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SEC Chairman Clayton Invites Main Street Investors to 'Tell Us' About Their Investor Experience — June 29, 2018SEC Approves Final and Proposed Rules in Latest Open Meeting — June 28, 2018SEC Proposes Whistleblower Rule Amendments — June 28, 2018SEC Adopts Targeted Changes to Public Liquidity Risk Management Disclosure — June 28, 2018SEC Proposes New Approval Process for Certain Exchange-Traded Funds — June 28, 2018SEC Adopts Inline XBRL for Tagged Data — June 28, 2018SEC Expands the Scope of Smaller Public Companies That Qualify for Scaled Disclosures — June 28, 2018SEC and CFTC Announce Approval of New MOU — June 28, 2018Statement at Open Meeting on Exchange-Traded Funds (Jay Clayton, Chairman — June 28, 2018)Statement at Open Meeting on Amendments to the Commission’s Whistleblower Program Rules (Jay Clayton, Chairman — June 28, 2018)Statement at Open Meeting on Amendments to Smaller Reporting Company Definition (Jay Clayton, Chairman — June 28, 2018)Statement at Open Meeting on Inline XBRL Filing of Tagged Data (Jay Clayton, Chairman — June 28, 2018)Statement at Open Meeting on Investment Company Liquidity Disclosure (Jay Clayton, Chairman — June 28, 2018)Opening Statement at Open Meeting (Jay Clayton, Chairman — June 28, 2018)Statement on Final Rule of Inline XBRL Filing of Tagged Data (Hester M. Peirce, Commissioner — June 28, 2018)Statement at Open Meeting on Exchange-Traded Funds (Hester M. Peirce, Commissioner — June 28, 2018)Statement at Open Meeting on Amendments to the Commission’s Whistleblower Program Rules (Hester M. Peirce, Commissioner — June 28, 2018)Statement at Open Meeting on Investment Company Liquidity Disclosure Adopting Release (Hester M. Peirce, Commissioner — June 28, 2018)Statement on Final Rules Regarding Smaller Reporting Companies (Robert J. Jackson, Jr., Commissioner — June 28, 2018)Statement on Proposed Rules Regarding SEC Whistleblower Program (Robert J. Jackson, Jr., Commissioner — June 28, 2018)Statement on Investment Company Liquidity Disclosure (Robert J. Jackson, Jr., Commissioner — June 28, 2018)Statement of Commissioner Robert J. Jackson, Jr. on Proposed Rules Regarding Exchange Traded Funds (Robert J. Jackson, Jr., Commissioner — June 28, 2018)Statement on Proposed Amendments to the Commission’s Whistleblower Program Rules (Kara M. Stein, Commissioner — June 28, 2018)Statement at Open Meeting on the Proposed Rule 6c-11 Under the Investment Company Act of 1940 Governing Exchange-Traded Funds (Kara M. Stein, Commissioner — June 28, 2018)Statement on Adoption of Amendments to Investment Company Liquidity Disclosure (Kara M. Stein, Commissioner — June 28, 2018)Statement on Final Rule of Inline XBRL Filing of Tagged Data (Kara M. Stein, Commissioner — June 28, 2018)Statement on Amendments to Smaller Reporting Company Definition (Kara M. Stein, Commissioner — June 28, 2018)Statement of Commissioner Piwowar at Open Meeting Regarding Amendments to the Commission’s Whistleblower Program Rules (Michael S. Piwowar, Commissioner — June 28, 2018)Statement at Open Meeting on Investment Company Liquidity Disclosure (Final Rule) (Michael S. Piwowar, Commissioner — June 28, 2018)Statement at Open Meeting on Exchange-Traded Funds (Proposed Rule) (Michael S. Piwowar, Commissioner — June 28, 2018)Statement of Commissioner Piwowar at Open Meeting Regarding Amendments to Smaller Reporting Company Definition (Michael S. Piwowar, Commissioner — June 28, 2018)Statement of Commissioner Piwowar at Open Meeting Regarding Inline XBRL Filing of Tagged Data (Michael S. Piwowar, Commissioner — June 28, 2018)Testimony on “Oversight of the U.S. Securities and Exchange Commission” (Jay Clayton, Chairman — June 21, 2018)Investors, Innovation, and Performance Top SEC's Draft Strategic Plan — June 19, 2018Remarks Before the Institute of Management Accountants’ 2018 Annual Conference and Expo: “Advancing the Purpose and Promise of Those Involved in Financial Reporting” (Wesley Bricker, Chief Accountant — June 19, 2018)Observations on Culture at Financial Institutions and the SEC (Jay Clayton, Chairman — June 18, 2018)Remarks at the SEC’s Investor Advisory Committee Meeting (Kara M. Stein, Commissioner — June 14, 2018) Remarks to the SEC Investor Advisory Committee (Jay Clayton, Chairman — June 14, 2018)Digital Asset Transactions: When Howey Met Gary (Plastic) (William Hinman, Director, Division of Corporation Finance — June 14, 2018)Stock Buyouts and Corporate Cashouts (Robert J. Jackson Jr., Commissioner — June 11, 2018)SEC Names Sarah ten Siethoff Associate Director in the Division of Investment Management’s Rulemaking Office — June 8, 2018Progress Is Being Made: Continued Focus on Addressing Implementation Matters (Sagar Teotia, Deputy Chief Accountant — June 7, 2018) Statement on Investment Company Disclosure (Robert J. Jackson Jr., Commissioner — June 6, 2018)Remarks to the Institute of Chartered Accountants in England and Wales: “The intersection of financial reporting and innovation" (Wesley Bricker, Chief Accountant — June 6, 2018) Testimony Before the Financial Services and General Government Subcommittee of the Senate Committee on Appropriations (Jay Clayton, Chairman — June 5, 2018)Opening Remarks to the Elder Justice Coordinating Council (Jay Clayton, Chairman — June 5, 2018)Statement at Open Meeting on Inter-Agency Proposal for Amendments to the Volcker Rule (Jay Clayton, Chairman — June 5, 2018)Statement on Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (Kara M. Stein, Commissioner — June 5, 2018)Proposed Amendments to the Volcker Rule (Robert J. Jackson Jr., Commissioner — June 5, 2018)Statement on Investment Company Design, Delivery and Disclosures Rulemaking Package (Jay Clayton, Chairman — June 5, 2018)Optional Internet Availability of Investment Company Shareholder Reports (Hester M. Peirce, Commissioner — June 5, 2018)Statement on Investment Company Rule 30e-3, Enabling Optional Internet Availability of Shareholder Reports (Michael S. Piwowar, Commissioner — June 5, 2018)Statement on Final Rule on the Optional Internet Availability of Investment Company Shareholder Reports, Request for Comment on the Investor Experience, and Request for Comment on Intermediary Fees (Kara M. Stein, Commissioner — June 5, 2018)SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure — June 5, 2018SEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation — June 5, 2018SEC Announces Agenda for June 14 Investor Advisory Committee Meeting in Atlanta — May 30, 2018Jeffrey Harris, Chief Economist and Director of the SEC’s Division of Economic and Risk Analysis, to Leave the Agency — May 29, 2018SEC Proposes FAIR Act Rules to Promote Research Reports on Investment Funds — May 23, 2018Investing in America: SEC Commissioners Are Heading to Atlanta to Interact With Investors — May 23, 2018Remarks at the FINRA Annual Conference (Brett Redfearn, Director, Division of Trading and Markets — May 22, 2018)Statement on NASAA’s Announcement of Enforcement Sweep Targeting Fraudulent ICOs and Crypto-Asset Investment Products (Jay Clayton, Chairman — May 22, 2018)SEC Names James Reese Chief Risk and Strategy Officer of the Office of Compliance Inspections and Examinations — May 15, 2018SEC Names Caryn E. Kauffman as Chief Financial Officer — May 15, 2018The Why Behind the No: Remarks at the 50th Annual Rocky Mountain Securities Conference (Hester M. Peirce, Commissioner — May 11, 2018)Statement on Commissioner Michael S. Piwowar (Jay Clayton, Chairman — May 7, 2018)Statement of Commissioner Michael S. Piwowar (Michael S. Piwowar, Commissioner — May 7, 2018)SEC Names Jessica Kane Director of Office of Credit Ratings — May 7, 2018Tossing Fish and Catching Capital: Remarks at the Washington State Bar Association (Hester M. Peirce, Commissioner — May 4, 2018)Diane Blizzard, Associate Director of Rulemaking for the SEC’s Division of Investment Management, to Leave the Agency After 18 Years of Service — May 4, 2018Remarks Before the 2018 Baruch College Financial Reporting Conference: “Working Together to Advance Financial Reporting” (Wesley Bricker, Chief Accountant — May 3, 2018)The Role of Machine Readability in an AI World (Scott W. Bauguess, Deputy Chief Economist and Deputy Director, Division of Economic and Risk Analysis — May 3, 2018)Beaches and Bitcoin: Remarks Before the Medici Conference (Hester M. Peirce, Commissioner — May 2, 2018)The Evolving Market for Retail Investment Services and Forward-Looking Regulation — Adding Clarity and Investor Protection While Ensuring Access and Choice (Jay Clayton, Chairman — May 2, 2018)SEC Launches Additional Investor Protection Search Tool — May 2, 2018SEC Enforcement Division Issues FAQs for Share Class Selection Disclosure Initiative — May 1, 2018Office of International Affairs Director Paul A. Leder to Leave SEC — April 30, 2018Testimony Before the Financial Services and General Government Subcommittee of the House Committee on Appropriations (Jay Clayton, Chairman — April 26, 2018)The Middle-Market IPO Tax (Robert J. Jackson Jr., Commissioner — April 25, 2018)Statement on Public Engagement Regarding Standards of Conduct for Investment Professionals Rulemaking (Jay Clayton, Chairman — April 24, 2018)Remarks Before the SIFMA Equity Market Structure Conference (Hester M. Peirce, Commissioner — April 18, 2018)Proposed Rulemakings and Interpretations Relating to Retail Investor Relationships With Investment Professionals (Commissioner Robert J. Jackson Jr. — April 18, 2018)SEC Proposes to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Investment Professionals — April 18, 2018Overview of the Standards of Conduct for Investment Professionals Rulemaking Package (Jay Clayton, Chairman — April 18, 2018)Statement at the Open Meeting on Standards of Conduct for Investment Professionals (Jay Clayton, Chairman — April 18, 2018)Statement at Open Meeting on Form CRS, Proposed Regulation Best Interest and Notice of Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers (Proposed Rule) (Michael S. Piwowar, Commissioner — April 18, 2018)Statement at the Open Meeting on Standards of Conduct for Investment Professionals (Hester M. Peirce, Commissioner — April 18, 2018)Statement on Proposals Relating to Regulation Best Interest, Form CRS, Restrictions on the Use of Certain Names or Titles, and Commission Interpretation Regarding the Standard of Conduct for Investment Advisers (Kara M. Stein, Commissioner — April 18, 2018)Fee Rate Advisory #3 for Fiscal Year 2018 — April 17, 2018International Organizations: Learning From the Past to Build for the Future (Hester M. Peirce, Commissioner — April 11, 2018)Reflections of an Economist Commissioner (Michael S. Piwowar, Commissioner — April 13, 2018)Letter of Commissioners Piwowar and Peirce on Regulation A Offering Amount Limitation (Michael S. Piwowar, Commissioner and Hester M. Peirce, Commissioner — April 11, 2018)Remarks at the Equity Market Structure Symposium Sponsored by the University of Chicago and the STA Foundation (Jay Clayton, Chairman — April 10, 2018)Opening Remarks at the Second Meeting of the Fixed Income Market Structure Advisory Committee (Jay Clayton, Chairman — April 9, 2018)
SEC Chairman Clayton Invites Main Street Investors to 'Tell Us' About Their Investor Experience — June 29, 2018SEC Approves Final and Proposed Rules in Latest Open Meeting — June 28, 2018SEC Proposes Whistleblower Rule Amendments — June 28, 2018SEC Adopts Targeted Changes to Public Liquidity Risk Management Disclosure — June 28, 2018SEC Proposes New Approval Process for Certain Exchange-Traded Funds — June 28, 2018SEC Adopts Inline XBRL for Tagged Data — June 28, 2018SEC Expands the Scope of Smaller Public Companies That Qualify for Scaled Disclosures — June 28, 2018SEC and CFTC Announce Approval of New MOU — June 28, 2018Statement at Open Meeting on Exchange-Traded Funds (Jay Clayton, Chairman — June 28, 2018)Statement at Open Meeting on Amendments to the Commission’s Whistleblower Program Rules (Jay Clayton, Chairman — June 28, 2018)Statement at Open Meeting on Amendments to Smaller Reporting Company Definition (Jay Clayton, Chairman — June 28, 2018)Statement at Open Meeting on Inline XBRL Filing of Tagged Data (Jay Clayton, Chairman — June 28, 2018)Statement at Open Meeting on Investment Company Liquidity Disclosure (Jay Clayton, Chairman — June 28, 2018)Opening Statement at Open Meeting (Jay Clayton, Chairman — June 28, 2018)Statement on Final Rule of Inline XBRL Filing of Tagged Data (Hester M. Peirce, Commissioner — June 28, 2018)Statement at Open Meeting on Exchange-Traded Funds (Hester M. Peirce, Commissioner — June 28, 2018)Statement at Open Meeting on Amendments to the Commission’s Whistleblower Program Rules (Hester M. Peirce, Commissioner — June 28, 2018)Statement at Open Meeting on Investment Company Liquidity Disclosure Adopting Release (Hester M. Peirce, Commissioner — June 28, 2018)Statement on Final Rules Regarding Smaller Reporting Companies (Robert J. Jackson, Jr., Commissioner — June 28, 2018)Statement on Proposed Rules Regarding SEC Whistleblower Program (Robert J. Jackson, Jr., Commissioner — June 28, 2018)Statement on Investment Company Liquidity Disclosure (Robert J. Jackson, Jr., Commissioner — June 28, 2018)Statement of Commissioner Robert J. Jackson, Jr. on Proposed Rules Regarding Exchange Traded Funds (Robert J. Jackson, Jr., Commissioner — June 28, 2018)Statement on Proposed Amendments to the Commission’s Whistleblower Program Rules (Kara M. Stein, Commissioner — June 28, 2018)Statement at Open Meeting on the Proposed Rule 6c-11 Under the Investment Company Act of 1940 Governing Exchange-Traded Funds (Kara M. Stein, Commissioner — June 28, 2018)Statement on Adoption of Amendments to Investment Company Liquidity Disclosure (Kara M. Stein, Commissioner — June 28, 2018)Statement on Final Rule of Inline XBRL Filing of Tagged Data (Kara M. Stein, Commissioner — June 28, 2018)Statement on Amendments to Smaller Reporting Company Definition (Kara M. Stein, Commissioner — June 28, 2018)Statement of Commissioner Piwowar at Open Meeting Regarding Amendments to the Commission’s Whistleblower Program Rules (Michael S. Piwowar, Commissioner — June 28, 2018)Statement at Open Meeting on Investment Company Liquidity Disclosure (Final Rule) (Michael S. Piwowar, Commissioner — June 28, 2018)Statement at Open Meeting on Exchange-Traded Funds (Proposed Rule) (Michael S. Piwowar, Commissioner — June 28, 2018)Statement of Commissioner Piwowar at Open Meeting Regarding Amendments to Smaller Reporting Company Definition (Michael S. Piwowar, Commissioner — June 28, 2018)Statement of Commissioner Piwowar at Open Meeting Regarding Inline XBRL Filing of Tagged Data (Michael S. Piwowar, Commissioner — June 28, 2018)Testimony on “Oversight of the U.S. Securities and Exchange Commission” (Jay Clayton, Chairman — June 21, 2018)Investors, Innovation, and Performance Top SEC's Draft Strategic Plan — June 19, 2018Remarks Before the Institute of Management Accountants’ 2018 Annual Conference and Expo: “Advancing the Purpose and Promise of Those Involved in Financial Reporting” (Wesley Bricker, Chief Accountant — June 19, 2018)Observations on Culture at Financial Institutions and the SEC (Jay Clayton, Chairman — June 18, 2018)Remarks at the SEC’s Investor Advisory Committee Meeting (Kara M. Stein, Commissioner — June 14, 2018) Remarks to the SEC Investor Advisory Committee (Jay Clayton, Chairman — June 14, 2018)Digital Asset Transactions: When Howey Met Gary (Plastic) (William Hinman, Director, Division of Corporation Finance — June 14, 2018)Stock Buyouts and Corporate Cashouts (Robert J. Jackson Jr., Commissioner — June 11, 2018)SEC Names Sarah ten Siethoff Associate Director in the Division of Investment Management’s Rulemaking Office — June 8, 2018Progress Is Being Made: Continued Focus on Addressing Implementation Matters (Sagar Teotia, Deputy Chief Accountant — June 7, 2018) Statement on Investment Company Disclosure (Robert J. Jackson Jr., Commissioner — June 6, 2018)Remarks to the Institute of Chartered Accountants in England and Wales: “The intersection of financial reporting and innovation" (Wesley Bricker, Chief Accountant — June 6, 2018) Testimony Before the Financial Services and General Government Subcommittee of the Senate Committee on Appropriations (Jay Clayton, Chairman — June 5, 2018)Opening Remarks to the Elder Justice Coordinating Council (Jay Clayton, Chairman — June 5, 2018)Statement at Open Meeting on Inter-Agency Proposal for Amendments to the Volcker Rule (Jay Clayton, Chairman — June 5, 2018)Statement on Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (Kara M. Stein, Commissioner — June 5, 2018)Proposed Amendments to the Volcker Rule (Robert J. Jackson Jr., Commissioner — June 5, 2018)Statement on Investment Company Design, Delivery and Disclosures Rulemaking Package (Jay Clayton, Chairman — June 5, 2018)Optional Internet Availability of Investment Company Shareholder Reports (Hester M. Peirce, Commissioner — June 5, 2018)Statement on Investment Company Rule 30e-3, Enabling Optional Internet Availability of Shareholder Reports (Michael S. Piwowar, Commissioner — June 5, 2018)Statement on Final Rule on the Optional Internet Availability of Investment Company Shareholder Reports, Request for Comment on the Investor Experience, and Request for Comment on Intermediary Fees (Kara M. Stein, Commissioner — June 5, 2018)SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure — June 5, 2018SEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation — June 5, 2018SEC Announces Agenda for June 14 Investor Advisory Committee Meeting in Atlanta — May 30, 2018Jeffrey Harris, Chief Economist and Director of the SEC’s Division of Economic and Risk Analysis, to Leave the Agency — May 29, 2018SEC Proposes FAIR Act Rules to Promote Research Reports on Investment Funds — May 23, 2018Investing in America: SEC Commissioners Are Heading to Atlanta to Interact With Investors — May 23, 2018Remarks at the FINRA Annual Conference (Brett Redfearn, Director, Division of Trading and Markets — May 22, 2018)Statement on NASAA’s Announcement of Enforcement Sweep Targeting Fraudulent ICOs and Crypto-Asset Investment Products (Jay Clayton, Chairman — May 22, 2018)SEC Names James Reese Chief Risk and Strategy Officer of the Office of Compliance Inspections and Examinations — May 15, 2018SEC Names Caryn E. Kauffman as Chief Financial Officer — May 15, 2018The Why Behind the No: Remarks at the 50th Annual Rocky Mountain Securities Conference (Hester M. Peirce, Commissioner — May 11, 2018)Statement on Commissioner Michael S. Piwowar (Jay Clayton, Chairman — May 7, 2018)Statement of Commissioner Michael S. Piwowar (Michael S. Piwowar, Commissioner — May 7, 2018)SEC Names Jessica Kane Director of Office of Credit Ratings — May 7, 2018Tossing Fish and Catching Capital: Remarks at the Washington State Bar Association (Hester M. Peirce, Commissioner — May 4, 2018)Diane Blizzard, Associate Director of Rulemaking for the SEC’s Division of Investment Management, to Leave the Agency After 18 Years of Service — May 4, 2018Remarks Before the 2018 Baruch College Financial Reporting Conference: “Working Together to Advance Financial Reporting” (Wesley Bricker, Chief Accountant — May 3, 2018)The Role of Machine Readability in an AI World (Scott W. Bauguess, Deputy Chief Economist and Deputy Director, Division of Economic and Risk Analysis — May 3, 2018)Beaches and Bitcoin: Remarks Before the Medici Conference (Hester M. Peirce, Commissioner — May 2, 2018)The Evolving Market for Retail Investment Services and Forward-Looking Regulation — Adding Clarity and Investor Protection While Ensuring Access and Choice (Jay Clayton, Chairman — May 2, 2018)SEC Launches Additional Investor Protection Search Tool — May 2, 2018SEC Enforcement Division Issues FAQs for Share Class Selection Disclosure Initiative — May 1, 2018Office of International Affairs Director Paul A. Leder to Leave SEC — April 30, 2018Testimony Before the Financial Services and General Government Subcommittee of the House Committee on Appropriations (Jay Clayton, Chairman — April 26, 2018)The Middle-Market IPO Tax (Robert J. Jackson Jr., Commissioner — April 25, 2018)Statement on Public Engagement Regarding Standards of Conduct for Investment Professionals Rulemaking (Jay Clayton, Chairman — April 24, 2018)Remarks Before the SIFMA Equity Market Structure Conference (Hester M. Peirce, Commissioner — April 18, 2018)Proposed Rulemakings and Interpretations Relating to Retail Investor Relationships With Investment Professionals (Commissioner Robert J. Jackson Jr. — April 18, 2018)SEC Proposes to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Investment Professionals — April 18, 2018Overview of the Standards of Conduct for Investment Professionals Rulemaking Package (Jay Clayton, Chairman — April 18, 2018)Statement at the Open Meeting on Standards of Conduct for Investment Professionals (Jay Clayton, Chairman — April 18, 2018)Statement at Open Meeting on Form CRS, Proposed Regulation Best Interest and Notice of Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers (Proposed Rule) (Michael S. Piwowar, Commissioner — April 18, 2018)Statement at the Open Meeting on Standards of Conduct for Investment Professionals (Hester M. Peirce, Commissioner — April 18, 2018)Statement on Proposals Relating to Regulation Best Interest, Form CRS, Restrictions on the Use of Certain Names or Titles, and Commission Interpretation Regarding the Standard of Conduct for Investment Advisers (Kara M. Stein, Commissioner — April 18, 2018)Fee Rate Advisory #3 for Fiscal Year 2018 — April 17, 2018International Organizations: Learning From the Past to Build for the Future (Hester M. Peirce, Commissioner — April 11, 2018)Reflections of an Economist Commissioner (Michael S. Piwowar, Commissioner — April 13, 2018)Letter of Commissioners Piwowar and Peirce on Regulation A Offering Amount Limitation (Michael S. Piwowar, Commissioner and Hester M. Peirce, Commissioner — April 11, 2018)Remarks at the Equity Market Structure Symposium Sponsored by the University of Chicago and the STA Foundation (Jay Clayton, Chairman — April 10, 2018)Opening Remarks at the Second Meeting of the Fixed Income Market Structure Advisory Committee (Jay Clayton, Chairman — April 9, 2018)