SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News/Statements


  Litigation

  ALJ

  Information for...

  Divisions


Press Release Archives 2010

Fourth Quarter | Third Quarter | Second Quarter |  First Quarter

Additional Archives

RSS Feed  SEC Press Releases RSS Feed

Release No. Date Details
Fourth Quarter
2010-258 Dec. 27, 2010 SEC Charges Alcatel-Lucent with FCPA Violations
2010-257 Dec. 23, 2010 Statement From Chairman Schapiro on Appointment of FASB Chairman
2010-256 Dec. 23, 2010 Senior Supervisors Group Issues Report on Risk Appetite Frameworks and IT Infrastructure
2010-255 Dec. 22, 2010 Fee Rate Advisory #5 for Fiscal Year 2011
2010-254 Dec. 21, 2010 SEC Charges San Francisco Managers of Subprime Loan Hedge Fund With Fraudulent Misuse of Fund Assets
2010-253 Dec. 20, 2010 SEC Proposes Permanent Rule Requiring Municipal Advisors to Register With Agency
2010-252 Dec. 20, 2010 SEC Charges Former Carter's Executive With Fraud and Insider Trading
2010-251 Dec. 18, 2010 Fee Rate Advisory #4 for Fiscal Year 2011
2010-250 Dec. 17, 2010 Stephen L. Cohen Named Associate Director in SEC Division of Enforcement
2010-249 Dec. 16, 2010 SEC Brings Fraud Charges Against Self-Described Idaho Nuclear Power Company
2010-248 Dec. 16, 2010 SEC Charges Former Law Firm Partner in Multi-Million Dollar Scheme
2010-247 Dec. 15, 2010 SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act
2010-246 Dec. 15, 2010 SEC Proposes Specialized Disclosure of Mine Safety Information Under Dodd-Frank Act
2010-245 Dec. 15, 2010 SEC Proposes Specialized Disclosure of Use of Conflict Minerals Under Dodd-Frank Act
2010-244 Dec. 15, 2010 SEC Proposes End-User Requirements Under Dodd-Frank Act for Security-Based Swaps Exempt From Mandatory Clearing
2010-243 Dec. 15, 2010 SEC Proposes Review Process for Mandatory Clearing of Security-Based Swaps Under Dodd-Frank Act
2010-242 Dec. 10, 2010 SEC Charges RAE Systems for Illegal Payments Made Through Joint Ventures to Win Chinese Government Contracts
2010-241 Dec. 8, 2010 SEC Charges Uncle and Nephew in Insider Trading Scheme
2010-240 Dec. 7, 2010 SEC Charges Former Law Firm Technology Manager and Brother-in-Law in Serial Insider Trading Scheme
2010-239 Dec. 7, 2010 SEC Charges Banc of America Securities With Fraud in Connection With Improper Bidding Practices Involving Investment of Proceeds of Municipal Securities
2010-238 Dec. 6, 2010 CFTC, SEC to Host Joint Public Roundtable to Discuss Issues Related to Capital and Margin for Swaps and Security-Based Swaps
2010-237 Dec. 3, 2010 SEC Proposes Joint Rules with CFTC to Define Swap Related Terms
2010-236 Dec. 3, 2010 Fee Rate Advisory #3 for Fiscal Year 2011
2010-235 Dec. 2, 2010 Deputy Chief Litigation Counsel Mark A. Adler Leaving SEC After 13 Years of Service
2010-234 Nov. 30, 2010 SEC Charges Former Deloitte Partner and Wife in International Insider Trading Scheme
2010-233 Nov. 23, 2010 SEC Announces Agenda and Panelists for Second Field Hearing on State Of Municipal Securities Markets
2010-232 Nov. 23, 2010 Former Comverse CEO Agrees to $53 Million Settlement of Options Backdating Charges
2010-231 Nov. 23, 2010 SEC Obtains Emergency Asset Freeze in Diamond-Themed Ponzi Scheme
2010-230 Nov. 19, 2010 SEC Proposes Rules on Security-Based Swap Reporting
2010-229 Nov. 19, 2010 SEC Proposes Rules to Outline Obligations of Security-Based Swap Repositories
2010-228 Nov. 19, 2010 SEC Proposes Rules to Improve Oversight of Investment Advisers
2010-227 Nov. 19, 2010 Jennifer B. McHugh Named Acting Director of SEC Division of Investment Management
2010-226 Nov. 18, 2010 Henry T.C. Hu, Inaugural Director of Division Of Risk, Strategy and Financial Innovation, to Return to University of Texas
2010-225 Nov. 18, 2010 SEC Charges Two Longtime Madoff Employees with Fraud
2010-224 Nov. 18, 2010 SEC Charges Steven Rattner in Pay-to-Play Scheme Involving New York State Pension Fund
2010-223 Nov. 17, 2010 SEC Charges New York Firms and Chief Compliance Officer for Inadequate Procedures to Protect Nonpublic Information
2010-222 Nov. 16, 2010 SEC and CESR Members Announce Efforts to Continue Close Cooperation as National Securities Regulators Implement New Regulatory Reform Initiatives
2010-221 Nov. 15, 2010 SEC and UK FSA Hold Meeting of SEC-FSA Strategic Dialogue
2010-220 Nov. 12, 2010 SEC Brings Additional Charges in Its Ongoing Investigations Into Two Previously Identified Insider Trading Rings
2010-219 Nov. 12, 2010 SEC Publishes Agenda and Announces Speakers for Small Business Forum
2010-218 Nov. 10, 2010 Joseph Brenner Named Chief Counsel in SEC Division of Enforcement
2010-217 Nov. 10, 2010 James A. Clarkson, Director of Regional Office Operations in Enforcement Division, to Retire After 40 Years of Service
2010-216 Nov. 8, 2010 SEC Approves New Rules Prohibiting Market Maker Stub Quotes
2010-215 Nov. 4, 2010 SEC Extends New Short Sale Rule Compliance Date
2010-214 Nov. 4, 2010 SEC Charges Seven Oil Services and Freight Forwarding Companies for Widespread Bribery of Customs Officials
2010-213 Nov. 3, 2010 SEC Proposes New Whistleblower Program Under Dodd-Frank Act
2010-212 Nov. 3, 2010 SEC Proposes New Rule to Prevent Fraud in Connection with Security-Based Swaps
2010-211 Nov. 3, 2010 SEC Publishes Request for Comment on President's Working Group Report on Money Market Fund Reform Options
2010-210 Nov. 3, 2010 SEC Adopts New Rule Preventing Unfiltered Market Access
2010-209 Nov. 2, 2010 SEC Charges Medical Researcher With Tipping Inside Information About Clinical Trial
2010-208 Oct. 29, 2010 SEC Halts Offering Fraud by Chicago-Based Firms
2010-207 Oct. 29, 2010 SEC Staff Publishes Progress Report on Work Plan for Global Accounting Standards
2010-206 Oct. 29, 2010 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues to Meet November 5
2010-205 Oct. 28, 2010 SEC Charges Massachusetts-Based Forex Traders and Their Firm With Fraud
2010-204 Oct. 27, 2010 Former San Diego Officials Agree to Pay Financial Penalties in Municipal Bond Fraud Case
2010-203 Oct. 22, 2010 SEC, FINRA Announce 2011 National Seminar for Broker-Dealer CCOs
2010-202 Oct. 21, 2010 SEC Charges Office Depot and Company Executives With Improper Disclosures to Analysts
2010-201 Oct. 20, 2010 Thomas A. Bayer Named SEC Chief Information Officer
2010-200 Oct. 20, 2010 OECD Commends U.S. Regulators for Efforts to Fight Transnational Bribery
2010-199 Oct. 19, 2010 SEC Charges Georgia-Based Hedge Fund Managers With Fraud in Valuing a "Side Pocket" and Theft of Investor Assets
2010-198 Oct. 18, 2010 SEC Proposes Rules on "Say on Pay" and Proxy Vote Reporting
2010-197 Oct. 15, 2010 Former Countrywide CEO Angelo Mozilo to Pay SEC’s Largest-Ever Financial Penalty Against a Public Company's Senior Executive
2010-196 Oct. 15, 2010 SEC, CFTC Staffs to Host Joint Public Roundtable to Discuss Issues Related to Clearing of Credit Default Swaps
2010-195 Oct. 14, 2010 SEC Charges Two Florida-Based Fund Managers With Facilitating Petters Ponzi Scheme
2010-194 Oct. 14, 2010 James Capezzuto Named Associate Regional Director for Examinations in SEC New York Regional Office
2010-193 Oct. 13, 2010 SEC Warns of Potential Investment Scams Targeting Recipients of BP Oil Spill Payouts
2010-192 Oct. 13, 2010 SEC Proposes Rules to Require Issuer Review of Assets Underlying Asset-Backed Securities
2010-191 Oct. 13, 2010 SEC Adopts Interim Rule to Require Reporting of Security-Based Swaps
2010-190 Oct. 13, 2010 SEC Proposes Rules to Mitigate Conflicts of Interest Involving Security-Based Swaps
2010-189 Oct. 12, 2010 SEC Proposes New Family Office Definition Under Dodd-Frank Act
2010-188 Oct. 12, 2010 Karen Garnett and Mark Kronforst Named Associate Directors in SEC Division of Corporation Finance
2010-187 Oct. 7, 2010 SEC Charges Penny Stock Promoters in Series of Kickback Schemes
2010-186 Oct. 7, 2010 SEC Charges Internationally Syndicated Radio Show Host With Securities Fraud Scheme
2010-185 Oct. 7, 2010 SEC Charges Purported Real Estate Business and Owner for Conducting Ponzi Scheme
2010-184 Oct. 7, 2010 SEC Halts Web-Based Scheme Defrauding Deaf Investors
2010-183 Oct. 6, 2010 Heather Seidel Named Associate Director in Division of Trading and Markets
2010-182 Oct. 6, 2010 SEC Seeks Public Comment on Asset-Backed Securities Rule Proposal Under Dodd-Frank Act
2010-181 Oct. 6, 2010 SEC to Hold Small Business Capital Formation Forum
2010-180 Oct. 1, 2010 SEC Wins Fraud Trial Against Miami-Based Investment Companies and Their Owners
2010-179 Oct. 1, 2010 Statement by SEC Chairman Schapiro and CFTC Chairman Gensler on the Joint Report Regarding the Market Events of May 6th
Third Quarter
2010-178 Sep. 30, 2010 SEC Charges Family Insider Trading Ring in Million-Dollar Scheme
2010-177 Sep. 30, 2010 Former State Street Employees Charged for Misleading Investors About Subprime Mortgage Investments
2010-176 Sep. 30, 2010 SEC Charges Two Florida Companies and CEOs for Orchestrating Pump-and-Dump Schemes
2010-175 Sep. 29, 2010 SEC Charges ABB For Bribery Schemes in Mexico and Iraq
2010-174 Sep. 29, 2010 SEC Charges Bay Area Investment Adviser for Not Disclosing Conflict of Interest to Investors
2010-173 Sep. 29, 2010 Fee Rate Advisory #2 for Fiscal Year 2011
2010-172 Sep. 23, 2010 SEC Charges Dallas-Based Hedge Fund Adviser for Participating in Stock Offerings After Selling Short
2010-171 Sep. 21, 2010 Administrative Law Judge James T. Kelly to Retire After 11 Years at SEC
2010-170 Sep. 21, 2010 SEC Charges Minneapolis Attorney and San Francisco Real Estate Lending Fund Promoters with Misleading Investors
2010-169 Sep. 17, 2010 SEC Proposes Measures to Enhance Short-Term Borrowing Disclosure to Investors
2010-168 Sep. 14, 2010 J.W. Mike Starr Named Deputy Chief Accountant for Policy Support and Market Monitoring in Office of Chief Accountant
2010-167 Sep. 10, 2010 SEC Approves Rules Expanding Stock-by-Stock Circuit Breakers and Clarifying Process for Breaking Erroneous Trades
2010-166 Sep. 8, 2010 SEC, CFTC To Host Joint September Roundtables On Swap and Security-Based Swap Matters
2010-165 Sep. 7, 2010 SEC Charges Colorado-Based Investment Adviser With Fraudulently Recommending Hedge Funds to Older Investors
2010-164 Sep. 7, 2010 SEC Sets Field Hearings on State of Municipal Securities Markets
2010-163 Sep. 2, 2010 SEC Charges New Jersey Investment Adviser in Multi-Million Dollar Offering Fraud
2010-162 Sep. 2, 2010 SEC Adopts Temporary Rule Requiring Municipal Advisors to Register With Agency
2010-161 Sep. 1, 2010 SEC Charges Pinnacle Capital Markets for Deficient Customer Identification Program Procedures
2010-160 Aug. 31, 2010 SEC Charges Two Accounting Professionals at Milwaukee-Based Company with Fraud
2010-159 Aug. 31, 2010 SEC Issues Report Cautioning Credit Rating Agencies
2010-158 Aug. 30, 2010 Brian Breheny, Deputy Director in Division of Corporation Finance, to Leave After Seven Years at SEC
2010-157 Aug. 30, 2010 Christopher R. Conte, Associate Director of Enforcement, to Leave After Nearly 18 Years at SEC
2010-156 Aug. 30, 2010 John Ramsay Named Deputy Director in Division of Trading and Markets
2010-155 Aug. 25, 2010 SEC Adopts New Measures to Facilitate Director Nominations by Shareholders
2010-154 Aug. 24, 2010 Statement From Chairman Schapiro on Financial Accounting Foundation Developments
2010-153 Aug. 24, 2010 SEC Freezes Assets of Two Traders in Spain for Insider Trading Around Public Announcement of BHP Acquisition Bid
2010-152 Aug. 18, 2010 SEC Charges State of New Jersey for Fraudulent Municipal Bond Offerings
2010-151 Aug. 17, 2010 Andrew J. Donohue to Leave SEC After Four Years Leading Division of Investment Management
2010-150 Aug. 13, 2010 Deputy Chief Economist Stewart Mayhew to Leave SEC After Eight Years of Service
2010-149 Aug. 13, 2010 SEC, CFTC Seeking Public Comment on Definitions and Regulation of Mixed Swaps
2010-148 Aug. 13, 2010 SEC, CFTC to Host August 20 Roundtable on Clearing and Listing of Swaps and Security-Based Swaps
2010-147 Aug. 13, 2010 Securities Regulators Publish Updated Best Practices for Firms Serving Senior Investors
2010-146 Aug. 9, 2010 SEC Charges Seattle-Area Company and Former CFO With Phony Accounting of Infomercial Sales
2010-145 Aug. 6, 2010 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Announces Agenda/Participants for August 11 Meeting
2010-144 Aug. 6, 2010 SEC Charges Two Global Tobacco Companies With Bribery
2010-143 Aug. 5, 2010 Office of the Chief Accountant Names Academic Fellows
2010-142 Aug. 5, 2010 Shira Pavis Minton Named SEC Ethics Counsel
2010-141 Aug. 5, 2010 SEC Charges Two Individuals for Roles in Innospec FCPA Scheme
2010-140 Aug. 4, 2010 SEC Charges Former Deloitte Partner and Son With Insider Trading
2010-139 Aug. 2, 2010 Matthew Martens Named Chief Litigation Counsel in SEC Division of Enforcement
2010-138 Jul. 30, 2010 SEC Completes Inaugural Teacher Training Workshop
2010-137 Jul. 29, 2010 SEC Charges Corporate Insider Brothers With Fraud
2010-136 Jul. 29, 2010 SEC Charges Citigroup and Two Executives for Misleading Investors About Exposure to Subprime Mortgage Assets
2010-135 Jul. 27, 2010 SEC Chairman Schapiro Announces Open Process for Regulatory Reform Rulemaking
2010-134 Jul. 27, 2010 SEC Publishes Public Request for Comment to Inform Study of Obligations of Broker-Dealers and Investment Advisers
2010-133 Jul. 27, 2010 SEC Charges General Electric and Two Subsidiaries with FCPA Violations
2010-132 Jul. 26, 2010 SEC Announces $106 Million Fair Fund Distribution to Harmed Investors in HealthSouth Financial Fraud
2010-131 Jul. 22, 2010 SEC Charges Dell and Senior Executives with Disclosure and Accounting Fraud
2010-130 Jul. 22, 2010 SEC Charges Two New York-Based Accountants With Conducting Ponzi Scheme Against Clients
2010-129 Jul. 22, 2010 SEC Releases Report of the Life Settlements Task Force
2010-128 Jul. 21, 2010 David W. Blass Named SEC Associate General Counsel for Legal Policy
2010-127 Jul. 21, 2010 SEC Approves Disclosure Form Changes to Provide Investors Greater Information About Their Investment Advisers
2010-126 Jul. 21, 2010 SEC Proposes Measures to Improve Regulation of Fund Distribution Fees and Provide Better Disclosure for Investors
2010-125 Jul. 16, 2010 Paula Dubberly Named to New Deputy Director Position in Division of Corporation Finance
2010-124 Jul. 16, 2010 SEC Adds Units to Oversee Financial Institutions, Asset-Backed Securities, New Financial Products and Trends
2010-123 Jul. 15, 2010 Goldman Sachs to Pay Record $550 Million to Settle SEC Charges Related to Subprime Mortgage CDO
2010-122 Jul. 14, 2010 SEC Votes to Seek Public Comment on U.S. Proxy System
2010-121 Jul. 14, 2010 Enforcement Chief Counsel Joan McKown to Leave SEC
2010-120 Jul. 12, 2010 Chief Information Officer Charles Boucher to Leave SEC
2010-119 Jul. 7, 2010 SEC Charges Italian Company and Dutch Subsidiary in Scheme Bribing Nigerian Officials With Carloads of Cash
2010-118 Jul. 2, 2010 SEC and Japan Financial Services Agency Hold Meeting of the SEC-JFSA Strategic Dialogue
Second Quarter
2010-117 Jun. 30, 2010 SEC to Publish for Public Comment Proposed Rules Expanding Stock-by-Stock Circuit Breakers
2010-116 Jun. 30, 2010 SEC Adopts New Measures to Curtail Pay to Play Practices by Investment Advisers
2010-115 Jun. 29, 2010 SEC Charges California Telecommunications Company With FCPA Violations
2010-114 Jun. 29, 2010 SEC Charges Two Canadians With Fraudulently Touting Penny Stocks on a Website, Facebook and Twitter
2010-113 Jun. 28, 2010 Chairman Schapiro Statement on Regulatory Reform Legislation
2010-112 Jun. 28, 2010 SEC Halts $105 Million Ponzi Scheme by U.S. Virgin Islands-Based Money Manager
2010-111 Jun. 28, 2010 Statement on the Supreme Court's Decision in FEF v. PCAOB
2010-110 Jun. 28, 2010 SEC Charges Technip with FCPA Violations
2010-109 Jun. 25, 2010 SEC Announces $13.9 Million Fair Fund Distribution to Harmed Investors in Raytheon Financial Fraud Settlement Today
2010-108 Jun. 25, 2010 SEC Charges Benefits Consultant to Government Agencies With Ponzi Scheme
2010-107 Jun. 22, 2010 SEC Charges Palm Beach County Investment Adviser With Running a Ponzi Scheme and Stealing Client Funds
2010-106 Jun. 21, 2010 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Announces Agenda, List of Participants for June 22 Meeting
2010-105 Jun. 21, 2010 SEC Charges N.Y.-Based Investment Adviser With Fraudulent Management of CDOs Tied to Mortgage-Backed Securities
2010-104 Jun. 17, 2010 SEC to Publish for Public Comment Proposed Rules for Clearly Erroneous Trades
2010-103 Jun. 16, 2010 SEC Proposes New Measures to Help Investors in Target Date Funds
2010-102 Jun. 16, 2010 SEC Charges Former Chairman of Major Mortgage Lender With $1.5 Billion Securities Fraud and Related TARP Scheme
2010-101 Jun. 14, 2010 SEC, Quebec Autorité Des Marchés Financiers and Ontario Securities Commission Sign Regulatory Cooperation Arrangement
2010-100 Jun. 11, 2010 SEC Charges New York-Based Money Manager and Firm Touting Ties to Belgian Royal Family
2010-99 Jun. 10, 2010 SEC Charges Perpetrators of $300 Million Ponzi Scheme Involving Purported Gold Mining Investments
2010-98 Jun. 10, 2010 SEC Approves New Stock-by-Stock Circuit Breaker Rules
2010-97 Jun. 4, 2010 SEC Statement on Status of Stock-by-Stock Circuit Breaker Rule Proposals
2010-96 Jun. 2, 2010 Chairman Schapiro Statement on FASB-IASB Decision to Modify Timing of Certain Convergence Projects
2010-95 Jun. 2, 2010 SEC Charges Miami Man in $40 Million Ponzi Scheme
2010-94 Jun. 2, 2010 SEC Charges Former Biotech Company Executive for False Claims About Down Syndrome Test
2010-93 Jun. 2, 2010 SEC Charges Diebold and Former Executives With Accounting Fraud
2010-92 May 28, 2010 SEC Announces Agenda and Panelists for Market Structure Roundtable
2010-91 May 27, 2010 Jeff Heslop Named SEC Chief Operating Officer
2010-90 May 27, 2010 Brian T. Croteau Named Deputy Chief Accountant for Professional Practice in SEC Office of the Chief Accountant
2010-89 May 27, 2010 SEC Files Emergency Charges Against New York-Based Financial Advisor for Defrauding Clients
2010-88 May 27, 2010 SEC Charges Pequot Capital Management and CEO Arthur Samberg With Insider Trading
2010-87 May 26, 2010 SEC Charges Money Manager and Two Associates in New York City-Based Affinity Fraud
2010-86 May 26, 2010 SEC Proposes Consolidated Audit Trail System to Better Track Market Trades
2010-85 May 26, 2010 SEC Approves Rule Changes to Enhance Municipal Securities Disclosure
2010-84 May 26, 2010 SEC Charges Disney Employee and Boyfriend in Brazen Insider Trading Scheme
2010-83 May 21, 2010 SEC Announces $178 Million Distribution from Millennium Fair Fund
2010-82 May 21, 2010 Kenneth A. Johnson Named SEC Chief Financial Officer
2010-81 May 18, 2010 SEC-CFTC Release Preliminary Findings in Review of May 6 Market Events
2010-80 May 18, 2010 SEC Announces Stock-by-Stock Circuit Breaker Proposals
2010-79 May 17, 2010 Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues to Meet on May 24
2010-78 May 13, 2010 Gerald Hodgkins Named Associate Director in SEC Division of Enforcement
2010-77 May 13, 2010 SEC Investor Advisory Committee Announces Meeting Agenda, List of Participants
2010-76 May 11, 2010 SEC Charges Two Florida Residents for Unlawful Short Selling
2010-75 May 11, 2010 SEC, CFTC Announce Creation Of Joint CFTC-SEC Advisory Committee On Emerging Regulatory Issues
2010-74 May 10, 2010 SEC Statement on Meeting With Exchanges
2010-73 May 7, 2010 Statement of the Securities and Exchange Commission and the Commodity Futures Trading Commission
2010-72 May 6, 2010 Statement from SEC and CFTC
2010-71 May 5, 2010 SEC Staff to Hold Seminar to Help Mutual Funds Comply With XBRL Reporting Rules
2010-70 May 5, 2010 SEC Charges Spongetech and Senior Executives in Pump-and-Dump Scheme
2010-69 May 3, 2010 Richard A. Levine Named SEC Associate General Counsel for Legal Policy
2010-68 May 3, 2010 SEC Completes 20th Annual International Institute for Securities Market Development
2010-67 Apr. 30, 2010 SEC Announces $113.5 Million Distribution in Royal Dutch Shell Fair Fund
2010-66 Apr. 30, 2010 Fee Rate Advisory #1 for Fiscal Year 2011
2010-65 Apr. 27, 2010 SEC Charges Securities Professionals With Facilitating Illegal Penny Stock Sales and Failing to Act as Gatekeepers
2010-64 Apr. 22, 2010 SEC Charges Private Equity Firm and Money Manager for Defrauding Detroit-Area Public Pension Funds
2010-63 Apr. 21, 2010 SEC Charges Prominent Miami Beach Businessman in $900 Million Ponzi Scheme
2010-62 Apr. 20, 2010 SEC Files Emergency Action to Halt Fraudulent Scheme at Albany-Based Firm
2010-61 Apr. 20, 2010 SEC Halts Internet-Based Scam by Staten Island Firm Luring Investors With Phony Stock Tips and Fictional Trading Experts
2010-60 Apr. 16, 2010 Statement From Chairman Schapiro on OIG Report 526: "Investigation of the SEC's Response to Concerns Regarding Robert Allen Stanford's Alleged Ponzi Scheme"
2010-59 Apr. 16, 2010 SEC Charges Goldman Sachs With Fraud in Structuring and Marketing of CDO Tied to Subprime Mortgages
2010-58 Apr. 15, 2010 SEC Charges Private Equity Firm in Kickback Scheme Involving New York Pension Fund
2010-57 Apr. 15, 2010 Federal Regulators Release Model Consumer Privacy Notice Online Form Builder
2010-56 Apr. 14, 2010 SEC Proposes New Measures to Protect Investors in Options Markets
2010-55 Apr. 14, 2010 SEC Proposes Large Trader Reporting System
2010-54 Apr. 7, 2010 SEC Proposes Rules to Increase Investor Protections in Asset-Backed Securities
2010-53 Apr. 7, 2010 SEC Charges Morgan Keegan and Two Employees With Fraud Related to Subprime Mortgages
2010-52 Apr. 5, 2010 Robert J. Keyes Named Associate Regional Director and Chief of Regional Office Operations in SEC's New York Office
2010-51 Apr. 1, 2010 SEC Charges Daimler AG With Global Bribery
2010-50 Apr. 1, 2010 Kathleen Griffin Named SEC's First Chief Compliance Officer
First Quarter
2010-49 Mar. 29, 2010 SEC Charges Ohio-Based Investment Adviser for Defrauding Clients in Several States
2010-48 Mar. 26, 2010 SEC Announces $185 Million Distribution to Investors Injured by Prudential Securities Market Timing Fraud
2010-47 Mar. 25, 2010 Office of the Chief Accountant Selects Eight Professional Accounting Fellows
2010-46 Mar. 25, 2010 Howard A. Scheck Named Chief Accountant in SEC Enforcement Division
2010-45 Mar. 25, 2010 SEC Staff Evaluating the Use of Derivatives by Funds
2010-44 Mar. 24, 2010 SEC Charges Securities Professionals in Insider Trading Scheme Using Coded E-Mail Messages
2010-43 Mar. 24, 2010 SEC Charges New Mexico Real Estate Magnate in $80 Million Ponzi Scheme
2010-42 Mar. 18, 2010 SEC Warns Firms on Muni Pay-to-Play Rules
2010-41 Mar. 18, 2010 SEC Charges S.C.-Based Lawyer in Scheme Promising Investors Returns as High as 4,900 Percent
2010-40 Mar. 18, 2010 SEC Charges Innospec for Illegal Bribes to Iraqi and Indonesian Officials
2010-39 Mar. 15, 2010 SEC Charges Former Executives in Illegal Scheme to Enrich CEO With Perks
2010-38 Mar. 10, 2010 SEC Warns Investors of Phony Web Site Targeting Madoff Fraud Victims
2010-37 Mar. 10, 2010 SEC Halts Ponzi Scheme Preying on Retirees Attending Estate Planning Seminars
2010-36 Mar. 9, 2010 Chief Economist James Overdahl to Leave SEC
2010-35 Mar. 5, 2010 SEC Charges San Diego Brokerage Firm with Failing to Supervise Broker Who Defrauded Two Florida Municipalities
2010-34 Mar. 4, 2010 SEC Charges Nationally Known Psychic in Multi-Million Dollar Securities Fraud
2010-33 Mar. 4, 2010 SEC Halts Ponzi Scheme Targeting Retired L.A. Bus Drivers
2010-32 Mar. 3, 2010 SEC Charges Executives of Iowa Insurance Company With Misleading Proxy Disclosures to Investors
2010-31 Mar. 3, 2010 SEC Charges Miami Couple in $135 Million Ponzi Scheme Targeting Cuban-American Community
2010-30 Mar. 2, 2010 SEC and IRS Agree to Work More Closely Regarding Municipal Bond Enforcement
2010-29 Mar. 1, 2010 Fee Rate Advisory #5 for Fiscal Year 2010
2010-28 Feb. 25, 2010 SEC Charges Madoff's Director of Operations with Falsifying Accounting Records and Siphoning Investor Funds
2010-27 Feb. 24, 2010 SEC Approves Statement on Global Accounting Standards
2010-26 Feb. 24, 2010 SEC Approves Short Selling Restrictions
2010-25 Feb. 23, 2010 SEC Staff to Hold Seminar to Help Companies Comply With XBRL Reporting Rules
2010-24 Feb. 23, 2010 SEC Charges Two Sacramento Men with Defrauding Real Estate Fund Investors of Millions of Dollars
2010-23 Feb. 22, 2010 SEC Announces Efforts to Educate Investors About Participating in Corporate Elections
2010-22 Feb. 22, 2010 SEC Announces $67 Million Fair Fund Distribution to Harmed Investors in McAfee Financial Fraud Settlement
2010-21 Feb. 4, 2010 SEC Charges State Street for Misleading Investors About Subprime Mortgage Investments
2010-20 Feb. 3, 2010 William P. Hicks Named Associate Regional Director for Enforcement in SEC Atlanta Regional Office
2010-19 Feb. 3, 2010 Rhea Kemble Dignam Named Director of SEC Atlanta Regional Office
2010-18 Feb. 1, 2010 Statement From Chairman Schapiro on Proposed Budget for SEC
2010-17 Feb. 1, 2010 SEC and UK FSA Hold Fifth Meeting of the SEC-FSA Strategic Dialogue
2010-16 Jan. 29, 2010 Reserve Primary Fund Distributes Assets to Investors
2010-15 Jan. 27, 2010 SEC Issues Interpretive Guidance on Disclosure Related to Business or Legal Developments Regarding Climate Change
2010-14 Jan. 27, 2010 SEC Approves Money Market Fund Reforms to Better Protect Investors
2010-13 Jan. 26, 2010 SEC Charges Two California Firms For Unlawful Short Selling Practices
2010-12 Jan. 25, 2010 Alleged Minneapolis-Based Fraudster Trevor Cook Jailed for Failing to Surrender Assets in SEC Case
2010-11 Jan. 25, 2010 Dan Gallagher, Deputy Director of Trading and Markets, to Leave SEC and Return to Private Practice
2010-10 Jan. 20, 2010 SEC Charges General Re Corporation for Role in AIG and Prudential Accounting Frauds
2010-9 Jan. 20, 2010 Fredric D. Firestone, Associate Director of Enforcement, to Leave SEC
2010-8 Jan. 13, 2010 SEC Issues Concept Release Seeking Comment on Structure of Equity Markets
2010-7 Jan. 13, 2010 SEC Proposes New Rule to Effectively Prohibit Unfiltered Access and Maintain Market Access Controls
2010-6 Jan. 13, 2010 SEC Announces Initiative to Encourage Individuals and Companies to Cooperate and Assist in Investigations
2010-5 Jan. 13, 2010 SEC Names New Specialized Unit Chiefs and Head of New Office of Market Intelligence
2010-4 Jan. 11, 2010 SEC Charges Father-Son Investment Adviser Team in Florida For Role in Massive Hedge Fund Fraud
2010-3 Jan. 11, 2010 SEC Halts Fraudulent Scheme Targeting Iranian-American Community in Los Angeles
2010-2 Jan. 5, 2010 Perot Systems Insider Trader Agrees to Return $8.6 Million in Illicit Profits
2010-1 Jan. 4, 2010 Carlo di Florio Named Director of SEC Office of Compliance Inspections and Examinations

http://www.sec.gov/news/press/pressarchive/2010press.shtml


Modified: 05/30/2012