| Release No. |
Date |
Title |
2004
|
| 2004-96 |
Jul. 21, 2004 |
SEC Extends Comment Period for Proposed Regulation B, Provisions Implementing Gramm-Leach-Bliley Bank Broker Rules |
| 2004-95 |
Jul. 14, 2004 |
SEC Votes to Propose Requirement that Hedge Fund Advisers Register Under Investment Advisers Act |
| 2004-94 |
Jul. 8, 2004 |
SEC Charges Kenneth L. Lay, Enron's Former Chairman and Chief Executive Officer, with Fraud and Insider Trading |
| 2004-93 |
Jul. 2, 2004 |
Statement of the Commission Regarding EasyLink Services Corporation |
| 2004-92 |
Jul. 1, 2004 |
Charles Fishkin Named Director of SEC's New Office of Risk Assessment; Director to Coordinate Initiative Launched by Chairman in 2003 |
| 2004-91 |
Jul. 1, 2004 |
SEC Releases Staff Report on Transactions in Municipal Securities |
| 2004-90 |
Jun. 29, 2004 |
Banc One Investment Advisors Corporation Agrees to Pay $50 Million To Settle SEC Fraud Charges For Market-Timing Abuses |
| 2004-89 |
Jun. 24, 2004 |
SEC Staff to Publicly Release Comment Letters and Responses
Comments received are available for this proposal.
 Click to submit comments on S7-28-04 |
| 2004-88 |
Jun. 24, 2004 |
SEC Settles Insider Trading Matter Against Former FleetBoston Employee |
| 2004-87 |
Jun. 23, 2004 |
SEC Adopts Changes to Short Sale Rules, Disclosures Regarding Advisory Contract Approval and Investment Company Governance Provisions |
| 2004-86 |
Jun. 23, 2004 |
Gemstar-TV Guide International Agrees to Settle SEC Enforcement Action Charging the Company with Overstating Its Revenues |
| 2004-85 |
Jun. 21, 2004 |
SEC Cancels Registrations of Two Broker-Dealers |
| 2004-84 |
Jun. 21, 2004 |
Pilgrim Baxter & Associates Agrees to Pay $90 Million to Settle Fraud Charges Concerning Undisclosed Market Timing |
| 2004-83 |
Jun. 18, 2004 |
SEC Approves PCAOB Auditing Standard Regarding Audits of Internal Control in Conjunction with an Audit of Financial Statements |
| 2004-82 |
Jun. 18, 2004 |
Agencies Extend Comment Period on Statement Concerning Complex Structured Finance Activities |
| 2004-81 |
Jun. 9, 2004 |
i2 Technologies, Inc. Settles Fraud Charges Involving Misstatement of Approximately $1 Billion in Revenues |
| 2004-80 |
Jun. 9, 2004 |
SEC and NASD Release Joint Staff Report on Broker-Dealer Sales of Variable Insurance Products |
| 2004-79 |
Jun. 8, 2004 |
Merri Jo Gillette Named Regional Director of the SEC's Midwest Regional Office |
| 2004-78 |
Jun. 8, 2004 |
Mark K. Schonfeld Named Regional Director of SEC's Northeast Regional Office |
| 2004-77 |
Jun. 7, 2004 |
SEC Confirms Closure of Securities Markets on June 11, 2004, to Observe National Day of Mourning for Former President Ronald W. Reagan |
| 2004-76 |
Jun. 7, 2004 |
SEC Confirms Closing on Friday, June 11, 2004, Out of Respect for Ronald W. Reagan, 40th President |
| 2004-75 |
Jun. 4, 2004 |
SEC-CESR Set Out the Shape of Future Collaboration |
| 2004-74 |
Jun. 3, 2004 |
Symbol Technologies Agrees to Settle SEC Enforcement Action Charging the Company with Accounting Fraud
|
| 2004-73 |
Jun. 2, 2004 |
SEC Votes To Propose Provisions Implementing Gramm-Leach-Bliley Bank Broker Rules
|
| 2004-72 |
May 26, 2004 |
Jeanette Lewis Named Associate Regional Director for Examinations in the SEC's Midwest Regional Office |
| 2004-71 |
May 26, 2004 |
SEC Adopts Rules on Breakpoint Disclosure and Adviser Ethics Codes, Proposes Transfer Agent Rule |
| 2004-70 |
May 26, 2004 |
Director of the SEC Office of International Affairs and the Secretary-General of the Committee Of European Securities Regulators Announce Enhanced Cooperation and Collaboration |
| 2004-69 |
May 20, 2004 |
Strong Capital Management and Founder Richard Strong Agree to Pay $140 Million to Settle Fraud Charges Concerning Undisclosed Mutual Fund Trading |
| 2004-68 |
May 18, 2004 |
Commission Announces Associate Directors in Division of Corporation Finance |
| 2004-67 |
May 17, 2004 |
Lucent Settles SEC Enforcement Action Charging the Company with $1.1 Billion Accounting Fraud |
| 2004-66 |
May 17, 2004 |
Barry Rashkover, Northeast Regional Office Associate Regional Director and Co-Head of Enforcement, to Leave Commission |
| 2004-65 |
May 14, 2004 |
Agencies Request Comment on Statement Concerning Complex Structured Finance Activities |
| 2004-64 |
May 13, 2004 |
SEC to Extend Comment Period on Regulation NMS |
| 2004-63 |
May 11, 2004 |
Eric Schuppenhauer Named as Senior Advisor to the Commission's Chief Accountant |
| 2004-62 |
May 11, 2004 |
SEC Announces Settlement with Warnaco, Former Warnaco Executives, and PwC for Financial Disclosure Violations |
| 2004-61 |
May 6, 2004 |
SEC Files Civil Fraud Charges Against the PIMCO Equity Funds' Mutual Fund Advisers, Distributor, CEO and Chairman of the Board of Trustees, and a Portfolio Manager for Undisclosed Market Timing Arrangements |
| 2004-60 |
May 3, 2004 |
Nancy Morris Named Attorney-Fellow in the Division of Investment Management |
| 2004-59 |
Apr. 30, 2004 |
Fee Rate Advisory #1 for Fiscal Year 2005 |
| 2004-58 |
Apr. 28, 2004 |
SEC Proposes Thrift Exception from Advisers Act, Comprehensive Disclosure Requirements for Asset Backed Securities; Adopts Supervision Programs for Broker-Dealers and Affiliates |
| 2004-57 |
Apr. 26, 2004 |
William Lenox Named Ethics Counsel |
| 2004-56 |
Apr. 26, 2004 |
Peter Bresnan Named Associate Director of the Division of Enforcement |
| 2004-55 |
Apr. 22, 2004 |
Jonathan Glover and Audrey Gramling Have Been Named Academic Accounting Fellows, Office of the Chief Accountant |
| 2004-54 |
Apr. 22, 2004 |
Mandated Electronic Filing of EDGAR Access Code Applications |
| 2004-53 |
Apr. 16, 2004 |
SEC Approves NASD and NYSE Business Continuity Rules |
| 2004-52 |
Apr. 15, 2004 |
SEC Announces Agenda for Public Hearing on Proposed Regulation NMS, April 21, 2004, 9:00 a.m. – 5:30 p.m. |
| 2004-51 |
Apr. 14, 2004 |
SEC Announces Fourteenth Annual International Institute |
| 2004-50 |
Apr. 13, 2004 |
SEC Adopts Fund Disclosure Rules and Foreign Bank Loan Exemption; Proposes Shell Company Rules |
| 2004-49 |
Apr. 8, 2004 |
Putnam Agrees to Pay $55 Million to Resolve SEC Enforcement Action Related to Market Timing by Portfolio Managers |
| 2004-48 |
Apr. 7, 2004 |
SEC Publishes Notice of PCAOB Standard on Wording in Audit Reports; If Approved, SEC Intends to Issue Guidance Regarding Related Requirements |
| 2004-47 |
Apr. 5, 2004 |
Matthew Well Named Public Affairs Director |
| 2004-46 |
Apr. 5, 2004 |
SEC, NASAA to Co-Sponsor Conference on Federal-State Securities Regulation |
| 2004-45 |
Mar. 31, 2004 |
Chester Spatt Named Chief Economist |
| 2004-44 |
Mar. 31, 2004 |
Mutual Fund Manager MFS Pays $50 Million Fine To Settle SEC Enforcement Action; Firm Failed To Adequately Disclose Use of Mutual Fund Brokerage Commissions To Pay for "Shelf Space" at Brokerage Firms |
| 2004-43 |
Mar. 30, 2004 |
SEC Announces Regulation NMS Public Hearings Schedule Change |
| 2004-42 |
Mar. 30, 2004 |
Settlement Reached With Five Specialist Firms for Violating Federal Securities Laws and NYSE Regulations; Firms Will Pay More Than $240 Million in Penalties and Disgorgement |
| 2004-41 |
Mar. 29, 2004 |
Walter Ricciardi Named Head of SEC's Boston District Office |
| 2004-40 |
Mar. 25, 2004 |
Commission Investor Education Plan Approved; Investor Education Organization Leaders Named |
| 2004-39 |
Mar. 19, 2004 |
Office of the Chief Accountant Selects Six Professional Accounting Fellows |
| 2004-38 |
Mar. 17, 2004 |
SEC Charges CMS Energy Corp. and Three Former CMS Executives with Fraud in Connection with Over $5 Billion in Round-Trip Energy Trades |
| 2004-37 |
Mar. 17, 2004 |
SEC Proposes Amendments to EDGAR System Rules Regarding Mandatory Identification of Investment Company Series and Classes; Additions to Mandatory Electronic Filings; and Technical Revisions |
| 2004-36 |
Mar. 17, 2004 |
SEC and CFTC Sign Memorandum of Understanding |
| 2004-35 |
Mar. 16, 2004 |
SEC Proposes Mandated Electronic Filing of EDGAR Access Code Applications |
| 2004-34 |
Mar. 15, 2004 |
SEC's Division of Enforcement Announces Agreement to Settle Civil Fraud Charges Against Fleet's Columbia Mutual Fund Adviser and Distributor for Undisclosed Market Timing |
| 2004-33 |
Mar. 15, 2004 |
SEC Reaches Agreement in Principle to Settle Charges Against Bank of America for Market Timing and Late Trading |
| 2004-32 |
Mar. 12, 2004 |
Public Hearings on Regulation NMS To Be Held on April 1 and 21, 2004 |
| 2004-31 |
Mar. 11, 2004 |
SEC Votes To Adopt Additional 8-K Requirements and To Propose Amendments to Form 20-F and Fund Manager Disclosure Requirements |
| 2004-30 |
Mar. 10, 2004 |
Enron Corp. Registers As Public Utility Holding Company |
| 2004-29 |
Mar. 10, 2004 |
SEC Brings Enforcement Action Against Banc of America Securities for Repeated Document Production Failures During a Pending Investigation; Firm Is Censured and Pays a $10 Million Penalty to Settle Charges |
| 2004-28 |
Mar. 9, 2004 |
Office of the Chief Accountant and Division of CorporationFinance Release Staff Accounting Bulletin 105 |
| 2004-27 |
Mar. 8, 2004 |
SEC Determines Agenda and Panelists for Security Holder Director Nominations Roundtable |
| 2004-26 |
Mar. 3, 2004 |
SEC Grants Extension of Intermarket Trading System De Minimis Exemption |
| 2004-25 |
Mar. 2, 2004 |
SEC Charges Scott D. Sullivan, WorldCom’s Former Chief Financial Officer, with Engaging in Multi-Billion Dollar Financial Fraud |
| 2004-24 |
Feb. 27, 2004 |
Fee Rate Advisory #8 for Fiscal Year 2004 |
| 2004-23 |
Feb. 25, 2004 |
SEC Proposes Mandatory Redemption Fees for Mutual Fund Securities |
| 2004-22 |
Feb. 24, 2004 |
SEC To Publish Regulation NMS for Public Comment |
| 2004-21 |
Feb. 24, 2004 |
Extension of Compliance Dates Regarding Internal Control Over Financial Reporting Requirements |
| 2004-20 |
Feb. 24, 2004 |
SEC Files Civil Fraud Case Against Fleet's Columbia Mutual Fund Adviser and Distributor for Multiple Undisclosed Market Timing Arrangements |
| 2004-19 |
Feb. 19, 2004 |
Securities Law Scholar To Answer Questions, Talk About New Book |
| 2004-18 |
Feb. 19, 2004 |
SEC Charges Jeffrey K. Skilling, Enron's Former President, Chief Executive Officer and Chief Operating Officer, With Fraud; Seeks disgorgement of all ill-gotten gains, including compensation; civil money penalties; a permanent bar from acting as a director or officer of a publicly held company; and injunction from future violations of federal securities laws |
| 2004-17 |
Feb. 12, 2004 |
Fifteen Firms to Pay Over $21.5 Million in Penalties to Settle SEC and NASD Breakpoints Charges |
| 2004-16 |
Feb. 11, 2004 |
SEC Adopts Enhanced Mutual Fund Expense and Portfolio Disclosure; Proposes Improved Disclosure of Board Approval of Investment Advisory Contracts and Prohibition on the Use of Brokerage Commissions to Finance Distribution |
| 2004-15 |
Feb. 9, 2004 |
Notice of Roundtable Discussion Regarding Proposed Rules Relating to Security Holder Director Nominations |
| 2004-14 |
Feb. 5, 2004 |
Massachusetts Financial Services Co. Will Pay $225 Million and Make Significant Governance and Compliance Reforms To Settle SEC Fraud Charges Concerning Mutual Fund Market Timing; MFS's Two Top Executives Prohibited From Serving as Officers or Directors of Any Investment Adviser for Three Years; Entire Amount Paid To Be Returned to Investors Harmed by Market Timing |
| 2004-13 |
Feb. 5, 2004 |
SEC and FDA Take Steps to Enhance Inter-Agency Cooperation |
| 2004-12 |
Feb. 3, 2004 |
SEC Charges Former CIBC Managing Director With Fraud for Role in Financing Unlawful Mutual Fund Trading |
| 2004-11 |
Feb. 2, 2004 |
SEC Releases FY 2005 Budget Information |
| 2004-10 |
Jan. 26, 2004 |
Fee Rate Advisory #7 for Fiscal Year 2004 (Updated) |
| 2004-9 |
Jan. 20, 2004 |
SEC Institutes Fraud Action Against Accounting Firms Grant Thornton and Doeren Mayhew and Certain of the Firms' Personnel in Connection with Their Audit of MCA Financial Corporation |
| 2004-8 |
Jan. 16, 2004 |
SEC Obtains Federal Court Order to Protect Shareholders and Preserve Corporate Assets of Hollinger International Inc. |
| 2004-7 |
Jan. 16, 2004 |
SEC Announces Selection of Andrew D. Bailey, Jr. as Deputy Chief Accountant |
| 2004-6 |
Jan. 14, 2004 |
Andrew S. Fastow, Former Enron Chief Financial Officer, Pleads Guilty, Settles Civil Fraud Charges and Agrees to Cooperate with Ongoing Investigation |
| 2004-5 |
Jan. 14, 2004 |
SEC Proposes New Investment Company Governance Requirements, New Investment Adviser Codes of Ethics Requirements, and New Confirmation and Point of Sale Disclosure Requirements |
| 2004-4 |
Jan. 14, 2004 |
R. Corey Booth Selected as Director of Office of Information Technology |
| 2004-3 |
Jan. 8, 2004 |
SEC Authorizes Formal Investigation of Matters Raised in Webb Report |
| 2004-2 |
Jan. 7, 2004 |
SEC Sues 10 Defendants for Securities Fraud Arising From $700 Million Round-Tripping Scheme at Suprema Specialties; Defendants Include Former Suprema Executives and Several Suprema Customers and Vendors Who Participated in the Multi-Year Scheme |
| 2004-1 |
Jan. 5, 2004 |
SEC Sues Three Additional Former Senior Executives of Gemstar-TV Guide for Their Part in Financial Fraud |
2003
|
| 2003-184 |
Dec. 23, 2003 |
Commission Settles Civil Fraud Action Against Vivendi Universal, S.A., Its Former CEO, Jean-Marie Messier, and Its Former CFO, Guillaume Hannezo; Company to pay $50 Million in Civil Money Penalties; Money to Go to Investors Harmed by the Fraud; Messier to Relinquish Claim to  21 Million Severance Package that Commission Escrowed in Sarbanes-Oxley Act Action; Complaint Alleges Fraud Between December 2000 and July 2002, Including False Press Releases, Improper Adjustments to Earnings, and Failure to Disclose Future Financial Commitments |
| 2003-183 |
Dec. 23, 2003 |
SEC Files Emergency Action against Security Brokerage, Inc. and Daniel Calugar for Engaging in Mutual Fund Late Trading and Market Timing Schemes |
| 2003-182 |
Dec. 23, 2003 |
SEC Halts $800 Million Investment Fraud in Orange County |
| 2003-181 |
Dec. 23, 2003 |
Federal Regulators Seek Public Comment on Ways to Improve Privacy Notices |
| 2003-180 |
Dec. 22, 2003 |
SEC Announces Agreement with Canadian Imperial Bank of Commerce and Two Executives to Settle Charges of Aiding and Abetting Enron Accounting Fraud |
| 2003-179 |
Dec. 19, 2003 |
SEC Releases Guidance Regarding MD&A |
| 2003-178 |
Dec. 19, 2003 |
SEC Chief Accountant Welcomes Actions by FASB and IASB |
| 2003-177 |
Dec. 19, 2003 |
Wayne Carlin, Northeast Regional Director, To Leave Commission |
| 2003-176 |
Dec. 18, 2003 |
Alliance Capital Management Will Pay Record $250 Million and Make Significant Governance and Compliance Reforms To Settle SEC Charges; Entire Amount Will Be Returned To Investors Who Lost Money Because of Firm's Illegal Market Timing Arrangements |
| 2003-175 |
Dec. 18, 2003 |
Statement From SEC Chairman William H. Donaldson Regarding NYSE Selection of John Thain as CEO |
| 2003-174 |
Dec. 17, 2003 |
Office of Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin 104 |
| 2003-173 |
Dec. 17, 2003 |
SEC Approves NYSE Governance Structure Changes; Proposes Mutual Fund Disclosure Rules; Solicits Comment on Fund Transaction Cost Issues |
| 2003-172 |
Dec. 15, 2003 |
SEC Brings First Failure To Supervise Action Against Principal of an Unregistered Investment Adviser to a Hedge Fund; Also Charges Hedge Fund Director of Investments With Fraud |
| 2003-171 |
Dec. 11, 2003 |
SEC Levels Fraud Charges Against Heartland Advisors, Inc., 12 Company Officials and Others for Misrepresentations, Mispricing and Insider Trading in Two High Yield Bond Funds |
| 2003-170 |
Dec. 10, 2003 |
SEC Sues Former Executives of Nicor Energy for Role in Financial Fraud |
| 2003-169 |
Dec. 4, 2003 |
SEC Charges Dallas Investment Complex and Three of its Officers with Defrauding Hundreds of Mutual Funds in Market Timing and Late Trading Scheme |
| 2003-168 |
Dec. 3, 2003 |
SEC Takes Steps to Address Late Trading, Market Timing and Related Abuses |
| 2003-167 |
Dec. 2, 2003 |
SEC Charges Invesco Funds Group, Inc. and CEO Raymond Cunningham With Fraud and Breach of Fiduciary Duty for Allowing Market Timing at Invesco Funds |
| 2003-166 |
Nov. 26, 2003 |
Elizabeth Jacobs Named Deputy Director Of Sec's Office Of International Affairs |
| 2003-165 |
Nov. 25, 2003 |
Federal and State Agencies Announce Actions Against Security Trust Company; Phoenix Bank will Undergo Orderly Dissolution and Close by March 31, 2004 |
| 2003-164 |
Nov. 25, 2003 |
SEC Charges Security Trust Company, N.A. and Three Former Executives for Facilitating Fraudulent Mutual Fund Late Trading and Market Timing Schemes |
| 2003-163 |
Nov. 24, 2003 |
Fee Rate Advisory #6 for Fiscal Year 2004 |
| 2003-162 |
Nov. 20, 2003 |
Midwest Regional Director Mary Keefe to Leave SEC |
| 2003-161 |
Nov. 20, 2003 |
Founders of PBHG Funds and Pilgrim Baxter & Associates Charged with Fraud in Connection with Market Timing of PBHG Funds |
| 2003-160 |
Nov. 19, 2003 |
SEC Adopts Rules on Disclosure of Nominating Committee Functions and Communications Between Security Holders and Boards of Directors |
| 2003-159 |
Nov. 17, 2003 |
SEC Charges Morgan Stanley With Inadequate Disclosure in Mutual Fund Sales; Morgan Stanley Pays $50 Million To Settle SEC Action |
| 2003-158 |
Nov. 14, 2003 |
SEC Announces Independent Consultants Under Global Research Analyst Settlement |
| 2003-157 |
Nov. 13, 2003 |
SEC Charges Former CEO, CFO, and Controller of Gateway, Inc. with Fraud |
| 2003-156 |
Nov. 13, 2003 |
Putnam Agrees to Make Restitution and Implement Immediate, Significant Structural Reforms in Partial Resolution of SEC Enforcement Action |
| 2003-155 |
Nov. 12, 2003 |
Former Goldman Economist Youngdahl Agrees to Fraud Injunction and $240,000 Penalty in SEC Treasury Bond Insider Trading Case |
| 2003-154 |
Nov. 7, 2003 |
Notice of Filing of Proposed NYSE Governance Changes |
| 2003-153 |
Nov. 7, 2003 |
Fee Rate Advisory #5 for Fiscal Year 2004 |
| 2003-152 |
Nov. 5, 2003 |
Peter H. Bresnan Named Acting District Administrator of SEC's Boston District Office |
| 2003-151 |
Nov. 5, 2003 |
Statement From Commission: NYSE Governance Proposal |
| 2003-150 |
Nov. 4, 2003 |
SEC Approves NYSE, NASDAQ Strengthening of Corporate Governance Standards for Listed Companies |
| 2003-149 |
Nov. 4, 2003 |
SEC Brings Fraud Charges Against Former Prudential Brokers in Connection with Market Timing of Mutual Funds |
| 2003-148 |
Nov. 3, 2003 |
Juan Marcel Marcelino to Leave District Administrator's Position in the SEC'S Boston District Office |
| 2003-147 |
Nov. 3, 2003 |
SEC and NASD Announce Actions as a Result of Findings of "Breakpoint" Overcharges on Mutual Fund Transactions |
| 2003-146 |
Oct. 31, 2003 |
Fee Rate Advisory #4 for Fiscal Year 2004 |
| 2003-145 |
Oct. 31, 2003 |
SEC Announces IOSCO Unveiling of Multilateral Agreement on Enforcement Cooperation |
| 2003-144 |
Oct. 31, 2003 |
Federal Court Approves Settlement of SEC Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking |
| 2003-143 |
Oct. 29, 2003 |
SEC Announces Fraud Charges Against Former Portfolio Manager of the Lipper Convertible Hedge Funds |
| 2003-142 |
Oct. 28, 2003 |
SEC Brings Enforcement Actions Against Putnam Investment Management LLC and Two Putnam Managing Directors for Self-Dealing in Putnam Funds |
| 2003-141 |
Oct. 23, 2003 |
Commission Reappoints Charles D. Niemeier to Public Company Accounting Oversight Board |
| 2003-140 |
Oct. 22, 2003 |
SEC Proposes Fund Subadviser and Short Sale Rules; Adopts Changes to Rule 10b-18 |
| 2003-139 |
Oct. 21, 2003 |
SEC Website Provides Information on Upcoming Outreach Events Concerning Homeland Security Issues for the Financial Sector |
| 2003-138 |
Oct. 16, 2003 |
New York AG and SEC Bring Criminal and Civil Actions Against Mutual Fund Executive |
| 2003-137 |
Oct. 10, 2003 |
Joseph Hall Named Senior Policy Fellow in the Office of the General Counsel |
| 2003-136 |
Oct. 9, 2003 |
SEC Chairman Donaldson Releases Statement Regarding Initiatives to Combat Late Trading and Market Timing of Mutual Funds |
| 2003-135 |
Oct. 9, 2003 |
SEC and U.S. Attorney Charge Computer Hacker With Fraud in Online Securities Scam; Teen Hacks Into Westborough Man's Online Brokerage Account, Places Unauthorized Buy Orders for Own Securities |
| 2003-134 |
Oct. 8, 2003 |
SEC Proposes Rules Concerning Broker-Dealer and Affiliate Supervision on a Consolidated Basis |
| 2003-133 |
Oct. 8, 2003 |
SEC Proposes Rules To Increase Proxy Access by Shareholders |
| 2003-132 |
Oct. 2, 2003 |
New York Attorney General and Securities and Exchange Commission Bring Criminal and Civil Actions Against Hedge Fund Executive; Trader Pleads Guilty to a Felony in NYAG's Action; Agrees to Lifetime Bar From Association With an Investment Adviser or Mutual Fund in SEC Action |
| 2003-131 |
Oct. 2, 2003 |
Division of Corporation Finance Selects Mary Greenawalt as Academic Accounting Fellow |
| 2003-130 |
Oct. 2, 2003 |
Kimberly Rodgers Selected as Academic Scholar in Office of Economic Analysis |
| 2003-129 |
Oct. 1, 2003 |
SEC Sues J.P. Morgan Securities Inc. for Unlawful IPO Allocation Practices J.P. Morgan Agrees to Settlement Calling for Injunction and Payment of $25 Million Penalty |
| 2003-128 |
Sep. 30, 2003 |
Fee Rate Advisory #3 for Fiscal Year 2004 |
| 2003-127 |
Sep. 30, 2003 |
Stock Manipulation Scheme Involving False Anthrax Claims Subject of SEC Enforcement Action; Included in the SEC Actions are Three Attorneys and Multiple Securities Law Recidivists; Justice Department Fraud Division Simultaneously Obtains Criminal Indictments |
| 2003-126 |
Sep. 30, 2003 |
SEC Sanctions Chicago Stock Exchange and Requires Improvement of Surveillance and Enforcement Programs |
| 2003-125 |
Sep. 29, 2003 |
SEC Chairman Donaldson Releases Staff Report on Hedge Funds |
| 2003-124 |
Sep. 26, 2003 |
SEC Issues Policy Statement on Business Continuity Planning for Trading Markets |
| 2003-123 |
Sep. 25, 2003 |
Former Ernst & Young Audit Partner Arrested for Obstruction Charges and Criminal Violations of Sarbanes-Oxley Act |
| 2003-122 |
Sep. 24, 2003 |
SEC Amends Mutual Fund Advertising Rules, Proposes New Rules and Amendments for Fund of Funds Investments |
| 2003-121 |
Sep. 21, 2003 |
Statement From SEC Chairman William H. Donaldson (on the Appointment of the NYSE Interim Chair) |
| 2003-120 |
Sep. 18, 2003 |
SEC and United States Attorney Charge Former Homestore Executives With Scheme To Inflate Advertising Revenue; SEC files charges against five former Homestore executives and the former CEO and CFO of a Homestore vendor for engaging in fraudulent round-trip transactions; Three former Homestore executives to plead guilty to criminal charges |
| 2003-119 |
Sep. 17, 2003 |
SEC Statement in Response to NYSE Announcement of Chairman Grasso's Resignation |
| 2003-118 |
Sep. 16, 2003 |
Matthew Rees Named Chief Speechwriter and Senior Adviser to SEC Chairman Donaldson |
| 2003-117 |
Sep. 16, 2003 |
Attorney General Spitzer and Securities and Exchange Commission File Charges Against Bank of America Broker |
| 2003-116 |
Sep. 15, 2003 |
Fee Rate Advisory #2 for Fiscal Year 2004 |
| 2003-115 |
Sep. 15, 2003 |
Kimberly Smith Named Academic Accounting Fellow in the Office of the Chief Accountant |
| 2003-114 |
Sep. 14, 2003 |
SEC Staff and North American Securities Administrators Association to Explore Means to Improve Cooperation; Joint Initiative Will Develop Best Practices for Coordination of Federal and State Enforcement Activities |
| 2003-113 |
Sep. 12, 2003 |
SEC Finalizes Agenda for Forum on Small Business Capital Formation |
| 2003-112 |
Sep. 11, 2003 |
SEC Adopts Adviser Custody Rule; Proposes Foreign Bank Exemption and Revision of Registration Form for American Depositary Receipts |
| 2003-111 |
Sep. 11, 2003 |
SEC Charges American International Group and Others in Brightpoint Securities Fraud; AIG Agrees To Pay $10 Million Civil Penalty |
| 2003-110 |
Sep. 9, 2003 |
Statement of SEC Spokesman |
| 2003-109 |
Sep. 9, 2003 |
SEC Files Regulation FD Charges Against Schering-Plough Corporation and Its Former Chief Executive; Company Agrees to Pay $1 Million Penalty; Former Chief Executive Agrees to Pay $50,000 Penalty |
| 2003-108 |
Sep. 8, 2003 |
SEC Charges Former Logicon Executive With Aiding and Abetting Financial Accounting Fraud at Legato Systems |
| 2003-107 |
Sep. 4, 2003 |
SEC Brings Enforcement Actions against Three Individuals, Goldman Sachs, and Massachusetts Financial Services Company Related to Trading Based on Non-Public Information about the Treasury's Decision to Cease Issuance of the 30-Year Bond |
| 2003-106 |
Sep. 3, 2003 |
Statement by SEC Chairman William H. Donaldson Regarding New York Mutual Fund Probe |
| 2003-105 |
Sep. 3, 2003 |
Ethiopis Tafara Named Director of the Office of International Affairs |
| 2003-104 |
Aug. 28, 2003 |
U.S. Attorney and SEC Charge Fraud in $20 Million Washington State Municipal Bond Sale; Defendants Orchestrated Fraudulent Sale of Bonds for Holmes Harbor Sewer District |
| 2003-103 |
Aug. 27, 2003 |
Statement of SEC Spokesperson (Re: Oklahoma WorldCom Actions) |
| 2003-102 |
Aug. 21, 2003 |
Visiting Academic Scholar Appointed to the Office of Economic Analysis |
| 2003-101 |
Aug. 20, 2003 |
SEC Brings Settled Enforcement Action Against UBS PaineWebber for Failure to Supervise Broker, Imposes $500,000 Penalty |
| 2003-100 |
Aug. 19, 2003 |
SEC Brings Settled Enforcement Action Against Deutsche Bank Investment Advisory Unit in Connection with Its Voting of Client Proxies for Merger Transaction; Imposes $750,000 Penalty |
| 2003-99 |
Aug. 18, 2003 |
SEC Sues NCFE Executive for Role in $1 Billion Fraud |
| 2003-98 |
Aug. 14, 2003 |
Statement of August 14, 2003 |
| 2003-97 |
Aug. 14, 2003 |
Donald Nicolaisen Named SEC Chief Accountant |
| 2003-96 |
Aug. 14, 2003 |
SG Cowen and Lehman Brothers Settle Enforcement Actions with SEC and NYSE for Supervisory Failures in Frank Gruttadauria Case |
| 2003-95 |
Aug. 13, 2003 |
Former Tyco Auditor Permanently Barred from Practicing before the Commission |
| 2003-94 |
Aug. 13, 2003 |
SEC Staff Responds to Frequently Asked Questions Regarding Auditor Independence |
| 2003-93 |
Aug. 7, 2003 |
United States Attorney and SEC File Charges Against Former Executives of Seattle Clothing Company, Cutter & Buck, Arising Out of Financial Accounting Fraud |
| 2003-92 |
Aug. 6, 2003 |
SEC Proposes Disclosure Requirements Related to Director Nominations and Shareholder Communications |
| 2003-91 |
Aug. 1, 2003 |
David Shillman Named Associate Director of SEC's Division of Market Regulation |
| 2003-90 |
Jul. 31, 2003 |
SEC to Host Forum on Small Business Capital Formation |
| 2003-89a |
Jul. 30, 2003 |
Summary of SEC Actions and SEC Related Provisions Pursuant to the Sarbanes-Oxley Act of 2002 |
| 2003-89 |
Jul. 29, 2003 |
SEC Announces Approval of SRO Rules Addressing Research Analyst Conflicts of Interest |
| 2003-88 |
Jul. 28, 2003 |
Statement of the Securities and Exchange Commission on the Death of Former Chairman Hamer H. Budge |
| 2003-87 |
Jul. 28, 2003 |
SEC Settles Enforcement Proceedings against J.P. Morgan Chase and Citigroup |
| 2003-86 |
Jul. 25, 2003 |
SEC Study on Adoption by the U.S. Financial Reporting System of a Principles-Based Accounting System |
| 2003-85 |
Jul. 25, 2003 |
Visiting Academic Scholar Appointed to the Office of Economic Analysis |
| 2003-84 |
Jul. 22, 2003 |
SEC Chairman Donaldson Commends NASD/Industry Task Force for "Breakpoint" Report and Recommendations; Announces SEC Review of Mutual Fund Disclosure |
| 2003-83 |
Jul. 15, 2003 |
SEC Publishes Staff Report on Proxy Process Review |
| 2003-82 |
Jul. 10, 2003 |
SEC Alleges Violations of Mutual Fund Sales Practice Requirements, Sanctions Prudential Securities, Incorporated |
| 2003-81 |
Jul. 7, 2003 |
The Honorable Jed Rakoff Approves Settlement of SEC'S Claim for a Civil Penalty Against Worldcom |
| 2003-80 |
Jul. 3, 2003 |
SEC Chairman Donaldson Hails President's Signing of Legislation To Speed Hiring of Accountants, Economists, Compliance Examiners |
| 2003-79 |
Jul. 2, 2003 |
SEC Revises WorldCom Penalty Proposal |
| 2003-78 |
Jun. 30, 2003 |
New Rules Require Shareholder Approval of Equity Compensation |
| 2003-77 |
Jun. 26, 2003 |
SEC Sues Nathan A. Chapman, Jr., His Companies, and Others for Fraud in the Initial Public Offering of eChapman.com, Inc. |
| 2003-76 |
Jun. 20, 2003 |
SEC Chairman Donaldson Lauds Passage of Legislation to Speed Hiring of Accountants, Economists, Compliance Examiners |
| 2003-75 |
Jun. 19, 2003 |
SEC Sues Former CEO and CFO of Gemstar-TV Guide for Financial Fraud Scheme |
| 2003-74 |
Jun. 19, 2003 |
Susan Markel Named Chief Accountant of the Division of Enforcement |
| 2003-73 |
Jun. 13, 2003 |
SEC Staff Responds to Frequently Asked Questions Regarding the Use of Non-GAAp Financial Measures |
| 2003-72 |
Jun. 12, 2003 |
SEC Sues Former Dynegy Employees for Fraud |
| 2003-71 |
Jun. 11, 2003 |
SEC Issues Rule Amendments To Improve Timeliness of Administrative Proceedings and Appeals |
| 2003-70 |
Jun. 5, 2003 |
Six Former Senior Executives of Xerox Settle SEC Enforcement Action Charging Them With Fraud; Executives Agree to Pay Over $22 Million in Penalties, Disgorgement and Interest |
| 2003-69 |
Jun. 4, 2003 |
SEC Charges Martha Stewart, Broker Peter Bacanovic with Illegal Insider Trading |
| 2003-68 |
Jun. 2, 2003 |
SEC Historical Society Annual Meeting to Feature SEC Enforcement Chief, NY State Attorney General |
| 2003-67 |
May 30, 2003 |
SEC Grants Extension of the Intermarket Trading System De Minimis Exemption |
| 2003-66 |
May 27, 2003 |
SEC Implements Internal Control Provisions of Sarbanes-Oxley Act; Adopts Investment Company R&D Safe Harbor |
| 2003-65 |
May 22, 2003 |
SEC Finds PricewaterhouseCoopers LLP Engaged in Improper Professional Conduct; PwC is Censured and Agrees to Pay $1 Million, Establish New Document Retention Policies and Retain an Independent Consultant |
| 2003-64 |
May 22, 2003 |
SEC To Leave Hedge Fund Comment Period Open |
| 2003-63 |
May 21, 2003 |
SEC Unanimously Approves William J. McDonough as Chairman of Public Company Accounting Oversight Board |
| 2003-62 |
May 12, 2003 |
Statement of the Commission Regarding Distribution Funds from the Global Settlement |
| 2003-61 |
May 9, 2003 |
Office of Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin 103 |
| 2003-60 |
May 7, 2003 |
Panelists Set for SEC Hedge Fund Roundtable;
May 14-15 Discussions to be Webcast in Real Time |
| 2003-59 |
May 1, 2003 |
Solicitation of Public Views Regarding Possible Changes to the Proxy Rules |
| 2003-58 |
May 1, 2003 |
SEC Files Amended Complaint Charging Five Enron Executives with Fraud and Insider Trading Relating to Enron's Broadband Subsidiary |
| 2003-57 |
Apr. 30, 2003 |
Fee Rate Advisory # 1 for Fiscal Year 2004 |
| 2003-56 |
Apr. 28, 2003 |
The Securities and Exchange Commission, NASD and the New York Stock Exchange Permanently Bar Henry Blodget From the Securities Industry and Require $4 Million Payment |
| 2003-55 |
Apr. 28, 2003 |
The Securities and Exchange Commission, New York Attorney General's Office, NASD and the New York Stock Exchange Permanently Bar Jack Grubman and Require $15 Million Payment |
| 2003-54 |
Apr. 28, 2003 |
Ten of Nation's Top Investment Firms Settle Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking |
| 2003-53 |
Apr. 25, 2003 |
Securities and Exchange Commission Reaffirms Status of Pronouncements of the Financial Accounting Standards Board |
| 2003-52 |
Apr. 25, 2003 |
SEC Determines PCAOB Appropriately Organized |
| 2003-51 |
Apr. 24, 2003 |
SEC Votes To Mandate Electronic Filing of Ownership Reports; Prohibit Improper Influence of Auditors |
| 2003-50 |
Apr. 23, 2003 |
Chairman William H. Donaldson Announces Selection of Leadership Team |
| 2003-49 |
Apr. 22, 2003 |
Time Change for Open Meeting on April 24, 2003 |
| 2003-48 |
Apr. 15, 2003 |
Statement of the Commission Regarding the Selection of the Chairperson of the Public Company Accounting Oversight Board (PCAOB) |
| 2003-47 |
Apr. 15, 2003 |
SEC to Webcast Press Briefing on Selection of Chairman of Public Company Accounting Oversight Board |
| 2003-46 |
Apr. 14, 2003 |
Commission to Review Current Proxy Rules and Regulations to Improve Corporate Democracy |
| 2003-45 |
Apr. 8, 2003 |
Regulators Issue Interagency Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System |
| 2003-44 |
Apr. 1, 2003 |
Public Affairs Director Christi Harlan to Leave Commission, Join PCAOB Staff |
| 2003-43 |
Apr. 1, 2003 |
SEC Requires Exchange Listing Standards for Audit Committees |
| 2003-42 |
Mar. 27, 2003 |
Jackson M. Day, Acting Chief Accountant, to Leave SEC |
| 2003-41 |
Mar. 27, 2003 |
SEC Provides Guidance for Filers Reporting Pension Fund Blackout Periods, Non-GAAP Financial Data |
| 2003-40 |
Mar. 26, 2003 |
Commission To Host Roundtable on Hedge Funds |
| 2003-39 |
Mar. 21, 2003 |
Commission Proposes Amendments Regarding CEO, CFO Certification Under Sarbanes-Oxley |
| 2003-38 |
Mar. 20, 2003 |
Commission Obtains Emergency Relief Requiring HealthSouth To Place in Escrow All Extraordinary Payments to Officers, Directors and Employees; Court Freezes CEO Richard Scrushy's Assets; Commission's Investigation Continues |
| 2003-37 |
Mar. 20, 2003 |
William L. Tolbert Jr., Associate Director, Division of Corporation Finance, To Leave Commission |
| 2003-36 |
Mar. 19, 2003 |
SEC Commissioners To Attend PCAOB Roundtable on Proposal for Registering Foreign Accounting Firms |
| 2003-35 |
Mar. 19, 2003 |
Household International Agrees to Cease-and-Desist Order For False and Misleading Statements About Restructuring Policies Concerning Delinquent Loans |
| 2003-34 |
Mar. 19, 2003 |
SEC Charges HealthSouth Corp.,CEO Richard Scrushy With $1.4 Billion Accounting Fraud; Trading in HealthSouth Securities Is Suspended; Commission Action Seeks Injunction, Money Penalties, Officer and Director Bar |
| 2003-33 |
Mar. 18, 2003 |
Lawrence West Named Associate Director of the Division of Enforcement |
| 2003-32 |
Mar. 17, 2003 |
SEC Charges Merrill Lynch, Four Merrill Lynch Executives with Aiding and Abetting Enron Accounting Fraud |
| 2003-31 |
Mar. 11, 2003 |
SEC, NASD, NYSE Release Findings of Breakpoint Examination Sweep; Broker-Dealers To Review Transactions |
| 2003-30 |
Mar. 11, 2003 |
Former ImClone CEO Samuel Waksal to Pay More than $800,000 in SEC Insider Trading Case |
| 2003-29 |
Mar. 6, 2003 |
Office of the Chief Accountant Selects Four Professional Accounting Fellows |
| 2003-28 |
Mar. 3, 2003 |
Statement of the Commission Regarding Selection Process for Chairperson for the Public Company Accounting Oversight Board (PCAOB) |
| 2003-27 |
Feb. 28, 2003 |
Fee Rate Advisory #12 for Fiscal Year 2003 |
| 2003-26 |
Feb. 27, 2003 |
SEC Settles with Rhino Advisors, Thomas Badian |
| 2003-25 |
Feb. 25, 2003 |
SEC Sues Former and Current Qwest Employees for Fraud |
| 2003-24 |
Feb. 21, 2003 |
Fee Rate Advisory #11 for Fiscal Year 2003 |
| 2003-23 |
Feb. 12, 2003 |
SEC Issues Rule Proposal to Improve Timeliness of Administrative Proceedings and Appeals |
| 2003-22 |
Feb. 7, 2003 |
Fee Rate Advisory #10 for Fiscal Year 2003 |
| 2003-21 |
Feb. 6, 2003 |
SEC Amends Definition of "Dealer" for Banks, Adopts Analyst Certification Rule |
| 2003-20 |
Feb. 4, 2003 |
SEC Adopts Fund Custody Rule Changes, Proposes Fund and Adviser Compliance Rules, Solicits Comment on Increased Private Sector Compliance Role |
| 2003-19 |
Feb. 3, 2003 |
Treasury, OFHEO and SEC Release Joint Report on Mortgage-Backed Securities Markets |
| 2003-18 |
Jan. 31, 2003 |
Fee Rate Advisory #9 for Fiscal Year 2003 |
| 2003-17 |
Jan. 31, 2003 |
Securities and Exchange Commission Announces Availability of Options Intermarket Linkage |
| 2003-16 |
Jan. 29, 2003 |
SEC Charges KPMG and Four KPMG Partners With Fraud in Connection With Audits of Xerox; SEC Seeks Injunction, Disgorgement and Penalties |
| 2003-15 |
Jan. 27, 2003 |
Shelley Parratt Named Deputy Director in SEC's Division of Corporation Finance |
| 2003-14 |
Jan. 27, 2003 |
Paula Dubberly Named Associate Director (Legal) in SEC's Division Of Corporation Finance |
| 2003-13 |
Jan. 23, 2003 |
SEC Adopts Attorney Conduct Rule Under Sarbanes-Oxley Act |
| 2003-12 |
Jan. 23, 2003 |
Securities and Exchange Commission Requires Proxy Voting Policies, Disclosure by Investment Companies and Investment Advisers |
| 2003-11 |
Jan. 22, 2003 |
SEC Adopts Rules on Retention of Records Relevant to Audits and Reviews |
| 2003-10 |
Jan. 22, 2003 |
SEC Adopts Rules on Disclosure of Off-Balance Sheet Arrangements and Aggregate Contractual Obligations |
| 2003-9 |
Jan. 22, 2003 |
Commission Adopts Rules Strengthening Auditor Independence |
| 2003-8 |
Jan. 22, 2003 |
SEC Adopts Measures to Certify Management Investment Company Shareholder Reports |
| 2003-7 |
Jan. 16, 2003 |
SEC and NASD Action Plan on Mutual Fund Sales Load Charges |
| 2003-6 |
Jan. 15, 2003 |
SEC Adopts Rules on Provisions of Sarbanes-Oxley Act; Actions Cover Non-GAAP Financials, Form 8-K Amendments, Trading During Blackout Periods, Audit Committee Financial Expert Requirements |
| 2003-5 |
Jan. 14, 2003 |
SEC Charges Former Day-Trading Principals with Securities Fraud; Others Charged with Fraud or Violating Recordkeeping and Reporting Rules |
| 2003-4 |
Jan. 10, 2003 |
Fee Rate Advisory #8 for Fiscal Year 2003 |
| 2003-3 |
Jan. 9, 2003 |
SEC Sues Robertson Stephens Inc. for Profit Sharing in Connection With 'Hot' IPOs; Firm, Former Research Analyst Separately Charged in Connection With Misleading Research Reports; Firm To Pay Total of $33 Million To Settle All Charges |
| 2003-2 |
Jan. 8, 2003 |
Commission Announces Acting Chairman of Public Company Accounting Oversight Board |
| 2003-1 |
Jan. 8, 2003 |
SEC Proposes Listing Standards Rule, Adopts Investment Company Exemptive Provisions |
