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.
July 2014
July 23, 2014 SEC Adopts Money Market Fund Reform Rules 2014-143
July 22, 2014 SEC Charges Investor Relations Executive With Insider Trading While Preparing Clients’ Press Releases 2014-142
July 21, 2014 Mark J. Flannery Named SEC Chief Economist and Director of Economic and Risk Analysis Division 2014-141
July 18, 2014 SEC Charges Penny Stock Company CEO and Purported Business Partner for Defrauding Investors With False Press Releases 2014-140
July 17, 2014 SEC Charges Self-Described Bankers, Dishonest Brokers, and Microcap Company Executive in Pump-And-Dump Scheme 2014-139
July 17, 2014 SEC Charges Seattle Firm and Owner With Misusing Client Assets for Vacation Home and Vintage Automobile 2014-138
July 16, 2014 SEC Announces Charges in Scheme to Secretly Enable Lawbreakers to Run Microcap Company 2014-137
July 14, 2014 SEC Charges Ernst & Young With Violating Auditor Independence Rules in Lobbying Activities 2014-136
July 11, 2014 SEC, Massachusetts U.S. Attorney, and FBI Charge Five with Attempted Manipulation of Microcap Company 2014-135
July 11, 2014 SEC Charges Group of Amateur Golfers in Insider Trading Ring 2014-134
July 8, 2014 SEC Charges California School District with Misleading Investors 2014-133
July 7, 2014 SEC Names Thomas J. Krysa as Associate Regional Director in Denver Office 2014-132
July 2, 2014 SEC Charges Five Traders with Short Selling Violations 2014-131
July 2, 2014 James McNamara Named as Deputy Chief Human Capital Officer in the Office of Human Resources 2014-130
June 2014
June 30, 2014 SEC Announces New Hires in the Office of Administrative Law Judges 2014-129
June 27, 2014 Enforcement Division’s Chief Operating Officer Adam Storch to Leave SEC 2014-128
June 27, 2014 Geoffrey Aronow, Chief Counsel, Office of International Affairs, to Leave SEC 2014-127
June 25, 2014 SEC Announces Order for Tick Size Pilot Plan 2014-126
June 25, 2014 SEC Announces Fraud Charges Against Three Former Regions Bank Executives in Accounting Scheme 2014-125
June 25, 2014 SEC Charges Former Brokers with Trading Ahead of IBM-SPSS Acquisition 2014-124
June 25, 2014 SEC Adopts Cross-Border Security-Based Swap Rules 2014-123
June 25, 2014 SEC Obtains Court Order to Halt Fraudulent Bond Offering by City of Harvey, Ill. 2014-122
June 23, 2014 SEC Charges Hedge Fund Advisory Firm and Others in South Florida-Based Scheme to Misuse Investor Proceeds 2014-121
June 20, 2014 SEC Charges Private Equity Firm With Pay-to-Play Violations Involving Political Campaign Contributions in Pennsylvania 2014-120
June 18, 2014 Cicely LaMothe Named Associate Director in the Division of Corporation Finance 2014-119
June 16, 2014 SEC Charges Hedge Fund Adviser With Conducting Conflicted Transactions and Retaliating Against Whistleblower 2014-118
June 13, 2014 SEC Charges Four California Residents in $12 Million Insider Trading Scheme 2014-117
June 11, 2014 Chicago-Area Attorney Charged After SEC Exam Spots Fraud in Real Estate Investment Offering 2014-116
June 6, 2014 SEC Announces Charges Against Wedbush Securities and Two Officials for Market Access Violations 2014-115
June 6, 2014 SEC Charges New York-Based Dark Pool Operator With Failing to Safeguard Confidential Trading Information 2014-114
June 3, 2014 SEC Awards $875,000 to Two Whistleblowers Who Aided Agency Investigation 2014-113
June 3, 2014 SEC Charges Albany, N.Y.-Based Investment Adviser With Defrauding Clients 2014-112
June 3, 2014 SEC Charges Bitcoin Entrepreneur With Offering Unregistered Securities 2014-111
June 2, 2014 SEC Charges Charter School Operator in Chicago With Defrauding Bond Investors 2014-110
May 2014
May 29, 2014 SEC Names Stephanie Avakian as Deputy Director of Enforcement 2014-109
May 29, 2014 SEC Charges Chicago-Based Investment Fund Manager With Stealing Investor Money and Conducting Ponzi Scheme 2014-108
May 28, 2014 SEC Obtains Asset Freeze to Halt Fraud at Illinois-Based Transfer Agent 2014-107
May 27, 2014 SEC Charges Former CFO of Dallas-Based Jewelry and Collectibles Company With Accounting Fraud 2014-106
May 22, 2014 SEC Announces Latest Charges in Joint Law Enforcement Effort Uncovering Penny Stock Schemes 2014-105
May 22, 2014 SEC Charges Vitamin Company's Former Board Member and Brothers With Insider Trading 2014-104
May 21, 2014 SEC Charges Sarasota-Based Private Fund Manager With Stealing Investor Money and Conducting Ponzi Scheme 2014-103
May 20, 2014 SEC Charges Former Deloitte Chief Risk Officer for Violations of Auditor Independence Rules 2014-102
May 19, 2014 SEC Announces Charges Against Four Former Officials at Clearing Firm Penson Financial Services for Regulation SHO Violations 2014-101
May 19, 2014 SEC Charges Two Clinical Drug Trial Doctors With Insider Trading 2014-100
May 16, 2014 SEC Warns Investors About Marijuana-Related Investments Amid Recent Trading Suspensions 2014-99
May 15, 2014 SEC Charges Unregistered Securities Salesman for Selling Millions of Dollars in Oil-and-Gas Investments 2014-98
May 15, 2014 SEC Charges Rafferty Capital Markets With Illegally Facilitating Trades for Unregistered Firm 2014-97
May 15, 2014 Chief Accountant Paul Beswick to Leave SEC 2014-96
May 14, 2014 SEC Names Gina Talamona as Communications Director 2014-95
May 12, 2014 SEC Charges Three Sales Managers With Insider Trading Ahead of Major Acquisition 2014-94
May 12, 2014 Three Software Company Founders to Pay $5.8 Million to Settle Charges of Insider Trading Ahead of Sale 2014-93
May 7, 2014 SEC Announces Charges and Asset Freeze Against Hedge Fund Advisory Firm Distributing Falsified Performance Results 2014-92
May 5, 2014 SEC Charges Toronto-Based Consultant and Four Others in Reverse Merger Schemes Involving China-Based Companies 2014-91
May 5, 2014 SEC Charges Ohio-Based Investment Adviser and President for Fraudulently Hiding Account Shortfall 2014-90
May 2, 2014 SEC Issues Partial Stay of Conflict Minerals Rules 2014-89
May 2, 2014 Chief Economist and Division of Economic and Risk Analysis Director Craig Lewis to Leave SEC 2014-88
May 1, 2014 SEC Charges NYSE, NYSE ARCA, and NYSE MKT for Repeated Failures to Operate in Accordance With Exchange Rules 2014-87
April 2014
April 30, 2014 SEC Charges Utah-Based Retirement Plan Administrator With Defrauding Investors 2014-86
April 25, 2014 SEC Charges Six Individuals With Insider Trading in Stock of E-Commerce Company Prior to Acquisition by eBay 2014-85
April 23, 2014 SEC Issues Stop Order to Prevent Northern California Company From Issuing Stock Under Amended Registration Statement 2014-84
April 23, 2014 SEC Charges Former Stock Promoter With Defrauding Investors in Florida Real Estate Venture 2014-83
April 23, 2014 SEC Charges Technology Company Insider in California With Tipping Confidential Information Exploited by Hedge Funds 2014-82
April 23, 2014 Mauri Osheroff to Retire After Nearly 40 Years at SEC 2014-81
April 21, 2014 SEC Charges a Former Biopharmaceutical Company Executive and Two Others with Insider Trading 2014-80
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: July 23, 2014

Title: SEC Adopts Money Market Fund Reform Rules

Release No. 2014-143

Date: July 11, 2014

Title: SEC Charges Group of Amateur Golfers in Insider Trading Ring

Release No. 2014-134

Date: July 8, 2014

Title: SEC Charges California School District with Misleading Investors

Release No. 2014-133

Date: July 7, 2014

Title: SEC Names Thomas J. Krysa as Associate Regional Director in Denver Office

Release No. 2014-132

Date: July 2, 2014

Title: SEC Charges Five Traders with Short Selling Violations

Release No. 2014-131

Date: June 30, 2014

Title: SEC Announces New Hires in the Office of Administrative Law Judges

Release No. 2014-129

Date: June 27, 2014

Title: Enforcement Division’s Chief Operating Officer Adam Storch to Leave SEC

Release No. 2014-128

Date: June 25, 2014

Title: SEC Announces Order for Tick Size Pilot Plan

Release No. 2014-126

Date: June 25, 2014

Title: SEC Charges Former Brokers with Trading Ahead of IBM-SPSS Acquisition

Release No. 2014-124

Date: June 25, 2014

Title: SEC Adopts Cross-Border Security-Based Swap Rules

Release No. 2014-123

Date: June 13, 2014

Title: SEC Charges Four California Residents in $12 Million Insider Trading Scheme

Release No. 2014-117

Date: June 3, 2014

Title: SEC Awards $875,000 to Two Whistleblowers Who Aided Agency Investigation

Release No. 2014-113

Date: June 3, 2014

Title: SEC Charges Albany, N.Y.-Based Investment Adviser With Defrauding Clients

Release No. 2014-112

Date: June 3, 2014

Title: SEC Charges Bitcoin Entrepreneur With Offering Unregistered Securities

Release No. 2014-111

Date: May 29, 2014

Title: SEC Names Stephanie Avakian as Deputy Director of Enforcement

Release No. 2014-109

Date: May 28, 2014

Title: SEC Obtains Asset Freeze to Halt Fraud at Illinois-Based Transfer Agent

Release No. 2014-107

Date: May 19, 2014

Title: SEC Charges Two Clinical Drug Trial Doctors With Insider Trading

Release No. 2014-100

Date: May 15, 2014

Title: Chief Accountant Paul Beswick to Leave SEC

Release No. 2014-96

Date: May 14, 2014

Title: SEC Names Gina Talamona as Communications Director

Release No. 2014-95

Date: May 2, 2014

Title: SEC Issues Partial Stay of Conflict Minerals Rules

Release No. 2014-89

Date: April 23, 2014

Title: Mauri Osheroff to Retire After Nearly 40 Years at SEC

Release No. 2014-81

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