- Capital Markets, Competition, and the SEC
- Statement on the Commission’s Approval of the 24X National Exchange Application for Registration as a National Securities Exchange
- Statement on Fixed Income Clearing Corporation Rules
- Chair Gensler statement on Planned Departure of Commissioner Jaime Lizárraga
- Commissioner Lizárraga Statement on His Planned Departure from the Commission
- IM Staff Statement on FICC Registered Fund Margin Framework
- Remarks at the Program on Corporate Compliance and Enforcement Annual Fall Conference
- Statement on the Departure of SEC Chair Gensler
- Remarks – 2024 Joint Compliance Outreach Program for Municipal Market Participants
- Embracing Risk: Remarks at the Ethiopian Capital Market Authority Industry Day
- Remarks at PLI’s 56th Annual Institute on Securities Regulation
- Car Keys, Football, and Effective Administration
- Prepared Remarks before the Small Business Capital Formation Advisory Committee
- Generally Soliciting Comments without Checking Accreditation: Remarks before the Small Business Capital Formation Advisory Committee
- Remarks to the Small Business Capital Formation Advisory Committee
Southern California Compliance Group
The Southern California Compliance Group provides an open forum for candid discussions with industry personnel and members to solve current compliance issues.
