Skip to Main Content

Press Releases

Press Releases

 
Official announcements highlighting recent actions taken by the SEC and other newsworthy information.  To view Press Releases prior to 2012, view the Press Release Archive.

Email Subscription E-mail Updates: To sign up for updates, please enter your e-mail address below.

Date Title Release No.
May 21, 2015 SEC Announces Charges Against Investment Firm and Two Executives Accused of Defrauding Police and Firefighter Pension Funds 2015-98
May 20, 2015 SEC Names Rebecca Olsen Deputy Director of Municipal Securities Office 2015-97
May 20, 2015 SEC Names Jessica Kane Director of Municipal Securities Office 2015-96
May 20, 2015 SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers 2015-95
May 20, 2015 SEC Charges Brokerage Firm Co-Owners With Defrauding Investors 2015-94
May 20, 2015 SEC Charges BHP Billiton With Violating FCPA at Olympic Games 2015-93
May 19, 2015 SEC Chief of Staff Lona Nallengara to Leave Agency 2015-92
May 18, 2015 Peter J. Curley, Associate Director in the Division of Trading and Markets, to Leave SEC 2015-91
May 14, 2015 SEC Charges Father and Son in $1.1 Million Insider Trading Scheme 2015-90
May 14, 2015 SEC Charges Nationwide Life Insurance Company With Pricing Violations 2015-89
May 14, 2015 SEC Names Wesley R. Bricker as Deputy Chief Accountant 2015-88
May 14, 2015 Deputy Chief Accountant Dan Murdock to Leave SEC 2015-87
May 12, 2015 SEC Announces Fraud Charges Against ITT Educational Services 2015-86
May 11, 2015 SEC Sues Retirement Planners for Making False Claims to Investors 2015-85
May 8, 2015 SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers 2015-84
May 8, 2015 David Grim Named as Director of the Division of Investment Management 2015-83
May 6, 2015 SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies 2015-82
May 6, 2015 SEC Charges Four Former Officers of Delaware Bank Holding Company With Disclosure Fraud 2015-81
May 5, 2015 SEC Announces Outreach Programs to Help Firms Comply With Regulation Systems Compliance and Integrity 2015-80
April 30, 2015 SEC Announces Compliance Outreach Program Seminars for Investment Adviser and Investment Company Senior Officers 2015-79
April 29, 2015 SEC Proposes Rules to Require Companies to Disclose the Relationship Between Executive Pay and a Company’s Financial Performance 2015-78
April 29, 2015 SEC Proposes Cross-Border Security-Based Swap Rules Regarding Activity in the U.S. 2015-77
April 29, 2015 SEC Charges Santa Barbara-Based Hedge Fund Firm, Executives, and Auditor for Improper Expense Allocations 2015-76
April 28, 2015 SEC Announces Award to Whistleblower in First Retaliation Case 2015-75
April 22, 2015 SEC Charges Issuer for Failing to Make Public Filings 2015-74
April 22, 2015 SEC Announces Million-Dollar Whistleblower Award to Compliance Officer 2015-73
April 20, 2015 Fort Worth Regional Director David Woodcock to Leave SEC 2015-72
April 20, 2015 SEC Charges BlackRock Advisors With Failing to Disclose Conflict of Interest to Clients and Fund Boards 2015-71
April 17, 2015 SEC Announces Agenda for May 13 Meeting of the Equity Market Structure Advisory Committee 2015-70
April 16, 2015 SEC Charges 10 Individuals in Scheme to Sell Stock in Blank Check Companies Secretly Bound for Reverse Mergers 2015-69
April 16, 2015 SEC Charges New York-Based Financial Advisor With Stealing $20 Million From Customers 2015-68
April 15, 2015 SEC Staff and FINRA Issue Report on National Senior Investor Initiative 2015-67
April 14, 2015 SEC Halts Investment Scheme Targeting Military Personnel 2015-66
April 9, 2015 SEC Announces Fraud Charges Against Former Accounting Executive at Japanese Subsidiary 2015-65
April 9, 2015 SEC Names Marc Wyatt as Acting Director of the Office of Compliance Inspections and Examinations 2015-64
April 9, 2015 SEC Halts Microcap Scheme in South Florida 2015-63
April 8, 2015 SEC Charges Oregon-Based Defense Contractor With FCPA Violations 2015-62
April 8, 2015 Gregg E. Berman, Associate Director in the Division of Trading and Markets, to Leave SEC 2015-61
April 7, 2015 SEC Charges L.A.-Based Pacific West Capital Group With Fraud in Sale of Life Settlement Investments 2015-60
April 7, 2015 OCIE Director Andrew Bowden to Leave SEC 2015-59
April 7, 2015 SEC Obtains Asset Freeze in Ponzi Scheme Involving Loans to Professional Athletes 2015-58
April 6, 2015 SEC Charges Firms and Individuals for Defrauding Investors in Cellular Licensing Scheme 2015-57
April 2, 2015 SEC Charges Friends With Insider Trading on Acquisition of Cooper Tire 2015-56
April 1, 2015 SEC Charges North Carolina Executive With Fraud 2015-55
April 1, 2015 SEC: Companies Cannot Stifle Whistleblowers in Confidentiality Agreements 2015-54
March 31, 2015 SEC Charges Former Polycom CEO With Hiding Perks From Investors 2015-53
March 30, 2015 SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From Investors 2015-52
March 27, 2015 SEC Charges New York-Based Brokerage Firm With Faulty Underwriting of Public Offering by China-Based Company 2015-51
March 26, 2015 SEC Charges Nearly Two Dozen Unregistered Broker-Dealers 2015-50
March 25, 2015 SEC Adopts Rules to Facilitate Smaller Companies’ Access to Capital 2015-49
March 25, 2015 SEC Proposes Rule to Require Broker-Dealers Active in Off-Exchange Market to Become Members of National Securities Association 2015-48
March 13, 2015 Corporate Insiders Charged for Failing to Update Disclosures Involving “Going Private” Transactions 2015-47
March 4, 2015 SEC Charges Texas-Based Brokerage Firm With Violating Supervisory and Customer Protection Rules 2015-46
March 2, 2015 Former Company Officer Earns Half-Million Dollar Whistleblower Award for Reporting Fraud Case to SEC 2015-45
March 2, 2015 SEC Suspends Trading in 128 Dormant Shell Companies to Put Them Out of Reach of Microcap Fraudsters 2015-44
Feb. 27, 2015 SEC Halts Ponzi-Like Scheme by Purported Venture Capital Fund Manager in Buffalo 2015-43
Feb. 27, 2015 Fee Rate Advisory #4 for Fiscal Year 2015 2015-42
Feb. 27, 2015 SEC Announces Agenda for March 4 Meeting of the Advisory Committee on Small and Emerging Companies 2015-41
Feb. 26, 2015 Readout of SEC Chair Mary Jo White’s Meeting with European Union Financial Services Commissioner Jonathan Hill 2015-40
Feb. 26, 2015 SEC Salt Lake Office Director Karen Martinez to Retire From Public Service 2015-39
Feb. 24, 2015 SEC Charges Goodyear With FCPA Violations 2015-38
Feb. 19, 2015 SEC Charges Brothers-in-Law in Louisiana With Insider Trading 2015-37
Feb. 19, 2015 SEC Charges New York-Based Brokerage Firm and CEO With Committing Fraud During CDO Liquidation Auctions 2015-36
Feb. 18, 2015 SEC Halts Colorado-Based Pyramid Scheme 2015-35
Feb. 13, 2015 SEC Announces Fraud Charges Against Purported Hedge Fund Manager 2015-34
Feb. 12, 2015 Pamela C. Dyson Named SEC Chief Information Officer 2015-33
Feb. 12, 2015 SEC Announces Agenda, Panelists for Proxy Voting Roundtable 2015-32
Feb. 12, 2015 SEC Charges Mutual Fund Adviser in Connection With Improper Handling of Fund Assets 2015-31
Feb. 11, 2015 Heather Seidel Named Chief Counsel in SEC’s Division of Trading and Markets 2015-30
Feb. 11, 2015 SEC Announces Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender Offer 2015-29
Feb. 10, 2015 SEC Announces Half-Million Dollar Clawback from CFOs of Silicon Valley Company That Committed Accounting Fraud 2015-28
Feb. 10, 2015 SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme 2015-27
Feb. 9, 2015 SEC Proposes Rules for Hedging Disclosure 2015-26
Feb. 6, 2015 SEC Imposes Sanctions Against China-Based Members of Big Four Accounting Networks for Refusing to Produce Documents 2015-25
Feb. 5, 2015 SEC Charges Chicago-Area Alternative Energy Company for Accounting and Disclosure Violations 2015-24
Feb. 5, 2015 SEC Charges Four in California Insider Trading Ring 2015-23
Feb. 4, 2015 SEC Approves 2015 PCAOB Budget and Accounting Support Fee 2015-22
Feb. 3, 2015 SEC Names David Grim as Acting Director of the Division of Investment Management 2015-21
Feb. 3, 2015 SEC Alerts Investors, Industry on Cybersecurity 2015-20
Jan. 30, 2015 SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting 2015-19
Jan. 29, 2015 SEC Charges Stock-Based Lender With Selling Billions of Penny Stock Shares as Unregistered Broker-Dealer 2015-18
Jan. 29, 2015 Robert E. Rice, Chief Counsel to SEC Chair, to Leave SEC 2015-17
Jan. 28, 2015 SEC Names Erin Schneider as Associate Regional Director in San Francisco Office 2015-16
Jan. 27, 2015 SEC to Hold Roundtable on Proxy Voting 2015-15
Jan. 27, 2015 SEC Charges Oppenheimer With Securities Law Violations Related to Improper Penny Stock Sales 2015-14
Jan. 22, 2015 SEC Charges Former Executive at Tampa-Based Engineering Firm With FCPA Violations 2015-13
Jan. 21, 2015 SEC Charges Investment Adviser and Manager in South Florida-Based Fraud 2015-12
Jan. 21, 2015 Investment Management Director Norm Champ to Leave SEC 2015-11
Jan. 21, 2015 SEC Announces Charges Against Standard & Poor’s for Fraudulent Ratings Misconduct 2015-10
Jan. 15, 2015 SEC Announces Charges Against Attorneys and Auditors in Microcap Scheme Involving Purported Mining Companies 2015-9
Jan. 15, 2015 Fee Rate Advisory #3 for Fiscal Year 2015 2015-8
Jan. 15, 2015 SEC Charges UBS Subsidiary With Disclosure Violations and Other Regulatory Failures in Operating Dark Pool 2015-7
Jan. 14, 2015 SEC Adopts Rules to Increase Transparency in Security-Based Swap Market 2015-6
Jan. 13, 2015 SEC Announces Members of New Equity Market Structure Advisory Committee 2015-5
Jan. 13, 2015 SEC Charges Canadian Man With Conducting Fraudulent Trading Scheme 2015-4
Jan. 13, 2015 SEC Announces 2015 Examination Priorities 2015-3
Jan. 12, 2015 SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types 2015-2
Jan. 8, 2015 SEC Names Walter Jospin as Regional Director of Atlanta Office 2015-1
Dec. 30, 2014 SEC Announces Program to Facilitate Analysis of Corporate Financial Data 2014-295
Dec. 29, 2014 SEC Announces Charges Against N.Y.-Based Firm and Three Executives Accused of Siphoning Investor Money 2014-294
Currently only the first 100 results are displayed. To view more results please select a filter.
Subscribe RSS Subscribe

Last Updated

Date: May 20, 2015

Title: SEC Names Rebecca Olsen Deputy Director of Municipal Securities Office

Release No. 2015-97

Date: May 20, 2015

Title: SEC Names Jessica Kane Director of Municipal Securities Office

Release No. 2015-96

Date: May 20, 2015

Title: SEC Charges Brokerage Firm Co-Owners With Defrauding Investors

Release No. 2015-94

Date: May 20, 2015

Title: SEC Charges BHP Billiton With Violating FCPA at Olympic Games

Release No. 2015-93

Date: May 19, 2015

Title: SEC Chief of Staff Lona Nallengara to Leave Agency

Release No. 2015-92

Date: May 14, 2015

Title: SEC Charges Father and Son in $1.1 Million Insider Trading Scheme

Release No. 2015-90

Date: May 14, 2015

Title: SEC Charges Nationwide Life Insurance Company With Pricing Violations

Release No. 2015-89

Date: May 14, 2015

Title: SEC Names Wesley R. Bricker as Deputy Chief Accountant

Release No. 2015-88

Date: May 14, 2015

Title: Deputy Chief Accountant Dan Murdock to Leave SEC

Release No. 2015-87

Date: May 12, 2015

Title: SEC Announces Fraud Charges Against ITT Educational Services

Release No. 2015-86

Date: May 11, 2015

Title: SEC Sues Retirement Planners for Making False Claims to Investors

Release No. 2015-85

Date: May 8, 2015

Title: David Grim Named as Director of the Division of Investment Management

Release No. 2015-83

Date: May 6, 2015

Title: SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies

Release No. 2015-82

Date: April 28, 2015

Title: SEC Announces Award to Whistleblower in First Retaliation Case

Release No. 2015-75

Date: April 22, 2015

Title: SEC Charges Issuer for Failing to Make Public Filings

Release No. 2015-74

Date: April 22, 2015

Title: SEC Announces Million-Dollar Whistleblower Award to Compliance Officer

Release No. 2015-73

Date: April 20, 2015

Title: Fort Worth Regional Director David Woodcock to Leave SEC

Release No. 2015-72

Date: April 15, 2015

Title: SEC Staff and FINRA Issue Report on National Senior Investor Initiative

Release No. 2015-67

Date: April 14, 2015

Title: SEC Halts Investment Scheme Targeting Military Personnel

Release No. 2015-66

Date: April 9, 2015

Title: SEC Halts Microcap Scheme in South Florida

Release No. 2015-63

Date: April 8, 2015

Title: SEC Charges Oregon-Based Defense Contractor With FCPA Violations

Release No. 2015-62

Date: April 7, 2015

Title: OCIE Director Andrew Bowden to Leave SEC

Release No. 2015-59

Date: April 2, 2015

Title: SEC Charges Friends With Insider Trading on Acquisition of Cooper Tire

Release No. 2015-56

Date: April 1, 2015

Title: SEC Charges North Carolina Executive With Fraud

Release No. 2015-55

Date: April 1, 2015

Title: SEC: Companies Cannot Stifle Whistleblowers in Confidentiality Agreements

Release No. 2015-54

Date: March 31, 2015

Title: SEC Charges Former Polycom CEO With Hiding Perks From Investors

Release No. 2015-53

Date: March 26, 2015

Title: SEC Charges Nearly Two Dozen Unregistered Broker-Dealers

Release No. 2015-50

Date: March 25, 2015

Title: SEC Adopts Rules to Facilitate Smaller Companies’ Access to Capital

Release No. 2015-49

Date: Feb. 27, 2015

Title: Fee Rate Advisory #4 for Fiscal Year 2015

Release No. 2015-42

Date: Feb. 24, 2015

Title: SEC Charges Goodyear With FCPA Violations

Release No. 2015-38

Date: Feb. 19, 2015

Title: SEC Charges Brothers-in-Law in Louisiana With Insider Trading

Release No. 2015-37

Date: Feb. 18, 2015

Title: SEC Halts Colorado-Based Pyramid Scheme

Release No. 2015-35

Date: Feb. 13, 2015

Title: SEC Announces Fraud Charges Against Purported Hedge Fund Manager

Release No. 2015-34

Date: Feb. 12, 2015

Title: Pamela C. Dyson Named SEC Chief Information Officer

Release No. 2015-33

Date: Feb. 12, 2015

Title: SEC Announces Agenda, Panelists for Proxy Voting Roundtable

Release No. 2015-32

Date: Feb. 10, 2015

Title: SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme

Release No. 2015-27

Date: Feb. 9, 2015

Title: SEC Proposes Rules for Hedging Disclosure

Release No. 2015-26

Date: Feb. 5, 2015

Title: SEC Charges Four in California Insider Trading Ring

Release No. 2015-23

Date: Feb. 4, 2015

Title: SEC Approves 2015 PCAOB Budget and Accounting Support Fee

Release No. 2015-22

Date: Feb. 3, 2015

Title: SEC Alerts Investors, Industry on Cybersecurity

Release No. 2015-20

Date: Jan. 29, 2015

Title: Robert E. Rice, Chief Counsel to SEC Chair, to Leave SEC

Release No. 2015-17

Date: Jan. 27, 2015

Title: SEC to Hold Roundtable on Proxy Voting

Release No. 2015-15

Date: Jan. 21, 2015

Title: SEC Charges Investment Adviser and Manager in South Florida-Based Fraud

Release No. 2015-12

Date: Jan. 21, 2015

Title: Investment Management Director Norm Champ to Leave SEC

Release No. 2015-11

Date: Jan. 15, 2015

Title: Fee Rate Advisory #3 for Fiscal Year 2015

Release No. 2015-8

Date: Jan. 14, 2015

Title: SEC Adopts Rules to Increase Transparency in Security-Based Swap Market

Release No. 2015-6

Date: Jan. 13, 2015

Title: SEC Charges Canadian Man With Conducting Fraudulent Trading Scheme

Release No. 2015-4

Date: Jan. 13, 2015

Title: SEC Announces 2015 Examination Priorities

Release No. 2015-3

Date: Jan. 8, 2015

Title: SEC Names Walter Jospin as Regional Director of Atlanta Office

Release No. 2015-1

Date: Dec. 30, 2014

Title: SEC Announces Program to Facilitate Analysis of Corporate Financial Data

Release No. 2014-295

Currently only the first 100 results are displayed. To view more results please select a filter.