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Browse: Home / Speeches

Speeches

Protecting Everyday Investors and Preserving Market Integrity: The SEC’s Division of Enforcement

By Securities Docket on September 18, 2020, 1:04 pm

But most impressive is how the staff continued to protect the securities markets from kitchens and living rooms while at the same time being caregivers and teachers and juggling video calls with all manner of chaos in the background. These are unprecedented circumstances and the staff acted in unprecedented ways to respond to all of […]

Posted in SEC, Top | Tagged Speeches

Investor-Focused, Nimble and Vigorous Enforcement at the SEC

By Securities Docket on September 18, 2020, 9:17 am

Third, a thank you to Stephanie Avakian, who you will hear from in a few moments.[1] Stephanie was the Acting Director of Enforcement when I arrived. I had not previously met her. Many people expressed interest in the Director position. Well, to make a long story short, it was quickly apparent to me that Steve […]

Posted in SEC, Top | Tagged Speeches

SEC Division of Enforcement Ramps Up Coronavirus Efforts | The Recorder

By Securities Docket on August 26, 2020, 9:01 am

During a May 12 virtual keynote address at the Securities Enforcement Forum West 2020, Steve Peikin, outgoing Enforcement co-director, stated that Enforcement had formed a Coronavirus Steering Committee in late-March. The Steering Committee, which is composed of approximately 24 managers from within Enforcement, was formed to “proactively identify and monitor areas of potential misconduct, ensure […]

Posted in SEC, Top | Tagged COVID, Speeches

SEC Enforcement Division: COVID-19-Related Enforcement Matters and What Lies Ahead | Morgan Lewis – JDSupra

By Securities Docket on May 17, 2020, 7:56 am

In a recent keynote speech, Co-Director of the US Securities and Exchange Commission’s Division of Enforcement Steven Peikin made it clear that the Division has made coronavirus (COVID-19) related enforcement matters a top priority and is dedicating significant time and resources to respond to such issues. Co-Director Peikin, speaking on May 12 at the virtual […]

Posted in SEC, Top | Tagged COVID-19, Speeches

Keynote Address by Steven Peikin: Securities Enforcement Forum West 2020

By Securities Docket on May 13, 2020, 8:07 am

So this afternoon, I’d like to share with you how the Division of Enforcement is responding during this ongoing crisis. I’ll describe some of the work we are doing to detect and address COVID-19-related misconduct. Then I will turn to our regular docket of investigations and litigations. All of our regular enforcement responsibilities remain in […]

Posted in SEC, Top | Tagged COVID-19, Speeches

Broken Windows: Remarks before the 51st Annual Institute on Securities Regulation

By Securities Docket on November 8, 2019, 9:23 am

How can we make our enforcement program even better than it is? Over the past nearly two years, I have thought a lot about this question as I read the enforcement recommendations sent to my office and talk with our enforcement staff. The SEC’s enforcement program effectively serves American investors and the capital markets that […]

Posted in SEC, Top | Tagged Speeches

SEC Chairman Jay Clayton’s Remarks to the Economic Club of New York

By Securities Docket on September 10, 2019, 8:08 am

To be clear, I do not intend to change the FCPA enforcement posture of the SEC.  We should, however, recognize that we are acting largely alone and other countries are incentivized to play, and I believe some are in fact playing, strategies that take advantage of our laudable efforts. Taking a step back, this experience, […]

Posted in SEC, Top | Tagged FCPA, Speeches

Crypto Mom Scolds SEC for ‘No Meaningful Action’ to Spark Crypto Industry

By Securities Docket on May 13, 2019, 7:44 am

‘Crypto Mom’ and SEC commissioner, Hester Peirce, has extended yet another olive branch to the cryptocurrency community. Speaking at the Securities Enforcement Forum in California on May 9th, Peirce said officials should be wary of stifling creativity with overzealous regulation. However, she also suggested a lack of regulation could have a similarly negative effect on […]

Posted in SEC, Top | Tagged Speeches

Crypto Mom Believes Regulation is “Stifling” Development – Cryptocurrency Regulation – Altcoin Buzz

By Securities Docket on May 13, 2019, 7:41 am

In a speech at the Securities Enforcement Forum in California on May 9th, SEC Commissioner Hester Peirce calls out the SEC for “stifling” the growth of this space. While she is happy with the lack of over enforcement, there isn’t enough regulation clarity for her. via Crypto Mom Believes Regulation is “Stifling” Development – Cryptocurrency […]

Posted in SEC, Top | Tagged Cryptocurrency, Speeches

Management’s Discussion and Analysis of the SEC: SEC Chairman Clayton’s Remarks at the “SEC Speaks” Conference

By Securities Docket on April 29, 2019, 8:17 am

Disclosure and the concepts of materiality, comparability, flexibility, efficiency and responsibility have been, and continue to be, the bedrock principles that make our public capital markets the most fair and efficient markets in the world. Today, I will take a page from our disclosure rulebook and give you a look at the Securities and Exchange […]

Posted in SEC, Top | Tagged Speeches

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