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Third Quarter

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From the Data Rush to the Data Wars: A Data Revolution in Financial Markets (Kara M. Stein, Commissioner — September 27, 2018)Testimony on “Oversight of the SEC’s Division of Investment Management” (Dalia Blass, Director, Division of Investment — September 26, 2018)SEC Proposes Amendments to Codify Exemption to Credit Rating Agency Rule — September 26, 2018Opening Remarks at the SEC Staff Roundtable on Regulatory Approaches to Combating Retail Investor Fraud (Jay Clayton, Chairman — September 26, 2018)My Beef With Stakeholders: Remarks at the 17th Annual SEC Conference, Center for Corporate Reporting and Governance (Hester M. Peirce, Commissioner — September 21, 2018)SEC Staff to Host Nov. 15 Roundtable on the Proxy Process — September 21, 2018Measuring the Impact of the SEC’s Enforcement Program (Stephanie Avakian, Co-Director, Division of Enforcement — September 20, 2018)Pamela C. Dyson, Chief Information Officer, to Leave SEC — September 20, 2018Christopher Hetner, Senior Advisor to the Chairman for Cybersecurity Policy, to Leave the Agency — September 19, 2018SEC Provides Regulatory Relief and Assistance for Hurricane Victims — September 19, 2018Unfair Exchange: The State of America's Stock Markets (Robert J. Jackson Jr., Commissioner — September 19, 2018)SEC Staff to Host Roundtable on Regulatory Approaches to Combating Retail Investor Fraud — September 18, 2018SEC and NYU to Host Sept. 21 Forum on High-Frequency Trading and Liquidity Resiliency — September 17, 2018Mark Wolfe Named Associate Director in Office of Derivatives Policy and Trading Practices — September 17, 2018Remarks Before the AICPA National Conference on Banks & Saving Institutions (Wesley Bricker, Chief Accountant — September 17, 2018)Statement on Shareholder Voting (Robert J. Jackson Jr., Commissioner — September 14, 2018)Remarks to the SEC Investor Advisory Committee (Jay Clayton, Chairman — September 13, 2018)Statement Regarding Staff Proxy Advisory Letters (Investment Management — September 13, 2018)Statement Regarding SEC Staff Views (Jay Clayton, Chairman — September 13, 2018)Elad Roisman Sworn In As SEC Commissioner — September 11, 2018Statement on the Expiration of the Tick Size Pilot — September 10, 2018SEC Names Rebecca J. Olsen as Director of the Office of Municipal Securities — September 4, 2018Agencies Extend Comment Period for Proposed Rule Simplifying and Tailoring the “Volcker Rule” — September 4, 2018Remarks on Capital Formation at the Nashville 36|86 Entrepreneurship Festival (Jay Clayton, Chairman — August 29, 2018)Statement on Status of the Consolidated Audit Trail (Brett Redfearn, Director, SEC Division of Trading and Markets — August 27, 2018)Fee Rate Advisory #1 for Fiscal Year 2019 — August 24, 2018Statement on Investor Roundtables Regarding Standards of Conduct for Investment Professionals Rulemaking (Jay Clayton, Chairman — August 22, 2018)SEC Adopts Rule Amendments to Improve Municipal Securities Disclosure — August 20, 2018Statement Announcing SEC Staff Roundtable on the Proxy Process (Jay Clayton, Chairman — July 30, 2018)What’s in a Name? Regulation Best Interest v. Fiduciary (Hester M. Peirce, Commissioner — July 24, 2018)Dissent of Commissioner Hester M. Peirce to Release No. 34-83723; File No. SR-BatsBZX-2016-30 (Hester M. Peirce, Commissioner — July 26, 2018)Statement on Proposed Amendments to the Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize A Registrant’s Securities (Rule 3-10 and Rule 3-16 of Regulation S-X) (Kara M. Stein, Commissioner — July 24, 2018)SEC Proposes Rules to Simplify and Streamline Disclosures in Certain Registered Debt Offerings — July 24, 2018Opening Statement at the SEC Open Meeting (Jay Clayton, Chairman — July 18, 2018)Statement at Open Meeting on Rule 701 Amendment and Concept Release (Hester M. Peirce, Commissioner — July 18, 2018)Statement at Open Meeting on NMS Stock Alternative Trading Systems (Hester M. Peirce, Commissioner — July 18, 2018)Statement of Commissioner Robert J. Jackson, Jr. Final Rules Regarding Regulation ATS (Alternative Trading Systems) (Robert J. Jackson Jr., Commissioner — July 18, 2018)Statement on Amendment to Securities Act Rule 701(e) and Concept Release on Potential Revisions to Securities Act Rule 701 and Securities Act Form S-8 (Kara M. Stein, Commissioner — July 18, 2018)Statement on Adoption of Rules to Increase the Operational Transparency of Alternative Trading Systems (ATS) (Kara M. Stein, Commissioner — July 18, 2018)SEC Adopts Final Rules and Solicits Public Comment on Ways to Modernize Offerings Pursuant to Compensatory Arrangements — July 18, 2018SEC Adopts Rules to Enhance Transparency and Oversight of Alternative Trading Systems — July 18, 2018Fact Sheet: How the Securities and Exchange Commission Fights Fraud, Protecting Retail Investors and Markets — July 11, 2018Remarks on the Establishment of the Task Force on Market Integrity and Consumer Fraud (Jay Clayton, Chairman — July 11, 2018)