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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.
 
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Date Title Release No.
May 4, 2016 SEC Charges Unregistered Brokers with Pocketing Investor Money 2016-82
May 3, 2016 SEC Adopts Amendments to Implement JOBS Act and FAST Act Changes for Exchange Act Registration Requirements 2016-81
May 3, 2016 SEC and Law Enforcement Partners Crack Stock Promotion and Kickback Schemes 2016-80
May 2, 2016 Silicon Valley Executive Settles Insider Trading Charges 2016-79
April 29, 2016 SEC: Accounting Firm, Partner Conducted Deficient Surprise Exams 2016-78
April 27, 2016 SEC Seeks Public Comment on Plan to Create A Consolidated Audit Trail 2016-77
April 21, 2016 SEC Announces Agenda for April 26 Meeting of the Equity Market Structure Advisory Committee 2016-76
April 21, 2016 SEC Issues Order Modifying and Extending the Pilot Period for the National Market System Plan to Address Extraordinary Market Volatility 2016-75
April 19, 2016 SEC Announces Financial Fraud Cases 2016-74
April 18, 2016 SEC Offers Online Tool to Help Companies Estimate Registration Fees 2016-73
April 15, 2016 SEC Charges Litigation Marketing Company With Bilking Retirees 2016-72
April 15, 2016 SEC Adopts Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants 2016-71
April 15, 2016 SEC Solicits Public Comment on Business and Financial Disclosure Requirements in Regulation S-K 2016-70
April 14, 2016 SEC Case Freezes Assets of Ski Resort Steeped in Fraudulent EB-5 Offerings 2016-69
April 14, 2016 SEC: Town Officials in New York Hid Financial Troubles From Bond Investors 2016-68
April 13, 2016 SEC: Research Analyst Is Insider Trading in Mother’s Brokerage Account 2016-67
April 11, 2016 Marshall Sprung, Co-Chief of Asset Management Unit, to Leave SEC After 13 Years of Service 2016-66
April 11, 2016 SEC: Company Misled Investors About Energy-Efficient Technology 2016-65
April 7, 2016 Las Vegas Sands Paying Penalty for FCPA Violations 2016-64
April 4, 2016 SEC Charges Four in Fraudulent “Free Dinner” Scheme 2016-63
March 31, 2016 SEC: Navistar International and Former CEO Misled Investors About Advanced Technology Engine 2016-62
March 30, 2016 SEC: Biotech Venture Capitalist Stole Investor Funds for Personal Use 2016-61
March 29, 2016 Former TV Commentator Settles Penny Stock Fraud Charges 2016-60
March 29, 2016 SEC: Biotech Company Misled Investors About New Drug's Status With FDA 2016-59
March 28, 2016 Securities Professional Charged With Defrauding Institutional Investors 2016-58
March 25, 2016 SEC Halts Fraud by Manager of Investments in Pre-IPO Companies 2016-57
March 21, 2016 Keith E. Cassidy Named Director of Legislative and Intergovernmental Affairs Office 2016-56
March 15, 2016 SEC Charges Operator of Ponzi Scheme That Claimed to Offer “Bridge Loans” to Jamaican Businesses 2016-55
March 15, 2016 Municipal Advisor Charged for Failing to Disclose Conflict 2016-54
March 14, 2016 SEC Charges Microcap Company CEO for Touting Bogus “Clean Energy” Contracts With Foreign Governments 2016-53
March 14, 2016 AIG Affiliates Charged With Mutual Fund Shares Conflicts 2016-52
March 14, 2016 SEC Approves 2016 PCAOB Budget and Accounting Support Fee 2016-51
March 11, 2016 SEC: California Businessman Attempted Cover Up of Stolen Investor Funds 2016-50
March 10, 2016 SEC Charges Oregon-Based Investment Group and Executives With Defrauding Investors 2016-49
March 10, 2016 SEC Charges Company and Executives for Faulty Evaluations of Internal Controls 2016-48
March 10, 2016 Anthony Kelly Named Co-Chief of Asset Management Unit 2016-47
March 9, 2016 SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers 2016-46
March 9, 2016 SEC: Tech Company Misled Investors About Key Product 2016-45
March 9, 2016 Insider Traders Returning Illegal Profits and Kickbacks 2016-44
March 9, 2016 California Water District to Pay Penalty for Misleading Investors 2016-43
March 9, 2016 Money Returning to Investors Harmed by Unregistered Broker 2016-42
March 8, 2016 SEC Awarding Nearly $2 Million to Three Whistleblowers 2016-41
March 8, 2016 SEC Announces Charges Against Unregistered Fund Manager Accused of Hiding Criminal Past 2016-40
March 8, 2016 Robert M. Fisher Named Managing Executive of the Office of Compliance Inspections and Examinations 2016-39
March 8, 2016 SEC Announces Creation of Office of Risk and Strategy for its National Exam Program 2016-38
March 7, 2016 SEC Charges Rhode Island Agency and Wells Fargo With Fraud in 38 Studios Bond Offering 2016-37
March 1, 2016 SEC: Qualcomm Hired Relatives of Chinese Officials to Obtain Business 2016-36
Feb. 25, 2016 Fee Rate Advisory #4 for Fiscal Year 2016 2016-35
Feb. 18, 2016 VimpelCom to Pay $795 Million in Global Settlement for FCPA Violations 2016-34
Feb. 17, 2016 Daniel Kahl Named as Chief Counsel of National Exam Program 2016-33
Feb. 17, 2016 SEC Charges Biopesticide Company and Former Executive With Accounting Fraud 2016-32
Feb. 17, 2016 SEC Announces Agenda for February 25 Meeting of the Advisory Committee on Small and Emerging Companies 2016-31
Feb. 17, 2016 SEC: Deutsche Bank Analyst Issued Stock Rating Inconsistent With Personal View 2016-30
Feb. 16, 2016 SEC: Tech Company Bribed Chinese Officials 2016-29
Feb. 11, 2016 SEC: California Man Sold Investors Phony Stock to Pay Gambling Debts 2016-28
Feb. 10, 2016 SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S. 2016-27
Feb. 9, 2016 SEC Names C. Dabney O’Riordan and Alka Patel as Associate Regional Directors in Los Angeles Office 2016-26
Feb. 9, 2016 Monsanto Paying $80 Million Penalty for Accounting Violations 2016-25
Feb. 5, 2016 SEC Charges Company Executive With Insider Trading 2016-24
Feb. 4, 2016 SEC: Miami Firm Broke Anti-Money Laundering Protocols 2016-23
Feb. 4, 2016 SEC Announces Advisory Committee on Small and Emerging Companies Members 2016-22
Feb. 3, 2016 SEC Charges Lending Company and Brokerage Firm With Fraud 2016-21
Feb. 3, 2016 SEC Names Jane Jarcho as Deputy Director of National Exam Program 2016-20
Feb. 2, 2016 SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers 2016-19
Feb. 2, 2016 SEC Completes Muni-Underwriter Enforcement Sweep 2016-18
Feb. 1, 2016 SEC Charges Software Company With FCPA Violations 2016-17
Jan. 31, 2016 Barclays, Credit Suisse Charged With Dark Pool Violations 2016-16
Jan. 29, 2016 SEC Announces Agenda for February 2 Meeting of the Equity Market Structure Advisory Committee 2016-15
Jan. 28, 2016 Hedge Fund Manager Agrees to Reimburse Investor Losses 2016-14
Jan. 20, 2016 Ocwen Paying Penalty for Misstated Financial Results 2016-13
Jan. 20, 2016 Susan Nash, Associate Director in Division of Investment Management, to Leave SEC After 26 Years of Service 2016-12
Jan. 19, 2016 SEC: Alternative Fund Manager Overcharged Fees, Misled Investors 2016-11
Jan. 15, 2016 SEC Awards Whistleblower More Than $700,000 for Detailed Analysis 2016-10
Jan. 14, 2016 SEC Charges Goldman Sachs With Improper Securities Lending Practices 2016-9
Jan. 14, 2016 SEC Charges State Street for Pay-to-Play Scheme 2016-8
Jan. 13, 2016 SEC Charges 11 Bank Officers and Directors With Fraud 2016-7
Jan. 13, 2016 SEC Adopts Rules Implementing FAST Act Provisions 2016-6
Jan. 11, 2016 Julie M. Riewe, Co-Chief of Asset Management Unit, to Leave SEC After 10 Years of Service 2016-5
Jan. 11, 2016 SEC Announces 2016 Examination Priorities 2016-4
Jan. 8, 2016 Steven A. Cohen Barred From Supervisory Hedge Fund Role 2016-3
Jan. 7, 2016 Fee Rate Advisory #3 for Fiscal Year 2016 2016-2
Jan. 6, 2016 SEC: J.P. Morgan Misled Customers on Broker Compensation 2016-1
Dec. 28, 2015 Traders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case 2015-290
Dec. 28, 2015 SEC Issues Annual Staff Reports on Credit Rating Agencies 2015-289
Dec. 22, 2015 SEC Seeks Public Comment on Transfer Agent Rules 2015-288
Dec. 22, 2015 Morgan Stanley Settles Charges in “Parking” Scheme 2015-287
Dec. 21, 2015 SEC Charges Financial Advisor in Market Manipulation Case 2015-286
Dec. 18, 2015 Convicted Fraudster Using Aliases Charged Again for Defrauding Investors 2015-285
Dec. 18, 2015 SEC Issues Staff Report on Accredited Investor Definition 2015-284
Dec. 18, 2015 J.P. Morgan to Pay $267 Million for Disclosure Failures 2015-283
Dec. 17, 2015 SEC Charges Martin Shkreli With Fraud 2015-282
Dec. 16, 2015 SEC: Hedge Fund Adviser Lied to Investors 2015-281
Dec. 15, 2015 SEC Announces Fraud Charges Against Investment Adviser 2015-280
Dec. 15, 2015 SEC Files Charges in Multi-Million Dollar Market Manipulation 2015-279
Dec. 11, 2015 SEC: Sports Team Offering Is A Penny Stock Fraud 2015-278
Dec. 11, 2015 SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act 2015-277
Dec. 11, 2015 SEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies 2015-276
Dec. 10, 2015 SEC Suspends Public Accountants for Bad Auditing 2015-275
Dec. 7, 2015 SEC: Lawyers Offered EB-5 Investments as Unregistered Brokers 2015-274
Dec. 3, 2015 SEC Announces Charges for Spoofing and Order Mismarking 2015-273
Currently only the first 100 results are displayed. To view more results please select a filter.
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Date: May 4, 2016

Title: SEC Charges Unregistered Brokers with Pocketing Investor Money

Release No. 2016-82

Date: May 2, 2016

Title: Silicon Valley Executive Settles Insider Trading Charges

Release No. 2016-79

Date: April 29, 2016

Title: SEC: Accounting Firm, Partner Conducted Deficient Surprise Exams

Release No. 2016-78

Date: April 27, 2016

Title: SEC Seeks Public Comment on Plan to Create A Consolidated Audit Trail

Release No. 2016-77

Date: April 19, 2016

Title: SEC Announces Financial Fraud Cases

Release No. 2016-74

Date: April 18, 2016

Title: SEC Offers Online Tool to Help Companies Estimate Registration Fees

Release No. 2016-73

Date: April 15, 2016

Title: SEC Charges Litigation Marketing Company With Bilking Retirees

Release No. 2016-72

Date: April 14, 2016

Title: SEC Case Freezes Assets of Ski Resort Steeped in Fraudulent EB-5 Offerings

Release No. 2016-69

Date: April 14, 2016

Title: SEC: Town Officials in New York Hid Financial Troubles From Bond Investors

Release No. 2016-68

Date: April 13, 2016

Title: SEC: Research Analyst Is Insider Trading in Mother’s Brokerage Account

Release No. 2016-67

Date: April 11, 2016

Title: SEC: Company Misled Investors About Energy-Efficient Technology

Release No. 2016-65

Date: April 7, 2016

Title: Las Vegas Sands Paying Penalty for FCPA Violations

Release No. 2016-64

Date: April 4, 2016

Title: SEC Charges Four in Fraudulent “Free Dinner” Scheme

Release No. 2016-63

Date: March 30, 2016

Title: SEC: Biotech Venture Capitalist Stole Investor Funds for Personal Use

Release No. 2016-61

Date: March 29, 2016

Title: Former TV Commentator Settles Penny Stock Fraud Charges

Release No. 2016-60

Date: March 29, 2016

Title: SEC: Biotech Company Misled Investors About New Drug's Status With FDA

Release No. 2016-59

Date: March 28, 2016

Title: Securities Professional Charged With Defrauding Institutional Investors

Release No. 2016-58

Date: March 25, 2016

Title: SEC Halts Fraud by Manager of Investments in Pre-IPO Companies

Release No. 2016-57

Date: March 15, 2016

Title: Municipal Advisor Charged for Failing to Disclose Conflict

Release No. 2016-54

Date: March 14, 2016

Title: AIG Affiliates Charged With Mutual Fund Shares Conflicts

Release No. 2016-52

Date: March 14, 2016

Title: SEC Approves 2016 PCAOB Budget and Accounting Support Fee

Release No. 2016-51

Date: March 11, 2016

Title: SEC: California Businessman Attempted Cover Up of Stolen Investor Funds

Release No. 2016-50

Date: March 10, 2016

Title: Anthony Kelly Named Co-Chief of Asset Management Unit

Release No. 2016-47

Date: March 9, 2016

Title: SEC: Tech Company Misled Investors About Key Product

Release No. 2016-45

Date: March 9, 2016

Title: Insider Traders Returning Illegal Profits and Kickbacks

Release No. 2016-44

Date: March 9, 2016

Title: California Water District to Pay Penalty for Misleading Investors

Release No. 2016-43

Date: March 9, 2016

Title: Money Returning to Investors Harmed by Unregistered Broker

Release No. 2016-42

Date: March 8, 2016

Title: SEC Awarding Nearly $2 Million to Three Whistleblowers

Release No. 2016-41

Date: March 1, 2016

Title: SEC: Qualcomm Hired Relatives of Chinese Officials to Obtain Business

Release No. 2016-36

Date: Feb. 25, 2016

Title: Fee Rate Advisory #4 for Fiscal Year 2016

Release No. 2016-35

Date: Feb. 18, 2016

Title: VimpelCom to Pay $795 Million in Global Settlement for FCPA Violations

Release No. 2016-34

Date: Feb. 17, 2016

Title: Daniel Kahl Named as Chief Counsel of National Exam Program

Release No. 2016-33

Date: Feb. 16, 2016

Title: SEC: Tech Company Bribed Chinese Officials

Release No. 2016-29

Date: Feb. 11, 2016

Title: SEC: California Man Sold Investors Phony Stock to Pay Gambling Debts

Release No. 2016-28

Date: Feb. 9, 2016

Title: Monsanto Paying $80 Million Penalty for Accounting Violations

Release No. 2016-25

Date: Feb. 5, 2016

Title: SEC Charges Company Executive With Insider Trading

Release No. 2016-24

Date: Feb. 4, 2016

Title: SEC: Miami Firm Broke Anti-Money Laundering Protocols

Release No. 2016-23

Date: Feb. 4, 2016

Title: SEC Announces Advisory Committee on Small and Emerging Companies Members

Release No. 2016-22

Date: Feb. 3, 2016

Title: SEC Charges Lending Company and Brokerage Firm With Fraud

Release No. 2016-21

Date: Feb. 3, 2016

Title: SEC Names Jane Jarcho as Deputy Director of National Exam Program

Release No. 2016-20

Date: Feb. 2, 2016

Title: SEC Completes Muni-Underwriter Enforcement Sweep

Release No. 2016-18

Date: Feb. 1, 2016

Title: SEC Charges Software Company With FCPA Violations

Release No. 2016-17

Date: Jan. 31, 2016

Title: Barclays, Credit Suisse Charged With Dark Pool Violations

Release No. 2016-16

Date: Jan. 28, 2016

Title: Hedge Fund Manager Agrees to Reimburse Investor Losses

Release No. 2016-14

Date: Jan. 20, 2016

Title: Ocwen Paying Penalty for Misstated Financial Results

Release No. 2016-13

Date: Jan. 19, 2016

Title: SEC: Alternative Fund Manager Overcharged Fees, Misled Investors

Release No. 2016-11

Date: Jan. 15, 2016

Title: SEC Awards Whistleblower More Than $700,000 for Detailed Analysis

Release No. 2016-10

Date: Jan. 14, 2016

Title: SEC Charges Goldman Sachs With Improper Securities Lending Practices

Release No. 2016-9

Date: Jan. 14, 2016

Title: SEC Charges State Street for Pay-to-Play Scheme

Release No. 2016-8

Date: Jan. 13, 2016

Title: SEC Charges 11 Bank Officers and Directors With Fraud

Release No. 2016-7

Date: Jan. 13, 2016

Title: SEC Adopts Rules Implementing FAST Act Provisions

Release No. 2016-6

Date: Jan. 11, 2016

Title: SEC Announces 2016 Examination Priorities

Release No. 2016-4

Date: Jan. 8, 2016

Title: Steven A. Cohen Barred From Supervisory Hedge Fund Role

Release No. 2016-3

Date: Jan. 7, 2016

Title: Fee Rate Advisory #3 for Fiscal Year 2016

Release No. 2016-2

Date: Jan. 6, 2016

Title: SEC: J.P. Morgan Misled Customers on Broker Compensation

Release No. 2016-1

Date: Dec. 28, 2015

Title: SEC Issues Annual Staff Reports on Credit Rating Agencies

Release No. 2015-289

Date: Dec. 22, 2015

Title: SEC Seeks Public Comment on Transfer Agent Rules

Release No. 2015-288

Date: Dec. 22, 2015

Title: Morgan Stanley Settles Charges in “Parking” Scheme

Release No. 2015-287

Date: Dec. 21, 2015

Title: SEC Charges Financial Advisor in Market Manipulation Case

Release No. 2015-286

Date: Dec. 18, 2015

Title: Convicted Fraudster Using Aliases Charged Again for Defrauding Investors

Release No. 2015-285

Date: Dec. 18, 2015

Title: SEC Issues Staff Report on Accredited Investor Definition

Release No. 2015-284

Date: Dec. 18, 2015

Title: J.P. Morgan to Pay $267 Million for Disclosure Failures

Release No. 2015-283

Date: Dec. 17, 2015

Title: SEC Charges Martin Shkreli With Fraud

Release No. 2015-282

Date: Dec. 16, 2015

Title: SEC: Hedge Fund Adviser Lied to Investors

Release No. 2015-281

Date: Dec. 15, 2015

Title: SEC Announces Fraud Charges Against Investment Adviser

Release No. 2015-280

Date: Dec. 15, 2015

Title: SEC Files Charges in Multi-Million Dollar Market Manipulation

Release No. 2015-279

Date: Dec. 11, 2015

Title: SEC: Sports Team Offering Is A Penny Stock Fraud

Release No. 2015-278

Date: Dec. 11, 2015

Title: SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act

Release No. 2015-277

Date: Dec. 10, 2015

Title: SEC Suspends Public Accountants for Bad Auditing

Release No. 2015-275

Date: Dec. 7, 2015

Title: SEC: Lawyers Offered EB-5 Investments as Unregistered Brokers

Release No. 2015-274

Date: Dec. 3, 2015

Title: SEC Announces Charges for Spoofing and Order Mismarking

Release No. 2015-273

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