| Release No. |
Date |
Details |
| Second Quarter |
| 2008-83 |
May 8, 2008 |
SEC Action Halts $72 Million International Internet Fraud Scheme
See also: Litigation Release No. 20563
|
| 2008-82 |
May 8, 2008 |
SEC Charges Marvell Technology Group For Stock Option Backdating
See also: Litigation Release No. 20559
|
| 2008-81 |
May 7, 2008 |
SEC Staff Recommends Commission Action to Facilitate Investment in Small Business
|
| 2008-80 |
May 7, 2008 |
SEC Stops Multi-Million Dollar Fictitious Currency Trading Program
|
| 2008-79 |
May 7, 2008 |
Alex Cohen, SEC Deputy General Counsel, Named Deputy Chief of Staff
|
| 2008-78 |
May 5, 2008 |
Commissioner Atkins Announces Intention to Leave SEC
|
| 2008-77 |
May 5, 2008 |
SEC Announces Start of Distribution Process in AIG Settlement; Court Approves Distribution Plan for $800 Million Fair Fund |
| 2008-76 |
May 5, 2008 |
SEC Obtains Asset Freeze, Halts Hedge Fund Fraud by Investment Adviser in San Diego
|
| 2008-75 |
May 2, 2008 |
The Tax Refund Check is in The Mail, With Investor Tips From the SEC
|
| 2008-74 |
May 2, 2008 |
SEC Halts Multi-Million Dollar Ponzi Scheme Exploiting Christian Communities
See also: Litigation Release No. 20552
|
| 2008-73 |
May 2, 2008 |
SEC Completes Largest-Ever Global Training Program
|
| 2008-72 |
May 1, 2008 |
SEC Charges Banc of America Investment Services With Failing to Disclose It Favored Affiliated Mutual Funds
Administrative Proceeding No. 33-8913
|
| 2008-71 |
May 1, 2008 |
SEC Charges McCann-Erickson Worldwide With Accounting Fraud
See also: Litigation Release No. 20547
|
| 2008-70 |
Apr. 30, 2008 |
SEC Sets Fee Rates for Fiscal Year 2009 |
| 2008-69 |
Apr. 30, 2008 |
SEC Charges Birmingham Mayor and Friends for Undisclosed Payment Scheme in Municipal Bond Deals
See also: Litigation Release No. 20545
|
| 2008-68 |
Apr. 30, 2008 |
SEC Charges Two Former Monster Worldwide Executives for Backdating Options
See also: Litigation Release No. 20544
|
| 2008-67 |
Apr. 29, 2008 |
SEC Adopts Regulations to Implement Sudan Accountability and Divestment Act of 2007 |
| 2008-66 |
Apr. 29, 2008 |
Recommendations Ready for Commission Action to Facilitate U.S. Investors' Exercise of Rights in Overseas Mergers and Acquisitions |
| 2008-65 |
Apr. 25, 2008 |
SEC Announces $30 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in RS Investments Mutual Funds
|
| 2008-64 |
Apr. 24, 2008 |
SEC Charges Wall Street Short-Seller With Spreading False Rumors
See also: Litigation Release No. 20537
|
| 2008-63 |
Apr. 22, 2008 |
SEC Charges Broadcom for Fraudulent Stock Option Backdating |
| 2008-62 |
Apr. 21, 2008 |
Mike Halloran, Deputy Chief of Staff and Counselor to the Chairman, to Leave SEC |
| 2008-61 |
Apr. 15, 2008 |
SEC Chairman Cox Statement on Financial Stability Forum's Report on Recent Financial Market Turmoil |
| 2008-60 |
Apr. 15, 2008 |
SEC Launches New Offensive to Alert Investors About Phony Investment Solicitations |
| 2008-59 |
Apr. 9, 2008 |
Statement From Securities and Exchange Commission's Office of Public Affairs
|
| 2008-58 |
Apr. 9, 2008 |
SEC Action Returns Former Gemstar CEO's Pending Severance Payment to Company and Shareholders
|
| 2008-57 |
Apr. 7, 2008 |
SEC Charges Five Former San Diego Officials with Securities Fraud
See also: Litigation Release No. 20522 |
| 2008-56 |
Apr. 7, 2008 |
SEC Takes Action to Halt Online Account Intrusion and Identity Theft Scheme
See also: Litigation Release No. 20520 |
| 2008-55 |
Apr. 7, 2008 |
Mutual Fund Comparisons Using Interactive Data Now Available to Investors
See also: Mutual Fund Reader |
| 2008-54 |
Apr. 7, 2008 |
SEC Charges 14 in $64 Million Penny Stock Scheme
See also: Litigation Release No. 20519 |
| First Quarter |
| 2008-53 |
Mar. 29, 2008 |
Statement of SEC Chairman Christopher Cox Regarding Blueprint for Financial Regulatory Reform |
| 2008-52 |
Mar. 29, 2008 |
SEC Chairman Cox, Prime Minister Rudd Meet Amid U.S.-Australia Mutual Recognition Talks |
| 2008-51 |
Mar. 27, 2008 |
Jane Jarcho Named Associate Regional Director for Examinations in SEC's Chicago Regional Office |
| 2008-50 |
Mar. 24, 2008 |
SEC Charges Biovail Corporation and Senior Executives With Accounting Fraud
See also: Litigation Release No. 20506 |
| 2008-49 |
Mar. 24, 2008 |
SEC Announces Next Steps for Implementation of Mutual Recognition Concept |
| 2008-48 |
Mar. 20, 2008 |
Chairman Cox Letter to Basel Committee in Support of New Guidance on Liquidity Management |
| 2008-47 |
Mar. 20, 2008 |
SEC Suspends Trading in Three Companies Promoted Through Spam and Internet Videos
|
| 2008-46 |
Mar. 18, 2008 |
Answers to Frequently Asked Investor Questions Regarding The Bear Stearns Companies, Inc.
|
| 2008-45 |
Mar. 18, 2008 |
SEC Charges W.P. Carey and Two Senior Executives in Fraudulent Payment Scheme
See also: Litigation Release No. 20501
|
| 2008-44 |
Mar. 14, 2008 |
Statement of SEC Division of Trading and Markets Regarding The Bear Stearns Companies
|
| 2008-43 |
Mar. 14, 2008 |
Statement of Securities and Exchange Commission Regarding The Bear Stearns Companies
|
| 2008-42 |
Mar. 13, 2008 |
SEC Charges Vice Chairman of ISE Holdings and Business Partners With Insider Trading
See also: Litigation Release No. 20491 |
| 2008-41 |
Mar. 13, 2008 |
SEC Suspends Trading of 26 Companies to Combat Corporate Hijackings
See also: Trading Suspension and Order |
| 2008-40 |
Mar. 11, 2008 |
SEC, CFTC Sign Agreement to Enhance Coordination, Facilitate Review of New Derivative Products |
| 2008-39 |
Mar. 11, 2008 |
SEC Charges TV Infomercial Personalities in Investor Workshop Fraud |
| 2008-38 |
Mar. 7, 2008 |
SEC Proposes Naked Short Selling Anti-Fraud Rule |
| 2008-37 |
Mar. 7, 2008 |
SEC, FINRA Announce Schedule For Regional CCOutreach BD Seminars |
| 2008-36 |
Mar. 6, 2008 |
SEC Obtains Emergency Orders Against California Firm Defrauding Day-Traders
See also: Litigation Release No. 20480 |
| 2008-35 |
Mar. 6, 2008 |
SEC Warns Public Pension Funds About Inadequate Compliance Procedures |
| 2008-34 |
Mar. 6, 2008 |
Office of the Chief Accountant Selects Six Professional Accounting Fellows |
| 2008-33 |
Mar. 6, 2008 |
Supervisory Agencies Issue Joint Report Assessing Risk Management Practices |
| 2008-32 |
Mar. 5, 2008 |
SEC Charges Fidelity, Executives and Employees for Improperly Accepting Lavish Gifts Paid For by Brokers
See also:
Administrative Proceeding No. IC-28189
Administrative Proceeding No. IA-2713, Attorney Report and Trustees Report
Administrative Proceeding No. IA-2714
Administrative Proceeding No. IA-2715 and order
Administrative Proceeding No. IA-2716
|
| 2008-31 |
Mar. 4, 2008 |
SEC Proposes Amendments to Safeguard Customer Privacy |
| 2008-30 |
Mar. 4, 2008 |
SEC Proposes to Streamline ETF Approval Process |
| 2008-29 |
Mar. 4, 2008 |
SEC Charges Broadcom's Former Vice President of Human Resources for Stock Option Backdating
See also: Litigation Release No. 20476 |
| 2008-28 |
Mar. 4, 2008 |
SEC Charges Hedge Fund Adviser and Principals in $60 Million Investment Fraud
See also: Litigation Release No. LR-20475 |
| 2008-27 |
Mar. 3, 2008 |
SEC Staff Announces CCOutreach Regional Seminars for Adviser and Fund Chief Compliance Officers |
| 2008-26 |
Mar. 3, 2008 |
SEC Permanently Suspends Attorney From Practicing Before Commission |
| 2008-25 |
Feb. 29, 2008 |
Fee Rate Advisory #7 for Fiscal Year 2008 |
| 2008-24 |
Feb. 28, 2008 |
Jonathan Sokobin Named Director of SEC's Office of Risk Assessment |
| 2008-23 |
Feb. 27, 2008 |
SEC Charges Three Promoters for Victimizing Military Families in Real Estate Investment Scheme
See also: Litigation Release No. 20469 |
| 2008-22 |
Feb. 15, 2008 |
SEC Makes Analyzing Corporate Performance Easier for Investors |
| 2008-21 |
Feb. 14, 2008 |
Statement of Chairman Cox Regarding Progress Report of Advisory Committee on Improvements to Financial Reporting
See also: Federal Register Notice and appended Progress Report of Advisory Committee on Improvements to Financial Reporting |
| 2008-20 |
Feb. 13, 2008 |
SEC Votes to Propose All-Electronic Disclosure for Foreign Issuers |
| 2008-19 |
Feb. 13, 2008 |
SEC Proposes Plain English Narrative Disclosure by Investment Advisers to Investors |
| 2008-18 |
Feb. 12, 2008 |
SEC Hosts Historic Meeting of Securities Regulators From Major Emerging Markets |
| 2008-17 |
Feb. 12, 2008 |
SEC Proposes Regulations to Implement Sudan Accountability and Divestment Act Of 2007
|
| 2008-16 |
Feb. 8, 2008 |
SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors
|
| 2008-15 |
Feb. 7, 2008 |
SEC Charges California Attorney for Role in Spam-Fueled Pump-and-Dump Schemes
See also: Administrative Proceeding No. 33-8892
|
| 2008-14 |
Feb. 6, 2008 |
Former KPMG Consulting Principal Settles SEC Charges for Role in Peregrine Accounting Fraud
See also: Litigation Release No. 20449
|
| 2008-13 |
Feb. 6, 2008 |
Chyhe Becker Named Assistant Chief Economist in SEC Office of Economic Analysis
|
| 2008-12 |
Feb. 5, 2008 |
SEC Chairman Cox Announces Creation of New Office, Appointment of Leaders, to Expedite Distribution of Billions to Injured Investors
|
| 2008-11 |
Feb. 5, 2008 |
SEC Charges Former Dow Jones Board Member, Three Other Hong Kong Residents in $24 Million Insider Trading Settlement
See also: Litigation Release No. 20447
|
| 2008-10 |
Feb. 5, 2008 |
SEC Charges Ritchie Capital Management, CEO and Other Employees for Illegal Late Trading Scheme
See also: Administrative Proceedings 33-8890 and IC-28141
|
| 2008-9 |
Feb. 1, 2008 |
Statement of the European Commission and the U.S. Securities and Exchange Commission on Mutual Recognition in Securities Markets |
| 2008-8 |
Feb. 1, 2008 |
SEC Begins Small Business Costs and Benefits Study of Sarbanes-Oxley Act Section 404 |
| 2008-7 |
Jan. 23, 2008 |
SEC Settles Charges Against Former CEO of Monster Worldwide, Inc. for Stock Options Backdating
See also: Litigation Release No. 20435 |
| 2008-6 |
Jan. 15, 2008 |
SEC Charges Two Former Accounting Firm Employees with Insider Trading
See also: Litigation Release No. 20429 |
| 2008-5 |
Jan. 15, 2008 |
Registration Opens for CCOutreach BD National Seminar 2008 |
| 2008-4 |
Jan. 9, 2008 |
Mary S. Head Named Assistant Director in SEC Office of Investor Education and Advocacy |
| 2008-3 |
Jan. 8, 2008 |
SEC, SEBI Announce Increased Cooperation and Collaboration of Capacity Building Events in India |
| 2008-2 |
Jan. 3, 2008 |
Judge Enters Final Judgment Against Former CFO of Waste Management, Inc. Following Jury Verdict in SEC's Favor
See also: Litigation Release No. 20420 |
| 2008-1 |
Jan. 3, 2008 |
SEC Publishes Text of RAND Report on Investment Adviser, Broker-Dealer Industries
See also: RAND Report (IA/BD) (PDF) |
