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  • Remarks At The SEC Historical Society Annual Meeting By SEC Commissioner Elisse B. Walter

    Date 06/06/2013

    Good afternoon, it's a pleasure to be with you today.

    I want to begin by saying "thank you" to President Bruce Bennett and Carla Rosati for their work helping the SEC Historical Society to continue to grow and flourish. To my mind, it is not only an important repository of American Financial History, it is a tribute to the thousands of men and women who have committed themselves over the years to protecting American investors and ensuring the stability of our financial markets by working at, or with, the Securities and Exchange Commission. Your efforts, and those of all who contribute to the Society and support events like this one, are deeply appreciated.

  • Regulation As A Spur To Growth - Speech By Martin Wheatley, Chief Executive, The Financial Conduct Authority, To The Investment Management Association (IMA) At Mansion House, London

    Date 06/06/2013

    My Lords, Deputy Lord Mayor, ladies and gentlemen, it is a great pleasure to join everyone tonight.

    And thank you for that kind introduction Douglas. One of the great strengths of the IMA is its ability to look outwards – to look towards clients and demonstrate a positive picture of financial services.

  • SEC Renames Division Focusing On Economic And Risk Analysis

    Date 06/06/2013

    The Securities and Exchange Commission today announced that it has changed the name of its Division of Risk, Strategy, and Financial Innovation to better reflect its core responsibilities and focus. Starting today, it will be called the "Division of Economic and Risk Analysis."

  • Statement By CFTC Commissioner Scott D. O’Malia On Ensuring A Backup Plan On Cross-Border Guidance To Give Markets Certainty

    Date 06/06/2013

    The Commission’s exemptive relief from the cross-border application of its Dodd-Frank rules expires on July 12. As that date nears, the Commission has only been given one path forward: finalize the cross-border guidance it proposed last July, or else leave the market without any clarity on the extraterritorial application of Commission rules following the expiration of the exemptive relief. There are a number of reasons why the Commission should not be forced into implementing a take-it-or-leave-it solution tied to an arbitrary deadline. Therefore, I am asking my fellow Commissioners to join me in releasing for public comment a proposed extension of the existing exemptive relief until December 31, 2013.

  • Money Market Mutual Fund Reform: Opening Statement At The SEC Open Meeting By Norm Champ, Director, Division Of Investment Management, U.S. Securities And Exchange Commission

    Date 06/06/2013

    Good morning, Chair White and Commissioners Walter, Aguilar, Paredes, and Gallagher. Today I am pleased to present for your consideration the recommendations of the SEC’s Division of Investment Management to amend certain of the rules governing money market mutual funds. Chair White, thank you for so ably taking the reins on this project and keeping us on track to get where we are today. I would also like to thank Commissioner Walter for her very effective leadership and tireless involvement on this project while she was Chair and her continued contributions since then. Thank you to each of Commissioners Aguilar, Paredes, and Gallagher for your engagement in this rulemaking process and your invaluable thoughts and input.