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Press Release Archives 2007

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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Release No. Date Details
Fourth Quarter
2007-270 Dec. 27, 2007 Fee Rate Advisory #6 for Fiscal Year 2008
2007-269 Dec. 21, 2007 Fee Rate Advisory #5 for Fiscal Year 2008
2007-268 Dec. 21, 2007 Chairman Cox Unveils New Internet Tool With Instant Comparisons Of Executive Pay
2007-267 Dec. 21, 2007 SEC Staff Issues Year-End Help For Expensing Employee Stock Options
See also: Staff Accounting Bulletin No. 110
2007-266 Dec. 18, 2007 SEC Charges Mayer Brown Partner Joseph P. Collins with Aiding and Abetting Refco Fraud
See also: Litigation Release No. 20402
2007-265 Dec. 14, 2007 Fee Rate Advisory #4 For Fiscal Year 2008
2007-264 Dec. 14, 2007 SEC Staff Hold First CCOutreach Programs For SEC Investment Advisers in Asia
2007-263 Dec. 13, 2007 SEC Conducts Major Anti-Money Laundering Program for Latin America and the Caribbean
2007-262 Dec. 13, 2007 SEC Charges Former Chairman/CEO of Schnitzer Steel for Authorizing Cash Bribes to Foreign Officials
See also: Litigation Release No. 20397
2007-261 Dec. 12, 2007 SEC Announces Roundtable Discussions Regarding International Financial Reporting Standards
Comments received are available for this proposal.
* Click to submit comments on 4-552
2007-260 Dec. 11, 2007 SEC Votes to Publish Concept Release Soliciting Comment on Oil and Gas Disclosure Requirements
Video of Chairman's Statement:
*  Windows Media Player (7 MB)
*  QuickTime (10 MB)
2007-259 Dec. 11, 2007 SEC Facilitates Smaller Company Access to Capital Markets
Video of Chairman's Statement on Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3:
*  Windows Media Player (14 MB)
*  QuickTime (20 MB)
Video of Chairman's Statement on Electronic Filing and Revision of Form D:
*  Windows Media Player (12 MB)
*  QuickTime (17 MB)
2007-258 Dec. 11, 2007 SEC Halts Fraudulent Global Pyramid Scheme Preying On Hispanic Community
See also: Litigation Release No. 20393
2007-257 Dec. 11, 2007 SEC Charges San Diego's Independent Auditor for Fraud in Connection With City Municipal Securities Offerings
See also: Litigation Release No. 20394
2007-256 Dec. 7, 2007 SEC Files Actions Against 10 Defendants in Fraudulent Kickback Schemes
See also: Litigation Release No. 20390
2007-255 Dec. 6, 2007 Former UnitedHealth Group CEO/Chairman Settles Stock Options Backdating Case for $468 Million
See also: Litigation Release No. 20387
2007-254 Dec. 6, 2007 SEC Charges Former San Francisco-Area Stockbroker With Fraudulent Scheme That Violated Privacy Rights of Elderly Customers
See also: Litigation Release No. 20386
2007-253 Dec. 5, 2007 SEC's Office of Interactive Disclosure Urges Public Comment as Interactive Data Moves Closer to Reality for Investors
2007-252 Dec. 5, 2007 John Loesch Named Deputy Director in SEC's Office of Investor Education and Advocacy
2007-251 Dec. 5, 2007 H. David Kotz Named New Inspector General at SEC
2007-250 Dec. 4, 2007 SEC Sues Maxim Integrated Products and Former Senior Officers in Stock Option Backdating Scheme
See also: Litigation Release No. 20381
2007-249 Nov. 29, 2007 SEC Releases Sample Format for Proposed Mutual Fund Summary Prospectus
2007-248 Nov. 29, 2007 Peter Bresnan, Deputy Director of Enforcement, to Leave Commission
2007-247 Nov. 28, 2007 SEC Adopts Proxy Rule Amendments Encouraging Electronic Shareholder Forums
Video of Chairman's Statement:
*  Windows Media Player (14 MB)
*  QuickTime (15 MB)
2007-246 Nov. 28, 2007 SEC Votes to Codify Longstanding Policy on Shareholder Proposals on Election Procedures
Video of Chairman's Statement:
*  Windows Media Player (43 MB)
*  QuickTime (46 MB)
2007-245 Nov. 27, 2007 Tom Kim Named Chief Counsel in Division of Corporation Finance
2007-244 Nov. 27, 2007 CCOutreach BD National Seminar to Be Held March 7
2007-243 Nov. 27, 2007 Kay Lackey Named Associate Regional Director for Enforcement in SEC's New York Regional Office
2007-242 Nov. 26, 2007 Elizabeth G. Osterman Named Associate Director in the Division of Investment Management
2007-241 Nov. 20, 2007 SEC Announces $31.5 Million Fair Fund Distribution to Investors Injured by Undisclosed Market Timing in MFS Funds
2007-240 Nov. 20, 2007 SEC Charges Edward May and E-M Management for Massive Offering Fraud Harming Seniors and Other Investors
See also: Litigation Release No. LR-20366
2007-239 Nov. 20, 2007 Wayne Carnall Named Chief Accountant in Division of Corporation Finance
2007-238 Nov. 20, 2007 Brian Breheny Named Deputy Director in Division of Corporation Finance
2007-237 Nov. 16, 2007 SEC Seeks Public Views on Enhanced Access to Company Reporting on Business in Countries on State Department List
See also: Concept Release No. 33-8860
2007-236 Nov. 16, 2007 Jury Rules in SEC's Favor, Finds Former Chairman/CEO of Chancellor Corporation Liable for Securities Fraud
2007-235 Nov. 15, 2007 SEC Takes Action to Improve Consistency of Disclosure to U.S. Investors in Foreign Companies
Video of Chairman's Statement:
*  Windows Media Player (14 MB)
*  QuickTime (15 MB)
2007-234 Nov. 15, 2007 SEC Votes to Propose Improvement of Mutual Fund Disclosure
Video of Chairman's Statement:
*  Windows Media Player (11 MB)
*  QuickTime (12 MB)
2007-233 Nov. 15, 2007 SEC Votes to Adopt Three Rules to Improve Regulation of Smaller Businesses
Video of Chairman's Statement:
*  Windows Media Player (11 MB)
*  QuickTime (12 MB)
2007-232 Nov. 15, 2007 Fee Rate Advisory #3 for Fiscal Year 2008
2007-231 Nov. 14, 2007 SEC Announces 100 Percent Return of Funds to Defrauded Bio-Heal Investors
2007-230 Nov. 14, 2007 Chevron to Pay $30 Million to Settle Charges For Improper Payments to Iraq Under U.N. Oil For Food Program
See also: Litigation Release LR-20363
2007-229 Nov. 14, 2007 SEC Renames Division of Market Regulation as Division of Trading and Markets
2007-228 Nov. 9, 2007 Kevin Goodman Named Associate Regional Director for Examinations in SEC's Denver Regional Office
2007-227 Nov. 9, 2007 Chairman Cox, Overseas Counterparts Meet to Discuss Interactive Data Timetable
2007-226 Nov. 6, 2007 Authorities Responsible for Capital Market Regulation Work to Enhance the Governance of the IASC Foundation
2007-225 Nov. 5, 2007 SEC Staff Releases Accounting Bulletin For Written Loan Commitments Recorded at Fair Value Under GAAP
See also: Staff Accounting Bulletin No. 109
2007-224 Nov. 2, 2007 SEC Proposes Rule Amendments to Provide Investors Internet Access to Exemptive Applications
See also: Proposing Release No. 33-8859
2007-223 Oct. 30, 2007 SEC, FINRA Launch New Initiative to Assist Chief Compliance Officers at Broker-Dealer Firms
2007-222 Oct. 26, 2007 Steve Korotash Named Associate Regional Director for Enforcement in the SEC's Fort Worth Regional Office
2007-221 Oct. 25, 2007 SEC Charges Former CEO of Military Body Armor Supplier With Financial Fraud and Insider Trading
See also: Litigation Release No. 20345
2007-220 Oct. 24, 2007 SEC Wins First-Ever Federal Agency Pro Bono Leadership Award
2007-219 Oct. 19, 2007 SEC Distributes $356 Million to Defrauded Fannie Mae Investors
2007-218 Oct. 18, 2007 San Francisco Regional Office Director Helane Morrison to Leave SEC
2007-217 Oct. 15, 2007 Nortel Networks Pays $35 Million to Settle Financial Fraud Charges
See also: Litigation Release No. 20333
2007-216 Oct. 10, 2007 SEC Charges New York Hedge Fund Adviser With Short Sale Violations in Connection With Hibernia-Capital One Merger
See also: Administrative Proceeding 33-8857
2007-215 Oct. 10, 2007 Paul Beswick Named as Senior Advisor to the Commission's Chief Accountant
2007-214 Oct. 9, 2007 SEC Staff Publishes Observations in Review of Executive Compensation Disclosure
See also: Executive Compensation Disclosure Review
2007-213 Oct. 9, 2007 SEC Announces New Unit to Lead Global Move to Interactive Data
2007-212 Oct. 4, 2007 SEC Takes Another Bite Out of E-Mail Spam With Three More Trading Suspensions
See also: Trading Suspension
2007-211 Oct. 3, 2007 SEC Division of Corporation Finance Appoints Academic Engineering Fellow
2007-210 Oct. 2, 2007 Commissioner Nazareth Announces Intention to Leave SEC
2007-209 Oct. 1, 2007 Three Former Dynegy Executives Settle SEC Charges for Manipulating Financial Statements
Third Quarter
2007-208 Sep. 28, 2007 SEC Settles Enforcement Actions Against Municipal Bond Offerings Participants for Violations That Put at Risk the Bonds' Tax-Exempt Status
2007-207 Sep. 28, 2007 Fee Rate Advisory #2 for Fiscal Year 2008
2007-206 Sep. 27, 2007 SEC Charges California Investment Adviser With Impersonating Clients to Steal From Accounts
2007-205 Sep. 27, 2007 Freddie Mac, Four Former Executives Settle SEC Action Relating to Multi-Billion Dollar Accounting Fraud
See also: Litigation Release No. 20304; Administrative Proceeding 33-8850
2007-204 Sep. 27, 2007 SEC Charges Two Firms and Their CEOs With Securities Fraud in Municipal Bond Market
See also: Administrative Proceeding Nos. 34-56542 and 34-56543
2007-203 Sep. 26, 2007 SEC Brings Fraud Charges Against San Francisco Hedge Fund Manager
See also: Litigation Release No. 20300
2007-202 Sep. 26, 2007 SEC Announces New Initiative to Warn Investors About Questionable Securities Solicitations
See also: Notice: Rel. No. 34-56534
2007-201 Sep. 26, 2007 SEC Institutes Settled Enforcement Action Against Bristow Group for Improper Payments to Nigerian Government Officials and Other Violations
See also: Administrative Proceeding No. 34-56533
2007-200 Sep. 25, 2007 SEC Chairman Cox Announces Landmark Progress in Providing Instant, User-Friendly Access to Financial Reporting Information for Investors
2007-199 Sep. 24, 2007 Seven Credit Rating Agencies Register with SEC as Nationally Recognized Statistical Rating Organizations
2007-198 Sep. 24, 2007 Agencies Adopt Final Rules to Implement the Bank 'Broker' Provisions of the Gramm-Leach-Bliley Act
See also: Final Rule Release Nos. 34-56501 and 34-56502
2007-197 Sep. 24, 2007 SEC Charges Two With Securities Fraud in $4.4 Million Market Manipulation and Kickback Case
See also: Litigation Release No. 20293
2007-196 Sep. 24, 2007 SEC Charges Former NFL Player for Violations of Investment Adviser Regulations
See also: Administrative Proceeding No. IA-2651 and Order
2007-195 Sep. 24, 2007 SEC Charges Three Individuals in Multi-Million Dollar Scheme to Defraud Savings Banks and Their Depositors
See also: Litigation Release No. 20292
2007-194 Sep. 21, 2007 SEC Releases Source Code for Interactive Data Viewer for Free Use by the Market
2007-193 Sep. 20, 2007 SEC Votes to Adopt Temporary Rule on Principal Trades With Certain Advisory Clients; Also Votes to Propose Rule Amendments Regarding Interpretive Rules Under the Advisers Act Affecting Broker-Dealers
Video of Chairman's Statement:
*  Windows Media Player (8 MB)
*  QuickTime (8 MB)
2007-192 Sep. 20, 2007 SEC Charges 38 Defendants in Multi-Million Dollar Stock Loan Scams
See also: Litigation Release Nos. 20290 and 20291; Administrative Proceeding Nos. 34-56473, 34-56474, and 34-56475
2007-191 Sep. 20, 2007 Market Cap of 'Interactive Data' Filers Tops $2 Trillion
2007-190 Sep. 19, 2007 SEC Votes for Final Rules Defining How Banks Can Be Securities Brokers
Video of Chairman's Statement:
*  Windows Media Player (12 MB)
*  QuickTime (13 MB)
2007-189 Sep. 19, 2007 SEC Announces Roundtable Panelists for Forum on Small Business Capital Formation
2007-188 Sep. 19, 2007 Registration Begins for ‘CCOutreach’ National Seminar to Help Chief Compliance Officers Succeed in Protecting Investors
2007-187 Sep. 19, 2007 HSBC Bank Settles SEC Charges and Agrees to Pay $10.5 Million
See also: Administrative Proceeding 33-8844
2007-186 Sep. 19, 2007 Evergreen Investment Management Company and Affiliates to Pay $32.5 Million to Settle Market Timing Violations
See also: Administrative Proceeding Nos. 34-56462 and 34-56464
2007-185 Sep. 17, 2007 Visiting Academic Scholars and Economic Fellows Appointed to the Office of Economic Analysis
2007-184 Sep. 17, 2007 SEC Charges Two Former Supermarket Executives With Financial Fraud
See also: Litigation Release No. 20285
2007-183 Sep. 13, 2007 SEC Charges 69 Audit Firms and Partners for Issuing Audit Reports While Not Registered with the PCAOB
See also: Administrative Proceedings (Release Nos. 34-56398 through 34-56436)
2007-182 Sep. 12, 2007 SEC Charges 4 Additional Former Officers of Nortel Networks Corporation in Financial Fraud Scheme
See also: Litigation Release No. 20275
2007-181 Sep. 12, 2007 SEC Announces Final Disbursement to Investors From $267 Million Pilgrim Baxter Fair Fund
2007-180 Sep. 11, 2007 SEC Small Business Forum to Focus on Recent Rule Proposals for Smaller Companies
2007-179 Sep. 10, 2007 "Free Lunch" Investment Seminar Examinations Uncover Widespread Problems, Perils for Older Investors
Video of Chairman's Opening Remarks at Seniors Summit:
*  Windows Media Player
Video of Chairman's Post-Summit Interview on "Senior Specialist" Designations:
*  Windows Media Player
*  RealMedia
2007-178 Sep. 10, 2007 SEC Approves FINRA Rule Governing Sales Practices of Deferred Variable Annuities
2007-177 Sep. 7, 2007 SEC Partners With State of Hawaii to Charge Honolulu-Based Adviser With Defrauding Seniors
2007-176 Sep. 7, 2007 NYSE Euronext Becomes First Exchange to File Financial Statements Using Interactive Data
2007-175 Sep. 6, 2007 SEC Seniors Summit To Tackle Identifying, Stopping Investment Scams Against Senior Citizens
2007-174 Sep. 6, 2007 SEC Charges Brokerage Firms and Former Branch Supervisor for Failing to Supervise Former Registered Representative Who Defrauded Customers, Including Seniors
See also: Administrative Proceeding Nos. 34-56362, 34-56363, and 34-56364
2007-173 Sep. 6, 2007 SEC and U.S. Attorney Charge Repeat Stock Promoter and Penny Stock Trader With Illegal IPOs and Pump-and-Dump Manipulation Schemes
See also: Litigation Release No. 20269
2007-172 Sep. 5, 2007 SEC Charges 26 Defendants in $428 Million Securities Fraud That Targeted Senior Citizens and Retirement Savings
See also: Complaint
2007-171 Sep. 5, 2007 SEC Charges Boston Stock Exchange and Former President James Crofwell With Failing to Police Specialists
See also: Litigation Release No. 20265; Administrative Proceeding 34-56352
2007-170 Aug. 28, 2007 SEC Charges Former General Counsel of KLA-Tencor And Juniper Networks For Fraudulent Stock Option Backdating
See also: Litigation Release No. 20257
2007-169 Aug. 23, 2007 SEC Files Action to Halt $25 Million Fraudulent Scheme Preying Upon Retirement Savings of Senior Citizens
See also: Litigation Release No. 20252
2007-168 Aug. 22, 2007 Office of the Chief Accountant Selects Three Professional Accounting Fellows
2007-167 Aug. 21, 2007 Mutual Funds Begin Providing Risk-Return Information Using Interactive Data
2007-166 Aug. 17, 2007 SEC Charges Additional Brocade Executive for Role in Stock Option Backdating Scheme
See also: Litigation Release No. 20247
2007-165 Aug. 13, 2007 SEC Announces $55 Million Fair Fund Distribution to Investors Injured in Banc One Investment Advisors Market Timing Fraud
2007-164 Aug. 9, 2007 SEC Files Fraud Charges Against Nicor's Former CEO, CFO and Treasurer
See also: Litigation Release No. 20233
2007-163 Aug. 9, 2007 Commissioner Campos to Leave SEC
2007-162 Aug. 9, 2007 General American Life Insurance Company, Former Senior VP Settle Late Trading Charges
See also: Adminstrative Proceeding No. 33-8832
2007-161 Aug. 7, 2007 First Bancorp Settles SEC Financial Fraud Charges Involving "Non-Conforming" Mortgages
See also: Litigation Release No. 20227
2007-160 Aug. 7, 2007 SEC to Convene Summit to Combat Investment Fraud Against Senior Citizens
2007-159 Aug. 6, 2007 Division of Corporation Finance Deputy Director Marty Dunn to Leave SEC
2007-158 Aug. 3, 2007 Federal Jury Finds Michael Pietrzak and Maurice Furlong Liable for Securities Fraud and Other Charges
See also: Litigation Release No. 20223
2007-157 Aug. 3, 2007 SEC Charges British Trader With Making Over $3 Million in Illicit Profits Through Insider Trading in Petco
See also: Litigation Release No. 20224
2007-156 Aug. 1, 2007 SEC Announces Distribution of $267 Million Fair Fund to Qwest Investors Injured by Accounting Fraud
2007-155 Aug. 1, 2007 SEC Files Action Against Integrated Silicon Solution and Its Former CFO for Improper Stock Options Backdating
See also: Litigation Release No. 20219
2007-154 Jul. 31, 2007 SEC Chairman Cox Announces Members of Advisory Committee on Improvements to Financial Reporting
2007-153 Jul. 31, 2007 SEC Chairman Cox Appoints Kristin J. Kaepplein Director of the Office of Investor Education and Advocacy; Announces Expansion of the Office
2007-152 Jul. 31, 2007 SEC Announces Settlement With Aspen Technology
See also: Administrative Proceeding No. 33-8827
2007-151 Jul. 26, 2007 SEC Gives Regulatory Approval for NASD and NYSE Consolidation
2007-150 Jul. 26, 2007 James Overdahl Named SEC Chief Economist to Head Office of Economic Analysis
2007-149 Jul. 26, 2007 SEC Staff Hold CCOutreach Program for SEC Investment Advisers in Europe
2007-148 Jul. 26, 2007 SEC Chairman Cox Calls for Improved Investor Protections in the Market for Municipal Securities
See also: White Paper to Congress
2007-147 Jul. 26, 2007 SEC Sues Cardinal Health, Inc. For Fraudulent Earnings and Revenue Management Scheme
See also: Litigation Release No. 20212
2007-146 Jul. 26, 2007 SEC Charges Former Chairman and CEO of Brooks Automation in Stock Option Fraud
See also: Litigation Release No. 20210
2007-145 Jul. 25, 2007 SEC Soliciting Public Comment on Role of IFRS in the U.S.
Video of Chairman's Statement at the July 25 Open Meeting:
*  Windows Media Player (15 MB)
*  QuickTime (16 MB)
2007-144 Jul. 25, 2007 SEC Approves PCAOB Auditing Standard No. 5 Regarding Audits of Internal Control Over Financial Reporting; Adopts Definition of "Significant Deficiency"
Video of Chairman's Statement at the July 25 Open Meeting:
*  Windows Media Player (15 MB)
*  QuickTime (16 MB)
2007-143 Jul. 25, 2007 SEC Charges Former KLA-Tencor CEO With Fraud For Improper Stock Options Backdating
See also: Litigation Release No. 20207
2007-142 Jul. 25, 2007 SEC Charges ConAgra Foods, Inc. in Financial Fraud and Accounting Case
See also: Litigation Release No. 20206
2007-141 Jul. 24, 2007 SEC Charges Operators of Phoenixsurf.com Web Site With Conducting a Massive Internet Ponzi Scheme
See also: Litigation Release No. 20205
2007-140 Jul. 24, 2007 SEC Staff Provide Information To Assist Newly-Registered Investment Advisers
2007-139 Jul. 24, 2007 Former MDS Inc. IT Specialist and Spouse Made More Than $1 Million From Stolen Information About MDS's Impending Merger With Molecular Devices
See also: Litigation Release No. 20203
2007-138 Jul. 20, 2007 Statement by Securities and Exchange Commission Chairman Christopher Cox Concerning Companies' Activities in Countries Known to Sponsor Terrorism
2007-137 Jul. 19, 2007 Former SmartForce Executives, Auditors Settle Accounting Violation Charges
See also: Litigation Release No. 20202
2007-136 Jul. 19, 2007 Chief Economist Chester Spatt to Leave SEC
2007-135 Jul. 12, 2007 SEC Charges Former CEO and Former Board Member of Engineered Support Systems, Inc. in Options Backdating Scheme
See also: Litigation Release No. 20193
2007-134 Jul. 12, 2007 SEC Expands Interactive Data Voluntary Program to Include Mutual Fund Information
Video of Chairman's June 20 Statement:
*  Windows Media Player (10 MB)
*  QuickTime (10 MB)
2007-133 Jul. 11, 2007 SEC Votes to Adopt Antifraud Rule Under Investment Advisers Act
Video of Chairman's Statement:
*  Windows Media Player (10 MB)
*  QuickTime (10 MB)
2007-132 Jul. 10, 2007 Rosalind Tyson Named Acting Regional Director of Los Angeles Regional Office
2007-131 Jul. 9, 2007 SEC Announces $316 Million Fair Fund Distribution to Investors Harmed by Fraud at Time Warner
2007-130 Jul. 9, 2007 SEC Charges Two Texas Swindlers in Penny Stock Spam Scam Involving Computer Botnets
See also: Litigation Release No. LR-20187
2007-129 Jul. 3, 2007 Cheryl Linthicum Named Academic Accounting Fellow for SEC Division of Corporation Finance
2007-128 Jul. 3, 2007 SEC Soliciting Public Comment on Eliminating Reconciliation Requirement for IFRS Financial Statements
Video of Chairman's June 20 Statement:
*  Windows Media Player (10 MB)
*  QuickTime (11 MB)
See also: Proposing Release, Staff Observations Report, and Staff Review Correspondence
2007-127 Jul. 2, 2007 SEC Announces $37 Million Fair Fund Distribution to Mutual Fund Investors Injured by Columbia Market Timing Fraud
2007-126 Jul. 2, 2007 PCAOB Incumbent Daniel Goelzer Reappointed to Second Term
Second Quarter
2007-125 Jun. 29, 2007 SEC Announces Positive Early Results of Penny Quoting Pilot Program
2007-124 Jun. 28, 2007 Credit Rating Agencies Apply for Registration as Nationally Recognized Statistical Rating Organizations
2007-123 Jun. 27, 2007 SEC Establishes Advisory Committee to Make U.S. Financial Reporting System More User-Friendly for Investors
See also: Video of News Conference
2007-122 Jun. 26, 2007 SEC Sues London-Based Hedge Fund Adviser GLG Partners, L.P. for Illegal Short Selling in Connection with Public Offerings
See also: Litigation Release No. LR-20167; Administrative Proceeding No. 34-55956
2007-121 Jun. 25, 2007 SEC Adds Software Tool for Investors Seeking Information on Companies’ Activities in Countries Known to Sponsor Terrorism
2007-120 Jun. 21, 2007 SEC Votes to Adopt Final Amendments to Rule 105 of Regulation M, Short Selling in Connection With a Public Offering
Video of Chairman's Statement:
*  Windows Media Player (9 MB)
*  QuickTime (10 MB)
2007-119 Jun. 15, 2007 David Brown Becomes First Archivist of Securities and Exchange Commission
2007-118 Jun. 14, 2007 SEC Distributions to WorldCom Fraud Victims Top Half-Billion Dollar Mark
2007-117 Jun. 14, 2007 SEC Conducts Major Securities Market Oversight Training Program in Middle East
2007-116 Jun. 14, 2007 New "ComplianceAlerts" to Help SEC-Registered Firms Identify Deficiencies and Improve Compliance Programs
2007-115 Jun. 14, 2007 SEC Charges Securities Attorneys In Penny Stock Scam
See also: Litigation Release No. 20154
2007-114 Jun. 13, 2007 SEC Votes on Regulation SHO Amendments and Proposals; Also Votes to Eliminate "Tick" Test
Video of Chairman's Statement:
*  Windows Media Player (19 MB)
*  QuickTime (20 MB)
2007-113 Jun. 13, 2007 SEC Announces Second of Three Disbursements From $267 Million Pilgrim Baxter Fair Fund
2007-112 Jun. 12, 2007 Commission Announces Agenda for June 19th Roundtable on Rule 12b-1
Comments received are available for this proposal.
* Click to submit comments on 4-538
2007-111 Jun. 8, 2007 SEC Announces Agenda and Panelists for Roundtable on Mutual Recognition
2007-110 Jun. 5, 2007 Thomas R. Smith, Jr. Has Joined SEC's Division of Investment Management as Senior Advisor
2007-109 Jun. 5, 2007 SEC Settles With IBM for Misleading Statements Regarding Stock Option Expenses
See also: Administrative Proceeding Release No. 34-55858
2007-108 May 31, 2007 SEC Settles With Mercury Interactive and Sues Former Mercury Officers for Stock Option Backdating and Other Fraudulent Conduct
See also: Litigation Release No. 20136
2007-107 May 31, 2007 Brocade to Pay $7 Million Penalty to Settle Charges for Fraudulent Stock Option Backdating
See also: Litigation Release No. 20137
2007-106 May 29, 2007 Commission Announces Roundtable Discussion Regarding Rule 12b-1
Comments received are available for this proposal.
* Click to submit comments on 4-538
2007-105 May 24, 2007 SEC Announces Roundtable Discussion Regarding Mutual Recognition
Comments received are available for this proposal.
* Click to submit comments on 4-539
2007-104 May 23, 2007 SEC Votes to Adopt Final Rules to Implement Credit Rating Agency Reform Act
Video of Chairman's Statement:
*  Windows Media Player (10 MB)
*  MPEG-4 (8 MB)
2007-103 May 23, 2007 SEC Settles Charges Against Hewlett-Packard for Misleading Disclosures
See also: Administrative Proceeding Release No. 34-55801
2007-102 May 23, 2007 Proposed Modernization of Smaller Company Capital-Raising and Disclosure Requirements
Video of Chairman's Statement:
*  Windows Media Player (14 MB)
*  MPEG-4 (11 MB)
2007-101 May 23, 2007 SEC Approves New Guidance for Compliance with Section 404 of Sarbanes-Oxley
Video of Chairman's Statement:
*  Windows Media Player (16 MB)
*  MPEG-4 (17 MB)
2007-100 May 23, 2007 BISYS to Pay $25 Million to Settle Financial Reporting and Related Charges by SEC
See also: Litigation Release No. 20125
2007-99 May 23, 2007 SEC Announces Agendas and Panelists for Final Roundtables on the Proxy Process
2007-98 May 22, 2007 Chairman Cox to Convene SEC Chairmen Roundtable
2007-97 May 16, 2007 SEC Charges Former Wall Street Executive and Three Others in Multi-Million Dollar Scheme to Defraud Savings Banks and Their Depositors in Dozens of Stock Offerings
See also: Litigation Release No. 20118
2007-96 May 15, 2007 Randall Lee, SEC Regional Director in Los Angeles, to Leave the Commission
2007-95 May 14, 2007 SEC Seeks Time for Investors and Brokers to Respond to Court Decision on Fee-Based Accounts
2007-94 May 14, 2007 SEC Charges Former Oracle Vice President With Illegal Insider Trading in Stocks of Oracle Acquisiton Targets
See also: Litigation Release No. 20115
2007-93 May 10, 2007 SEC Charges Two Securities Professionals With Insider Trading
See also: Litigation Release No. 20112
2007-92 May 10, 2007 Office of the Chief Accountant Names Academic Fellows
2007-91 May 9, 2007 Morgan Stanley to Pay $7.9 Million to Settle Best Execution Case with SEC
See also: Administrative Proceeding Release No. 34-55726 and Orders 33-8801 and 33-8802
2007-90 May 7, 2007 Katherine Addleman Named Regional Director of SEC's Atlanta Regional Office
2007-89 May 7, 2007 Fee Rate Advisory #1 for Fiscal Year 2008
2007-88 May 7, 2007 Settled Administrative Proceeding Against Zurich Capital Markets Inc. for Financing of Hedge Funds' Illegal Market Timing
See also: Administrative Proceeding Release No. 34-55711
2007-87 May 4, 2007 SEC, Federal Reserve Bank and Elder Law Journal to Present Senior Investor Protection Symposium May 18 in Chicago
2007-86 May 4, 2007 SEC Announces Agenda and Panelists for Federal Proxy Rules and State Corporation Law Roundtable
2007-85 May 3, 2007 SEC Charges Credit Suisse Investment Banker with Insider Trading
See also: Litigation Release No. 20105
2007-84 May 2, 2007 SEC Charges A.G. Edwards With Failing to Supervise Brokers Who Engaged in Illegal Market Timing
See also: Administrative Proceeding Nos. 34-55692, 33-8798 and Order, and 33-8795
2007-83 May 2, 2007 Helene Glotzer, Associate Regional Director and Co-Head of Enforcement for SEC's New York Regional Office, to Leave Commission
2007-82 May 2, 2007 A. Duer Meehan Named Associate Director in OCIE's Office of Market Oversight
2007-81 Apr. 30, 2007 SEC Announces Start of $357 Million Fair Fund Distribution Process in Fannie Mae Settlement
2007-80 Apr. 27, 2007 Meeting Between SEC Chairman Cox and CESR Chairman Wymeersch and Vice Chair Tavares to Discuss Joint Work
2007-79 Apr. 27, 2007 SEC Completes 17th Annual International Institute for Securities Market Development with Record Number of Participants
2007-78 Apr. 27, 2007 Lori Schock, Acting Director of Office of Investor Education and Assistance, to Leave SEC
2007-77 Apr. 26, 2007 SEC Charges Baker Hughes With Foreign Bribery and With Violating 2001 Commission Cease-and-Desist Order
See also: Litigation Release No. 20094
2007-76 Apr. 26, 2007 SEC, German BaFin Sign Regulatory Cooperation Arrangement
See also: Memorandum of Understanding
2007-75 Apr. 26, 2007 SEC Announces $79 Million Fair Fund Distribution in the Edward Jones Revenue Sharing Settlement
2007-74 Apr. 25, 2007 SEC, Jump$tart Coalition Spread Financial Literacy to Local Students
2007-73 Apr. 25, 2007 SEC, UK FSA, and UK FRC Sign Protocol for Sharing Information on Application of IFRS
2007-72 Apr. 24, 2007 SEC Announces Next Steps Relating to International Financial Reporting Standards
2007-71 Apr. 24, 2007 SEC Announces Roundtable Discussions Regarding Proxy Process
Comments received are available for this proposal.
* Click to submit comments on 4-537
2007-70 Apr. 24, 2007 SEC Charges Former Apple General Counsel for Illegal Stock Option Backdating
See also: Litigation Release No. 20086
2007-69 Apr. 23, 2007 The President's Identity Theft Task Force Releases Comprehensive Strategic Plan to Combat Identity Theft
2007-68 Apr. 23, 2007 SEC Announces $125 Million Fair Fund Distribution to Investors Injured by Pilgrim Baxter Market Timing Fraud
2007-67 Apr. 16, 2007 SEC Staff Announces Availability of Anti-Money Laundering Compliance Tool
2007-66 Apr. 12, 2007 Statement of the Securities and Exchange Commission on the Death of Former Commissioner J. Carter Beese, Jr.
2007-65 Apr. 12, 2007 Statement of the Securities and Exchange Commission on the Death of Former Commissioner James J. Needham
2007-64 Apr. 11, 2007 SEC Institutes Enforcement Action Alleging Broker-Dealer and Its Principal Aided and Abetted Pump-and-Dump Scheme and Failed to File Suspicious Activity Reports Required by Bank Secrecy Act
See also: Administrative Proceeding No. 34-55614
2007-63 Apr. 5, 2007 SEC Announces Process for Proposals on Securities 'Ticker' Symbols
2007-62 Apr. 4, 2007 SEC Commissioners Endorse Improved Sarbanes-Oxley Implementation To Ease Smaller Company Burdens, Focusing Effort On 'What Truly Matters'
2007-61 Apr. 3, 2007 Richard Sennett Named Division of Investment Management Chief Accountant
2007-60 Apr. 2, 2007 SEC Charges Tenet Healthcare Corporation and Four Former Senior Executives With Concealing Scheme to Meet Earnings Targets by Exploiting Medicare System
See also: Litigation Release No. 20067
First Quarter
2007-59 Mar. 30, 2007 SEC Elevates District Offices to Regional Level
2007-58 Mar. 29, 2007 Carol Stacey, Chief Accountant, Division of Corporation Finance, to Leave SEC
2007-57 Mar. 29, 2007 Nicor to Pay $10 Million to Settle Fraud Charges
See also: Litigation Release No. 20060
2007-56 Mar. 28, 2007 SEC Schedules Open Meeting to Discuss PCAOB'S Proposed Auditing Standard and SEC'S Proposed Management Guidance for Section 404 of Sarbanes-Oxley Act
2007-55 Mar. 27, 2007 SEC Posts Text of Rules Facilitating Foreign Private Issuer Deregistration Under the Exchange Act
See also: Final Rule Release No. 34-55540
2007-54 Mar. 26, 2007 Office of the Chief Accountant Selects Four Professional Accounting Fellows
2007-53 Mar. 26, 2007 SEC Announces Fraud Charges Against David A. Stockman and Eight Other Former Collins & Aikman Corporation Officers and Directors
See also: Litigation Release No. 20055
2007-52 Mar. 23, 2007 SEC Conducts Training Program on Investment Company Regulation, Examination and Enforcement in Mumbai, India
2007-51 Mar. 22, 2007 SEC Charges American Stock Exchange and Former Chairman and CEO Salvatore Sodano with Failing to Exercise Regulatory Oversight Responsibilities
See also: Administrative Proceeding Nos. 34-55507, 34-55508, and 34-55509 and Order
2007-50 Mar. 21, 2007 SEC Announces $38 Million Fair Fund Distribution in the Veras Hedge Funds Settlement
See also: Distribution Plan and Settlement Order
2007-49 Mar. 21, 2007 Federal Regulators Seek Public Comment on Model Privacy Notice
See also: Proposed Rule Release No. 34-55497
2007-48 Mar. 20, 2007 Andrew Petillon Named Associate Regional Director and Co-Head of Enforcement for the SEC's Pacific Regional Office
2007-47 Mar. 20, 2007 SEC Charges Cyberkey and CEO James Plant for Promoting Stock Offering with Phony Homeland Security Deal
See also: Litigation Release No. 20049
2007-46 Mar. 15, 2007 SEC Announces $28.7 Million Settlement of Fraud Charges Against F. David Radler, Former COO of Hollinger International, Inc.
See also: Litigation Release No. 20043
2007-45 Mar. 15, 2007 SEC Settles With Former Raytheon Officers For Improper Disclosure And Accounting Practices
2007-44 Mar. 15, 2007 Commission Announces Additional Speaker and Panelists for March 19 Roundtable: Creating Interactive Data to Serve Investors
Comments received are available for this proposal.
* Click to submit comments on 4-515
2007-43 Mar. 15, 2007 Joan Loizeaux Named Associate General Counsel for Adjudication
2007-42 Mar. 14, 2007 SEC Enforcement Action Against Banc of America Securities for Failing to Safeguard Nonpublic Research Information and Publishing Fraudulent Research; Firm to Pay $26 Million
See also: Administrative Proceeding No. 34-55466
2007-41 Mar. 14, 2007 SEC and NYSE Settle Enforcement Actions Against Goldman Sachs Unit for Role in Customers' Illegal Trading Scheme
See also: Administrative Proceeding No. 34-55465
2007-40 Mar. 12, 2007 SEC and U.S. Attorney Charge Three Offshore Hackers with Hijacking Online Brokerage Accounts, Manipulating Market
See also: Litigation Release No. 20037
2007-39 Mar. 12, 2007 SEC Charges Four Former Senior Executives of Nortel Networks Corporation in Wide-Ranging Financial Fraud Scheme
See also: Litigation Release No. 20036
2007-38 Mar. 8, 2007 Staff Release Report on Exams of Retail Options Order Routing and Execution
See also: Report Concerning Examinations of Options Order Routing and Execution
2007-37 Mar. 8, 2007 Commission Announces March 19 Roundtable: Creating Interactive Data to Serve Investors
Submit comments on 4-515
2007-36 Mar. 8, 2007 SEC Charges Former Drug Manufacturer Executive with Unlawful Insider Trading in Connection with Scheme to Conceal Quality Control Deficiencies
See also: Litigation Release No. 20034
2007-35 Mar. 8, 2007 Federal Jury in San Diego Delivers Verdicts in SEC's Favor, Finds Former CFO and Controller of Gateway Computers Liable for Securities Fraud
2007-34 Mar. 8, 2007 SEC Suspends Trading of 35 Companies Touted in Spam E-Mail Campaigns
See also: Trading Suspension; Release No. 34-55420 and Order
2007-33 Mar. 7, 2007 SEC Obtains Order Freezing $3 Million in Proceeds of Suspected Foreign-Based Account Intrusion Scheme
See also: Litigation Release No. 20030
2007-32 Mar. 5, 2007 SEC Staff Announce Regional CCOutreach Seminars
2007-31 Mar. 5, 2007 SEC Conducts Major Securities Market Oversight Training Program in East Africa
2007-30 Mar. 2, 2007 SEC Staff Announce Panelists for March 6th Roundtable on International Financial Reporting Standards "Roadmap"
2007-29 Mar. 2, 2007 Statement of SEC Division of Market Regulation Director Erik Sirri Regarding the Start of the Trading Phase of Compliance With Regulation NMS on Monday, March 5, 2007
2007-28 Mar. 1, 2007 SEC Charges 14 in Wall Street Insider Trading Ring
See also: Litigation Release No. 20022
2007-27 Mar. 1, 2007 Fee Rate Advisory #8 for Fiscal Year 2007
2007-26 Feb. 28, 2007 SEC Charges Former General Counsel of McAfee, Inc. for Fraudulently Re-Pricing Option Grants
See also: Litigation Release No. 20020
2007-25 Feb. 28, 2007 SEC Chairman Names Jonathan Burks as Director of Office of Legislative and Intergovernmental Affairs
2007-24 Feb. 16, 2007 SEC Chairman Cox Announces $700 Million Fee Cut to Benefit Investors
2007-23 Feb. 15, 2007 SEC Charges Former General Counsel of Monster Worldwide, Inc. for Backdating Options
See also: Litigation Release No. 20004
2007-22 Feb. 15, 2007 Fee Rate Advisory #6 for Fiscal Year 2007
2007-21 Feb. 14, 2007 SEC Approves SRO Rule Changes for NYSE Group and Euronext Combination
2007-20 Feb. 14, 2007 SEC Announces $6.3 Million Settlement With Former Take-Two Interactive Software, Inc. CEO in Stock Option Backdating Scheme
See also: Litigation Release No. 20003
2007-19 Feb. 13, 2007 SEC Staff Roundtable on International Financial Reporting Standards “Roadmap” Set for March 6
2007-18 Feb. 12, 2007 Joseph Ucuzoglu Named as Senior Advisor to the Commission's Chief Accountant
2007-17 Feb. 8, 2007 SEC Charges Family-Run Hedge Fund With a $3.7 Million Insider Trading Scheme
See also: Litigation Release No. 19995A; Complaint
2007-16 Feb. 7, 2007 SEC Files Settled Books and Records and Internal Controls Charges Against El Paso Corporation for Improper Payments to Iraq Under the U.N. Oil for Food Program
See also: Litigation Release No. 19991
2007-15 Feb. 6, 2007 SEC Files Actions Against Former CFO and Former Controller of Engineered Support Systems, Inc. Relating to Options Backdating Scheme
See also: Litigation Release No. 19990
2007-14 Feb. 6, 2007 Reinsurer RenaissanceRe Settles Securities Fraud Charges for Sham Reinsurance Transaction
See also: Litigation Release No. 19989; Complaint
2007-13 Feb. 5, 2007 James Kroeker Named Deputy Chief Accountant for Accounting in the Office of the Chief Accountant
2007-12 Jan. 31, 2007 SEC Votes to Propose Expansion of Interactive Data Voluntary Program; Also Votes to Propose Rules Regarding Nationally Recognized Statistical Rating Organizations
2007-11 Jan. 29, 2007 MBIA Settles Securities Fraud Charges for Misuse of Reinsurance Contracts
See also: Administrative Proceeding No. 33-8776 and Litigation Release No. 19982
2007-10 Jan. 26, 2007 Options Exchanges Begin Penny Quoting Pilot
2007-9 Jan. 25, 2007 SEC Extends Compliance Dates For Regulation NMS
2007-8 Jan. 25, 2007 SEC, Euronext Regulators Sign Regulatory Cooperation Arrangement
See also: Memorandum of Understanding
2007-7 Jan. 24, 2007 Commission Approves NASD Rule Changes to Revise NASD Code Of Arbitration into Plain English and User-Friendly Format
See also: Order
2007-6 Jan. 18, 2007 Fred Alger Management and Fred Alger & Company to Pay $40 Million to Settle Market Timing and Late Trading Violations
See also: Administrative Proceeding No. 34-55118
2007-5 Jan. 17, 2007 James Brigagliano Named Associate Director for Trading Practices and Processing in the SEC's Division of Market Regulation
2007-4 Jan. 10, 2007 SEC Settles Options Backdating Case Against William Sorin, Former General Counsel of Comverse Technology, Inc.
See also: Press Release Nos. 2006-137 and 2006-180; Litigation Release Nos. 19796, 19878 and 19964
2007-3 Jan. 5, 2007 Agencies Issue Final Statement Concerning Elevated Risk Complex Structured Finance Activities
See also: Interagency Statement
2007-2 Jan. 4, 2007 Statements of SEC Chairman Christopher Cox and Division of Investment Management Director Andrew Donohue Regarding the Investment Company Institute's Mutual Fund Interactive Data Taxonomy
2007-1 Jan. 4, 2007 Elaine Greenberg Named Associate District Administrator for Enforcement in the SEC’s Philadelphia District Office

http://www.sec.gov/news/press/pressarchive/2007press.shtml


Modified: 10/16/2014