Press Release Archives 2002

Additional Archives

2008 |  2007 |  2006 |  2005 |  2004 |  2003 | 
2002 |  2001 |  2000 |  1999 |  1998 |  1997

Fourth Quarter | Third Quarter | Second Quarter | First Quarter | 

Release No.DateDetails
Fourth Quarter
2002-180Dec 31, 2002Treasury, SEC and Federal Reserve Submit USA PATRIOT Act Report on Investment Companies to Congress
See Also:  Cover letters to Congress, Report to Congress
2002-179Dec 20, 2002SEC, NY Attorney General, NASD, NASAA, NYSE and State Regulators Announce Historic Agreement To Reform Investment Practices; $1.4 Billion Global Settlement Includes Penalties and Funds for Investors
See Also:  Statement of SEC Enforcement Director Stephen M. Cutler
2002-178Dec 18, 2002SEC Proposes Electronic Filing of Insider Ownership Reports, Adopts Standardized Options Exemptions
2002-177Dec 17, 2002SEC Sues Former Tyco Director and Chairman of Compensation Committee Frank E. Walsh Jr. for Hiding $20 Million Payment From Shareholders; Walsh Had Secret Agreement With L. Dennis Kozlowski To Receive Payment for "Finder's Fee" in Tyco's Acquisition of The CIT Group Inc.
See Also:  Litigation Release 17722 (September 12, 2002)
2002-176Dec 11, 2002SEC Proposes More Frequent Fund Portfolio Disclosures, Adopts Other Rule Changes
2002-175Dec 5, 2002SEC Roundtables on International Impact of Proposed Rules on Auditor Independence, Attorney Conduct Set for Dec. 17
2002-174Dec 4, 2002Chairman Harvey L. Pitt Announces Selection of Arthur Gabinet To Head the SEC's Philadelphia District Office
2002-173Dec 3, 2002SEC, NYSE, NASD Fine Five Firms Total of $8.25 Million for Failure To Preserve E-Mail Communications
See Also:  Administrative Proceeding in this matter
2002-172Dec 2, 2002SEC Historical Society To Host Roundtable on Investment Company Regulation
2002-171Nov 27, 2002Chief of Staff Mark Radke to Leave Commission
2002-170Nov 26, 2002SEC Proposes Issuer Stock Repurchase Amendments, New Rule To Clarify Regulatory Status of R&D Companies
2002-169Nov 25, 2002SEC Brings First Regulation FD Enforcement Actions
2002-168Nov 22, 2002Fee Rate Advisory #7 for Fiscal Year 2003
2002-167Nov 22, 2002Herb Perone Named Deputy Public Affairs Director
2002-166Nov 21, 2002William R. Baker III, Associate Director of Enforcement, to Leave Commission
2002-165Nov 19, 2002SEC Proposes Auditor Independence and Workpaper Retention Rules Required under Sarbanes-Oxley, Agrees to Issue Report on Anti-Money Laundering Rules
2002-164Nov 15, 2002Automatic Date Adjustments Due to EDGAR Technical Difficulties
2002-163Nov 13, 2002SEC Adopts Changes to Registration Forms, Proposes Exempting Brokers from Certain Requirements
2002-162Nov 13, 2002SEC Charges Pervasive Fraud at Company Controlled by Criminal Recidivists; Commission Obtains Emergency Relief in District Court, Suspends Trading
2002-161Nov 12, 2002Report to the SEC Regarding Arbitrator Conflict Disclosure Requirements in NASD and NYSE Securities Arbitrations
2002-160Nov 12, 2002Commission Selects Acting Chief Accountant
2002-159Nov 12, 2002SEC Accepts Resignation of Judge Webster
2002-158Nov 6, 2002SEC Proposes Rules to Implement Sarbanes-Oxley Act Provisions Concerning Standards of Professional Conduct for Attorneys
2002-157Nov 4, 2002Commission to Hold Credit Rating Agency Hearings
2002-156Nov 1, 2002Chief Accountant Is Seeking Candidates for Two Professional Accounting Fellow Positions
See Also:  Professional Accounting Fellow Program Description
2002-155Oct 30, 2002SEC Proposes Rules to Implement Sarbanes-Oxley Act Reforms
2002-154Oct 29, 2002Actions by FASB, IASB Praised
2002-153Oct 25, 2002Commission Announces Founding Members of Public Company Accounting Oversight Board
2002-152Oct 18, 2002Fee Rate Advisory #6 for Fiscal Year 2003
2002-151Oct 16, 2002Rules Mandating Edgar Filing for Foreign Issuers Will Become Effective
2002-150Oct 16, 2002SEC Proposes Additional Disclosures, Prohibitions to Implement Sarbanes-Oxley Act
2002-149Oct 15, 2002Gerald Laporte Selected as Chief of the Office of Small Business Policy, Division of Corporation Finance
2002-148Oct 15, 2002Commission Sets Dates for Market Structure Hearings
See Also:  Schedule, Topics for Discussion, Participants
2002-147Oct 11, 2002Fee Rate Advisory #5 for Fiscal Year 2003
2002-146Oct 7, 2002SEC Sets Hearings on Enron Corp. Applications for Exemptions Under the Public Utility Holding Company Act
2002-145Oct 4, 2002Fee Rate Advisory #4 for Fiscal Year 2003
2002-144Oct 3, 2002SEC, NY Attorney General, NYSE, NASD, NASAA Reach Agreement on Reforming Wall Street Practices
2002-143Oct 2, 2002SEC Charges Fastow, Former Enron CFO, With Fraud
See Also:  SEC Enforcement action in this matter
Third Quarter
2002-142Sep 30, 2002Fee Rate Advisory #3 for Fiscal Year 2003
2002-141Sep 25, 2002SEC Files Financial Fraud Case Charging Three Former Homestore Executives; Defendants Agree to Repay $4.6 Million in Illegal Trading Profits
2002-140Sep 24, 2002Dynegy Settles Securities Fraud Charges Involving SPEs, Round-Trip Energy Trades
2002-139Sep 19, 2002Commission Proposes Disclosure of Proxy Voting by Mutual Funds, Investment Advisers
2002-138Sep 19, 2002Jonathan Sokobin Named Deputy Chief Economist
2002-137Sep 18, 2002Scott Taub Selected as Deputy Chief Accountant
2002-136Sep 17, 2002Fee Rate Advisory #2 for Fiscal Year 2003
2002-135Sep 12, 2002SEC Sues Former Tyco CEO Kozlowski, Two Others for Fraud
2002-134Sep 6, 2002Super Montage Start Date Set
2002-133Sep 6, 2002Ethiopis Tafara Named Acting Director of the Office of International Affairs
2002-132Sep 3, 2002Two Visiting Academic Scholars Appointed in Office of Economic Analysis
2002-131Sep 3, 2002SEC Historical Society To Host Roundtable on Enforcement
2002-130Aug 30, 2002Joint Release: Regulators Issue Draft White Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System
2002-129Aug 28, 2002SEC Approves Implementation of SuperMontage
2002-128Aug 27, 2002Commission Approves Rules Implementing Provisions of Sarbanes-Oxley Act, Accelerating Periodic Filings, and Other Measures
2002-127Aug 22, 2002Chairman Pitt Seeks Review of Initial Public Offering Process
2002-126Aug 21, 2002SEC Charges a Former High-Ranking Enron Official With Fraud; Defendant Permanently Barred From Serving as Officer or Director of Public Company; to Disgorge and Forfeit Approximately $12 Million
2002-125Aug 20, 2002SEC Staff Completes Processing of CEO, CFO Statements
2002-124Aug 16, 2002Statement by SEC Chairman Harvey L. Pitt on Corporate Governance Reforms Approved by the Membership of the Chicago Board Options Exchange
2002-123Aug 15, 2002SEC, In Coordination with FBI Undercover Sting Operation, Sues Three Publicly-Traded Companies and Ten Individuals Involved in Fraudulent Schemes
2002-122Aug 12, 2002Mike Piwowar and Stewart Mayhew Appointed Visiting Academic Scholars, Office of Economic Analysis
2002-121Aug 6, 2002SEC Issues Supplemental Information on Accelerated Deadline for Insider Transaction Reports under Sarbanes-Oxley Act
2002-120Aug 6, 2002SEC Charges 81 Defendants in Telemarketing Stock Fraud Schemes
2002-119Aug 2, 2002SEC Prepares to Implement Sarbanes-Oxley Act Requirement for CEO And CFO Certification of SEC Filings
2002-118Aug 1, 2002Statement of the Commission Regarding the Public Company Accounting Oversight Board
2002-117Jul 30, 2002David B. Smith Appointed Academic Accounting Fellow, Division of Corporation Finance
2002-116Jul 30, 2002Paul Munter Named Academic Accounting Fellow, Office of the Chief Accountant
2002-115Jul 29, 2002SEC Web Site Provides Link to CEO, CFO Certifications of Financial Statements of 947 Companies
2002-114Jul 26, 2002Statement by SEC Chairman Harvey L. Pitt on Senate Confirmation of Nominees to the Commission
2002-113Jul 25, 2002SEC Approves Rule on Margin Requirements for Security Futures; Proposes Regulation on Analyst Certifications
2002-112Jul 25, 2002SEC Approves Pilot NASD Alternative Display Facility; Sets Meeting to Consider SuperMontage Conditions
2002-111Jul 24, 2002Statement from SEC Chairman Harvey L. Pitt re: Agreement on Comprehensive Reform Legislation
2002-110Jul 24, 2002SEC Charges Adelphia and Rigas Family With Massive Financial Fraud
2002-109Jul 18, 2002The Securities and Exchange Commission Takes Enforcement Action with Respect to the PNC Financial Services Group, Inc. Arising Out of PNC's Improper Accounting and Disclosures Regarding the Transfer of $762 Million of Loans and Other Assets to Special Purpose Entities
2002-108Jul 18, 2002Federal Reserve and SEC Jointly Announce Administrative Actions Against the PNC Financial Services Group, Inc.
2002-107Jul 17, 2002SEC Proposes Changes in Investment Adviser Custody Rules; Adopts Changes in Fund Merger Regulations; Proposes Exemptions for Standardized Options; Adopts Changes to Privacy Act Systems of Records
2002-106Jul 17, 2002Treasury and Federal Financial Regulators Issue Patriot Act Regulations on Customer Identification
2002-105Jul 17, 2002PricewaterhouseCoopers Settles SEC Auditor Independence Case
See Also: 
2002-104Jul 15, 2002Statement of Chairman Harvey L. Pitt on the Passage of S. 2673, The Public Company Accounting Reform and Investor Protection Act of 2002
2002-103Jul 15, 2002SEC Expands Shareholder Power to Vote on Equity Compensation Plans
2002-102Jul 12, 2002Media Advisory: News Conference at the Securities and Exchange Commission (SEC)
2002-101Jul 11, 2002Alden Adkins Named Associate Director of SEC's Division of Market Regulation
2002-100Jul 9, 2002Statement by SEC Chairman Harvey L. Pitt on the President's Speech on Corporate Responsibility
2002-99Jul 3, 2002SEC Acts on Market Data Rebate Programs
2002-98Jul 2, 2002SEC Proposes Fee Calculation for Futures Products Transactions: SEC to Issue Rule Proposals with Treasury Department Requiring Mutual Funds and Broker-dealers to Verify Identities of Customers
2002-97Jul 1, 2002Federal Court Orders Maximum Civil Penalties and Officer and Director Bar in Insider Trading Cases
Second Quarter
2002-96Jun 28, 2002SEC Publishes List of Companies Whose Officers Are Ordered To Certify Accuracy and Completeness of Recent Annual Reports
2002-95Jun 27, 2002SEC Censures Dutch Ernst & Young Firm and Orders It to Pay $400,000 Civil Penalty
2002-94Jun 26, 2002SEC Statement Concerning WorldCom
2002-93Jun 25, 2002Dallas Law Firm Agrees to Pay $1.2 Million for Violating Court Order in SEC Enforcement Action
2002-92Jun 21, 2002SEC Announces Fraud Charges Against Former Rite Aid Senior Management
2002-91Jun 20, 2002Commission Formally Proposes Framework of a Public Accountability Board
2002-90Jun 19, 2002Media Advisory: Telephone Briefing on Auditor Oversight Proposal
2002-89Jun 15, 2002SEC Statement Regarding Andersen Case Conviction
2002-88Jun 12, 2002SEC Proposes Requiring Certification of Quarterly and Annual Reports; Proposes New Form 8-K Disclosures and Filing Deadlines
2002-87Jun 12, 2002SEC Charges Former ImClone CEO Samuel Waksal With Illegal Insider Trading
2002-86Jun 11, 2002Media Advisory: Telephone Briefing on Proposed Corporation Finance Rules
2002-85Jun 6, 2002Statement by Harvey L. Pitt on the Draft Report of the NYSE's Corporate Accountability and Listing Standards Committee
2002-84Jun 6, 2002SEC to Host Annual Government-Business Forum
2002-83Jun 4, 2002SEC, Department of Defense Announce Investors Town Meeting in Norfolk, Va.
2002-82Jun 3, 2002Supreme Court Backs SEC's Interpretation of Securities Fraud
2002-81Jun 3, 2002New Director, Deputy Named for Legislative Affairs
2002-80Jun 3, 2002SEC Brings Settled Accounting Charges Against Microsoft Corporation
2002-79May 31, 2002CFTC and SEC Approve Joint Order Excluding from the Definition of Narrow-Based Security Index those Security Indexes that Qualified for the "Grandfather" Exclusion from that Definition under Section 1a(25)(B)(v) of the Commodity Exchange Act and Section 3(a)(55)(C)(v) of the Securities Exchange Act of 1934
2002-78May 30, 2002Antonia Chion Named Associate Director of the Division of Enforcement
2002-77May 30, 2002John M. Morrissey, Deputy Chief Accountant, to Leave the SEC
2002-76May 30, 2002SEC, CFTC, and Jersey Financial Services Commission Sign MOU Information Sharing Arrangement
2002-75May 30, 2002SEC Announces Free, Real-Time Public Access to EDGAR Database at
2002-74May 29, 2002Commission Takes Action at Open Meeting on Intermarket Linkage Plan, Other Items
2002-73May 29, 2002Joy Gaines Thompson Named Acting District Administrator of the SEC's Philadelphia District Office
2002-72May 29, 2002European Commissioner Bolkestein and SEC Chairman Pitt Meet
2002-71May 20, 2002SEC Brings Financial Fraud Charges Against Executives at Three Northern California Software Companies
2002-70May 20, 2002Chairman Harvey L. Pitt Praises Mutual Fund Directors Forum
2002-69May 20, 2002CFTC and SEC Adopt Final Rules Related to Cash Settlement Procedures and Trading Halts for Security Futures Products
2002-68May 17, 2002SEC, CFTC and Japanese Financial Services Agency Sign Information Sharing Arrangement
2002-67May 14, 2002Edison Schools Settles SEC Enforcement Action
See Also:  Administrative Proceedings
2002-66May 14, 2002SEC Proposes Amendments to Improve Mutual Fund Ad Disclosure for Investors
2002-65May 14, 2002Ronald Long, Administrator of the SEC's Philadelphia Office, to Leave the Commission
2002-64May 9, 2002Federal Reserve and SEC Publish White Paper on Potential Structural Change in the Settlement of Government Securities
See Also:  White Paper on Potential Structural Change in the Settlement of Government Securities
2002-63May 8, 2002Commission Approves Rules to Address Analyst Conflicts; SEC Also Requires EDGAR Filings by Foreign Issuers
2002-62May 7, 2002SEC Mourns Passing of Former Commissioner Norman Johnson
2002-61May 7, 2002Media Advisory: Telephone Briefing on Proposed Market Regulation Rule
2002-60May 6, 2002SEC Names Lawrence E. Harris Chief Economist
2002-59May 1, 2002SEC Sets Investor Summit, Invites Public Participation
2002-58Apr 30, 2002Commission Proposes Disclosure Requirement and Takes Other Actions at April 30, 2002 Open Meeting
2002-57Apr 29, 2002Fee Rate Advisory #1 for Fiscal Year 2003
2002-56Apr 25, 2002SEC Launches Inquiry into Research Analyst Conflicts
2002-55Apr 22, 2002SEC Hosts Twelfth Annual International Institute
2002-54Apr 19, 2002Martin P. Dunn Named Deputy Director of Corporation Finance Division
2002-53Apr 11, 2002Securities and Exchange Commission Announces Results of April 11, 2002 Open Meeting
2002-52Apr 11, 2002Xerox Settles SEC Enforcement Action Charging Company With Fraud; Xerox To Pay Largest Financial Fraud Penalty Ever Against Public Company; Company Agrees to Restatement of Financial Results, Special Review of Accounting Controls
2002-51Apr 3, 2002Giovanni Prezioso Named SEC General Counsel
2002-50Apr 3, 2002SEC Announces Additional Panelist for Roundtable Discussion in Chicago
2002-49Apr 1, 2002Media Advisory: SEC Announces Moderators and Panelists for Roundtable Discussion of Financial Disclosure and Auditor Oversight in Chicago
First Quarter
2002-48Mar 28, 2002Options Exchanges Commit to Timetable for Intermarket Linkage
2002-47Mar 27, 2002SEC Files Emergency Action to Halt $98 Million Prime Bank Scheme, Recover Investors' Funds
2002-46Mar 27, 2002SEC Announces Financial Disclosure and Auditor Oversight Roundtable in Chicago
2002-45Mar 27, 2002SEC Seeks Contempt Order against Repeat Offender for Alleged Violations of Previous Injunction
2002-44Mar 26, 2002Waste Management Founder and Five Other Former Top Officers Sued for Massive Fraud; Defendants Inflated Profits by $1.7 Billion To Meet Earnings Targets; Defendants Reap Millions in Ill-Gotten Gains While Defrauded Investors Lose More Than $6 Billion
2002-43Mar 20, 2002SEC Historical Society Oral Histories Roundtable
2002-42Mar 20, 2002Pitt Announces Special Study of SEC Operations, Resources
2002-41Mar 19, 2002SEC Brings Emergency Enforcement Action Against Payday Lender in South Florida
2002-40Mar 19, 2002SEC Announces Final Plans for Completing Reviews of Auditor Independence Systems and Controls
2002-39Mar 18, 2002SEC Announces Reporting Requirements for Companies Audited by Andersen LLP
See Also:  HTML version with links to additional materials
2002-38Mar 18, 2002SEC Suspends Trading in NYSE-Listed ACLN
2002-37Mar 14, 2002SEC Announces Actions for Issuers in Light of Indictment of Arthur Andersen LLP
2002-36Mar 14, 2002Pitt Statement on Andersen Indictment
2002-35Mar 13, 2002SEC Files Fraud Case Against Former President of IGI Inc.
2002-34Mar 12, 2002Stock Promoter Who Obstruced Justice in SEC Enforcement Action Sentenced to 17 1/2 Year Prison Term
2002-33Mar 7, 2002SEC Historical Society Oral Histories Roundtable
2002-32Mar 5, 2002Media Advisory: SEC Announces Moderators and Panelists for Roundtable Discussion of Financial Disclosure and Auditor Oversight in Washington, D.C.
2002-31Mar 1, 2002Media Advisory: SEC Announces Moderators and Panelists for Roundtable Discussion of Financial Disclosure and Auditor Oversight in NYC
2002-30Mar 1, 2002Fee Rate Advisory #9 for Fiscal Year 2002
2002-29Feb 27, 2002Carol Stacey Named Chief Accountant of the Division of Corporation Finance
2002-28Feb 22, 2002SEC Announces Financial Disclosure and Auditor Oversight Roundtables
2002-27Feb 21, 2002SEC Files Charges Against Former Lehman Bros. Branch Manager Gruttadauria, Seeks Receiver and Asset Freeze
2002-26Feb 14, 2002Office of the Chief Accountant Selects Four Professional Accounting Fellows
2002-25Feb 14, 2002SEC Charges Notorious "Dr. Noe" and Five Others in Million Dollar Prime Bank Fraud
2002-24Feb 13, 2002Pitt Comments on Corporate and Auditing Accountability, Responsibility, and Transparency Act
2002-23Feb 13, 2002Pitt Seeks Review of Corporate Governance, Conduct Codes
2002-22Feb 13, 2002SEC to Propose New Corporate Disclosure Rules
2002-21Feb 6, 2002Agencies Publish "Privacy Choices for Your Personal Financial Information"
2002-20Feb 5, 2002SEC General Counsel to Leave Commission
2002-19Feb 4, 2002Media Alert
2002-18Jan 30, 2002Regulators Launch Fake Scam Websites To Warn Investors About Fraud
2002-17Jan 29, 2002Media Advisory: Regulators to Discuss Online Investor Education Initiatives
2002-16Jan 24, 2002SEC Charges iCapital Markets LLC, Successor to Datek Securities,with Securities Fraud
2002-15Jan 23, 2002Linda Chatman Thomsen Named Deputy Director of the Division of Enforcement
2002-12Jan 23, 2002Statement of Chairman Pitt on New SEC Commissioners
2002-14Jan 22, 2002SEC Charges CSFB with Abusive IPO Allocation Practices, CSFB Will Pay $100 Million to Settle SEC and NASD Actions, Millions in IPO Profits Extracted from Customers in Exchange for Allocations in "Hot" Deals
See Also:  Litigation Release No. 34-45022, SEC Complaint, SEC Judgment
2002-13Jan 22, 2002SEC Issues Statement on Disclosure Requirements for Public Companies
2002-11Jan 22, 2002Media Advisory
2002-10Jan 17, 2002SEC Mourns Passing of Former Commissioner A. A. Sommer, Jr.
2002-9Jan 16, 2002Media Advisory
2002-8Jan 16, 2002Statement of SEC Chairman Harvey L. Pitt
2002-7Jan 16, 2002Fee Rate Advisory #8
2002-6Jan 16, 2002SEC Brings First Pro Forma Financial Reporting Case; Trump Hotels Charged With Issuing Misleading Earnings Release
2002-5Jan 16, 2002Media Alert
2002-4Jan 14, 2002SEC Censures KPMG for Auditor Independence Violation
2002-3Jan 8, 2002Delay in Delivery of Mail to SEC
2002-2Jan 8, 2002New Directors Named for Legislative, Public Affairs
2002-1Jan 7, 2002SEC Identifies 17-Year-Old High School Student as Internet Fraud Artist; Recovers $900,000 in Illegal Proceeds in Account in Costa Rican Casino
Last modified: Fri, 4 Jan 2008