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Press Release Archives 2005

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
2005-183 Dec. 30, 2005 Larry Bergmann, Senior Associate Director in the Division of Market Regulation, to Retire from SEC
2005-182 Dec. 22, 2005 SEC Charges Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride in Fraudulent Market Timing and Late Trading Scheme
See also: Administrative Proceeding Release No. 33-8648
2005-181 Dec. 21, 2005 SEC Sues NCFE Executives for Role in $2.6 Billion Fraud
2005-180 Dec. 21, 2005 Lawrence A. West, Associate Director of Enforcement, to Leave Commission
2005-179 Dec. 19, 2005 Chairman Cox Urges Software Industry to Speed Interactive Data Adoption
2005-178 Dec. 19, 2005 SEC Charges Two with Insider Trading in Advance of Announcement of Howard Stern's Sirius Deal
See also: Litigation Release No. 19499
2005-177 Dec. 15, 2005 Meeting Between Chairman Christopher Cox and CESR Chairman Arthur Docters van Leeuwen
2005-176 Dec. 14, 2005 SEC Votes to Propose Rules on Tender Offers, Foreign Issuer Deregistration; Also Votes to Adopt Filing Acceleration Changes
2005-175 Dec. 8, 2005 SEC Advisory Committee on Smaller Public Companies Publishes Agenda for December 14 Meeting
2005-174 Dec. 7, 2005 Nancy Morris To Become Secretary of U.S. Securities and Exchange Commission
2005-173 Dec. 6, 2005 Meyer Eisenberg, Deputy General Counsel and Acting Director of Division of Investment Management, to Retire from SEC
2005-172 Dec. 6, 2005 Michele Wein Layne Named Associate Regional Director and Co-Head of Enforcement in the SEC’s Pacific Regional Office
2005-171 Dec. 2, 2005 SEC Names Bill Gradison Acting Chairperson; Approves PCAOB Appointment Procedures
2005-170 Dec. 1, 2005 SEC Charges Millennium Partners, L.P., Israel Englander, and Others for Engaging In Fraudulent Market Timing Scheme
See also: Release No. 33-8639
2005-169 Dec. 1, 2005 American Express Financial Corporation, Now Known as Ameriprise Financial, Inc., to Pay $15 Million to Settle Market Timing Charges
See also: Release Nos. IA-2452 and IA-2451
2005-168 Dec. 1, 2005 American Express Financial Advisors (Now Known as Ameriprise Financial Services, Inc.) to Pay $30 Million to Settle Revenue Sharing Charges
See also: Release Nos. 33-8638 and 33-8637
2005-167 Nov. 30, 2005 Giovanni Prezioso, SEC General Counsel, to Leave the Commission
2005-166 Nov. 29, 2005 SEC Votes to Propose Rule to Provide Investors with Internet Availability of Proxy Materials
2005-165 Nov. 29, 2005 Lucile Corkery Named Associate District Administrator for Examinations in the SEC’s Boston District Office
2005-164 Nov. 28, 2005 Three Federated Investors, Inc. Affiliates to Pay $72 Million to Settle Market Timing and Late Trading Charges
See also: Release No. 34-52839
2005-163 Nov. 23, 2005 Fee Rate Advisory #5 for Fiscal Year 2006
2005-162 Nov. 22, 2005 SEC Seeks Software Industry Help to Give Investors Access to Interactive Data
2005-161 Nov. 18, 2005 Fee Rate Advisory #4 for Fiscal Year 2006
2005-160 Nov. 14, 2005 Scott Taub Designated as Acting Chief Accountant
2005-159 Nov. 4, 2005 Andrew D. Bailey, Jr., Deputy Chief Accountant, U.S. Securities and Exchange Commission, to Leave SEC
2005-158 Nov. 3, 2005 SEC Urges Investors to Protect Their Online Brokerage Accounts from Identity Thieves
2005-157 Nov. 2, 2005 SEC Charges Seven Individuals with Aiding and Abetting Financial Fraud at Royal Ahold's U.S. Foodservice Subsidiary for Signing And Returning False Audit Confirmations
See also Litigation Release
2005-156 Nov. 1, 2005 David B. Smith, Jr., Associate Director, Division of Investment Management, to Leave Commission
2005-155 Nov. 1, 2005 SEC Files Emergency Action Against Estonian Traders to Stop Ongoing Fraudulent Hacking Scheme
See also Litigation Release
2005-154 Oct. 27, 2005 Peter Bresnan and Walter Ricciardi Named Deputy Directors of the SEC's Division of Enforcement
2005-153 Oct. 26, 2005 Statements of SEC Chief Accountant Donald Nicolaisen and Corporation Finance Division Director Alan Beller Regarding New COSO Guidance on Section 404 Compliance
2005-152 Oct. 20, 2005 SEC Advisory Committee on Smaller Public Companies Plans Washington Meeting
2005-151 Oct. 18, 2005 SEC Charges Electronic Market Centers Instinet, LLC and Inet ATS, Inc. with Violating Rule 11Ac1-5
See also Administrative Proceeding
2005-150 Oct. 14, 2005 Joy Gaines Thompson Named Acting District Administrator of the SEC's Philadelphia District Office
2005-149 Oct. 12, 2005 SEC Advisory Committee Identifies Witnesses for New York Meeting
2005-148 Oct. 12, 2005 SEC Chairman Cox To Travel to Beijing, China
2005-147 Oct. 12, 2005 Luis Mejia Named Chief Litigation Counsel of SEC's Division of Enforcement
2005-146 Oct. 12, 2005 SEC Settles Securities Fraud Charges Against Theodore Sihpol
See also Litigation Release; Administrative Proceeding
2005-145 Oct. 7, 2005 SEC, NASAA Announce IARD System Fee Waiver
2005-144 Oct. 6, 2005 Former KPMG Partner Pays $100,000 to Settle SEC Litigation Relating to Xerox Audits
2005-143 Oct. 6, 2005 SEC Publishes Resources to Assist Public School Teachers
2005-142 Oct. 4, 2005 SEC Chairman Announces New Help to Facilitate Payments to Victims of Hurricanes Katrina and Rita
2005-141 Oct. 4, 2005 SEC Solicits Software Industry's Input for Helping Manage Interactive Financial Data
Third Quarter
2005-140 Sep. 30, 2005 Fee Rate Advisory #3 for Fiscal Year 2006
2005-139 Sep. 29, 2005 SEC Charges Samuel Israel III, Daniel E. Marino, Bayou Management, and Bayou Funds For Defrauding Hedge Fund Investors and Misappropriating Investor Assets
2005-138 Sep. 29, 2005 Ari Gabinet, District Administrator of the SEC's Philadelphia Office, to Leave the Commission
2005-137 Sep. 27, 2005 Fee Rate Advisory #2 for Fiscal Year 2006
2005-136 Sep. 26, 2005 SEC Chairman Announces First National 'CCOutreach' Seminar
2005-135 Sep. 23, 2005 Statements Regarding Announcement by PCAOB Chairman William Mcdonough of His Intention to Resign
2005-134 Sep. 21, 2005 SEC Votes to Propose Changes in Filing Deadlines and Accelerated Filer Definition; Postpone 404 Compliance Date for Nonaccelerated Filers; Propose Issuing Section 28(e) Interpretive Guidance
2005-133 Sep. 15, 2005 Advisory Committee and Small Business Forum Publish Meetings Agenda
2005-132 Sep. 15, 2005 SEC Approves Regulatory Relief for Katrina Victims
See also Exemptive Order, Release No. 34-52444
2005-131 Sep. 14, 2005 SEC Among Best Places to Work in the Federal Government
2005-130 Sep. 9, 2005 SEC Extends Time for Banks to Comply with Gramm-Leach-Bliley Act Broker Registration Requirements
2005-129 Sep. 9, 2005 Statement of Chairman Christopher Cox Regarding Use of Market Instruments in Valuing Employee Stock Options
2005-128 Sep. 9, 2005 SEC Provides Alternate Contact Information for Registered Investment Advisers Displaced by Hurricane Katrina
2005-127 Sep. 7, 2005 Donald Nicolaisen, Chief Accountant, U.S. Securities and Exchange Commission, to Leave SEC
2005-126 Sep. 6, 2005 Visiting Academic Scholars Appointed to the Office of Economic Analysis
2005-125 Sep. 2, 2005 SEC Announces Assistance to Katrina Victims
2005-124 Sep. 2, 2005 Revised Investor Education Funding Plan Approved
2005-123 Aug. 31, 2005 James Clarkson Named Acting District Administrator of the SEC's Fort Worth District Office
2005-122 Aug. 29, 2005 Statement of Donald Nicolaisen, SEC Chief Accountant, Regarding KPMG LLP Agreement with the U.S. Department of Justice
2005-121 Aug. 29, 2005 Visiting Academic Scholars Named by the Office of Economic Analysis
2005-120 Aug. 23, 2005 Katherine Addleman Named Associate District Administrator for Enforcement in the SEC's Fort Worth District Office
2005-119 Aug. 23, 2005 SEC Charges Kmart's Former CEO and CFO with Financial Fraud
2005-118 Aug. 22, 2005 Commission Charges Two Former Bristol-Myers Officers for Fraudulent Earnings Management Scheme
2005-117 Aug. 17, 2005 SEC Charges Eight More In Reebok Insider Trading Case
2005-116 Aug. 15, 2005 Harold Degenhardt, Head of the SEC's Fort Worth Office, to Leave the Commission
2005-115 Aug. 15, 2005 SEC Holds 24th Annual Small Business Capital Formation Forum with Advisory Committee Meeting
2005-114 Aug. 15, 2005 SEC Charges Four Brokers and Day Trader in Fraudulent "Squawk Box" Scheme
2005-113 Aug. 8, 2005 SEC Charges Thomas W. Jones and Lewis E. Daidone with Fraud Relating to Creation of Affiliated Transfer Agent to Serve Citigroup Mutual Funds
2005-112 Aug. 8, 2005 SEC XBRL Voluntary Program Extends to Investment Companies
2005-111 Aug. 8, 2005 SEC Advisory Committee on Smaller Companies Publishes Agenda, Identifies Witness Panels, for Chicago Meeting
2005-110 Aug. 8, 2005 Sandra Harris, Associate Regional Director and Co-Head of Enforcement for the SEC's Pacific Regional Office, to Leave the Commission
2005-109 Aug. 5, 2005 SEC Files Emergency Action to Freeze Proceeds of Alleged Insider Trading in Reebok Securities
2005-108 Aug. 4, 2005 SEC Announces Settlement with College Savings Plan for Untrue Statements and Omissions
2005-107 Aug. 3, 2005 Christopher Cox Sworn in as SEC Chairman
See also Statement to SEC Staff; Webcast Archive
2005-106 Aug. 2, 2005 Extension of Compliance Date for Rule 612, the Sub-Penny Rule, of Regulation NMS
See also Final Rule, Release No. 34-52196
2005-105 Aug. 2, 2005 SEC Advisory Committee on Smaller Public Companies Solicits Public Input on Ways to Improve the Current Regulatory System for Smaller Companies
See also Release No. 33-8599; Request for Input
2005-104 Jul. 21, 2005 Martha Peterson, Counselor to Former Chairman Donaldson, to Leave the Commission
2005-103 Jul. 20, 2005 Settled Administrative Proceeding Against Canadian Imperial Bank of Commerce Subsidiaries
2005-102 Jul. 19, 2005 Andrew McLelland Named Academic Accounting Fellow For SEC Division Of Corporation Finance
2005-101 Jul. 18, 2005 SEC Charges Stock Promoters in Phony Fax Scam
2005-100 Jul. 6, 2005 David Kornblau to Leave the Commission
 
Second Quarter
2005-99 Jul. 1, 2005 SEC Votes To Adopt Securities Act Rule Reform and Shell Company Regulations; Considers Matters Remanded by Court of Appeals
2005-98 Jul. 1, 2005 SEC Sues Online Adviser for Conduct Involving "Auto-Trading"
See also Litigation Release No. 19291
2005-97 Jun. 30, 2005 Joseph Hall, Managing Executive for Policy, to Leave SEC
2005-96 Jun. 30, 2005 Peter Derby, Managing Executive for Operations and Management, Announces Intention to Leave the SEC
2005-95 Jun. 30, 2005 Matt Well, Director of Public Affairs, to Leave the Commission
2005-94 Jun. 30, 2005 Canadian KPMG and Two of Its Partners Settle SEC's Auditor Independence Charges
See also Administrative Proceeding 34-51946
2005-93 Jun. 28, 2005 SEC Charges Individuals with Fraudulent Scheme to Obtain Stock in NewAlliance Bankshares IPO
See also Litigation Release No. 19288
2005-92 Jun. 22, 2005 Office of the Chief Accountant Selects Two Professional Accounting Fellows
2005-91 Jun. 15, 2005 SEC Staff Report on Off-Balance Sheet Arrangements, Special Purpose Entities and Related Issues
See also Staff Report
2005-90 Jun. 14, 2005 SEC Advisory Committee on Smaller Companies Publishes Agenda, Names Witness Panels, for New York Meeting
2005-89 Jun. 14, 2005 SEC Charges Ford Credit with Unlawful Marketing of "Ford Money Market Account"
See also Administrative Proceeding 33-8582
2005-88 Jun. 10, 2005 SEC Charges a Second Former Gen Re Executive for Aiding in AIG Securities Fraud
See also Litigation Release No. 19264
2005-87 Jun. 9, 2005 Former AremisSoft CEO Roys Poyiadjis Pays Approximately $200 Million in Settlement of SEC Fraud Case
See also Litigation Release No. 19259
2005-86 Jun. 9, 2005 SEC Sues Companies and Individuals Involved in a Ponzi Scheme that Raised Approximately $6 Million from 600 Haitian-American Investors Living in South Florida
See also Creole translation
2005-85 Jun. 6, 2005 SEC Charges Gen Re Executive for Aiding in AIG Securities Fraud
See also Litigation Release No. 19245
2005-84 Jun. 2, 2005 SEC Charges Amerindo Investment Advisors and Its Co-Founders and Principals, Alberto W. Vilar and Gary A. Tanaka, with Fraud and Misappropriation of Client Funds
See also Litigation Release No. 19245
2005-83 Jun. 1, 2005 Statement by Commissioner Cynthia A. Glassman
2005-82 Jun. 1, 2005 SEC Chairman William H. Donaldson to Step Down on June 30
See also Press Conference Webcast Archive
2005-81 Jun. 1, 2005 U.S. Department of Labor and Securities and Exchange Commission Issue Guidance Addressing Potential Conflicts of Interest of Pension Consultants
See also Selecting and Monitoring Pension Consultants: Tips for Plan Fiduciaries
2005-80 May 31, 2005 Citigroup to Pay $208 Million to Settle Charges Arising from Creation of Affiliated Transfer Agent to Serve Its Proprietary Mutual Funds
See also Release No. 34-51761
2005-79 May 19, 2005 SEC Charges National Stock Exchange and Its CEO, David Colker, for Failure to Enforce Exchange Rules
See also Release Nos. 34-51714; LR-19229
2005-78 May 19, 2005 John B. Hoffmann and Kevin J. Mccaffrey Settle Enforcement Actions Based on Their Failure to Supervise Jack Grubman
See also Release No. 34-51713
2005-77 May 19, 2005 Settled SEC Actions Against Hedge Fund Advisers for Illegal Short Sale Activity
See also Release Nos. 34-51707; 34-51708; 34-51709
2005-76 May 18, 2005 SEC Charges Hedge Fund Manager Hilary Shane with Insider Trading and Unregistered Sales of Securities in Connection with “PIPE” Offering
See also Litigation Release No. 19227
2005-75 May 16, 2005 SEC Releases Staff Report Describing Findings from Examinations of Select Pension Consultants
See also Staff Report
2005-74 May 16, 2005 Commission Statement on Implementation of Internal Control Reporting Requirements
See also Commission Statement
2005-73 May 12, 2005 Linda Chatman Thomsen Named Director of the Division of Enforcement
2005-72 May 9, 2005 SEC Staff to Begin Publicly Releasing Comment Letters and Responses
2005-71 May 3, 2005 Chairman Donaldson Meets with Japan Minister of State for Financial Services Ito
2005-70 May 3, 2005 SEC Sues Telemarketers for Fraudulent "Wrong Number" Stock Tips
2005-69 Apr. 29, 2005 Fee Rate Advisory #1 for Fiscal Year 2006
2005-68 Apr. 28, 2005 SEC Sues Tyson Foods and Former Chairman Don Tyson for Misleading Disclosure of Perquisites
2005-67 Apr. 26, 2005 Finance Researchers Encouraged to Study Regulation SHO Pilot that Starts May 2
2005-66 Apr. 26, 2005 SEC Charges Deloitte & Touche and Two of its Personnel for Failures in Their Audit of Just for Feet
2005-65 Apr. 26, 2005 SEC Charges Deloitte & Touche for Adelphia Audit
2005-64 Apr. 26, 2005 SEC Encourages Participation in Its XBRL Voluntary Program
2005-63 Apr. 25, 2005 SEC and U.S. Attorney Settle Massive Financial Fraud Case Against Adelphia and Rigas Family for $715 Million
2005-62 Apr. 21, 2005 Chairman Donaldson Meets with EU Internal Market Commissioner McCreevy
2005-61 Apr. 21, 2005 SEC Charges Former SG Cowen Managing Director with Insider Trading and Fraud in Connection with "PIPE" Offerings
2005-60 Apr. 20, 2005 Office of the Chief Accountant Selects Two Professional Accounting Fellows
2005-59 Apr. 19, 2005 KPMG Pays $22 Million to Settle SEC Litigation Relating to Xerox Audits
2005-58 Apr. 18, 2005 The Coca-Cola Company Settles Antifraud and Periodic Reporting Charges Relating to its Failure to Disclose Japanese Gallon Pushing
2005-57 Apr. 14, 2005 Commission Amends Compliance Dates for FASB Statement No. 123R on Employee Stock Options
2005-56 Apr. 14, 2005 Enforcement Director Stephen M. Cutler to Leave Commission
2005-55 Apr. 13, 2005 SEC Adopts Amendments to Form 20-F Related to the First-Time Adoption of International Financial Reporting Standards
2005-54 Apr. 12, 2005 SEC Institutes Enforcement Action Against 20 Former New York Stock Exchange Specialists Alleging Pervasive Course of Fraudulent Trading
2005-53 Apr. 12, 2005 SEC Charges the New York Stock Exchange with Failing to Police Specialists
2005-52 Apr. 7, 2005 SEC Obtains Court Order Against Maurice Greenberg, C.V. Starr and AIG To Protect Documents in Ongoing Investigation
2005-51 Apr. 7, 2005 SEC Settles Charges Against Easylink Services Corporation and its Former CFO for Overstating Advertising Barter Revenue
2005-50 Apr. 7, 2005 SEC Announces Panelists for April 13th Roundtable on Implementation of Internal Control Reporting Provisions
2005-49 Apr. 7, 2005 SEC Issues Guidance Regarding Prohibited Conduct in Connection with IPO Allocations
2005-48 Apr. 7, 2005 SEC Adopts Regulation NMS and Provisions Regarding Investment Advisers Act of 1940
2005-47 Apr. 5, 2005 Connecticut Department of Banking and SEC Announce Enforcement Actions Against David M. Faubert
2005-46 Apr. 1, 2005 SEC Names Meyer Eisenberg Acting Director of Division of Investment Management
First Quarter
2005-45 Mar. 30, 2005 Scott Friestad Named Associate Director of SEC's Division of Enforcement
2005-44 Mar. 29, 2005 Cheryl Linthicum, Mark Taylor and Teri Yohn Named Academic Accounting Fellows in SEC Office of the Chief Accountant
2005-43 Mar. 29, 2005 SEC's Office of the Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin 107
2005-42 Mar. 28, 2005 Northeast Regional Office Announces Move to World Financial Center; State of the Art Facilities Will Support Office Mission and Accommodate Increased Staff
2005-41 Mar. 24, 2005 SEC Files Settled Regulation FD Charges Against Flowserve Corporation, Its Chief Executive Officer, and Director of Investor Relations
2005-40 Mar. 23, 2005 Mutual Fund Manager Putnam Pays $40 Million Fine to Settle SEC Enforcement Action
2005-39 Mar. 23, 2005 Citigroup Pays $20 Million to Settle SEC Action Relating to Mutual Fund Sales Practices
2005-38 Mar. 21, 2005 SEC Charges Time Warner with Fraud, Aiding and Abetting Frauds by Others, and Violating a Prior Cease-and-Desist Order; CFO, Controller, and Deputy Controller Charged with Causing Reporting Violations
2005-37 Mar. 16, 2005 Court Appoints Attorney Lee S. Richards Independent Examiner for Computer Associates International, Inc.
2005-36 Mar. 15, 2005 SEC Charges Former Qwest CEO Joseph Nacchio and Eight Others with Massive Financial Disclosure Fraud
2005-35 Mar. 14, 2005 CFTC and SEC Announce $50 Million Distribution to Former Customers of Princeton Economics International, Ltd., and Princeton Global Management, Ltd.
2005-34 Mar. 9, 2005 Spencer Barasch, Head of Enforcement for the SEC's Fort Worth Office, to Leave the Commission
2005-33 Mar. 9, 2005 SEC Charges Two Friends of Former Imclone CEO Samuel Waksal with Insider Trading
2005-32 Mar. 9, 2005 SEC Charges Floor Clerk at NYSE With Alerting Trader to Large Orders in Return for Cash Payments
2005-31 Mar. 8, 2005 SEC Extends Time for Banks to Comply with Gramm-Leach-Bliley Act Broker Registration Requirements
2005-30 Mar. 7, 2005 SEC Chairman Donaldson Announces Members of Advisory Committee on Smaller Public Companies
2005-29 Mar. 7, 2005 Daniel Hawke Named Associate District Administrator for Enforcement in the SEC's Philadelphia District Office
2005-28 Mar. 4, 2005 SEC Adopts Mutual Fund Redemption Fee Rule, Proposes Rule to Define "NRSRO", Approves PCAOB Budget and Reviews FASB Accounting Support Fee
2005-27 Mar. 3, 2005 SEC Obtains Emergency Relief Against Palm Beach, Florida, Hedge Funds for $81 Million Fraudulent Offerings
2005-26 Mar. 3, 2005 Commission Announces Completion of Independent Assessment Consultant's Report on Losses Attributable to Market Timing and Excessive Short-Term Trading by Putnam Employees
2005-25 Mar. 2, 2005 Extension of Compliance Dates for Non-Accelerated Filers and Foreign Private Issuers Regarding Internal Control Over Financial Reporting Requirements
2005-24 Mar. 1, 2005 SEC Announces Reopening of Comment Period for Point of Sale and Confirmation Disclosure Requirements
2005-23 Mar. 1, 2005 SEC Sues the Titan Corporation for Payments to Election Campaign of Benin President
2005-22 Mar. 1, 2005 Fee Rate Advisory #7 for Fiscal Year 2005
2005-21 Feb. 24, 2005 Chairman Donaldson Announces New Appointments
2005-20 Feb. 22, 2005 Commission Seeks Feedback and Announces Date of Roundtable on Implementation of Sarbanes-Oxley Internal Control Provisions
Comments received are available for this proposal.
Click to submit comments on 4-497
2005-19 Feb. 22, 2005 Statement of SEC Chairman William H. Donaldson
2005-18 Feb. 18, 2005 Paul F. Roye, Director of the Division of Investment Management, Announces Intention to Leave the SEC
2005-17 Feb. 16, 2005 SEC Files Emergency Action to Halt Ongoing Fraud by Northshore Asset Management and Its Principals
2005-16 Feb. 9, 2005 Banc of America Capital Management, BACAP Distributors and Banc of America Securities to Pay $375 Million, Exit Mutual Fund Clearing Business, and Make Other Remedial Reforms to Settle SEC Market Timing and Late Trading Charges
2005-15 Feb. 9, 2005 Fleet's Columbia Mutual Fund Adviser and Distributor to Pay $140 Million to Settle SEC Fraud Charges for Undisclosed Market Timing
2005-14 Feb. 9, 2005 SEC Issues Report of Investigation Regarding NASDAQ, as Overseen by Its Parent, NASD, Arising Out of Investigation of Suspicious Trading Activity and Net Capital Violations By MarketXT
2005-13 Feb. 7, 2005 Commission Announces Roundtable on Internal Control Reporting Requirements
2005-12 Feb. 3, 2005 SEC Adopts Rule Establishing a Voluntary Program for Reporting Financial Information on EDGAR Using XBRL
2005-11 Jan. 31, 2005 SEC Announces Implementation of Real-Time Price Transparency in the Municipal Market
2005-10 Jan. 25, 2005 SEC Sues Morgan Stanley and Goldman Sachs for Unlawful IPO Allocation Practices
2005-9 Jan. 19, 2005 Former ImClone CEO Samuel Waksal and Father to Settle SEC Insider Trading Case
2005-8 Jan. 19, 2005 Patrick Von Bargen, Managing Executive for Policy and Staff, to Leave Commission
2005-7 Jan. 13, 2005 Nine Individuals Charged by the Securities And Exchange Commission with Aiding and Abetting Financial Fraud at Royal Ahold's U.S. Foodservice Subsidiary for Signing and Returning False Audit Confirmations
2005-6 Jan. 13, 2005 SEC Charges Google and its General Counsel David C. Drummond with Failure to Register Over $80 Million in Employee Stock Options Prior to IPO
2005-5 Jan. 11, 2005 SEC Extends Comment Period for SRO Proposed Rulemaking
2005-4 Jan. 11, 2005 Two Former Registered Representatives of a Boca Raton Broker-Dealer/Investment Adviser Settle Sec Charges in Connection with Fraudulent Mutual Fund Market Timing and Late Trading Activities
2005-3 Jan. 10, 2005 SEC Brings Fraud Charges Against Former CBS Marketwatch Columnist Thom Calandra for Illegal Trading Scheme
2005-2 Jan. 10, 2005 Southwest Securities to Pay $10 Million to Settle SEC and NYSE Supervision Charges, Relating to Fraudulent Market Timing and Late Trading by Southwest Registered Representatives
2005-1 Jan. 4, 2005 SEC Charges TV Azteca And Its Chairman - Ricardo Salinas Pliego - with Fraudulent Scheme to Conceal Salinas' $109 Million Windfall Through Related Party Transactions

 

http://www.sec.gov/news/press/pressarchive/2005press.shtml


Modified: 10/16/2014