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2015

Third Quarter — 2015

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Fee Rate Advisory #2 for Fiscal Year 2016 — September 30, 2015Opening Remarks at the 75th Anniversary of the Investment Company Act and Investment Advisers Act “The Investment Company Act and Investment Advisers Act Standing the Test of Time” (Mary Jo White, Chair — September 29, 2015)SEC to Hold Equity Market Structure Advisory Committee Meeting on October 27 — September 29, 2015Statement Regarding Security-Based Swap Rules (Daniel M, Gallagher and Michael S. Piwowar, Commissioners — September 25, 2015)SEC Publishes Request for Comment on Regulation S-X — September 25, 2015SEC Approves Renewal of Advisory Committee on Small and Emerging Companies — September 23, 2015Opening Remarks Before the SEC Advisory Committee on Small and Emerging Companies (Mary Jo White, Chair — September 23, 2015)Opening Statement to the September 2015 Meeting of the SEC Advisory Committee on Small and Emerging Companies (Daniel M. Gallagher, Commissioner — September 23, 2015)Cybersecurity and Small and Emerging Companies (Luis A. Aguilar, Commissioner — September 23, 2015)Statement on Open-End Fund Liquidity Risk Management Programs and Swing Pricing (Mary Jo White, Chair — September 22, 2015)Statement on Open-End Fund Liquidity Risk Management Programs and Swing Pricing (Daniel M. Gallagher, Commissioner — September 22, 2015)Statement at Open Meeting on Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release (Michael S. Piwowar, Commissioner — September 22, 2015)Statement on Open-End Fund Liquidity Risk Management Programs and Swing Pricing (Kara M. Stein, Commissioner — September 22, 2015)SEC Proposes Liquidity Management Rules for Mutual Funds and ETFs — September 22, 2015SEC Announces Agenda for September 23 Meeting of the Advisory Committee on Small and Emerging Companies — September 18, 2015Remarks at the AICPA National Conference on Banks and Savings Institutions (James Schnurr, Chief Accountant — September 17, 2015)Remarks at the Bloomberg BNA Conference on Revenue Recognition (Wesley R, Bricker, Deputy Chief Accountant — September 17, 2015)Statement on Adoption of Amendments to Remove References to Credit Ratings in Money Market Fund Rule 2a-7 and Form N-MFP (Daniel M. Gallagher, Commissioner — September 16, 2015)SEC Removes References to Credit Ratings in Money Market Fund Rule and Form — September 16, 2015Testimony on Updating the Electronic Communications Privacy Act (Andrew Ceresney, Director, Division of Enforcement — September 16, 2015)Finishing the Work of Regulating Security-Based Derivatives (Luis A. Aguilar, Commissioner — September 15, 2015)Robert Cohen and Joseph Sansone Named Market Abuse Unit Co-Chiefs — September 10, 2015Accountants and Capital Markets in an Era of Digital Disruption: Remarks to the Institute of Chartered Accountants in England and Wales and BritishAmerican Business (Kara M Stein, Commissioner — September 9, 2015)Smeeta Ramarathnam Named Deputy Director in the Office of Credit Ratings — September 8, 2015Enhancing the Commission’s Waiver Process (Luis A. Aguilar, Commissioner — August 27, 2015)Remarks at a Press Conference Announcing Major Enforcement Charges Involving a Massive Hacking Trading Scheme (Mary Jo White, Chair — August 11, 2015)Statement on the Importance of Clarity in Commission Orders (Luis A. Aguilar, Commissioner — August 10, 2015)Additional Dissenting Comments on Pay Ratio Disclosure (Michael S. Piwowar — August 7, 2015)SEC Adopts Rule for Pay Ratio Disclosure Rule Implements Dodd-Frank Mandate While Providing Companies With Flexibility to Calculate Pay Ratio — August 5, 2015Statement at Open Meeting on Security-Based Swap Rules Under Title VII and on Pay Ratio Disclosure Rule (Mary Jo White, Chair — August 5, 2015)Dissenting Statement at an Open Meeting to Adopt the “Pay Ratio” Rule (Daniel M. Gallagher, Commissioner — August 5, 2015)Dissenting Statement at Open Meeting on Pay Ratio Disclosure (Michael S. Piwowar, Commissioner — August 5, 2015)Statement on Pay Ratio Disclosure (Kara M. Stein, Commissioner — August 5, 2015)SEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants — August 5, 2015Statement on Adoption of the Registration Process for SBS Dealers and Major SBS Participants and Proposal of Rules Regarding Statutorily Disqualified Associated Persons (Daniel M. Gallagher, Commissioner — August 5, 2015)Statement at an Open Meeting on the Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants and Applications for Relief From Statutory Disqualifications (Michael S. Piwowar, Commissioner — August 5, 2015)Statement on Final Rules for Security-Based Swap Dealer and Major Swap Participant Registration and on Proposed Rules for Applications to Waive Title VII Statutory Disqualifications (Kara M. Stein, Commissioner — August 5, 2015)Statement at Open Meeting on Pay Ratio (Mary Jo White, Chair — August 5, 2015) The CEO Pay Ratio Rule: A Workable Solution for Both Issuers and Investors (Luis A. Aguilar, Commissioner — August 5, 2015)Statement at Open Meeting on Registration Requirements for SBS Entities (Mary Jo White, Chair — August 5, 2015)Establishing a Registration Framework for Dealers and Major Participants in the Derivatives Market (Luis A. Aguilar, Commissioner — August 5, 2015)Dodd-Frank at Five: A Capital Markets Swan Song (Daniel M. Gallagher, Commissioner — August 4, 2015)Daniel M. Hawke, Chief of Market Abuse Unit, to Leave SEC After 16 Years of Service — July 29, 2015Statement on Decision of the D.C. Circuit on Retroactive Collateral Bars (Daniel M. Gallagher and Michael S. Piwowar, Commissioners — July 22, 2015)Comment Letter on the Department of Labor Proposed Rule on Conflicts of Interest and Fiduciary Duty (Daniel M. Gallagher, Commissioner — July 22, 2015)The Need for Proactivity: Remarks at the 2015 National Association of Women Lawyers Annual Meeting and Awards Luncheon (Mary Jo White, Chair — July 16, 2015)Michele Anderson Named Associate Director in the Division of Corporation Finance — July 17, 2015Statement on the Anniversary of the Dodd-Frank Act (Mary Jo White, Chair — July 16, 2015)Ere Misery Made Me Wise — The Need to Revisit the Regulatory Framework of the U.S. Treasury Market (Luis A. Aguilar, Commissioner — July 14, 2015)Opening Remarks at the Compliance Outreach Program for Broker-Dealers (Mary Jo White, Chair — July 14, 2015)SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting — July 8, 2015SEC Reappoints Lewis H. Ferguson to Second Term on PCAOB — July 2, 2015SEC Solicits Public Comment on Audit Committee Disclosures — July 1, 2015SEC Proposes Rules Requiring Companies to Adopt Clawback Policies on Executive Compensation — July 1, 2015Statement at Open Meeting on Listing Standards for Clawing Back Erroneously Awarded Executive Compensation (Mary Jo White, Chair — July 1, 2015)Making Executive Compensation More Accountable — To Keep It, It Should Be Earned (Luis A. Aguilar, Commissioner — July 1, 2015)Dissenting Statement at an Open Meeting to Propose Compensation Clawback Listing Standards (Daniel M. Gallagher, Commissioner — July 1, 2015)Statement at Open Meeting on Clawbacks of Erroneously Awarded Compensation (Michael S. Piwowar, Commissioner — July 1, 2015)Statement on Proposed Rule and Rule Amendments on Listing Standards for Recovery of Erroneously Awarded Compensation (Kara M. Stein, Commissioner — July 1, 2015)