Press Release Archives 2001

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Release No.DateDetails
Fourth Quarter
2001-152Dec 21, 2001Joint Press Release by SEC and CFTC
2001-151Dec 21, 2001Fee Rate Advisory #7
2001-150Dec 20, 2001Statement of SEC Chairman Harvey L. Pitt
2001-149Dec 19, 2001Commission Approves Five Items at Open Meeting
2001-148Dec 17, 2001SEC Revokes Registration of Republic New York Securities Corp., a Broker-Dealer Pleading Guilty to Securities Fraud in Related Criminal Action
2001-147Dec 12, 2001SEC Issues Financial Disclosure Cautionary Advice
2001-146Dec 11, 2001SEC Sues Company, Company President, and Three Promoters for Fraudulent Anthrax Protection Claims
2001-145Dec 6, 2001SEC Commissioner Laura S. Unger Releases Report, Recommends Improvements to Regulation FD
2001-144Dec 4, 2001SEC Cautions Companies, Alerts Investors to Potential Dangers of "Pro Forma" Financials
2001-143Dec 3, 2001SEC Halts $3.9 Million Oil & Gas Scam; "Real-Time" Enforcement Initiative Cited
2001-142Nov 29, 2001Fee Rate Advisory #6
2001-141Nov 21, 2001Randall Lee Named Head of the SEC's Pacific Regional Office
2001-140Nov 19, 2001Alan Beller to Be Next Director of the Commission's Division of Corporation Finance
2001-139Nov 19, 2001State Bank of India and Citibank, N.A. Settle SEC Charges Involving An Unregistered Securities Offering
2001-138Nov 16, 2001SEC Bars Recidivist Tampa Broker
2001-137Nov 16, 2001Fee Rate Advisory #5
2001-136Nov 15, 2001SEC Orders Three Companies to Cease Making False Anti-Terrorism Claims
2001-135Nov 14, 2001SEC Grants Extension of Time on NASDAQ'S Exchange Registration Application
2001-134Nov 8, 2001Proposed Amendments to Rule 17a-8 on Mergers of Affiliated Investment Companies
2001-133Nov 7, 2001SEC Issues Concept Release on Actively Managed Exchange-Traded Funds
2001-132Nov 7, 2001Five Papers to be Delivered at SEC Historical Society Major Issues Conference
2001-131Nov 6, 2001Securities and Exchange Commission Statement on Treasury Long Bond Situation
2001-130Nov 6, 2001SEC Suspends Trading in Company Claiming "Anthrax Disinfectant"
See Also:  Trading Suspension: 2DoTrade, Inc., Rel. No. 34-45022
2001-129Nov 5, 2001SEC Charges Six Individuals with Spoofing
2001-128Nov 5, 2001Peter H. Bresnan Named Deputy Chief Litigation Counsel of SEC's Division of Enforcement
2001-127Nov 1, 2001SEC Releases Full Agenda and Panelists for Third Annual Municipal Market Roundtable - "Secondary Market Disclosure for the 21st Century"
2001-126Oct 31, 2001Fee Rate Advisory #4
2001-125Oct 29, 2001SEC and CFTC Extend Comment Periods for Joint Rules Relating to Margin Requirements and Treatment of Customer Funds for Security Futures Products to December 5, 2001
2001-124Oct 26, 2001SEC Chairman Harvey Pitt Announces the Selection of Michael W. Robinson as Director of Public Affairs
2001-123Oct 25, 2001Final Rule Amendments to Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
2001-122Oct 25, 2001SEC Approves Proposal to Establish the Archipelago Exchange as the Equities Trading Facility of the Pacific Exchange, Inc.
2001-121Oct 25, 2001SEC Chairman Harvey Pitt Announces the Selection of Brian J. Gross as First Director of Communications
2001-120Oct 25, 2001Stephen Cutler Named SEC Enforcement Director
2001-119Oct 25, 2001SEC Historical Society To Hold Major Issues Conference on Securities Regulation in the Global Internet Economy
See Also:   Agenda and Registration Brochure In PDF
2001-118Oct 23, 2001Fee Rate Advisory #3
2001-117Oct 23, 2001SEC Issues Report of Investigation and Statement Setting Forth Framework For Evaluating Cooperation In Exercising Prosecutorial Discretion
2001-116eOct 19, 2001SEC Lanza Sitio en la Internet y Otros Recursos en Español para Educación de losInversionistas
2001-116Oct 19, 2001SEC Launches Spanish Language Investor Education Website and Other Resources
2001-115Oct 18, 2001Securities and Exchange Commission Request Relating to Information Pertaining to the Terrorist Attacks
2001-114Oct 15, 2001Fee Rate Advisory #2
2001-113Oct 15, 2001Municipal Roundtable Rescheduled
2001-112Oct 15, 2001SEC Northeast Regional Office Reopens in Manhattan
2001-111Oct 11, 2001Easing of Issuer Repurchase Restrictions To End; Will Not Be Renewed
2001-110Oct 11, 2001SEC Charges 44 Defendants in Four Stock Manipulations That Caused Over $30 Million in Investor Losses
2001-109Oct 9, 2001SEC Commissioner Laura S. Unger Announces Plans to Leave Commission
2001-108Oct 2, 2001SEC Postpones Consideration of Amendments to Broker-Dealer Books and Records Rules
Third Quarter
2001-107Sep 28, 2001SEC Announces Assistance to the Airline and Insurance Industries in Reaching the Capital Markets
2001-106Sep 28, 2001SEC Provides New Relief Regarding Issuer Repurchases
2001-105Sep 28, 2001Fee Rate Advisory #1
2001-104Sep 27, 2001CFTC and SEC Propose Joint Rules Relating to Margin Requirements and Treatment of Customer Funds for Security Futures Products
2001-103Sep 26, 2001Request for Records Search by Securities-Related Entities, Including Brokers, Dealers,Investment Advisers, Investment Companies, Municipal Securities Dealers and Transfer Agents
2001-102Sep 26, 2001Relocation of SEC Northeast Regional Office
2001-101Sep 26, 2001SEC's Office of Municipal Securities Sends Letter to the Municipal Securities Industry
2001-100Sep 26, 2001SEC Acts on a Number of Issues at Open Meeting of September 25, 2001
2001-99Sep 25, 2001SEC, State Regulators Launch Investment Adviser Information Website
2001-98Sep 24, 2001Workshop Planned to Discuss Strategies for Providing Effective Financial Privacy Notices
2001-97Sep 21, 2001Commission Provides Additional Relief to Market Participants
2001-96Sep 19, 2001Statement by Acting Director of Enforcement Stephen Cutler
2001-95Sep 19, 2001Robert K. Herdman Is New SEC Chief Accountant
2001-94Sep 19, 2001Securities and Exchange Commission Historical Society to Sponsor Discussion of 1963 Special Study
2001-93Sep 18, 2001Advisory Committee on Market Information Delivers Report to SEC
2001-92Sep 16, 2001SEC To Monitor Securities Markets When They Open Monday
2001-91Sep 14, 2001SEC Takes Action To Facilitate Reopening of Fair and Orderly Equities Markets
2001-90Sep 11, 2001Statement by SEC Chairman Harvey L. Pitt
2001-89Sep 10, 2001Third Annual Municipal Market Roundtable "Secondary Market Disclosure for the 21st Century"
2001-88Sep 6, 2001Staff Legal Bulletin Regarding Listing Standards Requirements Under the Exchange Act for Security Futures Products
2001-87Sep 4, 2001Accomplishments of Senator Gramm Lauded
2001-86Aug 21, 2001Commission Issues Exemptive Order to Permit Principal-To-Principal Trading In Security Futures Products
2001-85Aug 21, 2001CFTC and SEC Adopt Joint Rules and Issue Joint Order Relating to Trading of Security Futures Products in the United States
2001-84Aug 14, 2001Commission Adopts Rules for Futures Markets Trading Futures on Individual Stocks and Narrow-Based Indexes to Register and File Proposed Rule Changes
2001-83Aug 10, 2001Rosalind Ramsey Tyson Named Acting Regional Director of the SEC's Pacific Regional Office
2001-82Aug 1, 2001Chief Accountant Is Seeking Candidates for Four Professional Accounting Fellow Positions
2001-81Aug 1, 2001SEC Extends Comment Period on the NASDAQ Stock Market Inc.'s Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 to August 29, 2001 (Corrected Version)
2001-80Jul 31, 2001Commission Announces Public Reporting by Market Centers Under Execution Quality Disclosure Rule
2001-79Jul 31, 2001SEC Extends Comment Period on the NASDAQ Stock Market Inc.'s Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 to August 29,2001
2001-78Jul 30, 2001Bank of America Corp. Agrees to Commission Order Finding That It Violated Reporting and Disclosure Requirements
2001-77Jul 26, 2001Lynn E. Turner, Chief Accountant, To Leave the SEC
2001-76Jul 26, 2001Commission Staff Issues Legal Bulletin on Rule 14a-8
See Also:  Staff Legal Bulletin 14
2001-75Jul 24, 2001Bank of Bermuda Agrees to $67.5 Million Proposed Settlement in Lawsuits Arising from SEC Action Shutting Down Cash 4 Titles Ponzi Scheme
2001-74Jul 18, 2001SEC Files Financial Fraud Action Against Current and Former Senior Officers and Directors of American Bank Note Corporation, and Former Senior Officers and Directors of American Bank Note Holographics, Inc.; Fraud Suits Instituted and Settled Against American Bank Note Corporation, American Bank Note Holographics, Inc., and Others
2001-73Jul 18, 2001SEC Further Extends Time for Banks to Comply With Gramm-Leach-Bliley Act Broker-Dealer Registration Requirements and Extends Comment Period
2001-72Jul 17, 2001Independence Standards Board To Cease Operations After Making Major Contributions to the Resolution of Difficult and Longstanding Auditor Independence Issues
2001-71Jul 16, 2001Steve Crimmins, Deputy Chief Litigation Counsel in the Division of Enforcement, Leaves the Commission After Fourteen Years of Service
2001-70Jul 16, 2001Memorial Service for Former Commissioner Paul R. Carey
2001-69Jul 12, 2001Stephen M. Cutler Named Acting Director of the Division of Enforcement
2001-68Jul 10, 2001Richard H. Walker, Director of Enforcement, To Leave the SEC; Ten-Year Tenure at Commission Also Includes Service as General Counsel and Director of Northeast Regional Office
2001-67Jul 6, 2001Commission Staff Issues Accounting Bulletin on Selected Loan Loss Allowance Methodology and Documentation Issues
See Also:  SAB 102
Second Quarter
2001-66Jun 28, 2001SEC Cautions Investors About Analyst Recommendations; Investor alert provides tips forassessing analyst recommendations and decodes commonly used disclosures
See Also:  Investor Alert: Analyzing Analyst Recommendations
2001-65Jun 27, 2001SEC and Regulators from Around the World Conduct a Second International Surf Day
2001-64Jun 22, 2001Commission Issues One-Month Exemption from Public Reporting Requirements of Order Execution Quality Disclosure Rule for Listed Securities; Provides Additional Written Guidance on Implementation of Rule
See Also:  SLB 12A
2001-63Jun 22, 2001Commission Provides Written Guidance on Implementation of Rule 11ac1-6
See Also:   SLB 13
2001-62Jun 19, 2001Arthur Andersen LLP Agrees to Settlement Resulting in First Antifraud Injunction in More Than 20 Years and Largest-Ever Civil Penalty – of $7 Million – in SEC Enforcement Action Against a Big Five Accounting Firm; SEC Finds That Andersen's Audit Reports on Financial Statements for Waste Management, Inc. Were Materially False and Misleading and That Andersen Engaged in Improper Professional Conduct; Three Andersen Partners Also Consent to Entry of Antifraud Injunctions and Monetary Penalties and Settle Related Administrative Proceedings; a Fourth Andersen Partner, a Regional Practice Director, Settles Administrative Proceedings for Improper Professional Conduct
2001-61Jun 14, 2001SEC Mourns Passing of Commissioner Paul R. Carey
2001-60Jun 13, 2001Securities and Exchange Commission Accepts Offers of Settlement in All-Tech Case
2001-59Jun 4, 2001Onnig Dombalagian Named Attorney-Fellow in the Office of Market Supervision, Division of Market Regulation
2001-58Jun 1, 2001Margaret Henry Appointed Attorney-Fellow in Office of Municipal Securities
2001-57May 31, 2001Valerie Caproni, Director of the Commission's Pacific Regional Office, To Leave the Commission
2001-56May 30, 2001SEC Headquarters Lease
2001-55May 25, 2001SEC Announces Appointment of Glenn S. Gordon as Deputy Regional Director
2001-54May 23, 2001SEC, State Securities Regulators Announce Investors Town Meeting in Norfolk, Virginia on June 6
2001-53May 23, 2001Footwear Designer Steve Madden Settles SEC Fraud Charges; Madden Barred for Seven Years From Serving as Officer or Director of Any Public Company; Madden To Pay $7.8 Million In Disgorgement, Interest and Penalties; Settlement Includes New Insider Trading Charges
2001-52May 21, 2001Commission Moves Up Completion Date for Investor Survey
2001-51May 17, 2001SEC Announces Agenda and List of Participants for Portals Roundtable
2001-50May 17, 2001Marisa Lago, Director of the Office of International Affairs, To Leave SEC
2001-49May 15, 2001SEC Sues Former CEO, CFO and Other Top Former Officers of Sunbeam Corporation in Massive Financial Fraud; Complaint Also Charges Former Arthur Andersen Engagement Partner With Fraud; Company and Its Former General Counsel Settle Related Administrative Proceedings
2001-48May 11, 2001SEC Adopts New Rules Addressing the Bank Exceptions to Broker-Dealer Registration in the Gramm-Leach-Bliley Act
2001-47May 10, 2001CFTC and SEC Propose Joint Rules Relating to Security Futures Products
2001-46May 10, 2001Vivek Mande Appointed Academic Accounting Fellow, Office of Economic Analysis
2001-45May 10, 2001Steven Henning Appointed Academic Accounting Fellow, Office of the Chief Accountant
2001-44May 10, 2001Betty Chavis Appointed Academic Accounting Fellow, Division of Corporation Finance
2001-43May 8, 2001SEC Sues Chairman of Grupo Mexicano de Desarrollo, and 15 Relatives, Family Friends and Trading Entities for Massive Insider Trading; Defendants Made Profits of Over $3.7 Million; Settling Defendants To Pay Over $4.7 Million in Disgorgement and Penalties; U.S. Attorney Files Criminal Charges
2001-42May 3, 2001Securities and Exchange Commission To Hold Portals Roundtable
2001-41May 3, 2001SEC Acting Chairman Laura S. Unger Launches Online Investor Survey
2001-40Apr 30, 2001SEC Acting Chairman Laura S. Unger to Address Investors May 6th in Keynote Speech at LosAngeles Times Investment Strategies Conference & Expo
2001-39Apr 20, 2001SEC Announces Eleventh Annual International Institute
2001-38Apr 19, 2001SEC Introduces Margin Calculator; Web-Based Tool Will Help Investors Quantify Margin Investing Costs and Risks
2001-37Apr 17, 2001SEC Releases Statement on Extensions of Compliance Date for Gramm-Leach-Bliley Act Broker-Dealer Registration Requirements
2001-36Apr 12, 2001Commission Issues Three-Month Exemption for NASDAQ Securities From Order Execution Quality Disclosure Rule
2001-35Apr 12, 2001SEC Announces Agenda and List of Participants for Regulation FD Roundtable
First Quarter
2001-34Mar 27, 2001SEC Encourages Registrants To Consider Recommendations of Working Group on Public Disclosure
See Also:  Report of the Working Group on Public Disclosure, in PDF format
2001-33Mar 22, 2001Media Advisory: SEC to Hold Fair Disclosure Roundtable
2001-32Mar 21, 2001Exemptive Order Issued Governing Employee Stock Option Exchange Offers
2001-31Mar 16, 2001SEC Releases Statement On Compliance Date for Gramm-Leach-Bliley Act Requirements
2001-30Mar 16, 2001Commission Extends Initial Compliance Date of Trade-Through Disclosure Rule
2001-29Mar 15, 2001Acting Chairman Unger Sends Letter to Chairman Michael G. Oxley Concerning Investor and Capital Markets Fee Relief Act
2001-28Mar 15, 2001SEC Sends Letter to Heads of Signatories to the 1993 Voluntary Initiative on Political Contributions by Municipal Securities Market Participants
2001-27Mar 13, 2001Commission Extends Initial Compliance Date of Order Execution Quality Disclosure Rule and Provides Written Guidance on Implementation of Rule
2001-26Mar 8, 2001SEC Settles Securities Fraud Action Against "Tokyo Joe"; Internet Stock Picker Required To GiveUp All Illegal Profits, Pay a Penalty of More Than $400,000 and Consent to the Entry of an Anti-Fraud Injunction
2001-25Mar 8, 2001SEC, U.S. Attorney, FBI, NY Attorney General Announce Charges in Boiler-Room Case Which Includes Alleged Associates of Organized Crime
2001-24Mar 1, 2001SEC Charges 23 Companies and Individuals in Cases Involving Broad Spectrum of Internet Securities Fraud; Nationwide Crackdown Continues With Fifth Internet "Sweep"; Total Number of Internet Cases Filed Now Stands at Over 200
2001-23Feb 27, 2001Joseph C. Lombard, Senior Counsel to Former Chairman Arthur Levitt, To Leave Commission
2001-22Feb 26, 2001SEC Launches Modernized Website; New Site Includes Improved Search Engines and Navigation Features
2001-21Feb 16, 2001SEC Announces Selection of Madeleine McGrath Blake as Associate District Administrator of the Commission's Boston District Office
2001-20Feb 12, 2001Laura S. Unger Designated as Acting Chairman
2001-19Feb 6, 2001Public Affairs Director Chris Ullman Departs Commission for Office of Management and Budget
2001-18Jan 25, 2001SEC Staff Report Summarizes Findings From Recent Examinations of Broker-Dealers Offering OnlineTrading
2001-17Jan 25, 2001SEC Chairman Arthur Levitt Congratulates IASC on Selection of New Board Members
2001-16Jan 19, 2001SEC Requires Disclosure of Mutual Fund After-Tax Returns
2001-15Jan 19, 2001Karen Buck Burgess Named Senior Adviser for Office of Compliance Inspections andExaminations
2001-14Jan 17, 2001SEC Adopts Rule Prohibiting Misleading Mutual Fund Names
2001-13Jan 17, 2001Commission Staff Provides Written Guidance on the Application of Revised Rules on Auditor Independence
2001-12Jan 12, 2001David B. Smith, Jr. Named Associate Director (Public Utility and Investment Company Regulation) of the Division of Investment Management
2001-11Jan 12, 2001Cynthia M. Fornelli Named Deputy Director of the Division of Investment Management
2001-10Jan 11, 2001SEC Chairman Levitt Urges Investor Advocates and Institutional Investors To Weigh in as Nasdaq Considers New Shareholder Dilution Rules
2001-9Jan 10, 2001Mark K. Schonfeld Named Associate Director of the Commission's Northeast Regional Office
2001-8Jan 10, 2001SEC Staff Releases Report on Mutual Fund Fees
2001-6Jan 8, 2001SEC Releases Staff Report on Order Execution Quality; Comparison of Matched Pairs of Nasdaq and NYSE Securities Indicates Spreads on Nasdaq Are Wider Than NYSE for All but Largest Company Securities
2001-5Jan 7, 2001Chairman Levitt to Deliver Speech on Market Structure Issues; Staff Report on Order Execution Quality Available; Staff Briefing on Report and Speech
2001-4Jan 5, 2001Levitt Sends Letter to Audit Committees
2001-3Jan 5, 2001SEC Chairman Arthur Levitt Praises Former Chairman Ruder's Efforts to Educate Mutual Fund Directors
2001-2Jan 4, 2001Levitt to Conduct Final Investors Town Meeting in Philadephia on January 16, 2001
2001-1Jan 3, 2001SEC Adopts Rules Designed to Enhance Effectiveness of Mutual Fund Directors
Last modified: Fri, 4 Jan 2008