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Press Release Archives 2011

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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Release No. Date Details
Fourth Quarter
2011-279 Dec. 29, 2011 SEC Charges Magyar Telekom and Former Executives with Bribing Officials in Macedonia and Montenegro
2011-278 Dec. 23, 2011 Agencies Extend Comment Period on Volcker Rule Proposal
2011-277 Dec. 23, 2011 SEC Charges Securities Trader with Cross-Border Fraudulent Interpositioning Scheme
2011-276 Dec. 23, 2011 SEC Charges GE Funding Capital Market Services with Fraud Involving Municipal Bond Proceeds
2011-275 Dec. 22, 2011 Judge Orders Plastics Executive to Pay $49.5 Million in SEC Case
2011-274 Dec. 21, 2011 SEC Adopts Net Worth Standard for Accredited Investors Under Dodd-Frank Act
2011-273 Dec. 21, 2011 SEC Adopts Dodd-Frank Mine Safety Disclosure Requirements
2011-272 Dec. 21, 2011 SEC Charges Executives at Clean Coal Technology Company for Misstatements to Investors
2011-271 Dec. 20, 2011 SEC Charges California Company, Co-CEOs, and Attorney in Series of Fraudulent Schemes Pumping Company Stock
2011-270 Dec. 19, 2011 SEC Charges Longtime Madoff Employee with Falsifying Documents to Deceive Regulators
2011-269 Dec. 19, 2011 Michael Garrity Named Head of Examination Program in SEC's Boston Regional Office
2011-268 Dec. 16, 2011 SEC Charges Daniel “Rudy” Ruettiger and 12 Others in Scheme to Pump Stock in Sports Drink Company
2011-267 Dec. 16, 2011 SEC Charges Former Fannie Mae and Freddie Mac Executives with Securities Fraud
2011-266 Dec. 15, 2011 SEC Halts Father-Son Ponzi Scheme in Utah Involving Purported Real Estate Investments
2011-265 Dec. 15, 2011 SEC Enforcement Director's Statement on Citigroup Case
2011-264 Dec. 13, 2011 SEC Charges Options Trader for Illegal Short Selling Tactics
2011-263 Dec. 13, 2011 SEC Charges Seven Former Siemens Executives with Bribing Leaders in Argentina
2011-262 Dec. 12, 2011 SEC Charges "Shell Packagers" and Several Others in Penny Stock Scheme
2011-261 Dec. 12, 2011 SEC Charges GlaxoSmithKline Subsidiary and Former CEO With Defrauding Employees in Stock Plan
2011-260 Dec. 9, 2011 Joint Statement on Regulation of OTC Derivatives Markets
2011-259 Dec. 8, 2011 SEC Names Lacey Dingman as Director of the Office of Human Resources
2011-258 Dec. 8, 2011 Luis A. Aguilar Sworn In for Second Term as SEC Commissioner
2011-257 Dec. 8, 2011 SEC Charges Wachovia With Fraudulent Bid Rigging in Municipal Bond Proceeds
2011-256 Dec. 8, 2011 SEC Announces National Seminar for Compliance Officers and Senior Personnel at Investment Management Firms
2011-255 Dec. 6, 2011 SEC Names Eric Pan as Associate Director in Office of International Affairs
2011-254 Dec. 6, 2011 SEC Halts Prime Bank Scheme by Washington D.C. Law Firm and Pennsylvania Company
2011-253 Dec. 6, 2011 SEC Freezes Assets of Four Chinese Citizens Charged with Insider Trading
2011-252 Dec. 1, 2011 SEC Charges Multiple Hedge Fund Managers with Fraud in Inquiry Targeting Suspicious Investment Returns
2011-251 Dec. 1, 2011 SEC, U.S. Attorney and FBI Announce 13 Charged in Connection with Securities Kickback Schemes
2011-250 Nov. 30, 2011 SEC Staff and FINRA Issue Risk Alert on Broker-Dealer Branch Office Inspections
2011-249 Nov. 29, 2011 Kristin Snyder Named Head of Examinations Program in SEC's San Francisco Regional Office
2011-248 Nov. 28, 2011 SEC Penalizes Investment Advisers for Compliance Failures
2011-247 Nov. 21, 2011 SEC Charges Longtime Madoff Employee With Creating Fake Trades
2011-246 Nov. 18, 2011 SEC Charges Perpetrator of Washington-Area Ponzi Scheme
2011-245 Nov. 17, 2011 SEC Halts Scam Touting Access to Pre-IPO Shares of Facebook and Groupon
2011-244 Nov. 16, 2011 SEC Charges Morgan Stanley Investment Management for Improper Fee Arrangement
2011-243 Nov. 15, 2011 Former CEO to Return $2.8 Million in Bonuses and Stock Profits Received During CSK Auto Accounting Fraud
2011-242 Nov. 15, 2011 SEC Hosts Nationwide Shadowing Event for High School Finance Students
2011-241 Nov. 10, 2011 SEC Charges China-Based Longtop Financial Technologies for Deficient Filings
2011-240 Nov. 10, 2011 SEC Charges UBS With Faulty Recordkeeping Related to Short Sales
2011-239 Nov. 10, 2011 SEC Charges San Diego-Based Investment Adviser and Its President with Fraud
2011-238 Nov. 10, 2011 Three Former Directors at Military Body Armor Supplier Settle SEC Charges
2011-237 Nov. 9, 2011 SEC Charges Feeders to Petters Ponzi Scheme
2011-236 Nov. 9, 2011 SEC Announces Agenda and Speakers for Government-Business Forum on Small Business Capital Formation
2011-235 Nov. 9, 2011 SEC Approves New Rules to Toughen Listing Standards for Reverse Merger Companies
2011-234 Nov. 9, 2011 SEC Enforcement Division Produces Record Results in Safeguarding Investors and Markets
2011-233 Nov. 8, 2011 SEC Obtains Record $92.8 Million Penalty Against Raj Rajaratnam
2011-232 Nov. 7, 2011 Daniel Gallagher Sworn in as SEC Commissioner
2011-231 Nov. 3, 2011 SEC Announces Agenda and Panelists for Inaugural Roundtable of Financial Reporting Series
2011-230 Oct. 31, 2011 SEC-CFTC Statement on MF Global
2011-229 Oct. 27, 2011 SEC Names Peter Curley as Associate Director for Clearance and Settlement in Division of Trading And Markets
2011-228 Oct. 27, 2011 Brian Bussey Named Associate Director for Derivatives Policy and Trading Practices in Division of Trading and Markets
2011-227 Oct. 27, 2011 SEC Orders FINRA to Improve Internal Compliance Policies and Procedures
2011-226 Oct. 26, 2011 SEC Approves Confidential Private Fund Risk Reporting
2011-225 Oct. 26, 2011 SEC Halts Fraud by Purported Quant Hedge Fund Manager
2011-224 Oct. 26, 2011 SEC Charges Traders in Fraudulent "Free-Riding" Scheme
2011-223 Oct. 26, 2011 SEC Files Insider Trading Charges against Rajat Gupta
2011-222 Oct. 25, 2011 SEC Announces Agenda for First Meeting of Advisory Committee on Small and Emerging Companies
2011-221 Oct. 24, 2011 SEC Charges Major Portuguese Bank for Violating Registration Provisions of U.S. Securities Laws
2011-220 Oct. 24, 2011 Alternative Trading System Agrees to Settle Charges That It Failed to Disclose Trading by an Affiliate
2011-219 Oct. 21, 2011 Statement of Chairman Schapiro on the Senate Confirmation of Luis A. Aguilar and Daniel M. Gallagher as SEC Commissioners
2011-218 Oct. 21, 2011 SEC Charges Denver-Area Hedge Fund Manager in Expansion of Mariner Energy Insider Trading Case
2011-217 Oct. 21, 2011 Andrew J. Bowden Named Head of SEC's National Investment Adviser/Investment Company Examination Program
2011-216 Oct. 21, 2011 SEC to Hold Annual Government-Business Forum on Small Business Capital Formation
2011-215 Oct. 21, 2011 SEC Staff to Hold Roundtable on "Measurement Uncertainty in Financial Reporting"
2011-214 Oct. 19, 2011 Citigroup to Pay $285 Million to Settle SEC Charges for Misleading Investors About CDO Tied to Housing Market
2011-213 Oct. 18, 2011 SEC Halts Scheme Involving Investments to Purportedly Help Homeowners Restructure Mortgages
2011-212 Oct. 18, 2011 SEC Charges Former CEO in Tulsa With Misleading Investors About Liquidity Risks
2011-211 Oct. 18, 2011 SEC Enforcement Staff Recognized for TARP-Fraud Investigation
2011-210 Oct. 14, 2011 SEC Announces Agenda and Panelists for Roundtable on Conflict Minerals
2011-209 Oct. 14, 2011 SEC and FSA Co-Host International Roundtable on Market Structures
2011-208 Oct. 13, 2011 SEC Sanctions Direct Edge Electronic Exchanges and Orders Remedial Measures to Strengthen Systems and Controls
2011-207 Oct. 13, 2011 SEC Advisory Committee on Small and Emerging Companies to Hold First Meeting on Oct. 31
2011-206 Oct. 13, 2011 SEC and FSA Hold Strategic Dialogue Meeting
2011-205 Oct. 12, 2011 SEC Proposes Rules for Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants
2011-204 Oct. 12, 2011 SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading
2011-203 Oct. 11, 2011 SEC Announces Agenda and Panelists for Roundtable on Microcap Securities
2011-202 Oct. 11, 2011 SEC Charges Bank Executives With Hiding Millions of Dollars in Losses During 2008 Financial Crisis
2011-201 Oct. 6, 2011 SEC Files Emergency Action to Halt Green-Product Themed Ponzi Scheme
2011-200 Oct. 4, 2011 Michael A. Conley Named SEC's Deputy General Counsel
Third Quarter
2011-199 Sep. 30, 2011 SEC Staff Issues Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization
2011-198 Sep. 29, 2011 SEC Staff Issues Risk Alert on Master/Sub-account Risks
2011-197 Sep. 29, 2011 SEC to Hold Roundtable on Conflict Minerals
2011-196 Sep. 29, 2011 Fee Rate Advisory #4 for Fiscal Year 2012
2011-195 Sep. 29, 2011 Fee Rate Advisory #3 for Fiscal Year 2012
2011-194 Sep. 28, 2011 SEC Charges Long Island-Based Hedge Fund Manager with Fraud Involving Pipe Transactions
2011-193 Sep. 28, 2011 SEC Charges Bay Area Investment Adviser for Defrauding Clients and Falsifying Documents During SEC Exam
2011-192 Sep. 27, 2011 Kara Novaco Brockmeyer Named Chief of FCPA Unit
2011-191 Sep. 27, 2011 SEC Charges RBC Capital Markets in Sale of Unsuitable CDO Investments to Wisconsin School Districts
2011-190 Sep. 27, 2011 SEC to Publish for Public Comment Updated Market-Wide Circuit Breaker Proposals to Address Extraordinary Market Volatility
2011-189 Sep. 22, 2011 SEC Charges Quant Manager with Fraud
2011-188 Sep. 21, 2011 SEC Charges Former Goldman Sachs Employee and His Father with Insider Trading
2011-187 Sep. 20, 2011 Statement from Chairman Schapiro on IG Investigation into Former General Counsel’s Participation in Madoff-Related Matters
2011-186 Sep. 19, 2011 SEC Announces Roundtable on Microcap Securities
2011-185 Sep. 19, 2011 SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Asset-Backed Securities Transactions
2011-184 Sep. 19, 2011 James Brigagliano, Deputy Director of SEC Division of Trading and Markets, to Leave SEC After 25 Years of Service
2011-183 Sep. 15, 2011 SEC Charges Former Consulting Executive and Friend with Insider Trading Ahead of Biotech Takeovers
2011-182 Sep. 13, 2011 SEC Announces Formation of Advisory Committee on Small and Emerging Companies
2011-181 Sep. 9, 2011 SEC Charges Solicitor in Investment Scheme Targeting Deaf Community
2011-180 Sep. 8, 2011 SEC Files Subpoena Enforcement Action Against Deloitte & Touche in Shanghai
2011-179 Sep. 6, 2011 Statement by SEC Chairman Mary L. Schapiro on Proxy Access Litigation
2011-178 Sep. 6, 2011 SEC to Seek Comment on Review of Existing Regulations
2011-177 Sep. 2, 2011 SEC Halts Fraud Conducted by Purported Life Settlement Company
2011-176 Aug. 31, 2011 SEC Seeks Public Comment on Asset-Backed Issuers and Mortgage-Related Pools Under Investment Company Act
2011-175 Aug. 31, 2011 SEC Seeks Public Comment on Use of Derivatives by Mutual Funds and Other Investment Companies
2011-174 Aug. 31, 2011 SEC Halts Fraud by Manager of Startup Quantitative Hedge Fund
2011-173 Aug. 31, 2011 Fee Rate Advisory #2 for Fiscal Year 2012
2011-172 Aug. 30, 2011 SEC Recovers CFO's Bonus and Stock Sale Profits Received During Beazer Homes Accounting Fraud
2011-171 Aug. 29, 2011 SEC Charges Two Florida Men in Ponzi Scheme Defrauding Teachers and Retirees
2011-170 Aug. 29, 2011 SEC Names Kathleen Weiss Hanley as Deputy Chief Economist and Deputy Director of RiskFin
2011-169 Aug. 19, 2011 SEC and CFTC Seek Public Input for Joint Stable Value Contract Study
2011-168 Aug. 12, 2011 David Woodcock Named Director of SEC Fort Worth Regional Office
2011-167 Aug. 12, 2011 SEC's New Whistleblower Program Takes Effect Today
2011-166 Aug. 11, 2011 SEC Charges Former Investment Fund Employee with Insider Trading in Marvel Stock Prior to Disney Deal
2011-165 Aug. 10, 2011 SEC Charges Stifel, Nicolaus & Co. and Executive with Fraud in Sale of Investments to Wisconsin School Districts
2011-164 Aug. 8, 2011 U.S. and Chinese Regulators Meet in Beijing on Audit Oversight Cooperation
2011-163 Aug. 5, 2011 Commissioner Casey to Leave SEC
2011-162 Aug. 5, 2011 SEC Charges Former Mariner Energy Board Member and Son with Insider Trading
2011-161 Aug. 4, 2011 SEC Charges Former Professional Baseball Player Doug DeCinces and Three Others with Insider Trading
2011-160 Aug. 2, 2011 SEC Charges Biopharmaceutical Company and Executives with Securities Fraud
2011-159 Jul. 29, 2011 SEC Office of the Chief Accountant Names Academic Fellow
2011-158 Jul. 27, 2011 SEC Charges Liquor Giant Diageo with FCPA Violations
2011-157 Jul. 27, 2011 SEC Staff Issues Summary Report of Sweep Examination of Structured Products Sold to Retail Investors
2011-156 Jul. 26, 2011 SEC Re-Proposes New Shelf Eligibility Requirements for Asset-Backed Securities
2011-155 Jul. 26, 2011 SEC Adopts New Short Form Criteria to Replace Credit Ratings
2011-154 Jul. 26, 2011 SEC Adopts Large Trader Reporting Regime
2011-153 Jul. 22, 2011 SEC and Turkey Securities Regulator Announce Terms of Reference for Enhanced Cooperation and Collaboration
2011-152 Jul. 21, 2011 David Blass Named Chief Counsel in SEC Division of Trading and Markets
2011-151 Jul. 21, 2011 SEC, CFTC Staffs to Host Roundtable to Discuss International Issues Relating to Dodd-Frank Act Title VII Implementation
2011-150 Jul. 20, 2011 SEC Issues Investor Bulletin on Retail Forex Transactions
2011-149 Jul. 18, 2011 SEC Obtains Asset Freezes Within Days of Alleged Insider Trading by Three Swiss Entities
2011-148 Jul. 15, 2011 SEC Announces July 29 Field Hearing on the State of the Municipal Securities Market
2011-147 Jul. 15, 2011 SEC Charges Forex Ponzi Operator Who Fled After Scheme Unraveled
2011-146 Jul. 13, 2011 SEC Charges Armor Holdings, Inc. With FCPA Violations in Connection With Sales to the United Nations
2011-145 Jul. 12, 2011 SEC Issues Order Raising Performance Fee Rule Dollar Limit to Adjust for Inflation
2011-144 Jul. 11, 2011 SEC Charges Janney Montgomery Scott Failed to Maintain and Enforce Policies to Prevent Misuse of Material, Nonpublic Information
2011-143 Jul. 7, 2011 SEC Charges J. P. Morgan Securities with Fraudulent Bidding Practices Involving Investment of Municipal Bond Proceeds
2011-142 Jul. 1, 2011 SEC Division of Investment Management Names Robert Plaze as Deputy Director and Diane Blizzard as Managing Executive
2011-141 Jul. 1, 2011 SEC Provides Additional Guidance, Interim Relief and Exemptions for Security-Based Swaps Under Dodd-Frank Act
2011-140 Jul. 1, 2011 SEC's Chief Diversity Official Ronald L. Crawford to Retire after 31 Years at SEC
Second Quarter
2011-139 Jun. 30, 2011 SEC Announces Agenda and Panelists for Roundtable on International Financial Reporting Standards
2011-138 Jun. 30, 2011 SEC Charges Company CEOs and Penny Stock Promoters in Kickback Schemes
2011-137 Jun. 29, 2011 SEC Proposes Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
2011-136 Jun. 29, 2011 SEC Charges Raymond James for Auction Rate Securities Sales Practices
2011-135 Jun. 28, 2011 Hedge Fund Returns $230 Million Held in Offshore Account to U.S.
2011-134 Jun. 22, 2011 SEC Adopts Rule Under Dodd-Frank Act Defining "Family Offices"
2011-133 Jun. 22, 2011 SEC Adopts Dodd-Frank Act Amendments to Investment Advisers Act
2011-132 Jun. 22, 2011 Morgan Keegan to Pay $200 Million to Settle Fraud Charges Related to Subprime Mortgage-Backed Securities
2011-131 Jun. 21, 2011 J.P. Morgan to Pay $153.6 Million to Settle SEC Charges of Misleading Investors in CDO Tied to U.S. Housing Market
2011-130 Jun. 15, 2011 SEC Provides Guidance and Temporary Relief Regarding Security-Based Swap Provisions of Dodd-Frank Act
2011-129 Jun. 15, 2011 SEC Concludes That Certain Stanford Ponzi Scheme Investors Are Entitled to Protections of SIPA
2011-128 Jun. 15, 2011 SEC Proposes Ways to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets
2011-127 Jun. 13, 2011 Stop Order Proceedings Instituted Against China Intelligent Lighting and Electronics, Inc., and China Century Dragon Media, Inc.
2011-126 Jun. 10, 2011 SEC-CFTC Staffs to Host Public Roundtable Discussion on Proposed Dealer and Major Participant Definitions Under Dodd-Frank Act
2011-125 Jun. 10, 2011 SEC Announces Steps to Address One-Year Effective Date of Title VII of Dodd-Frank Act
2011-124 Jun. 10, 2011 SEC Proposes Exemptions From Registration Requirements for Security-Based Swaps Issued by Certain Clearing Agencies
2011-123 Jun. 9, 2011 SEC Issues Bulletin on Risks of Investing in Reverse Merger Companies
2011-122 Jun. 8, 2011 SEC Enters Cease and Desist Order in Connection with Online Campaign to Buy Beer Company
2011-121 Jun. 7, 2011 Agencies Extend Comment Period on Risk Retention Proposed Rulemaking
2011-120 Jun. 7, 2011 SEC Suspends Trading in 17 Companies in Proactive Effort to Combat Microcap Stock Fraud
2011-119 Jun. 6, 2011 SEC Charges Longtime Madoff Employee With Fraud
2011-118 Jun. 2, 2011 SEC, FINRA Warn Retail Investors About Investing in Structured Notes with Principal Protection
2011-117 May 26, 2011 SEC Charges Former NASDAQ Managing Director with Insider Trading
2011-116 May 25, 2011 SEC Adopts Rules to Establish Whistleblower Program
2011-115 May 25, 2011 SEC Proposes Rule to Disqualify Felons and Bad Actors From Securities Offerings
2011-114 May 20, 2011 Vanderbilt Professor Craig Lewis Named SEC Chief Economist and Director of RiskFin Division
2011-113 May 18, 2011 SEC Proposes Rules to Increase Transparency and Improve Integrity of Credit Ratings
2011-112 May 17, 2011 Tenaris to Pay $5.4 Million in SEC's First-Ever Deferred Prosecution Agreement
2011-111 May 13, 2011 SEC Charges Investment Adviser With Defrauding Investors in Two Upstate New York Real Estate Funds
2011-110 May 11, 2011 SEC Charges Two Businessmen With Securities Fraud in New York-Based Beverage and Food Carrier Company
2011-109 May 10, 2011 SEC Publishes Notice Regarding Inflation Indexing of Performance Fee Rule
2011-108 May 10, 2011 SEC Seeks Public Comment to Assist in Study on Assigned Credit Ratings
2011-107 May 6, 2011 SEC Announces Agenda and Panelists for Roundtable on Money Market Funds and Systemic Risk
2011-106 May 4, 2011 James R. Burns Named SEC Deputy Chief of Staff
2011-105 May 4, 2011 SEC Charges UBS with Fraudulent Bidding Practices Involving Investment of Municipal Bond Proceeds
2011-104 May 4, 2011 SEC Charges Six Executives With Financial Fraud at Brooke Corporation
2011-103 May 4, 2011 SEC Seeks Public Comment on Short Sale Disclosure
2011-102 May 2, 2011 Fee Rate Advisory #1 for Fiscal Year 2012
2011-101 Apr. 29, 2011 SEC Halts Ponzi Scheme by Co-Founder of China Voice Holding Corp.
2011-100 Apr. 27, 2011 SEC Proposes Rule Amendments to Remove Credit Rating References in Exchange Act Rules
2011-99 Apr. 27, 2011 SEC Proposes Product Definitions for Swaps
2011-98 Apr. 25, 2011 Former Banco Santander Analyst Agrees to Settle Insider Trading Charges
2011-97 Apr. 25, 2011 Gene Gohlke, Associate Director for Examinations, Retiring After 35 Years at SEC
2011-96 Apr. 25, 2011 SEC Announces Arrival of New Administrative Law Judge Cameron Elliot
2011-95 Apr. 20, 2011 SEC Announces Roundtable on International Financial Reporting Standards
2011-94 Apr. 20, 2011 Julius Leiman-Carbia Named Head of SEC’s National Broker-Dealer Examination Program
2011-93 Apr. 19, 2011 SEC Seeks Public Comment on Effective Investor Education Programs
2011-92 Apr. 14, 2011 SEC Charges Subprime Auto Loan Lender and Executives with Fraud
2011-91 Apr. 13, 2011 SEC Charges Former Hedge Fund Portfolio Manager With Insider Trading
2011-90 Apr. 12, 2011 CFTC and SEC Staffs to Host Public Roundtable Discussion on Dodd-Frank Implementation
2011-89 Apr. 8, 2011 Publication of Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives
2011-88 Apr. 8, 2011 Commission Announces a Roundtable Discussion Regarding Money Market Funds and Systemic Risk
2011-87 Apr. 8, 2011 SEC Charges Johnson & Johnson With Foreign Bribery
2011-86 Apr. 7, 2011 SEC Charges Brokerage Executives With Failing to Protect Confidential Customer Information
2011-85 Apr. 6, 2011 SEC Charges Corporate Attorney and Wall Street Trader in $32 Million Insider Trading Ring
2011-84 Apr. 5, 2011 SEC Announces Filing of Limit Up-Limit Down Proposal to Address Extraordinary Market Volatility
2011-83 Apr. 5, 2011 SEC Announces Securities Laws Violations by Wachovia Involving Mortgage-Backed Securities
2011-82 Apr. 5, 2011 SEC Charges India-Based Affiliates of PWC for Role in Satyam Accounting Fraud
2011-81 Apr. 5, 2011 SEC Charges Satyam Computer Services With Financial Fraud
2011-80 Apr. 1, 2011 Sanjay Wadhwa Named Associate Regional Director for Enforcement in SEC New York Regional Office
First Quarter
2011-79 Mar. 31, 2011 Agencies Seek Public Comment on Risk Retention Proposal
2011-78 Mar. 30, 2011 SEC Proposes Rules Requiring Listing Standards for Compensation Committees and Compensation Consultants
2011-77 Mar. 30, 2011 Agencies Seek Comment on Proposed Rule on Incentive Compensation
2011-76 Mar. 29, 2011 SEC Charges FDA Chemist With Insider Trading Ahead of Drug Approval Announcements
2011-75 Mar. 28, 2011 SEC Blocks Attempt by Connecticut Fund Manager to Divert Funds From Petters Ponzi Scheme Victims
2011-74 Mar. 28, 2011 Agencies Announce Consideration of Risk Retention Notice of Proposed Rulemaking
2011-73 Mar. 28, 2011 SEC Halts $47 Million Investment Fraud at Utah-Based Payday Loan Companies
2011-72 Mar. 25, 2011 SEC Charges Houston-Area Businessman and Talk Radio "MoneyMan" for Fraudulent Conduct at Advisory Firm
2011-71 Mar. 24, 2011 SEC Names Anne K. Small as Deputy General Counsel
2011-70 Mar. 21, 2011 SEC Charges Three Firms and Four Individuals in Los Angeles-Based Boiler Room Operation
2011-69 Mar. 17, 2011 SEC Charges Kentucky Steel Company Executives With Insider Trading
2011-68 Mar. 16, 2011 SEC Charges Former Supervisor at Colonial Bank for Role in Securities Fraud Scheme
2011-67 Mar. 16, 2011 SEC Charges Three Executives With Conducting $230 Million Investment Scheme at Ohio-Based Company
2011-66 Mar. 15, 2011 SEC Charges Hedge Fund Managers With Fraud
2011-65 Mar. 10, 2011 Statement From Chairman Schapiro on Independent Consultant Report of SEC Organization and Operations
2011-64 Mar. 10, 2011 U.S. Regulators Encourage Comments on CPSS-IOSCO Consultative Report on Principles for Financial Market Infrastructures
2011-63 Mar. 9, 2011 Rose Romero, Director of Fort Worth Regional Office, to Leave SEC
2011-62 Mar. 7, 2011 SEC Adds New Charges Against Connecticut-Based Hedge Fund Manager in Ponzi Scheme
2011-61 Mar. 3, 2011 SEC Obtains Settlement With CEO to Recover Compensation and Stock Profits He Received During Company's Fraud
2011-60 Mar. 3, 2011 SEC Charges Former UBS Financial Adviser With Defrauding Life Settlement Fund Investors
2011-59 Mar. 2, 2011 SEC Proposes Rule Amendments to Remove Credit Rating References in Investment Company Act Rules and Forms
2011-58 Mar. 2, 2011 SEC Proposes Clearing Agency Standards for Operations and Governance
2011-57 Mar. 2, 2011 SEC Proposes Rules on Disclosure of Incentive-Based Compensation Arrangements at Financial Institutions
2011-56 Mar. 2, 2011 SEC Charges Former Officer of Colonial Bank for Role in Securities Fraud Scheme
2011-55 Mar. 2, 2011 Fee Rate Advisory #6 for Fiscal Year 2011
2011-54 Mar. 1, 2011 SEC Charges Bay Area Hedge Fund Manager With Misappropriating "Side Pocketed" Assets
2011-53 Mar. 1, 2011 Board Member of Goldman Sachs and Procter & Gamble Charged in Insider Trading Scheme
2011-52 Feb. 28, 2011 SEC Charges Military Body Armor Supplier and Former Outside Directors With Accounting Fraud
2011-51 Feb. 24, 2011 SEC Charges Securities Professionals and Traders in International Hedge Fund Portfolio Pumping Scheme
2011-50 Feb. 24, 2011 SEC Halts Fraudulent Investment Scheme by Purported Trader in Dallas-Fort Worth Area
2011-49 Feb. 24, 2011 SEC Charges Former Treasurer of Major Mortgage Lender for Role in Securities Fraud and TARP Scheme
2011-48 Feb. 18, 2011 SEC Executive Director Diego Ruiz to Leave Agency
2011-47 Feb. 18, 2011 Sean McKessy Named Head of Whistleblower Office
2011-46 Feb. 18, 2011 SEC Charges Seven in Global Warming Pump-and-Dump Scheme
2011-45 Feb. 17, 2011 Lona Nallengara Named Deputy Director in SEC Division of Corporation Finance
2011-44 Feb. 14, 2011 Statement From Chairman Schapiro on Proposed Budget for SEC
2011-43 Feb. 11, 2011 SEC Charges Former Mortgage Lending Executives With Securities Fraud
2011-42 Feb. 10, 2011 SEC Charges Tyson Foods with FCPA Violations
2011-41 Feb. 9, 2011 SEC Proposes First in Series of Rule Amendments to Remove References to Credit Ratings
2011-40 Feb. 8, 2011 SEC Charges Hedge Fund Managers and Traders in $30 Million Expert Network Insider Trading Scheme
2011-39 Feb. 4, 2011 Mark Cahn Named SEC General Counsel
2011-38 Feb. 3, 2011 SEC Brings Expert Network Insider Trading Charges
2011-37 Feb. 3, 2011 SEC Charges AXA Rosenberg Entities for Concealing Error in Quantitative Investment Model
2011-36 Feb. 3, 2011 SEC Charges TD Ameritrade for Failing to Supervise Its Representatives Who Sold Shares of the Reserve Yield Plus Fund
2011-35 Feb. 2, 2011 SEC Proposes Rules for Security-Based Swap Execution Facilities
2011-34 Feb. 1, 2011 SEC General Counsel David Becker to Leave Commission
2011-33 Feb. 1, 2011 SEC Charges Eight Individuals and Three Companies in $33 Million International Microcap Fraud
2011-32 Jan. 31, 2011 SEC Releases Money Market Fund Portfolio and "Shadow NAV" Information to the Public
2011-31 Jan. 31, 2011 SEC Charges Maxwell Technologies for Long-Running Bribery Scheme in China
2011-30 Jan. 28, 2011 SEC Charges Connecticut-Based Hedge Fund Manager for Fraudulent Misuse of Investor Assets
2011-29 Jan. 28, 2011 SEC Institutes Proceedings Against California Attorney for Falsifying Documents for Production to SEC Staff
2011-28 Jan. 27, 2011 SEC Publishes Staff Study on Investor Access to Information About Investment Professionals
2011-27 Jan. 27, 2011 Askari Foy Named Associate Regional Director for Examinations in SEC Atlanta Regional Office
2011-26 Jan. 26, 2011 Cathy H. Ahn Named Deputy in SEC's Office of the Secretary
2011-25 Jan. 25, 2011 SEC Adopts Rules for Say-on-Pay and Golden Parachute Compensation as Required Under Dodd-Frank Act
2011-24 Jan. 25, 2011 SEC Proposes Net Worth Standard for Accredited Investors Under Dodd-Frank Act
2011-23 Jan. 25, 2011 SEC Proposes Private Fund Systemic Risk Reporting Rule
2011-22 Jan. 25, 2011 SEC Charges Merrill Lynch for Misusing Customer Order Information and Charging Undisclosed Trading Fees
2011-21 Jan. 24, 2011 SEC Charges Former CEO of Innospec for Role in Bribery Scheme
2011-20 Jan. 22, 2011 SEC Releases Staff Study Recommending a Uniform Fiduciary Standard of Conduct for Broker-Dealers and Investment Advisers
2011-19 Jan. 21, 2011 SEC Freezes Assets in Biotech Insider Trading Case
2011-18 Jan. 20, 2011 SEC Approves New Rules Regulating Asset-Backed Securities
2011-17 Jan. 20, 2011 SEC Charges New York Investment Firms and Senior Officers with Fraud
2011-16 Jan. 20, 2011 Jonathan S. Sokobin Named Acting Director of the SEC's Division of Risk, Strategy and Financial Innovation
2011-15 Jan. 19, 2011 SEC Charges Offshore Company in Massive Life Settlement Bonding Fraud
2011-14 Jan. 18, 2011 SEC Names Eileen Rominger as Director of Division of Investment Management
2011-13 Jan. 14, 2011 SEC Proposes Rule for the Timely Acknowledgment and Verification of Security-Based Swap Transactions
2011-12 Jan. 14, 2011 SEC Charges N.Y.-Based Penny Stock Promoter With Fraud
2011-11 Jan. 13, 2011 SEC Charges Long Island-Based Money Manager for Fraudulent Investment Scheme
2011-10 Jan. 13, 2011 SEC Charges Arizona-Based Health Food Company and Former Executives With Accounting Fraud
2011-9 Jan. 13, 2011 SEC Charges Former Board Chairman and Two Business Associates in Insider Trading Scheme
2011-8 Jan. 12, 2011 SEC Charges Government Website Provider and Four Executives With Failure to Disclose CEO Perks
2011-7 Jan. 11, 2011 SEC Charges Schwab Entities and Two Executives With Making Misleading Statements
2011-6 Jan. 10, 2011 SEC Charges New York Hedge Fund and Wall Street Professionals in Galleon-Related Enforcement Action
2011-5 Jan. 7, 2011 SEC Charges Former Portfolio Managers With Defrauding Utah Municipal Bond Fund
2011-4 Jan. 7, 2011 SEC Appoints James R. Doty as Chairman, Jay D. Hanson and Lewis H. Ferguson as Members of PCAOB
2011-3 Jan. 7, 2011 SEC Obtains Emergency Asset Freeze Against Hedge Fund Manager for Fraudulent Misuse of Fund Assets
2011-2 Jan. 6, 2011 Broker Accused of Defrauding Elderly Nuns Settles Case With SEC
2011-1 Jan. 6, 2011 SEC Charges Investment Firm With Illegally Dumping Billions of Penny Stock Shares

http://www.sec.gov/news/press/pressarchive/2011press.shtml


Modified: 10/16/2014