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Press Release Archives 2006

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
2006-223 Dec. 29, 2006 SEC to Close on Tuesday, Jan. 2, 2007, in Observance of National Day of Mourning for Former President Gerald R. Ford
2006-222 Dec. 29, 2006 SEC Supports Decision of Securities Markets to Observe National Day of Mourning for Former President Gerald R. Ford
2006-221 Dec. 28, 2006 Administrative Law Judge Lillian McEwen to Retire From SEC
2006-220 Dec. 28, 2006 Federal Identity Theft Task Force Seeks Public Comment
2006-219 Dec. 22, 2006 SEC Amends Executive Compensation Disclosure To More Closely Align With FAS 123R
2006-218 Dec. 22, 2006 $83 Million Distribution Begins for Defrauded Shareholders of Gemstar-TV Guide
2006-217 Dec. 21, 2006 SEC and FinCEN Sign Information Sharing Agreement
2006-216 Dec. 21, 2006 Kristine Chadwick Named SEC's Chief Financial Officer
2006-215 Dec. 21, 2006 SEC Chief Financial Officer Margaret Carpenter to Retire
2006-214 Dec. 20, 2006 SEC Files Settled Enforcement Action Against Broker-Dealer Friedman, Billings, Ramsey & Co., Inc.
See also: Litigation Release No. 19950; Administrative Proceeding No. 33-8761
2006-213 Dec. 19, 2006 Statements of SEC Chairman Christopher Cox and Chief Accountant Conrad Hewitt Regarding PCAOB's Proposed Section 404 Auditing Standard
2006-212 Dec. 19, 2006 SEC Files Emergency Action Against Foreign Traders to Stop an Online Account Intrusion Scheme
See also: Litigation Release No. 19949 and Complaint
2006-211 Dec. 18, 2006 Agencies Propose Joint Rules to Implement the Bank "Broker" Provisions of the Gramm-Leach-Bliley Act
See also: Proposed Rule Release Nos. 34-54946 and 34-54947; Order Release No. 34-54948
2006-210 Dec. 15, 2006 Further Relief From the Section 404 Requirements for Smaller Companies and Newly Public Companies
See also: Final Rule Release No. 33-8760
2006-209 Dec. 13, 2006 SEC Votes to Adopt E-Proxy Rule Amendments and Propose Mandatory Model
2006-208 Dec. 13, 2006 SEC Votes to Propose Rule to Prohibit Fraud by Investment Advisers to Certain Pooled Investment Vehicles; Also Votes to Propose Revisions to Criteria for Accredited Investors in Certain Private Investment Vehicles
2006-207 Dec. 13, 2006 SEC Votes to Repropose Rules Allowing Foreign Private Issuer Deregistration Under the Exchange Act
2006-206 Dec. 13, 2006 SEC Votes to Propose Interpretive Guidance for Management to Improve Sarbanes-Oxley 404 Implementation
2006-205 Dec. 13, 2006 SEC Votes to Jointly Issue with the Board of Governors of the Federal Reserve System Rules for Comment to Implement Bank Broker Provisions
2006-204 Dec. 12, 2006 SEC Risk Director Charles Fishkin to Leave Commission
2006-203 Dec. 8, 2006 Fee Rate Advisory #5 for Fiscal Year 2007
2006-202 Dec. 6, 2006 Commission to Consider Recommendation to Repropose Deregistration Rules for Foreign Private Issuers
2006-201 Dec. 5, 2006 SEC Files Emergency Enforcement Action to Halt $18.2 Million Cross-Border Prime Bank Scheme
See also: Litigation Release 19934
2006-200 Dec. 4, 2006 SEC Files Fraud Charges Against China Energy Savings Technology, Inc. and Others; Court Orders Asset Freeze
See also: Litigation Release 19933; Complaint
2006-199 Dec. 4, 2006 SEC Staff Announces Possible Topics for 2007 CCOutreach Regional Seminars
2006-198 Dec. 4, 2006 Jefferies Settles SEC Charges Involving Illegal Gifts and Entertainment
See also: Administrative Proceeding Nos. 34-54861 and 34-54862
2006-197 Nov. 30, 2006 SEC Announces Emergency Action to Halt Ongoing Fraud Against Senior Citizens
See also: Litigation Release 19927; Complaint
2006-196 Nov. 29, 2006 Scott Taub, Deputy Chief Accountant, to Leave SEC
2006-195 Nov. 28, 2006 Statement by SEC Chairman Cox at News Conference on Self Regulation Consolidation
2006-194 Nov. 17, 2006 Fee Rate Advisory #4 for Fiscal Year 2007
2006-193 Nov. 17, 2006 John McCarthy, Associate Director of OCIE, to Leave Commission
2006-192 Nov. 15, 2006 SEC Sanctions Broker-Dealer for Unsuitable 529 College Savings Plan Recommendations
See also: Administrative Proceeding No. 34-54754
2006-191 Nov. 14, 2006 SEC Sanctions the City Of San Diego for Fraudulent Municipal Bond Offerings and Orders the City to Retain an Independent Consultant
See also: Administrative Proceeding No. 33-8751
2006-190 Nov. 14, 2006 SEC Enhances Online Search Capabilities for Investors
2006-189 Nov. 8, 2006 SEC Freezes Assets of Purported Hedge Fund Manager
See also: Litigation Release 19905; Complaint
2006-188 Nov. 8, 2006 Hartford to Pay $55 Million to Settle Directed Brokerage Charges
See also: Administrative Proceeding No. 33-8750
2006-187 Nov. 8, 2006 SEC and British Columbia Securities Commission Charge Two Canadians With Greyfield Stock Manipulation
See also: Litigation Release 19902; Complaint
2006-186 Nov. 7, 2006 Florence Harmon Named Deputy Secretary
2006-185 Nov. 3, 2006 Alexander Cohen Named SEC Deputy General Counsel
2006-184 Nov. 2, 2006 SEC Files Settled Charges Against Eight Former Officers and Directors of Spiegel, Inc.
See also:
Litigation Release 19897
Complaint: Michael Crusemann and Michael Otto
Complaint: John R. Steele
Complaint: Martin Zaepfel
Complaint: James R. Cannataro
Complaint: Michael R. Moran and James W. Sievers
Administrative Proceeding No. 34-54689
2006-183 Oct. 30, 2006 SEC Charges Delphi Corporation and Nine Individuals, Including Former CEO, CFO, Treasurer and Controller, in Wide-Ranging Financial Fraud; Four Others Charged With Aiding and Abetting Related Violations
See also: Litigation Release 19891; Complaint; Administrative Proceeding Nos. 34-54665, 34-54666, 34-54667 and 34-54668
2006-182 Oct. 26, 2006 SEC, NASAA Announce Continuation of IARD System Fee Waiver
See also: Release No. IA-2564
2006-181 Oct. 26, 2006 SEC Adopts New Rules for Business Development Companies and Reproposes New Category of Eligible Portfolio Company
See also: Final Rule Release No. IC-27538; Proposed Rule Release No. IC-27539
2006-180 Oct. 24, 2006 David Kreinberg, Former CFO of Comverse Technology, Inc., Agrees to Settle SEC Charges in Options Backdating Case
See also: Press Release 2006-137; Litigation Release Nos. 19796 and 19878
2006-179 Oct. 20, 2006 Defrauded WorldCom Investors Set to Receive Initial $150 Million Payout From SEC 'Fair Fund'
2006-178 Oct. 19, 2006 George Curtis Named Regional Director of the SEC's Central Regional Office
2006-177 Oct. 18, 2006 SEC Amends Tender Offer Best-Price Rules to Benefit Investors
2006-176 Oct. 17, 2006 Christopher Conte, Fredric Firestone and Cheryl Scarboro Named Associate Directors of the SEC'S Division of Enforcement
2006-175 Oct. 16, 2006 John Dugan Named Associate District Administrator for Enforcement in the SEC's Boston District Office
2006-174 Oct. 13, 2006 SEC Sanctions Statoil for Bribes to Iranian Government Official
See also: Administrative Proceeding Release No. 34-54599
2006-173 Oct. 12, 2006 SEC Files Emergency Action to Halt $30 Million Ponzi Scheme
2006-172 Oct. 11, 2006 Commission Announces Schedule for Action Regarding Section 404 of the Sarbanes-Oxley Act OF 2002, Foreign Private Issuer Deregistration, Internet Availability of Proxy Materials, and Securities Exchange Act Rule 14A-8
2006-171 Oct. 10, 2006 SEC Sues Ex-President of California Mortgage Firm for Running $30 Million Ponzi Scheme
See also: Litigation Release 19861
2006-170 Oct. 4, 2006 SEC Chairman Announces Opening of Registration for 'CCOutreach' National Seminar for 2006
Third Quarter
2006-169 Sep. 29, 2006 SEC Announces Timetable for Enactment of Final Rules Under Gramm-Leach-Bliley Act
See also: Exemptive Order; Release No. 34-54544
2006-168 Sep. 29, 2006 Fee Rate Advisory #3 for Fiscal Year 2007
2006-167 Sep. 27, 2006 SEC Votes to Adopt Amendments to the Redemption Fee Rule and Extend Compliance Date
See also: Final Rule Release No. IC-27504
2006-166 Sep. 27, 2006 Commission Announces Speakers, Panelists, and Agenda for October 3 Interactive Data Roundtable
Comments received are available for this proposal.
* Click to submit comments on 4-515
2006-165 Sep. 27, 2006 SEC Chairman, Euronext Regulators Meet to Discuss Cooperation in the Event of the NYSE Euronext Combination
2006-164 Sep. 27, 2006 SEC Charges Former CEO and Two Former Executives Affiliated with RenaissanceRe Holdings Ltd. with Securities Fraud
See also: Litigation Release 19847
2006-163 Sep. 26, 2006 BISYS Fund Services to Pay $21 Million to Settle Fraud Charges in Connection with Improper Marketing Arrangements with 27 Mutual Fund Advisers
See also: Administrative Proceeding Release No. IA-2554
2006-162 Sep. 26, 2006 SEC Awards Contract for Study to Compare Roles of Investment Advisers, Broker-Dealers
2006-161 Sep. 26, 2006 Fee Rate Advisory #2 For Fiscal Year 2007
2006-160 Sep. 25, 2006 Commission Announces Interactive Data Roundtable on New Software to Make Better Information a Reality
Comments received are available for this proposal.
* Click to submit comments on 4-515
2006-159 Sep. 25, 2006 U.S. Securities and Exchange Commission Chairman Cox Appoints Mike Halloran Deputy Chief of Staff and Counselor to the Chairman
2006-158 Sep. 25, 2006 SEC to Rebuild Public Disclosure System to Make It ‘Interactive’
2006-157 Sep. 22, 2006 SEC Announces Roundtable Panelists for Forum on Small Business Capital Formation
See also: Forum Agenda
2006-156 Sep. 19, 2006 Office of the Chief Accountant Issues Letter Expressing Its Views on the Appropriate Application of the Stock Option Accounting Literature
See also: Staff Accounting Letter
2006-155 Sep. 19, 2006 Doral Financial Settles Financial Fraud Charges with SEC and Agrees to Pay $25 Million Penalty
See also: Litigation Release 19837 and Complaint
2006-154 Sep. 18, 2006 Office of the Chief Accountant Selects Three Professional Accounting Fellows
2006-153 Sep. 13, 2006 SEC’s Office of the Chief Accountant and Divisions of Corporation Finance and Investment Management Release Staff Accounting Bulletin 108
See also: SAB 108
2006-152 Sep. 8, 2006 Economic Fellow Named by the Office of Economic Analysis
2006-151 Sep. 8, 2006 Visiting Academic Scholar Named by the Office Of Economic Analysis
2006-150 Sep. 7, 2006 Commission Calendars Proposed Amendment to Rule 14a-8 Governing Director Nominations by Shareholders
2006-149 Sep. 5, 2006 SEC Sues Oil and Gas Promoters, Issues Investor Alert
See also: Litigation Release 19820
2006-148 Sep. 5, 2006 Commission Announces Panelists for the SEC Roundtable on Regulation SHO Pilot
Comments received are available for this proposal.
* Click to submit comments on 4-520
2006-147 Sep. 1, 2006 SEC Joins Department of Justice in Supporting Constitutionality of PCAOB
See also: Attachment
2006-146 Aug. 31, 2006 SEC Small Business Forum to Focus on Interactive Data and Capital Formation
2006-145 Aug. 28, 2006 Prudential to Pay $600 Million in Global Settlement of Fraud Charges in Connection With Deceptive Market Timing of Mutual Funds
See also: Litigation Release 19813; Administrative Proceeding 34-54371
2006-144 Aug. 21, 2006 Economic Fellow Appointed to the Office Of Economic Analysis
2006-143 Aug. 21, 2006 SEC Announces Emergency Action to Halt Ongoing Fraud Against Senior Citizens
See also: Litigation Release 19809 and Complaint
2006-142 Aug. 17, 2006 SEC Charges Former Officers of Military Body Armor Supplier with Financial Fraud
See also: Litigation Release 19806 and Complaint
2006-141 Aug. 16, 2006 Diego Tomás Ruiz Named Executive Director of the Securities and Exchange Commission
2006-140 Aug. 14, 2006 Chairman Cox Names Erik R. Sirri To Be the Commission's Next Director of the Division of Market Regulation
2006-139 Aug. 14, 2006 SEC Offers Opportunity for Software Industry to Join In Design of Web-Based Programs to Help Investors
2006-138 Aug. 10, 2006 SEC Halts $22 Million Fraud in Southern California Targeting Retirement Funds
See also: Litigation Release 19801
2006-137 Aug. 9, 2006 SEC Charges Former Comverse Technology, Inc. CEO, CFO, and General Counsel in Stock Option Backdating Scheme
See also: Litigation Release 19796 and Complaint
2006-136 Aug. 9, 2006 SEC Offers Further Relief From Section 404 Compliance for Smaller Public Companies and Many Foreign Private Issuers
See also: Release No. 33-8730A; Release No. 33-8731
2006-135 Aug. 7, 2006 Statement of Chairman Cox Concerning the Decision of the U.S. Court of Appeals in Phillip Goldstein, et al. v. SEC
2006-134 Aug. 7, 2006 Martha Stewart and Peter Bacanovic Settle SEC's Insider Trading Charges
See also: Litigation Release 19794
2006-133 Aug. 3, 2006 Visiting Academic Scholar Appointed to the Office of Economic Analysis
2006-132 Aug. 3, 2006 SEC Charges Texas Insurance Firm with Deceptive Sale of Investments to Military Personnel
See also: Litigation Release No. LR-19791 and Complaint
2006-131 Aug. 2, 2006 Zoe-Vonna Palmrose Named SEC Deputy Chief Accountant for Professional Practice
2006-130 Aug. 2, 2006 SEC and CESR Launch Work Plan Focused on Financial Reporting
2006-129 Aug. 1, 2006 SEC Moves Forward on Study to Compare Roles of Investment Advisers, Broker-Dealers
See also: Request for Proposal
2006-128 Aug. 1, 2006 SEC Charges Operator of Stock Picking Website with Secretly Profiting in Investment Scam
See also: Litigation Release No. LR-19787 and Complaint
2006-127 Jul. 31, 2006 SEC Issues Order Approving the Exchange Act Registration of Securities To Be Traded on the Nasdaq Stock Market LLC
2006-126 Jul. 31, 2006 SEC Names Associate District Administrator in Atlanta
2006-125 Jul. 27, 2006 Jury Rules in SEC’s Favor, Finds Former Suncoast Principal Liable for Securities Violations
2006-124 Jul. 27, 2006 SEC Charges Florida Promoters and the Voice Behind Fraudulent “Wrong Number” Stock Tips
See also: Litigation Release No. LR-19769 and Complaint
2006-123 Jul. 26, 2006 SEC Votes to Adopt Changes to Disclosure Requirements Concerning Executive Compensation and Related Matters
See also: Summary Compensation Table
2006-122 Jul. 24, 2006 Chairman Christopher Cox Names Conrad Hewitt to Be the Commission's Next Chief Accountant
2006-121 Jul. 20, 2006 U.S. Attorney’s Office and SEC Separately Charge Former Brocade CEO and Vice President in Stock Option Backdating Scheme
See also: Litigation Release No. LR-19768 and Complaint
2006-120 Jul. 19, 2006 Distributions Begin to Victims of Improper Trading at NYSE Specialist Firms
2006-119 Jul. 17, 2006 SEC Charges Renaissance Asset Fund and Others with $16 Million Offering Fraud
See also: Administrative Proceeding Release No. 33-8723 and Litigation Release No. LR-19764
2006-118 Jul. 17, 2006 Kathleen Casey Sworn In as 88th SEC Commissioner
2006-117 Jul. 14, 2006 SEC Announces Emergency Action to Halt $15 Million Fraud Against Senior Citizens
See also: Litigation Release No. 19761
2006-116 Jul. 12, 2006 SEC Votes to Publish Interpretive Guidance on "Soft Dollars" Safe Harbor and to Propose Amendments to Regulation SHO
2006-115 Jul. 12, 2006 David Plumlee, Marlene Plumlee, and Tom Noland Named Academic Fellows in SEC Office of the Chief Accountant
2006-114 Jul. 11, 2006 Statements of SEC Acting Chief Accountant Scott Taub and Corporation Finance Division Director John White Regarding New COSO Guidance on Section 404 Compliance
2006-113 Jul. 11, 2006 Parveen Gupta Named Academic Accounting Fellow for SEC Division of Corporation Finance
2006-112 Jul. 11, 2006 SEC Moves Forward on Sarbanes-Oxley 404 Improvements
See also: Concept Release 34-54122
2006-111 Jul. 10, 2006 Kimberly Garber Named Fort Worth District Office Associate District Administrator for Examinations
2006-110 Jul. 10, 2006 CFTC and SEC Issue Rules for Trading Futures on Debt Security Index Contracts
2006-109 Jul. 10, 2006 SEC to Conduct First-Ever Seniors Summit July 17 to Protect Older Americans From Investment Fraud
Second Quarter
2006-108 Jun. 30, 2006 Commission Approves NASD Rule Changes Reflecting Nasdaq's Registration as a National Securities Exchange and Issues Order Modifying a Condition to Nasdaq's Operation as an Exchange
See also: Order Approving Proposed Rule Change and Order Modifying Condition
2006-107 Jun. 30, 2006 Jury Finds Former PIMCO Equity Funds Chairman Defrauded Investors in Market Timing Case
2006-106 Jun. 30, 2006 SEC Describes Investment Professional Regulation Study
See also: Release No. 34-54077
2006-105 Jun. 29, 2006 Lori Schock Named Acting Director of Investor Education and Assistance
2006-104 Jun. 28, 2006 SEC Settles With Raytheon Company, Former CEO, and Subsidiary Controller for Improper Disclosure and Accounting Practices
See also: Administrative Proceeding, Release No. 33-8715
2006-103 Jun. 27, 2006 SEC Charges Morgan Stanley With Failure To Maintain And Enforce Policies To Prevent Misuse of Inside Information
See also: Administrative Proceeding, Release Nos. 34-54047 and IA-2526
2006-102 Jun. 27, 2006 SEC and Korea Financial Supervisory Commission Announce Terms of Reference for Regulatory Dialogue
2006-101 Jun. 23, 2006 Statement of Chairman Cox Concerning the Decision of the U.S. Court of Appeals in Phillip Goldstein, et al. v. Securities and Exchange Commission
2006-100 Jun. 21, 2006 SEC Adopts New Rules and Amendments for Fund of Funds Investments and Disclosure
2006-99 Jun. 20, 2006 More Companies Join SEC's Program to Use Interactive Data for Financial Statements
2006-98 Jun. 19, 2006 Public Company Accounting Oversight Board Incumbent Kayla J. Gillan Reappointed to Second Term
2006-97 Jun. 19, 2006 Federal Reserve Governor Mark W. Olson Named to Chair Public Company Accounting Oversight Board
2006-96 Jun. 16, 2006 SEC Office of International Affairs and Divisions of Market Regulation and Corporation Finance Release Fact Sheet
2006-95 Jun. 13, 2006 SEC Complies with Court Order on Mutual Fund Governance Rule
See also: Request for Additional Comment
2006-94 Jun. 13, 2006 Commission Announces SEC Roundtable on Regulation SHO Pilot
Comments received are available for this proposal.
* Click to submit comments on 4-520
2006-93 Jun. 12, 2006 SEC Announces That Over a Million Corporate and Mutual Fund Reports Are Now Fully Searchable via Web
2006-92 Jun. 8, 2006 $750 Million Distribution Begins for Bristol-Myers Fraud Victims
See also: Litigation Release No. 18867, Litigation Release No. 18822, Litigation Release No. 18820
2006-91 Jun. 7, 2006 SEC Chairman Cox Urges Options Exchanges to Start Limited Penny Quoting
2006-90 Jun. 7, 2006 Commission Announces Speakers, Panelists, and Agenda for June 12 Interactive Data Roundtable
2006-89 Jun. 7, 2006 SEC Files Fraud Charges Against Former Restaurant Executives for Undisclosed Compensation and Accounting Fraud; Former CEO Agrees to Pay $500,000 Civil Penalty
See also: Litigation Release No. 19719; Litigation Release No. 19720
2006-88 Jun. 6, 2006 Susan Ferris Wyderko, Director of the Office of Investor Education and Assistance, to Leave Commission
2006-87 Jun. 5, 2006 Jeffrey Risinger Designated Acting Executive Director
2006-86 Jun. 5, 2006 Andrew Vollmer Named SEC Deputy General Counsel
2006-85 Jun. 2, 2006 SEC Chairman, FSA Leadership Meet on Interactive Disclosure, Continuity, Hedge Funds, and Exchange Regulations
2006-84 Jun. 1, 2006 SEC Charges the Philadelphia Stock Exchange with Failing to Police Specialists
See also: Administrative Proceeding 34-53919
2006-83 May 31, 2006 15 Broker-Dealer Firms Settle SEC Charges Involving Violative Practices in the Auction Rate Securities Market
See also: Administrative Proceeding 33-8684
2006-82 May 30, 2006 SEC Brings Settled Charges Against Tribune Company for Reporting Inflated Circulation Figures and Misstating Circulation Revenues
See also: Administrative Proceeding 34-53882
2006-81 May 25, 2006 Statements Concerning Today's Verdict in Criminal Trial in Houston
2006-80 May 23, 2006 SEC and OFHEO Announce Resolution of Investigation and Special Examination of Fannie Mae
See also: Litigation Release No. 19710
2006-79 May 23, 2006 More Companies Decide to Furnish SEC Reports Using Interactive Data
2006-78 May 22, 2006 SEC Orders Crowell, Weedon to Comply With Anti-Money Laundering Law
See also: Administrative Proceeding No. 34-53847
2006-77 May 18, 2006 SEC Extends Compliance Dates for Regulation NMS
See also: Spotlight on Regulation NMS
2006-76 May 18, 2006 Paul Berger, Associate Director of Enforcement, to Leave Commission
2006-75 May 17, 2006 SEC Announces Next Steps for Sarbanes-Oxley Implementation
2006-74 May 16, 2006 Chairman Cox Meets with Korea Financial Supervisory Commission Chairman Yoon
2006-73 May 16, 2006 SEC Charges Former Video Game CEO in Junk Fax Scam
See also: Litigation Release No. 19701
2006-72 May 15, 2006 SEC Examination Staff to Sponsor Regional Seminars
2006-71 May 15, 2006 Commissioner Glassman Announces Intention to Leave SEC
See also: Letter from Commissioner Glassman
2006-70 May 11, 2006 SEC Announces New Charges Against Insider Trading Ring
See also: Litigation Release No. 19696
2006-69 May 10, 2006 Morgan Stanley Sued for Repeated E-Mail Production Failures
See also: Litigation Release No. 19693
2006-68 May 9, 2006 Agencies Request Comment on Revised Statement Concerning Elevated Risk Complex Structured Finance Activities
See also: Interagency Statement
2006-67 May 10, 2006 Former Chairman and CEO of Gemstar-TV Guide International, Inc. Ordered to Pay Over $22 Million For Role in Accounting Fraud
See also: Litigation Release No. 19694
2006-66 May 8, 2006 Commission's June 12 Interactive Data Roundtable to Include Panels on Improving Mutual Fund Disclosures
2006-65 May 8, 2006 Securities and Exchange Commission and North American Securities Administrators Association Launch Program to Protect Senior Investors
2006-64 May 3, 2006 SEC Announces Billion Dollar Fee Cut to Benefit Investors
See also: FY2007 Fee Rate Adjustments
2006-63 May 2, 2006 SEC and CSRC Announce Terms of Reference for Enhanced Dialogue
2006-62 May 1, 2006 Commission and PCAOB Announce Panelists for May 10th Roundtable on Second-Year Experiences with Internal Control Reporting and Auditing Provisions
2006-61 Apr. 25, 2006 SEC to Replace Many Paper Effectiveness Orders With Electronic Notifications of Effectiveness
2006-60 Apr. 21, 2006 Approval of Order to Extend the Termination Date of the Short Sale Pilot Order
See also: Order Extending Term of Short Sale Pilot
2006-59 Apr. 17, 2006 SEC Enforcement Action Charges Entertainment Promoter Jack Utsick and Others in Connection With $300 Million Offering Fraud
See also: Litigation Release No. 19659
2006-58 Apr. 17, 2006 SEC Brings Settled Charges Against Tyco International Ltd. Alleging Billion Dollar Accounting Fraud
See also: Litigation Release No. 19657
2006-57 Apr. 13, 2006 SEC Announces Sixteenth Annual International Institute
2006-56 Apr. 13, 2006 Richard Wessel, District Administrator of the SEC's Atlanta District Office, to Retire
2006-55 Apr. 12, 2006 Policy Statement of the Securities and Exchange Commission Concerning Subpoenas to Members of the News Media
2006-54 Apr. 12, 2006 Thomas Biolsi Named Associate Regional Director for Examinations in the SEC Northeast Regional Office
2006-53 Apr. 11, 2006 SEC Complaint Charges International Insider Trading Ring, Including Personnel at Goldman Sachs and Merrill Lynch
See also: Litigation Release No. 19650
2006-52 Apr. 10, 2006 SEC Chairman Christopher Cox Appoints Andrew Donohue to Be the Commission's Next Director of the Division of Investment Management
2006-51 Apr. 10, 2006 SEC Advisory Committee on Smaller Public Companies Plans Public Telephone Conference Meeting
2006-50 Apr. 6, 2006 SEC Files Emergency Action to Stop Ongoing Microcap Stock Fraud
See also: Litigation Release No. 19642
2006-49 Apr. 6, 2006 Daniel M. Hawke Named District Administrator of the SEC's Philadelphia District Office
2006-48 Apr. 6, 2006 David Bergers Named District Administrator of the SEC's Boston District Office
2006-47 Apr. 5, 2006 SEC and CFTC Propose Framework for Trading Futures on Debt Security Index Contracts
See also: Joint Proposed Rule; Release No. 34-53560
First Quarter
2006-46 Mar. 31, 2006 Report Issued on Improving Financial Privacy Notices for Consumers
2006-45 Mar. 30, 2006 SEC Charges Three Former KPMG Auditors for Altering Audit Working Papers
2006-44 Mar. 30, 2006 Office of the Chief Accountant Selects Two Professional Accounting Fellows
2006-43 Mar. 29, 2006 17 Companies Join SEC Pilot Program to Use 'Interactive Data' in Financial Reports
2006-42 Mar. 27, 2006 Visiting Academic Scholar Appointed to the Office of Economic Analysis
2006-41 Mar. 22, 2006 SEC Approves NYSE Hybrid Market Proposal
See also: Release No. 34-53539
2006-40 Mar. 21, 2006 SEC Charges 11 More Individuals in Fraudulent "Squawk Box" Scheme
2006-39 Mar. 17, 2006 Donald M. Hoerl Named Acting Regional Director of the SEC's Central Regional Office
2006-38 Mar. 16, 2006 SEC Settles Fraud Charges with Bear Stearns for Late Trading and Market Timing Violations
See also: Administrative Proceeding: Release No. 33-8668
2006-37 Mar. 14, 2006 Jim McConnell, SEC Executive Director, Retires
2006-36 Mar. 14, 2006 SEC, UK FSA Sign Landmark Regulatory Cooperation Arrangement
2006-35 Mar. 9, 2006 SEC Files Fraud Charges Against Dallas Investment Adviser and Its President in $1.9 Million Junk-Fax “Scalping” Scheme
See also: Litigation Release No. 19606
2006-34 Mar. 9, 2006 Commission Announces Roundtable Series on Giving Investors and Analysts Better Financial Data via Internet
Comments received are available for this proposal.
* Click to submit comments on 4-515
2006-33 Mar. 7, 2006 Randall Fons, Head of the SEC’s Central Regional Office, To Leave the Commission
2006-32 Mar. 3, 2006 SEC'S Advisory Committee on Smaller Public Companies Solicits Comments on Draft Final Report
2006-31 Mar. 1, 2006 Fee Rate Advisory #6 for FY 2006
2006-30 Feb. 28, 2006 SEC Chairman Christopher Cox Gets Clean Bill of Health
2006-29 Feb. 27, 2006 Approval of SRO Rule Changes Necessary To Effectuate Merger of NYSE and Archipelago Holdings
See also: Release No. 34-53382 and Release No. 34-53383
2006-28 Feb. 27, 2006 Chairman Christopher Cox Appoints SEC Veteran John Nester Director of Public Affairs
2006-27 Feb. 27, 2006 SEC Welcomes Plans of U.S., International Standard Setters for Convergence of Accounting Systems
2006-26 Feb. 27, 2006 SEC Halts "Paid Autosurf" Internet Ponzi Scheme that Raised Over $50 Million from 300,000 Investors Worldwide
See also: Litigation Release No. 19579
2006-25 Feb. 27, 2006 Martin Dunn Named Acting Director of Division of Corporation Finance
2006-24 Feb. 27, 2006 Statement by Securities and Exchange Commission Chairman Christopher Cox Concerning Subpoenas of Journalists
2006-23 Feb. 22, 2006 Four Current or Former KPMG Partners Settle SEC Litigation Relating To Xerox Audits
See also: Litigation Release No. 19573
2006-22 Feb. 15, 2006 Commission and PCAOB Announce Roundtable on Internal Control Reporting Requirements
Comments received are available for this proposal.
* Click to submit comments on 4-511
2006-21 Feb. 15, 2006 SEC Revokes Securities Registrations of Twenty-Five Delinquent Issuers
2006-20 Feb. 13, 2006 SEC Extends Deadline for Companies To Join Interactive Data Test Group
2006-19 Feb. 9, 2006 AIG to Pay $800 Million to Settle Securities Fraud Charges by SEC
See also: Litigation Release No. 19560
2006-18 Feb. 8, 2006 Chairman Christopher Cox Names John White To Be the Commission’s Next Director of the Division of Corporation Finance
2006-17 Feb. 8, 2006 Accounting Standards: SEC Chairman Cox and EU Commissioner McCreevy Affirm Commitment to Elimination of the Need for Reconciliation Requirements
2006-16 Feb. 3, 2006 Rose Romero Named District Administrator of the SEC’s Fort Worth District Office
2006-15 Feb. 2, 2006 SEC Charges One AIG and Four Gen Re Executives for Aiding in AIG Securities Fraud
See also: Litigation Release No. 19552
2006-14 Jan. 30, 2006 SEC and Japan Financial Services Agency Announce Terms for Increased Cooperation and Collaboration
2006-13 Jan. 27, 2006 SEC Chairman to Undergo Surgery; Complete Recovery Expected After Brief Recuperation
2006-12 Jan. 27, 2006 Division of Market Regulation Publishes Responses to Frequently Asked Questions Concerning Rule 611 and Rule 610 of Regulation NMS
2006-11 Jan. 20, 2006 SEC Seeks to Distribute $10 Million Civil Penalty to i2 Technologies, Inc. Investors
See also: Litigation Release No. 19535A
2006-10 Jan. 17, 2006 SEC Votes to Propose Changes to Disclosure Requirements Concerning Executive Compensation and Related Matters
See also: Chairman Cox Opening Statement
2006-9 Jan. 13, 2006 Approval of NASDAQ Stock Market LLC Exchange Application
See also: Findings, Opinion, and Order: Release No. 34-53128
2006-8 Jan. 12, 2006 Susan Ferris Wyderko Designated as Acting Director of the Division of Investment Management
2006-7 Jan. 11, 2006 SEC Offers Incentives for Companies to File Financial Reports with Interactive Data
2006-6 Jan. 11, 2006 Corporation Finance Division Director Alan Beller to Leave Commission
2006-5 Jan. 10, 2006 Daniel Calugar and Security Brokerage, Inc. to Pay Over $150 Million to Settle SEC Fraud Action for Late Trading and Market Timing
See also: Litigation Release No. 19526
2006-4 Jan. 4, 2006 Statement of the Securities and Exchange Commission Concerning Financial Penalties
See also: Litigation Release No. 19520; Administrative Proceeding Release No. 33-8651
2006-3 Jan. 4, 2006 SEC Charges McAfee, Inc. with Accounting Fraud; McAfee Agrees to Settle and Pay a $50 Million Penalty
See also: Litigation Release No. 19520
2006-2 Jan. 3, 2006 SEC Charges Six Former Officers of Putnam Fiduciary Trust Company with Defrauding Clients of $4 Million
See also: Litigation Release No. 19517
2006-1 Jan. 3, 2006 Brian Cartwright Named SEC General Counsel

 

http://www.sec.gov/news/press/pressarchive/2006press.shtml


Modified: 10/16/2014