Press Releases

Press Releases

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Official announcements highlighting recent actions taken by the SEC and other newsworthy information.  To view Press Releases prior to 2012, click View Archive.
 
Date Title Release No.
April 2014
April 17, 2014 SEC Halts Pyramid Scheme Targeting Dominican and Brazilian Immigrants 2014-79
April 17, 2014 SEC Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants 2014-78
April 17, 2014 SEC Charges Former BP Employee with Insider Trading During the Deepwater Horizon Oil Spill 2014-77
April 15, 2014 SEC Charges San Diego-Based Investment Adviser 2014-76
April 15, 2014 SEC Names David Gottesman as Deputy Chief Litigation Counsel 2014-75
April 14, 2014 SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank 2014-74
April 9, 2014 SEC Charges Hewlett-Packard With FCPA Violations 2014-73
April 8, 2014 SEC Announces Charges Against Honolulu Woman Defrauding Investors Through Social Media 2014-72
April 8, 2014 SEC Charges Las Vegas-Based Transfer Agent With Disclosure Failures in Registration Forms 2014-71
April 8, 2014 SEC, Criminal Authorities Halt Florida-Based Ponzi Scheme Targeting Investors Through YouTube Videos 2014-70
April 8, 2014 SEC Charges CVS With Misleading Investors and Committing Accounting Violations 2014-69
April 4, 2014 SEC Announces Additional $150,000 Payment to Recipient of First Whistleblower Award 2014-68
April 4, 2014 SEC Charges Owner of N.J.-Based Brokerage Firm With Manipulative Trading 2014-67
April 3, 2014 SEC Seeks Comment on Investor Advisory Committee Recommendation Regarding Target Date Funds 2014-66
April 3, 2014 SEC Charges Two Friends With Insider Trading Ahead of Impending Acquisition 2014-65
April 3, 2014 SEC Charges Transamerica Financial Advisors With Improperly Calculating Advisory Fees and Overcharging Clients 2014-64
April 2, 2014 Rebecca Olsen Named Chief Counsel in the Office of Municipal Securities 2014-63
April 2, 2014 Jessica Kane Named Deputy Director in the Office of Municipal Securities 2014-62
March 2014
March 31, 2014 SEC Charges Two Men With Insider Trading on Confidential Information From Their Wives 2014-61
March 28, 2014 SEC Halts Pyramid Scheme Targeting Asian and Latino Communities 2014-60
March 27, 2014 SEC Announces Fraud Charges Against Coal Company and CEO for False Disclosures About Management 2014-59
March 25, 2014 SEC Names Jeffrey Boujoukos as Associate Regional Director in Philadelphia Office 2014-58
March 24, 2014 SEC Announces Agenda, Panelists for Cybersecurity Roundtable 2014-57
March 24, 2014 Staff Analysis of Data and Academic Literature Related to Money Market Fund Reform 2014-56
March 19, 2014 SEC Charges Stockbroker and Law Firm Managing Clerk in $5.6 Million Insider Trading Scheme 2014-55
March 18, 2014 SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers 2014-54
March 13, 2014 SEC Charges CR Intrinsic Analyst with Insider Trading 2014-53
March 13, 2014 SEC Obtains Asset Freeze Against Promoter Behind Microcap Stock Scalping Scheme 2014-52
March 13, 2014 SEC Charges Lions Gate With Disclosure Failures While Preventing Hostile Takeover 2014-51
March 13, 2014 SEC Announces Charges Against Brokers, Adviser, and Others Involved in Variable Annuities Scheme to Profit From Terminally Ill 2014-50
March 12, 2014 SEC Proposes Rules for Systemically Important and Security-Based Swap Clearing Agencies 2014-49
March 12, 2014 SEC Charges Jefferies LLC With Failing to Supervise Its Mortgage-Backed Securities Desk During Financial Crisis 2014-48
March 11, 2014 SEC Charges Animal Feed Company and Top Executives in China and U.S. With Accounting Fraud 2014-47
March 10, 2014 SEC Launches Enforcement Cooperation Initiative for Municipal Issuers and Underwriters 2014-46
March 6, 2014 SEC Charges Five Executives and Finance Professionals Behind Fraudulent Bond Offering by International Law Firm 2014-45
March 5, 2014 SEC Halts International Pyramid Scheme Being Promoted Through Facebook and Twitter 2014-44
March 5, 2014 SEC Announces Largest Monetary Sanction for Rule 105 Short Selling Violations 2014-43
February 2014
Feb. 28, 2014 Fee Rate Advisory #4 for Fiscal Year 2014 2014-42
Feb. 25, 2014 SEC Announces Charges Against Arizona-Based Private Equity Fund Manager in Expense Misallocation Scheme 2014-41
Feb. 21, 2014 SEC Charges Wall Street Investment Banker With Insider Trading in Former Girlfriend’s Account to Pay Child Support 2014-40
Feb. 21, 2014 Credit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients 2014-39
Feb. 20, 2014 Division of Trading And Markets Acting Director John Ramsay to Leave SEC 2014-38
Feb. 20, 2014 Stephen Luparello Named as Director of SEC’s Division of Trading and Markets 2014-37
Feb. 20, 2014 SEC Charges Three California Residents Behind Movie Investment Scam 2014-36
Feb. 20, 2014 SEC Announces Initiative Directed at Never-Before Examined Registered Investment Advisers 2014-35
Feb. 20, 2014 SEC Names Sharon Binger as Director of Philadelphia Regional Office 2014-34
Feb. 14, 2014 Elizabeth Murphy Named as Associate Director in the Division of Corporation Finance 2014-33
Feb. 14, 2014 SEC to Hold Cybersecurity Roundtable 2014-32
Feb. 14, 2014 SEC Approves 2014 PCAOB Budget and Accounting Support Fee 2014-31
Feb. 12, 2014 Fee Rate Advisory #3 for Fiscal Year 2014 2014-30
Feb. 12, 2014 David Fredrickson Named Chief Counsel in the Division of Corporation Finance 2014-29
Feb. 12, 2014 Paul A. Leder Named as Director of SEC’s Office Of International Affairs 2014-28
Feb. 12, 2014 SEC Names Rick Fleming as Investor Advocate 2014-27
Feb. 11, 2014 Two Hong Kong-Based Firms to Pay $11 Million for Insider Trading Ahead of Nexen Acquisition by Company in China 2014-26
Feb. 11, 2014 SEC Names Michael Maloney As New Chief Accountant in Enforcement Division 2014-25
Feb. 4, 2014 SEC Announces Fraud Charges Against Two Wall Street Traders Involved in Parking Scheme 2014-24
Feb. 3, 2014 SEC Publishes Draft Strategic Plan For Public Comment 2014-23
Feb. 3, 2014 SEC Seeks Stop Orders Against 20 Purported Mining Companies With Misleading Registration Statements 2014-22
Feb. 3, 2014 SEC Continues Microcap Fraud Crackdown, Proactively Suspends Trading in 255 Dormant Shell Companies 2014-21
January 2014
Jan. 31, 2014 SEC Charges Two College Professors in Naked Short Selling Scheme 2014-20
Jan. 30, 2014 SEC Charges Manhattan-Based Private Equity Manager With Stealing $9 Million in Investor Funds 2014-19
Jan. 30, 2014 SEC Charges N.Y.-Based Money Manager and Firm for Misleading Advertisements 2014-18
Jan. 29, 2014 Scottrade Agrees to Pay $2.5 Million and Admits Providing Flawed “Blue Sheet” Trading Data 2014-17
Jan. 29, 2014 SEC Charges Chicago-Based Accountant With Insider Trading in Wife’s Account 2014-16
Jan. 28, 2014 Barbara Lorenzen Named to Senior Position in National Exam Program 2014-15
Jan. 28, 2014 SEC Issues Risk Alert on Investment Advisers’ Due Diligence Processes for Selecting Alternative Investments 2014-14
Jan. 27, 2014 SEC Charges Legg Mason Affiliate With Defrauding Clients 2014-13
Jan. 24, 2014 SEC Charges KPMG With Violating Auditor Independence Rules 2014-12
Jan. 22, 2014 Former Oppenheimer Fund Manager Agrees to Settle Fraud Charges 2014-11
Jan. 15, 2014 SEC Obtains Settlements in Penny Stock “Shell Packaging” Case 2014-10
Jan. 14, 2014 Agencies Approve Interim Final Rule Authorizing Retention of Interests in and Sponsorship of Collateralized Debt Obligations Backed Primarily by Bank-Issued Trust Preferred Securities 2014-9
Jan. 13, 2014 SEC Announces New Date for Compliance with Final Municipal Advisor Registration Rules 2014-8
Jan. 10, 2014 Interpretive Guidance on Municipal Advisor Registration Rules 2014-7
Jan. 10, 2014 Myron Marlin, Director of Communications, to Leave SEC 2014-6
Jan. 9, 2014 SEC Announces 2014 Examination Priorities 2014-5
Jan. 9, 2014 SEC Charges Diamond Foods and Two Former Executives Following Accounting Scheme to Boost Earnings Growth 2014-4
Jan. 9, 2014 SEC Charges Alcoa With FCPA Violations 2014-3
Jan. 6, 2014 SEC Names Michael Osnato as Chief of Enforcement Division’s Complex Financial Instruments Unit 2014-2
Jan. 3, 2014 Enforcement Co-Director George Canellos to Leave SEC 2014-1
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Last Updated

Date: April 17, 2014

Title: SEC Halts Pyramid Scheme Targeting Dominican and Brazilian Immigrants

Release No. 2014-79

Date: April 15, 2014

Title: SEC Charges San Diego-Based Investment Adviser

Release No. 2014-76

Date: April 15, 2014

Title: SEC Names David Gottesman as Deputy Chief Litigation Counsel

Release No. 2014-75

Date: April 9, 2014

Title: SEC Charges Hewlett-Packard With FCPA Violations

Release No. 2014-73

Date: April 4, 2014

Title: SEC Charges Owner of N.J.-Based Brokerage Firm With Manipulative Trading

Release No. 2014-67

Date: April 2, 2014

Title: Rebecca Olsen Named Chief Counsel in the Office of Municipal Securities

Release No. 2014-63

Date: April 2, 2014

Title: Jessica Kane Named Deputy Director in the Office of Municipal Securities

Release No. 2014-62

Date: March 28, 2014

Title: SEC Halts Pyramid Scheme Targeting Asian and Latino Communities

Release No. 2014-60

Date: March 24, 2014

Title: SEC Announces Agenda, Panelists for Cybersecurity Roundtable

Release No. 2014-57

Date: March 13, 2014

Title: SEC Charges CR Intrinsic Analyst with Insider Trading

Release No. 2014-53

Date: Feb. 28, 2014

Title: Fee Rate Advisory #4 for Fiscal Year 2014

Release No. 2014-42

Date: Feb. 20, 2014

Title: Division of Trading And Markets Acting Director John Ramsay to Leave SEC

Release No. 2014-38

Date: Feb. 20, 2014

Title: SEC Charges Three California Residents Behind Movie Investment Scam

Release No. 2014-36

Date: Feb. 20, 2014

Title: SEC Names Sharon Binger as Director of Philadelphia Regional Office

Release No. 2014-34

Date: Feb. 14, 2014

Title: SEC to Hold Cybersecurity Roundtable

Release No. 2014-32

Date: Feb. 14, 2014

Title: SEC Approves 2014 PCAOB Budget and Accounting Support Fee

Release No. 2014-31

Date: Feb. 12, 2014

Title: Fee Rate Advisory #3 for Fiscal Year 2014

Release No. 2014-30

Date: Feb. 12, 2014

Title: SEC Names Rick Fleming as Investor Advocate

Release No. 2014-27

Date: Feb. 11, 2014

Title: SEC Names Michael Maloney As New Chief Accountant in Enforcement Division

Release No. 2014-25

Date: Feb. 3, 2014

Title: SEC Publishes Draft Strategic Plan For Public Comment

Release No. 2014-23

Date: Jan. 31, 2014

Title: SEC Charges Two College Professors in Naked Short Selling Scheme

Release No. 2014-20

Date: Jan. 28, 2014

Title: Barbara Lorenzen Named to Senior Position in National Exam Program

Release No. 2014-15

Date: Jan. 27, 2014

Title: SEC Charges Legg Mason Affiliate With Defrauding Clients

Release No. 2014-13

Date: Jan. 24, 2014

Title: SEC Charges KPMG With Violating Auditor Independence Rules

Release No. 2014-12

Date: Jan. 22, 2014

Title: Former Oppenheimer Fund Manager Agrees to Settle Fraud Charges

Release No. 2014-11

Date: Jan. 15, 2014

Title: SEC Obtains Settlements in Penny Stock “Shell Packaging” Case

Release No. 2014-10

Date: Jan. 10, 2014

Title: Interpretive Guidance on Municipal Advisor Registration Rules

Release No. 2014-7

Date: Jan. 10, 2014

Title: Myron Marlin, Director of Communications, to Leave SEC

Release No. 2014-6

Date: Jan. 9, 2014

Title: SEC Announces 2014 Examination Priorities

Release No. 2014-5

Date: Jan. 9, 2014

Title: SEC Charges Alcoa With FCPA Violations

Release No. 2014-3

Date: Jan. 3, 2014

Title: Enforcement Co-Director George Canellos to Leave SEC

Release No. 2014-1