose the Relationship Between Executive Pay and a Company’s Financial Performance: Rules Would Provide Greater Transparency and Better Inform Shareholders — April 29, 2015Statement at Open Meeting on Cross-Border Security-Based Swap Rules Regarding Activity in the United States and Pay Versus Performance (Mary Jo White, Chair — April 29, 2015)Focusing on Dealer Conduct in the Derivatives Market (Luis A. Aguilar, Commissioner — April 29, 2015)Statement Regarding Proposed Amendments and a Re-Proposed Rule Regarding Application of Certain Title VII Requirements to Security-Based Swap Transactions (Daniel M. Gallagher, Commissioner — April 29, 2015)Statement on Proposed Rules for U.S. Personnel and Certain Activities of Non-U.S. Person’s Security-Based Swaps Dealing (Kara M. Stein, Commissioner — April 29, 2015)Statement at Open Meeting on Cross-Border Security-Based Swap Rules Regarding Activity in the United States (Michael S. Piwowar, Commissioner — April 29, 2015)Improving Transparency for Executive Pay Practices (Luis A. Aguilar, Commissioner — April 29, 2015)Dissenting Statement at an Open Meeting Proposing Mandated Pay Versus Performance Disclosures (Daniel M. Gallagher, Commissioner — April 29, 2015)Statement on Proposed Rule on Pay Versus Performance (Kara M. Stein, Commissioner — April 29, 2015)Remarks at University of South Carolina and UNC-Charlotte 4th Annual Fixed Income Conference (Michael S. Piwowar, Commissioner — April 21, 2015)Testimony on the Fiscal Year 2016 Budget Request of the U.S. Securities and Exchange Commission (Mary Jo White, Chair — April 15, 2015)Remarks at the Harvard Law School Symposium on Building the Financial System of the 21st Century: An Agenda for Europe and the United States (Daniel M. Gallagher, Commissioner — April 15, 2015)SEC Staff and FINRA Issue Report on National Senior Investor Initiative — April 15, 2015The Dominance of Data and the Need for New Tools: Remarks at the SIFMA Operations Conference (Kara M. Stein, Commissioner — April 14, 2015)Regulators Working Together to Serve Investors (Luis A. Aguilar, Commissioner — April 14, 2015)The Importance of Smart Regulation (Rick A. Fleming, Investor Advocate — April 14, 2015)Bank Regulators at the Gates: The Misguided Quest for Prudential Regulation of Asset Managers: Remarks at the 2015 Virginia Law and Business Review Symposium (Daniel M. Gallagher, Commissioner — April 10, 2015)SEC Names Marc Wyatt as Acting Director of the Office of Compliance Inspections and Examinations — April 9, 2015Opening Remarks to the Investor Advisory Committee (Mary Jo White, Chair — April 9, 2015) Gregg E. Berman, Associate Director in the Division of Trading and Markets, to Leave SEC — April 8, 2015OCIE Director Andrew Bowden to Leave SEC — April 7, 2015
The Role of Chief Compliance Officers Must Be Supported (Luis A. Aguilar, Commissioner — June 29, 2015) Statement Regarding Proposals to Shorten the Trade Settlement Cycle (Michael S. Piwowar, Commissioner and Kara M. Stein, Commissioner — June 29, 2015)Building Meaningful Communication and Engagement With Shareholders (Mary Jo White, Chair — June 25, 2015) A Threefold Cord — Working Together to Meet the Pervasive Challenge of Cyber-Crime (Luis A. Aguilar, Commissioner — June 25, 2015)John Roeser Named Associate Director of the Office of Market Supervision — June 25, 2015Activism, Short-Termism, and the SEC: Remarks at the 21st Annual Stanford Directors’ College (Daniel M. Gallagher, Commissioner — June 23, 2015) Statement on Recent SEC Settlements Charging Chief Compliance Officers With Violations of Investment Advisers Act Rule 206(4)-7 (Daniel M. Gallagher, Commissioner — June 18, 2015)Anti-Money Laundering: An Often-Overlooked Cornerstone of Effective Compliance (Kevin W. Goodman, National Associate Director, Broker-Dealer Examination Program, Office of Compliance Inspections and Examinations — June 18, 2015)Mutual Funds — The Next 75 Years (Kara M. Stein, Commissioner — June 15, 2015) SEC Publishes Request for Public Comment on Exchange-Traded Products — June 12, 2015Statement Regarding the Need to Modernize the Commission’s Transfer Agent Rules (Luis A. Aguilar, Commissioner, and Daniel M. Gallagher, Commissioner — June 11, 2015)Quality Data and the Power of Prevention: Remarks at Meet the Market, North America (Kara M. Stein, Commissioner — June 10, 2015)Dissenting Statement on the Final Interagency Policy Statement: Failing to Advance Diversity and Inclusion (Luis A. Aguilar, Commissioner — June 9, 2015)SEC Staff to Release Correspondence Relating to Securities Act Registration Statements That Are Not Reviewed — June 5, 2015Remarks at the 34th Annual SEC and Financial Reporting Institute Conference (James Schnurr, Chief Accountant, Office of the Chief Accountant — June 5, 2015)SEC Staff Provides Additional Analysis Related to Proposed Pay Ratio Disclosure Rules — June 4, 2015Remarks Before the SEC Historical Society (Mary Jo White, Chair — June 4, 2015) Opening Remarks of SEC Chair Mary Jo White Before the SEC Advisory Committee on Small and Emerging Companies (Mary Jo White, Chair — June 3, 2015)Crazy Quilt Chart of Regulation (Daniel M. Gallagher, Commissioner — June 3, 2015)Capital Unbound: Remarks at the Cato Summit on Financial Regulation (Michael S. Piwowar, Commissioner — June 2, 2015)SEC Names Andrew J. Donohue as Chief of Staff — May 28, 2015Dissenting Statement Regarding Certain Waivers Granted by the Commission for Certain Entities Pleading Guilty to Criminal Charges Involving Manipulation of Foreign Exchange Rates (Kara M. Stein, Commissioner — May 21, 2015)Remarks Before the Exchequer Club of Washington, D.C. (Michael S. Piwowar, Commissioner — May 20, 2015)SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers — May 20, 2015Statement at Open Meeting: Modernizing and Enhancing Investment Company and Investment Adviser Reporting (Mary Jo White, Chair — May 20, 2015)Effective Regulatory Oversight and Investor Protection Requires Better Information (Luis A. Aguilar, Commissioner — May 20, 2015)Statement at Open Meeting on Modernizing and Enhancing Investment Company and Investment Adviser Reporting (Daniel M. Gallagher, Commissioner — May 20, 2015)Statement at Open Meeting on Investment Company and Investment Adviser Reporting Modernization (Michael S. Piwowar, Commissioner — May 20, 2015)Statement on Proposed Rules on Investment Company Reporting Modernization and on Amendments to Form ADV and Investment Advisers Act Rules (Kara M. Stein, Commissioner — May 20, 2015)SEC Chief of Staff Lona Nallengara to Leave Agency — May 19, 2015SEC Names Wesley R. Bricker as Deputy Chief Accountant — May 14, 2015Deputy Chief Accountant Dan Murdock to Leave SEC — May 14, 2015Optimizing Our Equity Market Structure: Opening Remarks at the Inaugural Meeting of the Equity Market Structure Advisory Committee (Mary Jo White, Chair — May 13, 2015)Remarks at the Inaugural Meeting of the Equity Market Structure Advisory Committee (Kara M. Stein, Commissioner — May 13, 2015)Remarks at the Inaugural SEC Equity Market Structure Advisory Committee Meeting (Michael S. Piwowar, Commissioner — May 13, 2015)Statement at the Inaugural Meeting of the Market Structure Advisory Committee (Daniel M. Gallagher, Commissioner — May 13, 2015)Private Equity: A Look Back and a Glimpse Ahead (Marc Wyatt, Acting Director, Office of Compliance Inspections and Examinations — May 13, 2015)The SEC’s Cooperation Program: Reflections on Five Years of Experience (Andrew Ceresney, Director, Division of Enforcement — May 13, 2015)Keynote Speech at New York City Bar 4th Annual White Collar Institute (Andrew Ceresney, Director, SEC Division of Enforcement — May 12, 2015)U.S. Equity Market Structure: Making Our Markets Work Better for Investors (Luis A. Aguilar, Commissioner — May 11, 2015David Grim Named as Director of the Division of Investment Management — May 8, 2015SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers — May 8, 2015Remarks Before the 2015 Baruch College Financial Reporting Conference (James Schnurr, Chief Accountant — May 7, 2015)Testimony on the Fiscal Year 2016 Budget Request of the U.S. Securities and Exchange Commission (Mary Jo White, Chair — May 5, 2015)SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies — May 6, 2015SEC Announces Outreach Programs to Help Firms Comply With Regulation Systems Compliance and Integrity — May 5, 2015SEC Announces Compliance Outreach Program Seminars for Investment Adviser and Investment Company Senior Officers — April 30, 2015Toward Healthy Companies and a Stronger Economy: Remarks to the U.S. Treasury Department’s Corporate Women in Finance Symposium (Kara M. Stein, Commissioner — April 30, 2015)The SEC as the Whistleblower's Advocate (Mary Jo White, Chair — April 30, 2015)SEC Proposes Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.: Rules Would Provide Increased Transparency and Enhanced Oversight — April 29, 2015SEC Proposes Rules to Require Companies to Disclose the Relationship Between Executive Pay and a Company’s Financial Performance: Rules Would Provide Greater Transparency and Better Inform Shareholders — April 29, 2015Statement at Open Meeting on Cross-Border Security-Based Swap Rules Regarding Activity in the United States and Pay Versus Performance (Mary Jo White, Chair — April 29, 2015)Focusing on Dealer Conduct in the Derivatives Market (Luis A. Aguilar, Commissioner — April 29, 2015)Statement Regarding Proposed Amendments and a Re-Proposed Rule Regarding Application of Certain Title VII Requirements to Security-Based Swap Transactions (Daniel M. Gallagher, Commissioner — April 29, 2015)Statement on Proposed Rules for U.S. Personnel and Certain Activities of Non-U.S. Person’s Security-Based Swaps Dealing (Kara M. Stein, Commissioner — April 29, 2015)Statement at Open Meeting on Cross-Border Security-Based Swap Rules Regarding Activity in the United States (Michael S. Piwowar, Commissioner — April 29, 2015)Improving Transparency for Executive Pay Practices (Luis A. Aguilar, Commissioner — April 29, 2015)Dissenting Statement at an Open Meeting Proposing Mandated Pay Versus Performance Disclosures (Daniel M. Gallagher, Commissioner — April 29, 2015)Statement on Proposed Rule on Pay Versus Performance (Kara M. Stein, Commissioner — April 29, 2015)Remarks at University of South Carolina and UNC-Charlotte 4th Annual Fixed Income Conference (Michael S. Piwowar, Commissioner — April 21, 2015)Testimony on the Fiscal Year 2016 Budget Request of the U.S. Securities and Exchange Commission (Mary Jo White, Chair — April 15, 2015)Remarks at the Harvard Law School Symposium on Building the Financial System of the 21st Century: An Agenda for Europe and the United States (Daniel M. Gallagher, Commissioner — April 15, 2015)SEC Staff and FINRA Issue Report on National Senior Investor Initiative — April 15, 2015The Dominance of Data and the Need for New Tools: Remarks at the SIFMA Operations Conference (Kara M. Stein, Commissioner — April 14, 2015)Regulators Working Together to Serve Investors (Luis A. Aguilar, Commissioner — April 14, 2015)The Importance of Smart Regulation (Rick A. Fleming, Investor Advocate — April 14, 2015)Bank Regulators at the Gates: The Misguided Quest for Prudential Regulation of Asset Managers: Remarks at the 2015 Virginia Law and Business Review Symposium (Daniel M. Gallagher, Commissioner — April 10, 2015)SEC Names Marc Wyatt as Acting Director of the Office of Compliance Inspections and Examinations — April 9, 2015Opening Remarks to the Investor Advisory Committee (Mary Jo White, Chair — April 9, 2015) Gregg E. Berman, Associate Director in the Division of Trading and Markets, to Leave SEC — April 8, 2015OCIE Director Andrew Bowden to Leave SEC — April 7, 2015