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Press Release Archives 2008

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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Release No. Date Details
Fourth Quarter
2008-308 Dec. 31, 2008 Peter Kiernan, Deputy Director of Legislative and Intergovernmental Affairs, Retires from SEC After 40 Years of Service
2008-307 Dec. 30, 2008 Congressionally-Mandated Study Says Improve, Do Not Suspend, Fair Value Accounting Standards
2008-306 Dec. 30, 2008 SEC Halts $23 Million Ponzi Scheme and Affinity Fraud Targeting Haitian-American Investors
See also: Litigation Release No. 20840
2008-305 Dec. 30, 2008 Susan Markel, Chief Accountant for Enforcement Division, to Leave SEC After 14 Years of Service
2008-304 Dec. 29, 2008 SEC Modernizes Oil and Gas Company Reporting Requirements to Provide Investors With More Meaningful and Comprehensive Disclosure
2008-303 Dec. 23, 2008 SEC Approves Exemptions to Allow Central Counterparty for Credit Default Swaps
2008-302 Dec. 22, 2008 SEC Files Settled Enforcement Actions Against UnitedHealth Group and Former General Counsel in Stock Options Backdating Case
See also: Litigation Release No. 20836
2008-301 Dec. 18, 2008 SEC Charges Wall Street Professionals and Others With Widespread Insider Trading
See also: Litigation Release No. 20831
2008-300 Dec. 18, 2008 SEC Approves Interactive Data for Financial Reporting by Public Companies, Mutual Funds
2008-299 Dec. 18, 2008 Statement From SEC Chairman Christopher Cox
2008-298 Dec. 17, 2008 SEC Improves Protections for Seniors and Other Investors in Equity-Indexed Annuities
2008-297 Dec. 16, 2008 Statement Regarding Madoff Investigation
2008-296 Dec. 15, 2008 SEC Charges National Lampoon, CEO Daniel Laikin, and Others for Wide-Ranging Market Manipulation Schemes
See also: Litigation Release No. 20828
2008-295 Dec. 15, 2008 Elizabeth Murphy Named Secretary of Securities and Exchange Commission
2008-294 Dec. 15, 2008 SEC Charges Siemens AG for Engaging in Worldwide Bribery
See also: Litigation Release No. 20829
2008-293 Dec. 11, 2008 SEC Charges Bernard L. Madoff for Multi-Billion Dollar Ponzi Scheme
See also: SEC Complaint
2008-292 Dec. 11, 2008 Zurich Financial Services, Converium Holding AG Settle Reinsurance Fraud Charges
See also: Litigation Release No. 20824
2008-291 Dec. 11, 2008 Former Fidelity Employees to Pay More Than $1 Million to Settle SEC Charges for Improperly Accepting Lavish Gifts Paid For by Brokers
2008-290 Dec. 11, 2008 SEC Finalizes ARS Settlements With Citigroup And UBS, Providing Nearly $30 Billion in Liquidity to Investors
See also: Litigation Release No. 20824
2008-289 Dec. 9, 2008 Charles Boucher Named SEC Chief Information Officer
2008-288 Dec. 9, 2008 SEC's Longest-Serving EEO Director Deborah K. Balducchi to Retire, Completing 35 Years of Public Service
2008-287 Dec. 8, 2008 SEC Charges Moscow-Based Broker Dealer for Violating Registration Requirements
See also: Administrative Proceeding No. 34-59067 and Order
2008-286 Dec. 8, 2008 SEC, MSRB: New Measures to Provide More Transparency Than Ever Before for Municipal Bond Investors
2008-285 Dec. 8, 2008 SEC Charges N.Y. Attorney Marc S. Dreier With Multi-Million Dollar Fraud
See also: Litigation Release No. 20823
2008-284 Dec. 3, 2008 SEC Approves Measures to Strengthen Oversight of Credit Rating Agencies
See also: NRSRO Fact Sheet
2008-283 Dec. 2, 2008 SEC Staff Reminds CEOs Of Registered Firms of Importance of Compliance Programs See also: Open Letter to CEOs
2008-282 Dec. 2, 2008 Donald M. Hoerl Named Regional Director Of SEC's Denver Regional Office
2008-281 Nov. 25, 2008 SEC Chief Accountant Conrad Hewitt to Leave SEC
2008-280 Nov. 24, 2008 Alexander F. Cohen, Deputy Chief of Staff, Leaving SEC
2008-279 Nov. 24, 2008 SEC Chairman Cox Statement on Meeting of IOSCO Technical Committee
2008-278 Nov. 20, 2008 SEC Chairman Cox to Convene Meeting of International Regulators
2008-277 Nov. 20, 2008 General Counsel Brian Cartwright Leaving SEC to Return to Private Sector
2008-276 Nov. 19, 2008 SEC Announces Panelists and Agenda for Mark-to-Market Accounting Roundtable
2008-275 Nov. 19, 2008 SEC Improves Disclosure for Mutual Fund Investors
2008-274 Nov. 18, 2008 SEC Charges Banker and Brokerage Executives With Multi-Million Dollar Financial Fraud
See also: Litigation Release No. 20811
2008-273 Nov. 17, 2008 SEC Files Insider Trading Charges Against Mark Cuban
See also: Litigation Release No. 20810
2008-272 Nov. 14, 2008 SEC Prevails in Trial Against Michael W. Crow for Unlawfully Controlling Registered Broker-Dealer
See also: Litigation Release No. 20809
2008-271 Nov. 14, 2008 SEC Announces November 21 Roundtable on Mark-to-Market Accounting
2008-270 Nov. 14, 2008 SEC Announces Panelists, Agenda for Small Business Forum
2008-269 Nov. 14, 2008 SEC Chairman Cox Statement on MOU With Federal Reserve, CFTC to Address Credit Default Swaps
2008-268 Nov. 13, 2008 SEC Completes 14th Annual International Institute For Securities Enforcement and Market Oversight
2008-267 Nov. 12, 2008 SEC Charges N.C. Resident, Biltmore Financial Group for Operating Multi-Million Dollar Ponzi Scheme
See also: Litigation Release No. 20807
2008-266 Nov. 12, 2008 Blue Coat Systems and Former CFO Settle Charges of Stock Option Backdating
See also: Litigation Release No. 20801
2008-265 Nov. 6, 2008 John White, Director of Division of Corporation Finance, to Leave SEC After Leading Unprecedented Rulemaking to Enhance Disclosure to Investors
2008-264 Nov. 6, 2008 SEC Approves National Market System Plan for Selection and Reservation of Securities Symbols
2008-263 Nov. 6, 2008 SEC to Receive Diversity Award
2008-262 Nov. 4, 2008 Martin J. Murphy Named Associate Regional Director for Examinations in SEC's Los Angeles Regional Office
2008-261 Nov. 3, 2008 SEC Conducts Regional Securities Market Enforcement Program To Address Pyramid Schemes
2008-260 Oct. 30, 2008 SEC Charges Lazard Capital Markets, Former Employees for Improper Gifts and Entertainment to Fidelity Employees
See also: Administrative Proceeding Release Nos. 34-58880; 34-58881; 34-58882; 34-58883; 34-58884
2008-259 Oct. 30, 2008 SEC, NASAA Announce IARD System Fee Waiver
See also: Approval of Investment Adviser Registration Depository Filing Fees
2008-258 Oct. 30, 2008 SEC Sues Miami Resident for Conducting Multi-Million Dollar Ponzi Scheme
See also: Litigation Release No. 20794
2008-257 Oct. 29, 2008 Mutual Fund Regulatory Filings to Be Available to Investors Online
2008-256 Oct. 29, 2008 SEC Conducts Largest-Ever Regional Training Program With Capital Markets Board of Turkey
2008-255 Oct. 27, 2008 SEC Announces Panelists and Agenda for Mark-to-Market Accounting Roundtable
2008-254 Oct. 22, 2008 SEC Announces Fiscal 2008 Enforcement Results
2008-253 Oct. 21, 2008 SEC Announces Forum on Small Business Capital Formation
2008-252 Oct. 16, 2008 SEC Announces October 29 Roundtable on Mark-to-Market Accounting
Comments received are available for this proposal.
Submit comments on 4-573
2008-251 Oct. 16, 2008 SEC Charges San Francisco Hedge Fund Adviser for "Portfolio Pumping"
See also: Administrative Proceeding No. IA-2802
2008-250 Oct. 15, 2008 SEC, FINRA Announce Second Annual CCOutreach BD National Seminar
2008-249 Oct. 10, 2008 Amy Edwards Named SEC Assistant Chief Economist
2008-248 Oct. 9, 2008 SEC Charges Former Duane Reade Executives with Accounting Fraud
See also: Litigation Release No. 20778
2008-247 Oct. 8, 2008 Bank of America Agrees in Principle to ARS Settlement
2008-246 Oct. 8, 2008 SEC Division of Enforcement Announces ARS Settlement in Principle With RBC Capital Markets Corp.
2008-245 Oct. 7, 2008 Former CBO Director Dan Crippen Named Senior Advisor to Chairman
2008-244 Oct. 7, 2008 SEC Charges Beverly Hills Firm and Principal for Illegal Short Selling
See also: Litigation Release No. 20775
2008-243 Oct. 7, 2008 SEC Charges Former Vice President at Restoration Hardware and Three Friends In Insider Trading Scheme
See also: Litigation Release No. 20774
2008-242 Oct. 7, 2008 SEC Commences Work on Congressionally Mandated Study on Accounting Standards
See also: SEC Office of Chief Accountant, FASB Staff Clarifications on Fair Value Accounting
2008-241 Oct. 7, 2008 SEC Roundtable on More Transparent Disclosure to Address Lessons of Current Credit Crisis
2008-240 Oct. 6, 2008 Jim Eastman Named Chief Counsel in Division of Trading and Markets
2008-239 Oct. 6, 2008 SEC Charges Norman Hsu with Defrauding Investors in $60 Million Ponzi Scheme
See also: Litigation Release No. 20772
2008-238 Oct. 3, 2008 Statement of SEC Division of Trading and Markets
See also: SEC Statement on Short Selling (Oct. 1, 2008), Order Extending Emergency Order Halting Short Selling in Financial Stocks
2008-237 Oct. 3, 2008 SEC Charges Five Brokers with Fraud in Sales of Unsuitable Securities Funded Through Subprime Mortgage Refinancings
See also: Litigation Release No. 20768
2008-236 Oct. 3, 2008 James Clarkson Named Acting Regional Director Of SEC's New York Regional Office
2008-235 Oct. 1, 2008 Statement of Securities and Exchange Commission Concerning Short Selling and Issuer Stock Repurchases
Third Quarter
2008-234 Sep. 30, 2008 SEC Office of the Chief Accountant and FASB Staff Clarifications on Fair Value Accounting
2008-233 Sep. 30, 2008 SEC Charges East Coast Supermarket Operator Penn Traffic With Accounting Fraud
See also: Litigation Release No. 20760
2008-232 Sep. 29, 2008 Fee Rate Advisory #2 for Fiscal Year 2009
2008-231 Sep. 26, 2008 Statement of Chairman Cox on IG Reports Regarding CSE Program
2008-230 Sep. 26, 2008 Chairman Cox Announces End of Consolidated Supervised Entities Program
2008-229 Sep. 25, 2008 SEC Announces $32 Million Fair Fund Distribution in Ameriprise Revenue Sharing Settlement
2008-228 Sep. 25, 2008 SEC Sues Miami Resident for Operating Fraudulent Day Trading Operation Targeting Hispanic Community
See also: Litigation Release No. 20746
2008-227 Sep. 25, 2008 SEC Seeks More Transparent Disclosure For Investors
2008-226 Sep. 25, 2008 SEC Charges California Biotechnology Company for Fraudulent Stock Scheme
See also: Litigation Release No. 20745
2008-225 Sep. 24, 2008 SEC Wins Major Hedge Fund Fraud Case Against Michael Lauer, Head of Lancer Management Group
2008-224 Sep. 24, 2008 SEC Charges California Investment Adviser With Committing Fraud While Recommending Hedge Fund to Investors
See also: Litigation Release No. 20737
2008-223 Sep. 23, 2008 SEC Announces Fair Fund Distribution to Investors Harmed by Market Timing in Franklin-Templeton Funds
2008-222 Sep. 23, 2008 AmSouth to Pay $11 Million for Improper, Undisclosed Use of Funds to Pay Marketing, Other Expenses
See also: Administrative Proceeding No. IA-2784A
2008-221 Sep. 23, 2008 CCOutreach National Seminar to Help Enhance Compliance Programs for Protection of Investors
2008-220 Sep. 22, 2008 Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors
2008-219 Sep. 22, 2008 SEC Charges Former South Florida Broker for Defrauding Senior Citizens and Other Customers
See also: Litigation Release No. 20732
2008-218 Sep. 21, 2008 Statement of SEC Division of Trading and Markets Regarding Technical Amendments to Short Sale Order
2008-217 Sep. 21, 2008 SEC Approves Amended Order Requiring Reporting of Short Positions by Certain Investment Managers
2008-216 Sep. 20, 2008 Statement of SEC Division of Trading and Markets Regarding the Protection of Customer Assets
2008-215 Sep. 20, 2008 SEC Acts To Support Swift Court Approval of Barclays Acquisition of Lehman Brothers, Inc.
2008-214 Sep. 19, 2008 SEC Expands Sweeping Investigation of Market Manipulation
2008-213 Sep. 19, 2008 Statement of SEC Division of Trading and Markets
2008-212 Sep. 19, 2008 SEC Charges Unregistered Colorado Broker-Dealer for Fraud Harming Seniors
See also: Litigation Release No. 20728
2008-211 Sep. 19, 2008 SEC Halts Short Selling of Financial Stocks to Protect Investors and Markets
See also: Short Sales Rules; Form SH; and Form SH Instructions
2008-210 Sep. 18, 2008 Statement From SEC Chairman Christopher Cox
2008-209 Sep. 17, 2008 Statements of SEC Chairman Christopher Cox and Enforcement Division Director Linda Thomsen Regarding Immediate Commission Actions to Combat Market Manipulation
2008-208 Sep. 17, 2008 Outside Directors of Mercury Interactive Settle SEC Charges of Stock Option Backdating
See also: Litigation Release No. 20724
2008-207 Sep. 17, 2008 SEC Seniors Summit to Help Securities Firms and Professionals Better Serve Older Investors
2008-206 Sep. 17, 2008 Statement on Proposed Lehman Brothers, Inc. Acquisition by Barclays
2008-205 Sep. 17, 2008 SEC Issues Clarification on Accounting Issues Relating to Bank Support for Money Market Mutual Funds
2008-204 Sep. 17, 2008 SEC Issues New Rules to Protect Investors Against Naked Short Selling Abuses
2008-203 Sep. 16, 2008 SEC Seeks Recovery for Investors From California Firm That Invested in Ponzi Schemes
See also: Administrative Proceeding No. IA-2778 and Order
2008-202 Sep. 15, 2008 SEC Charges Bogus PIPE Promoters in $52 Million Ponzi Scheme
See also: Litigation Release No. 20719
2008-201 Sep. 15, 2008 Home Builder's Former CEO to Pay More Than $7 Million for Stock Options Backdating
See also: Litigation Release No. 20717
2008-200 Sep. 15, 2008 SEC Charges Pasta Executives With Accounting Fraud
See also: Litigation Release No. 20715; Administrative Proceeding No. 34-58544
2008-199 Sep. 15, 2008 SEC Launches Voluntary Online Filing System for Form D to Reduce Burden on Smaller Companies
2008-198 Sep. 15, 2008 Statement Regarding Recent Market Events and Lehman Brothers (Updated)
2008-197 Sep. 14, 2008 Statement Regarding Recent Market Events and Lehman Brothers
2008-196 Sep. 12, 2008 Statement of U.S. Securities and Exchange Commission
2008-195 Sep. 11, 2008 SEC Chairman Cox Praises House Passage of Bill to Further Bolster SEC’s Gold Standard Law Enforcement
2008-194 Sep. 11, 2008 Mark K. Schonfeld, Director of New York Regional Office, Leaving After 12 Years of Service at SEC
2008-193 Sep. 11, 2008 SEC Charges LPL Financial for Failing to Protect Customer Privacy
See also: Administrative Proceeding No. 34-58515
2008-192 Sep. 10, 2008 Michael Dicke Named Associate Regional Director for Enforcement in SEC's San Francisco Regional Office
2008-191 Sep. 9, 2008 SEC Charges Former Embarcadero Executives in Stock Option Backdating Scheme
See also: Litigation Release No. 20710
2008-190 Sep. 8, 2008 United Rentals, Inc. to Pay $14 Million to Settle Financial Fraud Charges
See also: Litigation Release No. 20706
2008-189 Sep. 3, 2008 SEC Charges Former CEO of Kellogg, Brown & Root, Inc. with Foreign Bribery
See also: Litigation Release No. 20700
2008-188 Sep. 3, 2008 Paul Beswick Named Deputy Chief Accountant for Professional Practice in SEC Office of the Chief Accountant
2008-187 Sep. 3, 2008 SEC Charges Two Wall Street Brokers in $1 Billion Subprime-Related Auction Rate Securities Fraud
See also: Litigation Release No. 20698
2008-186 Sep. 2, 2008 SEC Announces Summit to Help Senior Investors Protect Assets
2008-185 Aug. 28, 2008 SEC Charges Oil and Gas Well Operators for Defrauding Investors
See also: Litigation Release No. 20694
2008-184 Aug. 27, 2008 SEC Proposes Roadmap Toward Global Accounting Standards to Help Investors Compare Financial Information More Easily
2008-183 Aug. 27, 2008 SEC Votes to Modernize Disclosure Requirements to Help U.S. Investors in Foreign Companies
2008-182 Aug. 25, 2008 SEC, Australian Authorities Sign Mutual Recognition Agreement
2008-181 Aug. 22, 2008 SEC Enforcement Division Announces Preliminary Settlement With Merrill Lynch to Help Auction Rate Securities Investors
2008-180 Aug. 22, 2008 Statement of SEC Chairman Christopher Cox Regarding Today’s Circuit Court Decision
2008-179 Aug. 19, 2008 SEC Announces Successor to EDGAR Database
2008-178 Aug. 18, 2008 SEC Announces Fair Fund Distribution to Harmed Investors in Putnam Mutual Funds
2008-177 Aug. 15, 2008 SEC Announces $18 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in Janus Mutual Funds
2008-176 Aug. 15, 2008 Wachovia Agrees to Preliminary Auction Rate Securities Settlement That Would Offer Approximately $9 Billion to Investors
2008-175 Aug. 15, 2008 SEC Freezes Funds in Trans-Atlantic "Pump and Dump" Scheme
See also: Litigation Release No. 20684
2008-174 Aug. 13, 2008 SEC Announces Proposed Plan to Enhance Insider Trading Surveillance and Detection
See also: Release No. 34-58350
2008-173 Aug. 11, 2008 SEC Charges Defendants in $255 Million Ponzi-Type Scheme Involving Wextrust Capital, LLC and Other Wextrust Entities
See also: Litigation Release No. 20678
2008-172 Aug. 11, 2008 SEC Announces Distribution of $48 Million to Defrauded Vivendi Universal Investors
2008-171 Aug. 8, 2008 UBS Securities LLC and UBS Financial Services, Inc. Agree in Principle to Auction Rate Securities Settlement
2008-170 Aug. 7, 2008 SEC Announces Two New Anti-Money Laundering Compliance Initiatives
2008-169 Aug. 7, 2008 SEC Charges Microcap Companies and Individuals for Improperly Raising Millions in Capital While Harming Investors
See also: Litigation Release No. 20673; Administrative Proceeding No. 33-8950; Administrative Proceeding No. 33-8951 and Order
2008-168 Aug. 7, 2008 Citigroup Agrees in Principle to Auction Rate Securities Settlement
See also: Statement by Linda Chatman Thomsen
2008-167 Aug. 1, 2008 Troy Paredes Sworn In as SEC Commissioner
2008-166 Aug. 1, 2008 SEC Advisory Committee Makes Recommendations to Improve Financial Reporting for Investors
2008-165 Aug. 1, 2008 SEC Announces Panelists, Agenda for August 4 Roundtable on Performance of IFRS, U.S. GAAP During Subprime Crisis
2008-164 Aug. 1, 2008 SEC Action Halts Tire Recycling Scam
See also: Litigation Release No. 20666
2008-163 Jul. 31, 2008 Commission Reopens Comment Period on Proposal to Improve Mutual Fund Disclosure
2008-162 Jul. 31, 2008 Zoe-Vonna Palmrose to Return to USC Professorship, Completing SEC Service as Deputy Chief Accountant
2008-161 Jul. 31, 2008 Luis A. Aguilar Sworn in as SEC Commissioner
2008-160 Jul. 30, 2008 SEC Proposes Guidance for Fund Boards in Oversight of Investment Adviser Trading of Portfolio Securities, Use of Soft Dollars
2008-159 Jul. 30, 2008 SEC, MSRB Propose "Giant Step Forward" for Municipal Bond Investors
2008-158 Jul. 30, 2008 SEC Provides Guidance to Open Up Use of Corporate Web Sites for Disclosures to Investors
2008-157 Jul. 30, 2008 SEC Charges Mutual Fund Manager for Violating Socially Responsible Investing Restrictions
See also: Administrative Proceeding No. IA-2761
2008-156 Jul. 30, 2008 SEC Orders E*Trade Brokerage Firms to Comply With Anti-Money Laundering Rule
See also: Administrative Proceeding No. 34-58250
2008-155 Jul. 29, 2008 SEC Extends Order Limiting Naked Short Selling Through August 12
See also: Extension to Emergency Order
2008-154 Jul. 29, 2008 SEC, Labor Department Enhance Efforts to Protect Retirement Savings and Investments
See also: Memorandum of Understanding (Updated July 29, 2013)
2008-153 Jul. 29, 2008 William Schulz Named Director of Legislative and Intergovernmental Affairs
2008-152 Jul. 29, 2008 Jonathan Burks, Director of Legislative and Intergovernmental Affairs, to Complete SEC Service and Pursue Graduate Studies
2008-151 Jul. 29, 2008 SEC Announces Insider Trading Charges Against Former Chairman and CEO of Enron Energy Services
See also: Litigation Release No. 20658 and Complaint
2008-150 Jul. 28, 2008 SEC Announces August 4 Roundtable on Performance of IFRS and U.S. GAAP During Subprime Crisis
Comments received are available for this proposal.
Submit comments on 4-564
2008-149 Jul. 25, 2008 SEC Emergency Action Freezes Assets of Unknown Purchasers in Insider Trading Scheme
See also: Litigation Release No. 20654
2008-148 Jul. 23, 2008 SEC Action Stops Hillsborough, Calif. Investment Adviser Defrauding Millions of Dollars From Clients
See also: Litigation Release No. 20653
2008-147 Jul. 22, 2008 SEC Charges Ann Arbor-Based Company and Former Executive in Accounting Fraud Scheme
See also: Litigation Release No. 20650
2008-146 Jul. 22, 2008 SEC Alerts Compliance Officers About Deficiencies and Weaknesses Found During Recent Compliance Examinations
2008-145 Jul. 18, 2008 Freddie Mac Now SEC Reporting Company
See also: No-Action Letter
2008-144 Jul. 16, 2008 SEC Charges Mayor of Beaufort, S.C., With Insider Trading in Stock of Biotech Company
See also: Litigation Release No. 20642
2008-143 Jul. 15, 2008 SEC Enhances Investor Protections Against Naked Short Selling
See also: Emergency Order
2008-142 Jul. 14, 2008 Meridith Mitchell Named SEC Deputy General Counsel
2008-141 Jul. 14, 2008 Greg Burton Named Corporation Finance Division Academic Accounting Fellow
2008-140 Jul. 13, 2008 Securities Regulators to Examine Industry Controls Against Manipulation of Securities Prices Through Intentionally Spreading False Information
2008-139 Jul. 11, 2008 Wayne Strumpfer Named to Head Investor Education Unit
2008-138 Jul. 11, 2008 El Paso Corp., Subsidiaries, and Former Employees Settle SEC Charges for Fraudulently Overstating Oil and Gas Reserves
See also: Litigation Release No. 20642
2008-137 Jul. 9, 2008 Elisse B. Walter Sworn in as SEC Commissioner
2008-136 Jul. 9, 2008 SEC Charges Sycamore Networks, Former Executives in Stock Options Backdating Case
See also: Litigation Release No. 20638
2008-135 Jul. 8, 2008 SEC Examinations Find Shortcomings in Credit Rating Agencies' Practices and Disclosure to Investors
See also: Examination Report
2008-134 Jul. 7, 2008 SEC, FRB Sign Agreement to Enhance Collaboration, Coordination and Information Sharing
2008-133 Jul. 3, 2008 SEC Publishes Regulatory Actions to Streamline SRO Rule Filing Process
See also: Final Rule Release No. 34-58092
2008-132 Jul. 2, 2008 Stewart Mayhew Named Deputy Chief Economist
2008-131 Jul. 2, 2008 SEC's Jacob Stillman Earns Prestigious Award for Outstanding Government Attorneys
2008-130 Jul. 2, 2008 SEC Announces Panelists and Agenda for July 9 Roundtable on Fair Value Accounting Standards
2008-129 Jul. 1, 2008 Dan Gallagher Named Deputy Director in Division of Trading and Markets
2008-128 Jul. 1, 2008 SEC Charges Microtune and Former Officers for Stock Option Backdating and Other Fraudulent Conduct
See also: Litigation Release No. 20633
2008-127 Jul. 1, 2008 SEC Publishes Proposals to Increase Investor Protections by Reducing Reliance on Credit Ratings
See also: Proposed Rule Release Nos. 34-58070, 33-8940, IC-28327
2008-126 Jul. 1, 2008 SEC Chief Information Officer Corey Booth Completes SEC Service
Second Quarter
2008-125 Jun. 27, 2008 Statement From Chairman Cox Regarding Senate Confirmation of SEC Commissioner Nominees
2008-124 Jun. 27, 2008 SEC Proposes Amendments to Improve Regulation of Foreign Broker Activities in U.S.
See also: Proposed Rule Release No. 34-58047
2008-123 Jun. 26, 2008 SEC Moves to Protect Seniors from Fraudulent and Abusive Practices in Sale of Equity Indexed Annuities
See also: Proposed Rule Release No. 33-8933
2008-122 Jun. 26, 2008 SEC Proposes Rule Changes to Modernize Oil and Gas Reporting Requirements
2008-121 Jun. 25, 2008 SEC Announces 100 Percent Return of Funds to Defrauded Spear & Jackson Investors
2008-120 Jun. 24, 2008 SEC Charges Scottrade for Misrepresentations to Customers
See also: Administrative Proceeding No. 34-58012
2008-119 Jun. 24, 2008 SEC Announces '21st Century Disclosure' Initiative to Fundamentally Rethink the Way Companies Report and Investors Acquire Information
2008-118 Jun. 23, 2008 SEC Announces $26 Million Fair Fund Distribution in Banc of America Securities LLC Settlement
2008-117 Jun. 20, 2008 SEC Announces July 9 Roundtable on Fair Value Accounting Standards
Comments received are available for this proposal.
Submit comments on 4-560
2008-116 Jun. 20, 2008 SEC Approves One-Year Extension for Small Businesses From Auditor Attestation Requirement in Sarbanes-Oxley Act
2008-115 Jun. 19, 2008 SEC Charges Two Former Bear Stearns Hedge Fund Managers With Fraud
See also: Litigation Release No. 20625
2008-114 Jun. 18, 2008 SEC Announces $103 Million Fair Fund Distribution to Investors Injured by Market Timing Involving Banc of America Capital Management and Affiliates
2008-113 Jun. 18, 2008 Donald M. Hoerl Named Acting Regional Director of SEC's Denver Regional Office
2008-112 Jun. 18, 2008 Authorities Responsible for Regulation of Public Companies Announce Next Steps Regarding the Creation of a Group to Interact with the International Accounting Standards Committee Foundation
2008-111 Jun. 12, 2008 SEC Staff Recommends Commission Action to Modernize Oil and Gas Reporting Requirements
2008-110 Jun. 11, 2008 SEC Proposes Comprehensive Reforms to Bring Increased Transparency to Credit Rating Process
2008-109 Jun. 5, 2008 Statement from SEC Chairman Cox Regarding New York Attorney General Agreement With Credit Rating Agencies
2008-108 Jun. 4, 2008 SEC to Host International Roundtable on Interactive Data
2008-107 Jun. 4, 2008 Steven B. Harris Appointed to Public Company Accounting Oversight Board
2008-106 Jun. 3, 2008 Chairman Cox to Convene SEC Chairmen Roundtable
2008-105 Jun. 3, 2008 SEC, CFTC Approve Trading of Futures and Option Contracts on Gold ETF
2008-104 Jun. 3, 2008 Chairman Cox, Director Thomsen Announce New Deputies in SEC's Enforcement Division
2008-103 Jun. 2, 2008 SEC Announces Walter Ricciardi to Retire as Deputy Director of Enforcement Division
2008-102 May 30, 2008 Analog Devices and CEO Settle Stock Option Backdating Charges
See also: Litigation Release No. 20604 and Administrative Proceeding No. 33-8923
2008-101 May 29, 2008 SEC Charges Former Ernst & Young Partner and Friend With Insider Trading
See also: Litigation Release No. 20603
2008-100 May 29, 2008 SEC Veteran Rosalind Tyson Tapped to Lead Los Angeles Region
2008-99 May 29, 2008 SEC Promotes Long-Time Enforcement Attorney Marc Fagel to Director of San Francisco Region
2008-98 May 29, 2008 Schedule Announced for Completion of U.S.-Canadian Mutual Recognition Process Agreement
2008-97 May 28, 2008 SEC Halts Florida Clearing Firm's Fraudulent Use of Customer Funds
See also: Litigation Release No. 20602
2008-96 May 23, 2008 SEC Secretary Nancy Morris to Leave Commission
2008-95 May 23, 2008 SEC Signs Protocols for Sharing Information on International Accounting Standards
2008-94 May 21, 2008 Mutual Fund Investors Could Get Access to "Comparison Shopping" Information
2008-93 May 20, 2008 SEC Hosts Meeting of Takeover Regulators From Around the World
2008-92 May 19, 2008 Brooks Automation Settles SEC Charges of Stock Option Backdating
See also: Litigation Release No. 20584
2008-91 May 16, 2008 SEC Obtains $2.1 Million Emergency Asset Freeze and Charges Rome Resident Within Days of His Alleged Insider Trading
See also: Litigation Release No. 20581
2008-90 May 15, 2008 SEC Broadens Opportunities for Small Business Financing
2008-89 May 15, 2008 Office of the Chief Accountant Names Academic Fellows
2008-88 May 14, 2008 SEC, U.S. Attorney Charge Promoters of Real Estate Scheme Targeting African-American Community
2008-87 May 14, 2008 SEC Charges Four Current and Former Broadcom Officers for Backdating Options
See also: Litigation Release No. 20574
2008-86 May 14, 2008 SEC Charges Willbros Group and Former Employees with Foreign Bribery
See also: Litigation Release No. 20571
2008-85 May 14, 2008 SEC Proposes New Way for Investors to Get Financial Information on Companies
2008-84 May 12, 2008 SEC Charges Trio of Fort Lauderdale-Area Doctors With Insider Trading
See also: Litigation Release No. 20564
2008-83 May 8, 2008 SEC Action Halts $72 Million International Internet Fraud Scheme
See also: Litigation Release No. 20563
2008-82 May 8, 2008 SEC Charges Marvell Technology Group For Stock Option Backdating
See also: Litigation Release No. 20559
2008-81 May 7, 2008 SEC Staff Recommends Commission Action to Facilitate Investment in Small Business
2008-80 May 7, 2008 SEC Stops Multi-Million Dollar Fictitious Currency Trading Program
2008-79 May 7, 2008 Alex Cohen, SEC Deputy General Counsel, Named Deputy Chief of Staff
2008-78 May 5, 2008 Commissioner Atkins Announces Intention to Leave SEC
2008-77 May 5, 2008 SEC Announces Start of Distribution Process in AIG Settlement; Court Approves Distribution Plan for $800 Million Fair Fund
2008-76 May 5, 2008 SEC Obtains Asset Freeze, Halts Hedge Fund Fraud by Investment Adviser in San Diego
2008-75 May 2, 2008 The Tax Refund Check is in The Mail, With Investor Tips From the SEC
2008-74 May 2, 2008 SEC Halts Multi-Million Dollar Ponzi Scheme Exploiting Christian Communities
See also: Litigation Release No. 20552
2008-73 May 2, 2008 SEC Completes Largest-Ever Global Training Program
2008-72 May 1, 2008 SEC Charges Banc of America Investment Services With Failing to Disclose It Favored Affiliated Mutual Funds
Administrative Proceeding No. 33-8913
2008-71 May 1, 2008 SEC Charges McCann-Erickson Worldwide With Accounting Fraud
See also: Litigation Release No. 20547
2008-70 Apr. 30, 2008 SEC Sets Fee Rates for Fiscal Year 2009
2008-69 Apr. 30, 2008 SEC Charges Birmingham Mayor and Friends for Undisclosed Payment Scheme in Municipal Bond Deals
See also: Litigation Release No. 20545
2008-68 Apr. 30, 2008 SEC Charges Two Former Monster Worldwide Executives for Backdating Options
See also: Litigation Release No. 20544
2008-67 Apr. 29, 2008 SEC Adopts Regulations to Implement Sudan Accountability and Divestment Act of 2007
2008-66 Apr. 29, 2008 Recommendations Ready for Commission Action to Facilitate U.S. Investors' Exercise of Rights in Overseas Mergers and Acquisitions
2008-65 Apr. 25, 2008 SEC Announces $30 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in RS Investments Mutual Funds
2008-64 Apr. 24, 2008 SEC Charges Wall Street Short-Seller With Spreading False Rumors
See also: Litigation Release No. 20537
2008-63 Apr. 22, 2008 SEC Charges Broadcom for Fraudulent Stock Option Backdating
2008-62 Apr. 21, 2008 Mike Halloran, Deputy Chief of Staff and Counselor to the Chairman, to Leave SEC
2008-61 Apr. 15, 2008 SEC Chairman Cox Statement on Financial Stability Forum's Report on Recent Financial Market Turmoil
2008-60 Apr. 15, 2008 SEC Launches New Offensive to Alert Investors About Phony Investment Solicitations
2008-59 Apr. 9, 2008 Statement From Securities and Exchange Commission's Office of Public Affairs
2008-58 Apr. 9, 2008 SEC Action Returns Former Gemstar CEO's Pending Severance Payment to Company and Shareholders
2008-57 Apr. 7, 2008 SEC Charges Five Former San Diego Officials with Securities Fraud
See also: Litigation Release No. 20522
2008-56 Apr. 7, 2008 SEC Takes Action to Halt Online Account Intrusion and Identity Theft Scheme
See also: Litigation Release No. 20520
2008-55 Apr. 7, 2008 Mutual Fund Comparisons Using Interactive Data Now Available to Investors
2008-54 Apr. 7, 2008 SEC Charges 14 in $64 Million Penny Stock Scheme
See also: Litigation Release No. 20519
First Quarter
2008-53 Mar. 29, 2008 Statement of SEC Chairman Christopher Cox Regarding Blueprint for Financial Regulatory Reform
2008-52 Mar. 29, 2008 SEC Chairman Cox, Prime Minister Rudd Meet Amid U.S.-Australia Mutual Recognition Talks
2008-51 Mar. 27, 2008 Jane Jarcho Named Associate Regional Director for Examinations in SEC's Chicago Regional Office
2008-50 Mar. 24, 2008 SEC Charges Biovail Corporation and Senior Executives With Accounting Fraud
See also: Litigation Release No. 20506
2008-49 Mar. 24, 2008 SEC Announces Next Steps for Implementation of Mutual Recognition Concept
2008-48 Mar. 20, 2008 Chairman Cox Letter to Basel Committee in Support of New Guidance on Liquidity Management
2008-47 Mar. 20, 2008 SEC Suspends Trading in Three Companies Promoted Through Spam and Internet Videos
2008-46 Mar. 18, 2008 Answers to Frequently Asked Investor Questions Regarding The Bear Stearns Companies, Inc.
2008-45 Mar. 18, 2008 SEC Charges W.P. Carey and Two Senior Executives in Fraudulent Payment Scheme
See also: Litigation Release No. 20501
2008-44 Mar. 14, 2008 Statement of SEC Division of Trading and Markets Regarding The Bear Stearns Companies
2008-43 Mar. 14, 2008 Statement of Securities and Exchange Commission Regarding The Bear Stearns Companies
2008-42 Mar. 13, 2008 SEC Charges Vice Chairman of ISE Holdings and Business Partners With Insider Trading
See also: Litigation Release No. 20491
2008-41 Mar. 13, 2008 SEC Suspends Trading of 26 Companies to Combat Corporate Hijackings
See also: Trading Suspension and Order
2008-40 Mar. 11, 2008 SEC, CFTC Sign Agreement to Enhance Coordination, Facilitate Review of New Derivative Products
2008-39 Mar. 11, 2008 SEC Charges TV Infomercial Personalities in Investor Workshop Fraud
2008-38 Mar. 7, 2008 SEC Proposes Naked Short Selling Anti-Fraud Rule
2008-37 Mar. 7, 2008 SEC, FINRA Announce Schedule For Regional CCOutreach BD Seminars
2008-36 Mar. 6, 2008 SEC Obtains Emergency Orders Against California Firm Defrauding Day-Traders
See also: Litigation Release No. 20480
2008-35 Mar. 6, 2008 SEC Warns Public Pension Funds About Inadequate Compliance Procedures
2008-34 Mar. 6, 2008 Office of the Chief Accountant Selects Six Professional Accounting Fellows
2008-33 Mar. 6, 2008 Supervisory Agencies Issue Joint Report Assessing Risk Management Practices
2008-32 Mar. 5, 2008 SEC Charges Fidelity, Executives and Employees for Improperly Accepting Lavish Gifts Paid For by Brokers
See also:
Administrative Proceeding No. IC-28189
Administrative Proceeding No. IA-2713, Attorney Report and Trustees Report
Administrative Proceeding No. IA-2714
Administrative Proceeding No. IA-2715 and order
Administrative Proceeding No. IA-2716
2008-31 Mar. 4, 2008 SEC Proposes Amendments to Safeguard Customer Privacy
2008-30 Mar. 4, 2008 SEC Proposes to Streamline ETF Approval Process
2008-29 Mar. 4, 2008 SEC Charges Broadcom's Former Vice President of Human Resources for Stock Option Backdating
See also: Litigation Release No. 20476
2008-28 Mar. 4, 2008 SEC Charges Hedge Fund Adviser and Principals in $60 Million Investment Fraud
See also: Litigation Release No. LR-20475
2008-27 Mar. 3, 2008 SEC Staff Announces CCOutreach Regional Seminars for Adviser and Fund Chief Compliance Officers
2008-26 Mar. 3, 2008 SEC Permanently Suspends Attorney From Practicing Before Commission
2008-25 Feb. 29, 2008 Fee Rate Advisory #7 for Fiscal Year 2008
2008-24 Feb. 28, 2008 Jonathan Sokobin Named Director of SEC's Office of Risk Assessment
2008-23 Feb. 27, 2008 SEC Charges Three Promoters for Victimizing Military Families in Real Estate Investment Scheme
See also: Litigation Release No. 20469
2008-22 Feb. 15, 2008 SEC Makes Analyzing Corporate Performance Easier for Investors
2008-21 Feb. 14, 2008 Statement of Chairman Cox Regarding Progress Report of Advisory Committee on Improvements to Financial Reporting
See also: Federal Register Notice and appended Progress Report of Advisory Committee on Improvements to Financial Reporting
2008-20 Feb. 13, 2008 SEC Votes to Propose All-Electronic Disclosure for Foreign Issuers
2008-19 Feb. 13, 2008 SEC Proposes Plain English Narrative Disclosure by Investment Advisers to Investors
2008-18 Feb. 12, 2008 SEC Hosts Historic Meeting of Securities Regulators From Major Emerging Markets
2008-17 Feb. 12, 2008 SEC Proposes Regulations to Implement Sudan Accountability and Divestment Act Of 2007
2008-16 Feb. 8, 2008 SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors
2008-15 Feb. 7, 2008 SEC Charges California Attorney for Role in Spam-Fueled Pump-and-Dump Schemes
See also: Administrative Proceeding No. 33-8892
2008-14 Feb. 6, 2008 Former KPMG Consulting Principal Settles SEC Charges for Role in Peregrine Accounting Fraud See also: Litigation Release No. 20449
2008-13 Feb. 6, 2008 Chyhe Becker Named Assistant Chief Economist in SEC Office of Economic Analysis
2008-12 Feb. 5, 2008 SEC Chairman Cox Announces Creation of New Office, Appointment of Leaders, to Expedite Distribution of Billions to Injured Investors
2008-11 Feb. 5, 2008 SEC Charges Former Dow Jones Board Member, Three Other Hong Kong Residents in $24 Million Insider Trading Settlement
See also: Litigation Release No. 20447
2008-10 Feb. 5, 2008 SEC Charges Ritchie Capital Management, CEO and Other Employees for Illegal Late Trading Scheme
See also: Administrative Proceedings 33-8890 and IC-28141
2008-9 Feb. 1, 2008 Statement of the European Commission and the U.S. Securities and Exchange Commission on Mutual Recognition in Securities Markets
2008-8 Feb. 1, 2008 SEC Begins Small Business Costs and Benefits Study of Sarbanes-Oxley Act Section 404
2008-7 Jan. 23, 2008 SEC Settles Charges Against Former CEO of Monster Worldwide, Inc. for Stock Options Backdating
See also: Litigation Release No. 20435
2008-6 Jan. 15, 2008 SEC Charges Two Former Accounting Firm Employees with Insider Trading
See also: Litigation Release No. 20429
2008-5 Jan. 15, 2008 Registration Opens for CCOutreach BD National Seminar 2008
2008-4 Jan. 9, 2008 Mary S. Head Named Assistant Director in SEC Office of Investor Education and Advocacy
2008-3 Jan. 8, 2008 SEC, SEBI Announce Increased Cooperation and Collaboration of Capacity Building Events in India
2008-2 Jan. 3, 2008 Judge Enters Final Judgment Against Former CFO of Waste Management, Inc. Following Jury Verdict in SEC's Favor
See also: Litigation Release No. 20420
2008-1 Jan. 3, 2008 SEC Publishes Text of RAND Report on Investment Adviser, Broker-Dealer Industries
See also: RAND Report (IA/BD) (PDF)

http://www.sec.gov/news/press/pressarchive/2008press.shtml


Modified: 08/09/2013