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SEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions — December 21, 2018Agencies Invite Comment on a Proposal to Exclude Community Banks From the Volcker Rule — December 21, 2018SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities — December 20, 2018Statement in Relation to the SEC Open Meeting and Thank You to Kara Stein (Jay Clayton, Chairman — December 19, 2018)Statement at Open Meeting on Proposed Rule 12d1-4 Under the Investment Company Act of 1940 Governing Fund of Funds Arrangements (Kara M, Stein, Commissioner — December 19, 2018)SEC Adopts Transaction Fee Pilot for NMS Stocks — December 19, 2018SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A — December 19, 2018SEC Proposes Rule Changes for Fund of Funds Arrangements — December 19, 2018Statement on Proposed Rule Regarding Risk Mitigation Techniques for Uncleared Security-Based Swaps (Kara M. Stein, Commissioner — December 19, 2018)SEC Proposes Risk Mitigation Techniques for Uncleared Security-Based Swaps — December 19, 2018Statement on Rule 194, Applications By Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps (Kara M. Stein, Commissioner — December 19, 2018)Statement at Open Meeting on Consideration of Whether to Adopt Rule of Practice 194 and to Propose Rules Regarding Risk Mitigation Techniques for Uncleared Security-Based Swaps (Hester M. Peirce, Commissioner — December 19, 2018)SEC Adopts Rule of Practice 194 — December 19, 2018Final Rules Regarding Disqualified Actors in the Security-Based Swaps Market (Robert J. Jackson Jr., Commissioner — December 19, 2018)Statement on the Commission’s Consideration of the Public Company Accounting Oversight Board’s Proposed 2019 Budget and Accounting Support Fee (Kara M. Stein, Commissioner — December 19, 2018)SEC Approves 2019 PCAOB Budget and Accounting Support Fee — December 19, 2018SEC Adopts Final Rules for Disclosure of Hedging Policies — December 18, 2018SEC Publishes Two Reports on Credit Rating Agencies Showing Continued Focus on Compliance and Competition — December 18, 2018Daniel Kahl Named Deputy Director of the Office of Compliance Inspections and Examinations — December 18, 2018SEC Solicits Public Comment on Earnings Releases and Quarterly Reports — December 18, 2018Request for Comment on Earnings Releases and Quarterly Reports (33-10588)Scott W. Bauguess, Deputy Director of the Division of Economic and Risk Analysis, to Leave the Agency After a Decade of Service — December 18, 2018Joint Statement on the IDI Exception to the Swap Dealer Definition (Jay Clayton, Chairman; and Christopher Giancarlo, CFTC Chairman — December 14, 2018)Jeffrey S. Mooney Named Associate Director in the Office of Clearance and Settlement — December 14, 2018SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors — December 13, 2018Jeffrey Minton, Office of the Chief Accountant Chief Counsel, to Retire From the SEC After 20 Years of Service — December 13, 2018Remarks to the SEC Investor Advisory Committee (Jay Clayton, Chairman — December 13, 2018)Remarks at the SEC Investor Advisory Committee Meeting (Kara M. Stein, Commissioner — December 13, 2018)Remarks to the Annual Government-Business Forum on Small Business Capital Formation in Columbus, Ohio (Jay Clayton, Chairman — December 12, 2018)Testimony on “Oversight of the U.S. Securities and Exchange Commission” (Jay Clayton, Chairman — December 11, 2018)SEC Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official — December 11, 2018Remarks Before the 2018 AICPA National Conference on Current SEC and PCAOB DevelopmentsSEC Announces Agenda and Panelists for the 37th Annual Small Business Forum — December 7, 2018SEC Rulemaking Over the Past Year, the Road Ahead and Challenges Posed by Brexit, LIBOR Transition and Cybersecurity Risks (Jay Clayton, Chairman — December 6, 2018)Statement on the Vital Role of Audit Quality and Regulatory Access to Audit and Other Information Internationally — Discussion of Current Information Access Challenges With Respect to U.S.-listed Companies With Significant Operations in China (Jay Clayton, SEC Chairman; Wes Bricker, SEC Chief Accountant; and William D. Duhnke III, PCAOB Chairman — December 6, 2018)Opening Remarks at the Municipal Securities Conference (Jay Clayton, Chairman — December 6, 2018)SEC Investor Advisory Committee to Meet on December 13 — December 5, 2018Shira Pavis Minton, Ethics Counsel, to Retire From the SEC After 20 Years of Federal Service — December 4, 2018Remarks at the IOSCO/PIFS-Harvard Law School Global Certificate Program for Regulators of Securities Markets (Steven Peikin, Co-Director, Division of Enforcement — December 3, 2018)List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act (33-10576)Statement at the SEC Staff Roundtable on the Proxy Process (Jay Clayton, Chairman — November 15, 2018)Opening Remarks at the 2018 SEC Staff Roundtable on the Proxy Process (Kara M. Stein, Commissioner — November 15, 2018)Statement at Proxy Process Roundtable (Elad L. Roisman, Commissioner — November 15, 2018)SEC Announces Agenda, Panelists for Staff Roundtable on the Proxy Process — November 8, 2018Lasting Impressions: Remarks Before the CV Summit — Crypto Valley (Hester M. Peirce, Commissioner — November 7, 2018)Remarks to the SEC Investor Advisory Committee (Jay Clayton, Chairman — November 7, 2018)SEC Adopts Rules That Increase Information Brokers Must Provide to Investors on Order Handling — November 2, 2018SEC Adopts Rules to Modernize Property Disclosures Required for Mining Registrants — October 31, 2018SEC Issues Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants — October 31, 2018SEC Proposes Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts — October 30, 2018Opening Statement at the October 2018 Fixed Income Market Structure Advisory Committee Meeting (Elad L. Roisman, Commissioner — October 29, 2018)Statement at the Roundtable on Market Data and Market Access (Elad L. Roisman, Commissioner — October 25, 2018)Improving Information for Investors in the Digital Age (Kara Stein, Commissioner — October 23, 2018)Statement on Market Data Fees and Market Structure (Jay Clayton, Chairman — October 16, 2018)Joint Statement on the Application of SIFMA for Review of Action Taken by NYSE Arca, Inc., and NASDAQ Stock Market LLC (Hester M. Peirce, Commissioner and Elad L. Roisman, Commissioner — October 16, 2018)SEC Provides Regulatory Relief and Assistance for Hurricane Victims — October 16, 2018The New American Dream: Retirement Security (Kara M. Stein, Commissioner — October 16, 2018)SEC Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting ControlsOpening Statement at the SEC Open Meeting (Jay Clayton, Chairman — October 11, 2018)Competition: The Forgotten Fourth Pillar of the SEC’s Mission (Robert J. Jackson, Jr., Commissioner — October 11, 2018)Statement on Re-Opening Comment Period for Capital/Margin/Segregation for Security-Based Swap Dealers (Robert J. Jackson Jr., Commissioner — October 11, 2018)Statement on Re-Opening the Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers (Elad L. Roisman, Commissioner — October 11, 2018)Statement on Commission Action Regarding Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers (Kara M. Stein, Commissioner — October 11, 2018)Statement at Open Meeting on Re-Opening Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap (Hester M. Peirce, Commissioner — October 11, 2018)SEC Reopens Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants — October 11, 2018Gary Goldsholle, Former Deputy Director, Current Senior Policy Adviser in the Division of Trading and Markets, to Leave the SEC — October 10, 2018Why and Whither Title VII?: Remarks Before the 2018 ISDA Annual North America Conference (Hester M. Peirce, Commissioner — October 4, 2018)Remedies and Relief in SEC Enforcement Actions (Steven Peikin, Co-Director, Division of Enforcement — October 3, 2018)Pickups and Put Downs: Remarks at the Financial Planning Association 2018 Major Firms Symposium (Hester M. Peirce, Commissioner — October 2, 2018)
SEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions — December 21, 2018Agencies Invite Comment on a Proposal to Exclude Community Banks From the Volcker Rule — December 21, 2018SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities — December 20, 2018Statement in Relation to the SEC Open Meeting and Thank You to Kara Stein (Jay Clayton, Chairman — December 19, 2018)Statement at Open Meeting on Proposed Rule 12d1-4 Under the Investment Company Act of 1940 Governing Fund of Funds Arrangements (Kara M, Stein, Commissioner — December 19, 2018)SEC Adopts Transaction Fee Pilot for NMS Stocks — December 19, 2018SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A — December 19, 2018SEC Proposes Rule Changes for Fund of Funds Arrangements — December 19, 2018Statement on Proposed Rule Regarding Risk Mitigation Techniques for Uncleared Security-Based Swaps (Kara M. Stein, Commissioner — December 19, 2018)SEC Proposes Risk Mitigation Techniques for Uncleared Security-Based Swaps — December 19, 2018Statement on Rule 194, Applications By Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps (Kara M. Stein, Commissioner — December 19, 2018)Statement at Open Meeting on Consideration of Whether to Adopt Rule of Practice 194 and to Propose Rules Regarding Risk Mitigation Techniques for Uncleared Security-Based Swaps (Hester M. Peirce, Commissioner — December 19, 2018)SEC Adopts Rule of Practice 194 — December 19, 2018Final Rules Regarding Disqualified Actors in the Security-Based Swaps Market (Robert J. Jackson Jr., Commissioner — December 19, 2018)Statement on the Commission’s Consideration of the Public Company Accounting Oversight Board’s Proposed 2019 Budget and Accounting Support Fee (Kara M. Stein, Commissioner — December 19, 2018)SEC Approves 2019 PCAOB Budget and Accounting Support Fee — December 19, 2018SEC Adopts Final Rules for Disclosure of Hedging Policies — December 18, 2018SEC Publishes Two Reports on Credit Rating Agencies Showing Continued Focus on Compliance and Competition — December 18, 2018Daniel Kahl Named Deputy Director of the Office of Compliance Inspections and Examinations — December 18, 2018SEC Solicits Public Comment on Earnings Releases and Quarterly Reports — December 18, 2018Request for Comment on Earnings Releases and Quarterly Reports (33-10588)Scott W. Bauguess, Deputy Director of the Division of Economic and Risk Analysis, to Leave the Agency After a Decade of Service — December 18, 2018Joint Statement on the IDI Exception to the Swap Dealer Definition (Jay Clayton, Chairman; and Christopher Giancarlo, CFTC Chairman — December 14, 2018)Jeffrey S. Mooney Named Associate Director in the Office of Clearance and Settlement — December 14, 2018SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors — December 13, 2018Jeffrey Minton, Office of the Chief Accountant Chief Counsel, to Retire From the SEC After 20 Years of Service — December 13, 2018Remarks to the SEC Investor Advisory Committee (Jay Clayton, Chairman — December 13, 2018)Remarks at the SEC Investor Advisory Committee Meeting (Kara M. Stein, Commissioner — December 13, 2018)Remarks to the Annual Government-Business Forum on Small Business Capital Formation in Columbus, Ohio (Jay Clayton, Chairman — December 12, 2018)Testimony on “Oversight of the U.S. Securities and Exchange Commission” (Jay Clayton, Chairman — December 11, 2018)SEC Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official — December 11, 2018Remarks Before the 2018 AICPA National Conference on Current SEC and PCAOB DevelopmentsSEC Announces Agenda and Panelists for the 37th Annual Small Business Forum — December 7, 2018SEC Rulemaking Over the Past Year, the Road Ahead and Challenges Posed by Brexit, LIBOR Transition and Cybersecurity Risks (Jay Clayton, Chairman — December 6, 2018)Statement on the Vital Role of Audit Quality and Regulatory Access to Audit and Other Information Internationally — Discussion of Current Information Access Challenges With Respect to U.S.-listed Companies With Significant Operations in China (Jay Clayton, SEC Chairman; Wes Bricker, SEC Chief Accountant; and William D. Duhnke III, PCAOB Chairman — December 6, 2018)Opening Remarks at the Municipal Securities Conference (Jay Clayton, Chairman — December 6, 2018)SEC Investor Advisory Committee to Meet on December 13 — December 5, 2018Shira Pavis Minton, Ethics Counsel, to Retire From the SEC After 20 Years of Federal Service — December 4, 2018Remarks at the IOSCO/PIFS-Harvard Law School Global Certificate Program for Regulators of Securities Markets (Steven Peikin, Co-Director, Division of Enforcement — December 3, 2018)List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act (33-10576)Statement at the SEC Staff Roundtable on the Proxy Process (Jay Clayton, Chairman — November 15, 2018)Opening Remarks at the 2018 SEC Staff Roundtable on the Proxy Process (Kara M. Stein, Commissioner — November 15, 2018)Statement at Proxy Process Roundtable (Elad L. Roisman, Commissioner — November 15, 2018)SEC Announces Agenda, Panelists for Staff Roundtable on the Proxy Process — November 8, 2018Lasting Impressions: Remarks Before the CV Summit — Crypto Valley (Hester M. Peirce, Commissioner — November 7, 2018)Remarks to the SEC Investor Advisory Committee (Jay Clayton, Chairman — November 7, 2018)SEC Adopts Rules That Increase Information Brokers Must Provide to Investors on Order Handling — November 2, 2018SEC Adopts Rules to Modernize Property Disclosures Required for Mining Registrants — October 31, 2018SEC Issues Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants — October 31, 2018SEC Proposes Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts — October 30, 2018Opening Statement at the October 2018 Fixed Income Market Structure Advisory Committee Meeting (Elad L. Roisman, Commissioner — October 29, 2018)Statement at the Roundtable on Market Data and Market Access (Elad L. Roisman, Commissioner — October 25, 2018)Improving Information for Investors in the Digital Age (Kara Stein, Commissioner — October 23, 2018)Statement on Market Data Fees and Market Structure (Jay Clayton, Chairman — October 16, 2018)Joint Statement on the Application of SIFMA for Review of Action Taken by NYSE Arca, Inc., and NASDAQ Stock Market LLC (Hester M. Peirce, Commissioner and Elad L. Roisman, Commissioner — October 16, 2018)SEC Provides Regulatory Relief and Assistance for Hurricane Victims — October 16, 2018The New American Dream: Retirement Security (Kara M. Stein, Commissioner — October 16, 2018)SEC Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting ControlsOpening Statement at the SEC Open Meeting (Jay Clayton, Chairman — October 11, 2018)Competition: The Forgotten Fourth Pillar of the SEC’s Mission (Robert J. Jackson, Jr., Commissioner — October 11, 2018)Statement on Re-Opening Comment Period for Capital/Margin/Segregation for Security-Based Swap Dealers (Robert J. Jackson Jr., Commissioner — October 11, 2018)Statement on Re-Opening the Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers (Elad L. Roisman, Commissioner — October 11, 2018)Statement on Commission Action Regarding Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers (Kara M. Stein, Commissioner — October 11, 2018)Statement at Open Meeting on Re-Opening Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap (Hester M. Peirce, Commissioner — October 11, 2018)SEC Reopens Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants — October 11, 2018Gary Goldsholle, Former Deputy Director, Current Senior Policy Adviser in the Division of Trading and Markets, to Leave the SEC — October 10, 2018Why and Whither Title VII?: Remarks Before the 2018 ISDA Annual North America Conference (Hester M. Peirce, Commissioner — October 4, 2018)Remedies and Relief in SEC Enforcement Actions (Steven Peikin, Co-Director, Division of Enforcement — October 3, 2018)Pickups and Put Downs: Remarks at the Financial Planning Association 2018 Major Firms Symposium (Hester M. Peirce, Commissioner — October 2, 2018)