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SEC Issues Annual Staff Reports on Credit Rating Agencies — December 28, 2015SEC Seeks Public Comment on Transfer Agent Rules — December 22, 2015Modernizing the Commission's Regulatory Structure for Transfer Agents (Luis A. Aguilar, Commissioner — December 22, 2015)Looking Back at The SEC’s Transformation (and a Few Other Things) (Luis A. Aguilar, Commissioner — December 21, 2015)SEC Issues Staff Report on Accredited Investor Definition — December 18, 2015Being a Responsible Steward: Ensuring that the SEC Implements Effective Cybersecurity Protocols for its Data Gathering Efforts (Luis A. Aguilar, Commissioner — December 16, 2015)Remarks to the ICI 2015 Securities Law Development Conference (David Grim, Director, Division of Investment Management — December 16, 2015)SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act — December 11, 2015SEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies — December 11, 2015Statement at Open Meeting (Mary Jo White, Chair — December 11, 2015)Protecting Investors Through Proactive Regulation of Derivatives and Robust Fund Governance (Luis A. Aguilar, Commissioner — December 11, 2015)Dissenting Statement at Open Meeting on Use of Derivatives by Registered Investment Companies and Business Development Companies (Michael S. Piwowar, Commissioner — December 11, 2015)Statement on Use of Derivatives by Registered Investment Companies and Business Development Companies (Kara M. Stein, Commissioner — December 11, 2015)Enhancing the Transparency of Resource Extraction Revenue Payments (Luis A. Aguilar, Commissioner — December 11, 2015)Dissenting Statement at Open Meeting on Resource Extraction (Michael S. Piwowar, Commissioner — December 11, 2015)Remarks Before the 2015 AICPA National Conference on Current SEC and PCAOB DevelopmentsStatement Regarding Repeal of Indemnification Requirement (Michael S. Piwowar, Commissioner — December 8, 2015)Testimony on “Oversight of the Financial Stability Oversight Council” (Mary Jo White, Chair — December 8, 2015)Testimony on Updating the Electronic Communications Privacy Act (Andrew Ceresney, Director, Division of Enforcement — December 1, 2015)SEC, FINRA, MSRB to Hold Compliance Outreach Program for Municipal Advisors — December 1, 2015SEC Names Katherine Martin as Associate Director in the Office of International Affairs — November 30, 2015Opening Remarks to the Government-Business Forum on Small Business Capital Formation (Mary Jo White, Chair — November 19, 2015)Keynote Remarks at the Women's Forum of New York Breakfast of Corporate Champions: "The Pursuit of Gender Parity in the American Boardroom" (Mary Jo White, Chair — November 19, 2015)Commissioner Aguilar's (Hopefully) Helpful Tips for New SEC Commissioners (Luis A. Aguilar, Commissioner — November 30, 2015)Statement at the 2015 Government-Business Forum on Small Business Capital Formation (Kara M. Stein, Commissioner — November 19, 2015)Remarks to the SEC Government-Business Forum on Small Business Capital Formation (Michael S. Piwowar, Commissioner — November 19, 2015)The Continuing Work of Enhancing Small Business Capital Formation (Luis A. Aguilar, Commissioner — November 19, 2015)SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems — November 18, 2015Testimony on “Examining the SEC’s Agenda, Operations, and FY 2017 Budget Request” (Mary Jo White, Chair — November 18, 2015)ACI’s 32nd FCPA Conference Keynote Address (Andrew Ceresney, Director, Division of Enforcement — November 17, 2015)Executive Compensation: Looking Beyond the Dodd-Frank Horizon (Keith F. Higgins, Director, Division of Corporation Finance — November 17, 2015)Remarks at the 34th Annual Current Financial Reporting Issues Conference (Michael S. Piwowar, Commissioner — November 16, 2015)Statement on Departure From the SEC (Luis A. Aguilar, Commissioner — November 16, 2015)Sanket Bulsara Named Deputy General Counsel for Appellate Litigation and Adjudication — November 13, 2015Marc Wyatt Named Director of the Office of Compliance Inspections and Examinations — November 13, 2015Olivier Girod Named SEC Deputy Director of Office of Support Operations — November 13, 2015Surfing the Wave: Technology, Innovation, and Competition — Remarks at Harvard Law School’s Fidelity Guest Lecture Series (Kara M. Stein, Commissioner — November 9, 2015)2015 National Society of Compliance Professionals, National Conference: Keynote Address (Andrew Ceresney, Director, Division of Enforcement — November 4, 2015)Opening Remarks at the 21st Annual International Institute for Securities Enforcement and Market Oversight (Mary Jo White, Chair — November 2, 2015)Remarks to the ALI CLE 2015 Conference on Life Insurance Company Products (Dave Grim, Director, Division of Investment Management — November 2, 2015)Market Structure Enforcement: Looking Back and Forward (Andrew Ceresney, Director, Division of Enforcement — November 2, 2015)Statement at Open Meeting on Regulation Crowdfunding and on Securities Act Rules 147 and 504 (Mary Jo White, Chair — October 30, 2015)Making Capital Formation Work for Smaller Companies and Investors (Luis A. Aguilar, Commissioner — October 30, 2015)Statement on the Adoption of Regulation Crowdfunding (Kara M. Stein, Commissioner — October 30, 2015)Dissenting Statement at Open Meeting on Crowdfunding and Small Business Capital Formation (Michael S. Piwowar, Commissioner — October 30, 2015)Statement on Proposed Rule Amendments to Facilitate Intrastate and Regional Securities Offerings (Kara M. Stein, Commissioner — October 30, 2015)Statement on the Retirement of FINRA Chairman and CEO Richard Ketchum (Mary Jo White, Chair — October 30, 2015)SEC Adopts Rules to Permit Crowdfunding — October 30, 2015Keynote Address at the 47th Annual Securities Regulation Institute: "Building a Dynamic Framework for Offering Reform" (Mary Jo White, Chair — October 28, 2015)Remarks at the SEC Equity Market Structure Advisory Committee Meeting (Michael S. Piwowar, Commissioner — October 27, 2015)Opening Remarks at the October 2015 Meeting of the Equity Market Structure Advisory Committee (Mary Jo White, Chair — October 27, 2015)Evolving Equity Markets Require Constant Attention (Luis A. Aguilar, Commissioner — October 27, 2015)Remarks Before the UCI Audit Committee Summit (James Schnurr, Chief Accountant — October 23, 2015)Testimony on “Oversight of the SEC’s Division of Investment Management” (David W. Grim, Director, Division of Investment Management — October 23, 2015)SEC Announces Enforcement Results for FY 2015 — October 22, 2015Economic Analysis: Providing Insight to Advance the Missions of the SEC and the PCAOB (Mark J. Flannery, Chief Economist and Director, Division of Economic and Risk Analysis — October 22, 2015)SEC to Hold Annual Government-Business Forum on Small Business Capital Formation on November 19 — October 21, 2015Keynote Address at the Evolving Structure of the U.S. Treasury Market Conference, Federal Reserve Bank of New York: "Taking Stock of Treasury Market Regulation" (Mary Jo White, Chair — October 20, 2015)Keynote Remarks at the 2015 Women in Policing Conference: “Women in the NYPD: Hear Them Roar” (Mary Jo White, Chair — October 20, 2015)Wenchi Hu, Christian Sabella Named Associate Directors in the Division of Trading and Markets — October 20, 2015Statement of Investor Advocate Rick A. Fleming Regarding His First Official Recommendation to the Securities and Exchange Commission (Rick A. Fleming, Investor Advocate — October 16, 2015)Five Years On: Regulation of Private Fund Advisers After Dodd-Frank (Mary Jo White, Chair — October 16, 2015)Opening Remarks to the Investor Advisory Committee (Mary Jo White, Chair — October 15, 2015)How Can the Markets Best Adapt to the Rapid Growth of ETFs (Luis A. Aguilar, Commissioner — October 15, 2015)Remarks at NRS 30th Annual Fall Investment Adviser and Broker-Dealer Compliance Conference (Andrew J. Donohue, Chief of Staff — October 14, 2015)The Important Work of Boards of Directors (Luis A. Aguilar, Commissioner — October 14, 2015)Michael Liftik Named SEC Deputy Chief of Staff — October 5, 2015SEC Deputy Chief of Staff Erica Williams to Leave Agency — October 5, 2015Chyhe Becker Named as Associate Director in the Division of Economic and Risk Analysis — October 2, 2015 Introductory Remarks at the National Faith Leaders Conference “Protecting Investors Protects You” (Mary Jo White, Chair — October 2, 2015)Statement of Commissioner Daniel M. Gallagher on His Departure From the SEC (Daniel M. Gallagher, Commissioner — October 2, 2015)Opinion of Commissioner Gallagher and Commissioner Piwowar, Dissenting From the Opinion of the Commission (Daniel M. Gallagher, Commissioner, and Michael S. Piwowar, Commissioner — October 2, 2015)
SEC Issues Annual Staff Reports on Credit Rating Agencies — December 28, 2015SEC Seeks Public Comment on Transfer Agent Rules — December 22, 2015Modernizing the Commission's Regulatory Structure for Transfer Agents (Luis A. Aguilar, Commissioner — December 22, 2015)Looking Back at The SEC’s Transformation (and a Few Other Things) (Luis A. Aguilar, Commissioner — December 21, 2015)SEC Issues Staff Report on Accredited Investor Definition — December 18, 2015Being a Responsible Steward: Ensuring that the SEC Implements Effective Cybersecurity Protocols for its Data Gathering Efforts (Luis A. Aguilar, Commissioner — December 16, 2015)Remarks to the ICI 2015 Securities Law Development Conference (David Grim, Director, Division of Investment Management — December 16, 2015)SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act — December 11, 2015SEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies — December 11, 2015Statement at Open Meeting (Mary Jo White, Chair — December 11, 2015)Protecting Investors Through Proactive Regulation of Derivatives and Robust Fund Governance (Luis A. Aguilar, Commissioner — December 11, 2015)Dissenting Statement at Open Meeting on Use of Derivatives by Registered Investment Companies and Business Development Companies (Michael S. Piwowar, Commissioner — December 11, 2015)Statement on Use of Derivatives by Registered Investment Companies and Business Development Companies (Kara M. Stein, Commissioner — December 11, 2015)Enhancing the Transparency of Resource Extraction Revenue Payments (Luis A. Aguilar, Commissioner — December 11, 2015)Dissenting Statement at Open Meeting on Resource Extraction (Michael S. Piwowar, Commissioner — December 11, 2015)Remarks Before the 2015 AICPA National Conference on Current SEC and PCAOB DevelopmentsStatement Regarding Repeal of Indemnification Requirement (Michael S. Piwowar, Commissioner — December 8, 2015)Testimony on “Oversight of the Financial Stability Oversight Council” (Mary Jo White, Chair — December 8, 2015)Testimony on Updating the Electronic Communications Privacy Act (Andrew Ceresney, Director, Division of Enforcement — December 1, 2015)SEC, FINRA, MSRB to Hold Compliance Outreach Program for Municipal Advisors — December 1, 2015SEC Names Katherine Martin as Associate Director in the Office of International Affairs — November 30, 2015Opening Remarks to the Government-Business Forum on Small Business Capital Formation (Mary Jo White, Chair — November 19, 2015)Keynote Remarks at the Women's Forum of New York Breakfast of Corporate Champions: "The Pursuit of Gender Parity in the American Boardroom" (Mary Jo White, Chair — November 19, 2015)Commissioner Aguilar's (Hopefully) Helpful Tips for New SEC Commissioners (Luis A. Aguilar, Commissioner — November 30, 2015)Statement at the 2015 Government-Business Forum on Small Business Capital Formation (Kara M. Stein, Commissioner — November 19, 2015)Remarks to the SEC Government-Business Forum on Small Business Capital Formation (Michael S. Piwowar, Commissioner — November 19, 2015)The Continuing Work of Enhancing Small Business Capital Formation (Luis A. Aguilar, Commissioner — November 19, 2015)SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems — November 18, 2015Testimony on “Examining the SEC’s Agenda, Operations, and FY 2017 Budget Request” (Mary Jo White, Chair — November 18, 2015)ACI’s 32nd FCPA Conference Keynote Address (Andrew Ceresney, Director, Division of Enforcement — November 17, 2015)Executive Compensation: Looking Beyond the Dodd-Frank Horizon (Keith F. Higgins, Director, Division of Corporation Finance — November 17, 2015)Remarks at the 34th Annual Current Financial Reporting Issues Conference (Michael S. Piwowar, Commissioner — November 16, 2015)Statement on Departure From the SEC (Luis A. Aguilar, Commissioner — November 16, 2015)Sanket Bulsara Named Deputy General Counsel for Appellate Litigation and Adjudication — November 13, 2015Marc Wyatt Named Director of the Office of Compliance Inspections and Examinations — November 13, 2015Olivier Girod Named SEC Deputy Director of Office of Support Operations — November 13, 2015Surfing the Wave: Technology, Innovation, and Competition — Remarks at Harvard Law School’s Fidelity Guest Lecture Series (Kara M. Stein, Commissioner — November 9, 2015)2015 National Society of Compliance Professionals, National Conference: Keynote Address (Andrew Ceresney, Director, Division of Enforcement — November 4, 2015)Opening Remarks at the 21st Annual International Institute for Securities Enforcement and Market Oversight (Mary Jo White, Chair — November 2, 2015)Remarks to the ALI CLE 2015 Conference on Life Insurance Company Products (Dave Grim, Director, Division of Investment Management — November 2, 2015)Market Structure Enforcement: Looking Back and Forward (Andrew Ceresney, Director, Division of Enforcement — November 2, 2015)Statement at Open Meeting on Regulation Crowdfunding and on Securities Act Rules 147 and 504 (Mary Jo White, Chair — October 30, 2015)Making Capital Formation Work for Smaller Companies and Investors (Luis A. Aguilar, Commissioner — October 30, 2015)Statement on the Adoption of Regulation Crowdfunding (Kara M. Stein, Commissioner — October 30, 2015)Dissenting Statement at Open Meeting on Crowdfunding and Small Business Capital Formation (Michael S. Piwowar, Commissioner — October 30, 2015)Statement on Proposed Rule Amendments to Facilitate Intrastate and Regional Securities Offerings (Kara M. Stein, Commissioner — October 30, 2015)Statement on the Retirement of FINRA Chairman and CEO Richard Ketchum (Mary Jo White, Chair — October 30, 2015)SEC Adopts Rules to Permit Crowdfunding — October 30, 2015Keynote Address at the 47th Annual Securities Regulation Institute: "Building a Dynamic Framework for Offering Reform" (Mary Jo White, Chair — October 28, 2015)Remarks at the SEC Equity Market Structure Advisory Committee Meeting (Michael S. Piwowar, Commissioner — October 27, 2015)Opening Remarks at the October 2015 Meeting of the Equity Market Structure Advisory Committee (Mary Jo White, Chair — October 27, 2015)Evolving Equity Markets Require Constant Attention (Luis A. Aguilar, Commissioner — October 27, 2015)Remarks Before the UCI Audit Committee Summit (James Schnurr, Chief Accountant — October 23, 2015)Testimony on “Oversight of the SEC’s Division of Investment Management” (David W. Grim, Director, Division of Investment Management — October 23, 2015)SEC Announces Enforcement Results for FY 2015 — October 22, 2015Economic Analysis: Providing Insight to Advance the Missions of the SEC and the PCAOB (Mark J. Flannery, Chief Economist and Director, Division of Economic and Risk Analysis — October 22, 2015)SEC to Hold Annual Government-Business Forum on Small Business Capital Formation on November 19 — October 21, 2015Keynote Address at the Evolving Structure of the U.S. Treasury Market Conference, Federal Reserve Bank of New York: "Taking Stock of Treasury Market Regulation" (Mary Jo White, Chair — October 20, 2015)Keynote Remarks at the 2015 Women in Policing Conference: “Women in the NYPD: Hear Them Roar” (Mary Jo White, Chair — October 20, 2015)Wenchi Hu, Christian Sabella Named Associate Directors in the Division of Trading and Markets — October 20, 2015Statement of Investor Advocate Rick A. Fleming Regarding His First Official Recommendation to the Securities and Exchange Commission (Rick A. Fleming, Investor Advocate — October 16, 2015)Five Years On: Regulation of Private Fund Advisers After Dodd-Frank (Mary Jo White, Chair — October 16, 2015)Opening Remarks to the Investor Advisory Committee (Mary Jo White, Chair — October 15, 2015)How Can the Markets Best Adapt to the Rapid Growth of ETFs (Luis A. Aguilar, Commissioner — October 15, 2015)Remarks at NRS 30th Annual Fall Investment Adviser and Broker-Dealer Compliance Conference (Andrew J. Donohue, Chief of Staff — October 14, 2015)The Important Work of Boards of Directors (Luis A. Aguilar, Commissioner — October 14, 2015)Michael Liftik Named SEC Deputy Chief of Staff — October 5, 2015SEC Deputy Chief of Staff Erica Williams to Leave Agency — October 5, 2015Chyhe Becker Named as Associate Director in the Division of Economic and Risk Analysis — October 2, 2015 Introductory Remarks at the National Faith Leaders Conference “Protecting Investors Protects You” (Mary Jo White, Chair — October 2, 2015)Statement of Commissioner Daniel M. Gallagher on His Departure From the SEC (Daniel M. Gallagher, Commissioner — October 2, 2015)Opinion of Commissioner Gallagher and Commissioner Piwowar, Dissenting From the Opinion of the Commission (Daniel M. Gallagher, Commissioner, and Michael S. Piwowar, Commissioner — October 2, 2015)