Press Release Archives 2003

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Release No.DateDetails
Fourth Quarter
2003-184Dec 23, 2003Commission Settles Civil Fraud Action Against Vivendi Universal, S.A., Its Former CEO, Jean-Marie Messier, and Its Former CFO, Guillaume Hannezo
2003-183Dec 23, 2003SEC Files Emergency Action against Security Brokerage, Inc. and Daniel Calugar for Engaging in Mutual Fund Late Trading and Market Timing Schemes
2003-182Dec 23, 2003SEC Halts $800 Million Investment Fraud in Orange County
2003-181Dec 23, 2003Federal Regulators Seek Public Comment on Ways to Improve Privacy Notices
See Also:  Advance Notice of Proposed Rulemaking ("Concept Release"); Interagency Proposal to Consider Alternative Forms of Privacy Notices under the Gramm-Leach-Bliley Act
2003-180Dec 22, 2003SEC Announces Agreement with Canadian Imperial Bank of Commerce and Two Executives to Settle Charges of Aiding and Abetting Enron Accounting Fraud
See Also:  Litigation Release 18517;Complaint
2003-179Dec 19, 2003SEC Releases Guidance Regarding MD&A
2003-178Dec 19, 2003SEC Chief Accountant Welcomes Actions by FASB and IASB
2003-177Dec 19, 2003Wayne Carlin, Northeast Regional Director, To Leave Commission
2003-176Dec 18, 2003Alliance Capital Management Will Pay Record $250 Million and Make Significant Governance and Compliance Reforms To Settle SEC Charges
See Also:  Adminstrative Proceeding Release No. IA-2205
2003-175Dec 18, 2003Statement From SEC Chairman William H. Donaldson Regarding NYSE Selection of John Thain as CEO
2003-174Dec 17, 2003Office of Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin 104
2003-173Dec 17, 2003SEC Approves NYSE Governance Structure Changes; Proposes Mutual Fund Disclosure Rules; Solicits Comment on Fund Transaction Cost Issues
2003-172Dec 15, 2003SEC 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
See Also:  Administrative Proceeding Rel. No. IA-2203
2003-171Dec 11, 2003SEC Levels Fraud Charges Against Heartland Advisors, Inc., 12 Company Officials and Others for Misrepresentations, Mispricing and Insider Trading in Two High Yield Bond Funds
See Also:  Administrative Proceeding Release No. 33-8346; Administrative Proceeding Release No. IA-2201
2003-170Dec 10, 2003SEC Sues Former Executives of Nicor Energy for Role in Financial Fraud
2003-169Dec 4, 2003SEC Charges Dallas Investment Complex and Three of its Officers with Defrauding Hundreds of Mutual Funds in Market Timing and Late Trading Scheme
See Also:  Litigation Release No. LR-18489; Complaint in this matter; Stipulation Order
2003-168Dec 3, 2003SEC Takes Steps to Address Late Trading, Market Timing and Related Abuses
2003-167Dec 2, 2003SEC Charges Invesco Funds Group, Inc. and CEO Raymond Cunningham With Fraud and Breach of Fiduciary Duty for Allowing Market Timing at Invesco Funds
See Also:  Litigation Release; Complaint: SEC v. Invesco Funds Group, Inc. and Raymond R. Cunningham
2003-166Nov 26, 2003Elizabeth Jacobs Named Deputy Director Of SEC's Office Of International Affairs
2003-165Nov 25, 2003Federal and State Agencies Announce Actions Against Security Trust Company; Phoenix Bank will Undergo Orderly Dissolution and Close by March 31, 2004
2003-164Nov 25, 2003SEC Charges Security Trust Company, N.A. and Three Former Executives for Facilitating Fraudulent Mutual Fund Late Trading and Market Timing Schemes
See Also:  Litigation Release 18479; Complaint: SEC v. Security Trust Company et al.
2003-163Nov 24, 2003Fee Rate Advisory #6 for Fiscal Year 2004
2003-162Nov 20, 2003Midwest Regional Director Mary Keefe to Leave SEC
2003-161Nov 20, 2003Founders of PBHG Funds and Pilgrim Baxter & Associates Charged with Fraud in Connection with Market Timing of PBHG Funds
2003-160Nov 19, 2003SEC Adopts Rules on Disclosure of Nominating Committee Functions and Communications Between Security Holders and Boards of Directors
2003-159Nov 17, 2003SEC Charges Morgan Stanley With Inadequate Disclosure in Mutual Fund Sales; Morgan Stanley Pays $50 Million To Settle SEC Action
See Also:  In the Matter of Morgan Stanley DW Inc.
2003-158Nov 14, 2003SEC Announces Independent Consultants Under Global Research Analyst Settlement
2003-157Nov 13, 2003SEC Charges Former CEO, CFO, and Controller of Gateway, Inc. with Fraud
See Also:  Administrative Proceedings Release No. 33-8338; Litigation Release No. 18454; Complaint: SEC v. John J. Todd, Robert D. Manza and Jeffrey Weitzen
2003-156Nov 13, 2003Putnam Agrees to Make Restitution and Implement Immediate, Significant Structural Reforms in Partial Resolution of SEC Enforcement Action
See Also:  Administrative Proceeding Release No. IA-2192
2003-155Nov 12, 2003Former Goldman Economist Youngdahl Agrees to Fraud Injunction and $240,000 Penalty in SEC Treasury Bond Insider Trading Case
See Also:  Litigation Release 18453
2003-154Nov 7, 2003Notice of Filing of Proposed NYSE Governance Changes
2003-153Nov 7, 2003Fee Rate Advisory #5 for Fiscal Year 2004
2003-152Nov 5, 2003Peter H. Bresnan Named Acting District Administrator of SEC's Boston District Office
2003-151Nov 5, 2003Statement From Commission: NYSE Governance Proposal
2003-150Nov 4, 2003SEC Approves NYSE, NASDAQ Strengthening of Corporate Governance Standards for Listed Companies
2003-149Nov 4, 2003SEC Brings Fraud Charges Against Former Prudential Brokers in Connection with Market Timing of Mutual Funds
2003-148Nov 3, 2003Juan Marcel Marcelino to Leave District Administrator's Position in the SEC'S Boston District Office
2003-147Nov 3, 2003SEC and NASD Announce Actions as a Result of Findings of "Breakpoint" Overcharges on Mutual Fund Transactions
2003-146Oct 31, 2003Fee Rate Advisory #4 for Fiscal Year 2004
2003-145Oct 31, 2003SEC Announces IOSCO Unveiling of Multilateral Agreement on Enforcement Cooperation
2003-144Oct 31, 2003Federal Court Approves Settlement of SEC Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking
See Also:  Litigation Release 18438
2003-143Oct 29, 2003SEC Announces Fraud Charges Against Former Portfolio Manager of the Lipper Convertible Hedge Funds
See Also:  Litigation Release 18432; Complaint
2003-142Oct 28, 2003SEC Brings Enforcement Actions Against Putnam Investment Management LLC and Two Putnam Managing Directors for Self-Dealing in Putnam Funds
See Also:  Complaint v. Scott and KamshadAdministrative Order in this matter
2003-141Oct 23, 2003Commission Reappoints Charles D. Niemeier to Public Company Accounting Oversight Board
2003-140Oct 22, 2003SEC Proposes Fund Subadviser and Short Sale Rules; Adopts Changes to Rule 10b-18
2003-139Oct 21, 2003SEC Website Provides Information on Upcoming Outreach Events Concerning Homeland Security Issues for the Financial Sector
2003-138Oct 16, 2003New York AG and SEC Bring Criminal and Civil Actions Against Mutual Fund Executive
2003-137Oct 10, 2003Joseph Hall Named Senior Policy Fellow in the Office of the General Counsel
2003-136Oct 9, 2003SEC Chairman Donaldson Releases Statement Regarding Initiatives to Combat Late Trading and Market Timing of Mutual Funds
2003-135Oct 9, 2003SEC 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
2003-134Oct 8, 2003SEC Proposes Rules Concerning Broker-Dealer and Affiliate Supervision on a Consolidated Basis
2003-133Oct 8, 2003SEC Proposes Rules To Increase Proxy Access by Shareholders
2003-132Oct 2, 2003New York Attorney General and Securities and Exchange Commission Bring Criminal and Civil Actions Against Hedge Fund Executive
See Also:  SEC Order in the Matter of Steven B. Markovitz
2003-131Oct 2, 2003Division of Corporation Finance Selects Mary Greenawalt as Academic Accounting Fellow
2003-130Oct 2, 2003Kimberly Rodgers Selected as Academic Scholar in Office of Economic Analysis
2003-129Oct 1, 2003SEC 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
See Also:  Litigation Release 18385
Third Quarter
2003-128Sep 30, 2003Fee Rate Advisory #3 for Fiscal Year 2004
2003-127Sep 30, 2003Stock Manipulation Scheme Involving False Anthrax Claims Subject of SEC Enforcement Action
2003-126Sep 30, 2003SEC Sanctions Chicago Stock Exchange and Requires Improvement of Surveillance and Enforcement Programs
2003-125Sep 29, 2003SEC Chairman Donaldson Releases Staff Report on Hedge Funds
See Also:  SEC Staff Report: Implications of the Growth of Hedge FundsFact Sheet on the SEC Staff Report on Growth of Hedge Funds
2003-124Sep 26, 2003SEC Issues Policy Statement on Business Continuity Planning for Trading Markets
2003-123Sep 25, 2003Former Ernst & Young Audit Partner Arrested for Obstruction Charges and Criminal Violations of Sarbanes-Oxley Act
See Also:  Administrative Proceeding Release No. 34-48542Administrative Proceeding Release No. 34-48543
2003-122Sep 24, 2003SEC Amends Mutual Fund Advertising Rules, Proposes New Rules and Amendments for Fund of Funds Investments
2003-121Sep 21, 2003Statement From SEC Chairman William H. Donaldson (on the Appointment of the NYSE Interim Chair)
2003-120Sep 18, 2003SEC and United States Attorney Charge Former Homestore Executives With Scheme To Inflate Advertising Revenue
2003-119Sep 17, 2003SEC Statement in Response to NYSE Announcement of Chairman Grasso's Resignation
2003-118Sep 16, 2003Matthew Rees Named Chief Speechwriter and Senior Adviser to SEC Chairman Donaldson
2003-117Sep 16, 2003Attorney General Spitzer and Securities and Exchange Commission File Charges Against Bank of America Broker
See Also:  Administrative Proceeding Release No. 33-8288
2003-116Sep 15, 2003Fee Rate Advisory #2 for Fiscal Year 2004
2003-115Sep 15, 2003Kimberly Smith Named Academic Accounting Fellow in the Office of the Chief Accountant
2003-114Sep 14, 2003SEC Staff and North American Securities Administrators Association to Explore Means to Improve Cooperation
See Also:  Speech to NASAA Annual Conference by Chairman William H. Donaldson
2003-113Sep 12, 2003SEC Finalizes Agenda for Forum on Small Business Capital Formation
2003-112Sep 11, 2003SEC Adopts Adviser Custody Rule; Proposes Foreign Bank Exemption and Revision of Registration Form for American Depositary Receipts
2003-111Sep 11, 2003SEC Charges American International Group and Others in Brightpoint Securities Fraud; AIG Agrees To Pay $10 Million Civil Penalty
See Also:  Litigation Release No. 18340Administrative Proceeding No.: 33-8284Administrative Proceeding No.: 34-48475Administrative Proceeding No.: 34-48476Administrative Proceeding No.: 34-48477
2003-110Sep 9, 2003Statement of SEC Spokesman
2003-109Sep 9, 2003SEC 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
See Also:  Litigation Release No. 18330SEC Administrative Order, Exchange Act Release No. 48461File No. 3-11249
2003-108Sep 8, 2003SEC Charges Former Logicon Executive With Aiding and Abetting Financial Accounting Fraud at Legato Systems
2003-107Sep 4, 2003SEC 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
See Also:  Litigation Release No. 18322ComplaintAdministrative Proceeding No. IA-2165Administrative Proceeding No. 34-48436Statement of Stephen M. Cutler
2003-106Sep 3, 2003Statement by SEC Chairman William H. Donaldson Regarding New York Mutual Fund Probe
2003-105Sep 3, 2003Ethiopis Tafara Named Director of the Office of International Affairs
2003-104Aug 28, 2003U.S. Attorney and SEC Charge Fraud in $20 Million Washington State Municipal Bond Sale
2003-103Aug 27, 2003Statement of SEC Spokesperson (Re: Oklahoma WorldCom Actions)
2003-102Aug 21, 2003Visiting Academic Scholar Appointed to the Office of Economic Analysis
2003-101Aug 20, 2003SEC Brings Settled Enforcement Action Against UBS PaineWebber for Failure to Supervise Broker, Imposes $500,000 Penalty
See Also:  Administrative Proceeding Release No. 34-48371
2003-100Aug 19, 2003SEC 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
See Also:  Administrative Proceeding Release No. IA-2160
2003-99Aug 18, 2003SEC Sues NCFE Executive for Role in $1 Billion Fraud
See Also:  Litigation Release 18292
2003-98Aug 14, 2003Statement of August 14, 2003
2003-97Aug 14, 2003Donald Nicolaisen Named SEC Chief Accountant
2003-96Aug 14, 2003SG Cowen and Lehman Brothers Settle Enforcement Actions with SEC and NYSE for Supervisory Failures in Frank Gruttadauria Case
See Also:  Administrative Proceeding Release No. 34-48335Administrative Proceeding Release No. 34-48336
2003-95Aug 13, 2003Former Tyco Auditor Permanently Barred from Practicing before the Commission
See Also:  Administrative Proceeding Release 34-48328
2003-94Aug 13, 2003SEC Staff Responds to Frequently Asked Questions Regarding Auditor Independence
2003-93Aug 7, 2003United States Attorney and SEC File Charges Against Former Executives of Seattle Clothing Company, Cutter & Buck, Arising Out of Financial Accounting Fraud
2003-92Aug 6, 2003SEC Proposes Disclosure Requirements Related to Director Nominations and Shareholder Communications
2003-91Aug 1, 2003David Shillman Named Associate Director of SEC's Division of Market Regulation
2003-90Jul 31, 2003SEC to Host Forum on Small Business Capital Formation
2003-89aJul 30, 2003Summary of SEC Actions and SEC Related Provisions Pursuant to the Sarbanes-Oxley Act of 2002
2003-89Jul 29, 2003SEC Announces Approval of SRO Rules Addressing Research Analyst Conflicts of Interest
See Also:  Fact Sheet: Commission Approval of SRO Rule Amendments Addressing Research Analyst Conflicts of Interest; Release No. 34-48252: Order Approving Proposed Rule Changes Relating to Research Analyst Conflicts of Interest
2003-88Jul 28, 2003Statement of the Securities and Exchange Commission on the Death of Former Chairman Hamer H. Budge
2003-87Jul 28, 2003SEC Settles Enforcement Proceedings against J.P. Morgan Chase and Citigroup
See Also:  SEC v. J.P. Morgan Chase (Litigation Release No. 18252); In the Matter of Citigroup, Inc. (Securities Exchange Act of 1934 Release No. 34-48230; Accounting and Auditing Enforcement Release No. 1821; Administrative Proceeding File No. 3-11192)
2003-86Jul 25, 2003SEC Study on Adoption by the U.S. Financial Reporting System of a Principles-Based Accounting System
2003-85Jul 25, 2003Visiting Academic Scholar Appointed to the Office of Economic Analysis
2003-84Jul 22, 2003SEC Chairman Donaldson Commends NASD/Industry Task Force for "Breakpoint" Report and Recommendations; Announces SEC Review of Mutual Fund Disclosure
2003-83Jul 15, 2003SEC Publishes Staff Report on Proxy Process Review
See Also:  Review of the Proxy Process Regarding the Nominationand Election of Directors (in PDF Format); Appendix A to the Review - Summary of Comments (in PDF Format)
2003-82Jul 10, 2003SEC Alleges Violations of Mutual Fund Sales Practice Requirements, Sanctions Prudential Securities, Incorporated
See Also:  Administrative Proceeding Release No. 33-8247Administrative Proceeding Release No. 34-48149
2003-81Jul 7, 2003The Honorable Jed Rakoff Approves Settlement of SEC'S Claim for a Civil Penalty Against Worldcom
See Also:  Litigation Release 18219
2003-80Jul 3, 2003SEC Chairman Donaldson Hails President's Signing of Legislation To Speed Hiring of Accountants, Economists, Compliance Examiners
2003-79Jul 2, 2003SEC Files Supplement to Proposed Worldcom Penalty Settlement; Proposal Subject to District and Bankruptcy Court Review and Approval
Second Quarter
2003-78Jun 30, 2003New Rules Require Shareholder Approval of Equity Compensation
2003-77Jun 26, 2003SEC Sues Nathan A. Chapman, Jr., His Companies, and Others for Fraud in the Initial Public Offering of eChapman.com, Inc.
2003-76Jun 20, 2003SEC Chairman Donaldson Lauds Passage of Legislation to Speed Hiring of Accountants, Economists, Compliance Examiners
2003-75Jun 19, 2003SEC Sues Former CEO and CFO of Gemstar-TV Guide for Financial Fraud Scheme
2003-74Jun 19, 2003Susan Markel Named Chief Accountant of the Division of Enforcement
2003-73Jun 13, 2003SEC Staff Responds to Frequently Asked Questions Regarding the Use of Non-GAAp Financial Measures
2003-72Jun 12, 2003SEC Sues Former Dynegy Employees for Fraud
See Also:  Litigation Release No. 18188; Complaint
2003-71Jun 11, 2003SEC Issues Rule Amendments To Improve Timeliness of Administrative Proceedings and Appeals
2003-70Jun 5, 2003Six 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
See Also:  SEC v. Xerox Corporation; SEC v. KPMG LLP, et al.  
2003-69Jun 4, 2003SEC Charges Martha Stewart, Broker Peter Bacanovic with Illegal Insider Trading
See Also:  Litigation Release 18169Complaint
2003-68Jun 2, 2003SEC Historical Society Annual Meeting to Feature SEC Enforcement Chief, NY State Attorney General
2003-67May 30, 2003SEC Grants Extension of the Intermarket Trading System De Minimis Exemption
2003-66May 27, 2003SEC Implements Internal Control Provisions of Sarbanes-Oxley Act; Adopts Investment Company R&D Safe Harbor
2003-65May 22, 2003SEC Finds PricewaterhouseCoopers LLP Engaged in Improper Professional Conduct
2003-64May 22, 2003SEC To Leave Hedge Fund Comment Period Open
2003-63May 21, 2003SEC Unanimously Approves William J. McDonough as Chairman of Public Company Accounting Oversight Board
2003-62May 12, 2003Statement of the Commission Regarding Distribution Funds from the Global Settlement
See Also:  Questions and Answers Regarding Distribution Funds
2003-61May 9, 2003Office of Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin 103
2003-60May 7, 2003Panelists Set for SEC Hedge Fund Roundtable;May 14-15 Discussions to be Webcast in Real Time
2003-59May 1, 2003Solicitation of Public Views Regarding Possible Changes to the Proxy Rules
2003-58May 1, 2003SEC Files Amended Complaint Charging Five Enron Executives with Fraud and Insider Trading Relating to Enron's Broadband Subsidiary
See Also:  Statement by Linda Chatman Thomsen, Deputy Director, Division of Enforcement on this matter; Litigation Release No. 18122; SEC Complaint in this matter; Insider Trading Appendix in this matter
2003-57Apr 30, 2003Fee Rate Advisory # 1 for Fiscal Year 2004
2003-56Apr 28, 2003The Securities and Exchange Commission, NASD and the New York Stock Exchange Permanently Bar Henry Blodget From the Securities Industry and Require $4 Million Payment
2003-55Apr 28, 2003The 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
2003-54Apr 28, 2003Ten of Nation's Top Investment Firms Settle Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking
See Also: 
2003-53Apr 25, 2003Securities and Exchange Commission Reaffirms Status of Pronouncements of the Financial Accounting Standards Board
See Also:  Commission Statement of Policy Reaffirming the Status of the FASB as a Designated Private-Sector Standard Setter, Release No. 33-8221
2003-52Apr 25, 2003SEC Determines PCAOB Appropriately Organized
See Also:  Order Regarding Section 101(d) of the Sarbanes-Oxley Act of 2002, Release No. 33-8223; Order Regarding Section 103(a)(3)(B) of the Sarbanes-Oxley Act of 2002, Release No. 33-8222
2003-51Apr 24, 2003SEC Votes To Mandate Electronic Filing of Ownership Reports; Prohibit Improper Influence of Auditors
2003-50Apr 23, 2003Chairman William H. Donaldson Announces Selection of Leadership Team
2003-49Apr 22, 2003Time Change for Open Meeting on April 24, 2003
2003-48Apr 15, 2003Statement of the Commission Regarding the Selection of the Chairperson of the Public Company Accounting Oversight Board (PCAOB)
See Also:  Statement of SEC Chairman William Donaldson; Statement of William J. McDonough
2003-47Apr 15, 2003SEC to Webcast Press Briefing on Selection of Chairman of Public Company Accounting Oversight Board
2003-46Apr 14, 2003Commission to Review Current Proxy Rules and Regulations to Improve Corporate Democracy
2003-45Apr 8, 2003Regulators Issue Interagency Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System
See Also:  Interagency Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System
2003-44Apr 1, 2003Public Affairs Director Christi Harlan to Leave Commission, Join PCAOB Staff
2003-43Apr 1, 2003SEC Requires Exchange Listing Standards for Audit Committees
First Quarter
2003-42Mar 27, 2003Jackson M. Day, Acting Chief Accountant, to Leave SEC
2003-41Mar 27, 2003SEC Provides Guidance for Filers Reporting Pension Fund Blackout Periods, Non-GAAP Financial Data
See Also:  Final Rule Release No. 33-8216
2003-40Mar 26, 2003Commission To Host Roundtable on Hedge Funds
2003-39Mar 21, 2003Commission Proposes Amendments Regarding CEO, CFO Certification Under Sarbanes-Oxley
2003-38Mar 20, 2003Commission Obtains Emergency Relief Requiring HealthSouth To Place in Escrow All Extraordinary Payments to Officers, Directors and Employees
2003-37Mar 20, 2003William L. Tolbert Jr., Associate Director, Division of Corporation Finance, To Leave Commission
2003-36Mar 19, 2003SEC Commissioners To Attend PCAOB Roundtable on Proposal for Registering Foreign Accounting Firms
2003-35Mar 19, 2003Household International Agrees to Cease-and-Desist Order For False and Misleading Statements About Restructuring Policies Concerning Delinquent Loans
2003-34Mar 19, 2003SEC Charges HealthSouth Corp. CEO Richard Scrushy With $1.4 Billion Accounting Fraud
2003-33Mar 18, 2003Lawrence West Named Associate Director of the Division of Enforcement
2003-32Mar 17, 2003SEC Charges Merrill Lynch, Four Merrill Lynch Executives with Aiding and Abetting Enron Accounting Fraud
See Also:  SEC v. Merrll Lynch et al. (Litigation Rel. 18038); Remarks by SEC Chairman William H. DonaldsonRemarks by SEC Enforcement Director Stephen M. Cutler
2003-31Mar 11, 2003SEC, NASD, NYSE Release Findings of Breakpoint Examination Sweep; Broker-Dealers To Review Transactions
2003-30Mar 11, 2003Former ImClone CEO Samuel Waksal to Pay More than $800,000 in SEC Insider Trading Case
See Also:  Litigation Release 18026
2003-29Mar 6, 2003Office of the Chief Accountant Selects Four Professional Accounting Fellows
2003-28Mar 3, 2003Statement of the Commission Regarding Selection Process for Chairperson for the Public Company Accounting Oversight Board (PCAOB)
2003-27Feb 28, 2003Fee Rate Advisory #12 for Fiscal Year 2003
2003-26Feb 27, 2003SEC Settles with Rhino Advisors, Thomas Badian
See Also:  Litigation Release 18003
2003-25Feb 25, 2003SEC Sues Former and Current Qwest Employees for Fraud
See Also:  Litigation Release 17996
2003-24Feb 21, 2003Fee Rate Advisory #11 for Fiscal Year 2003
2003-23Feb 12, 2003SEC Issues Rule Proposal to Improve Timeliness of Administrative Proceedings and Appeals
2003-22Feb 7, 2003Fee Rate Advisory #10 for Fiscal Year 2003
2003-21Feb 6, 2003SEC Amends Definition of "Dealer" for Banks, Adopts Analyst Certification Rule
2003-20Feb 4, 2003SEC Adopts Fund Custody Rule Changes, Proposes Fund and Adviser Compliance Rules, Solicits Comment on Increased Private Sector Compliance Role
2003-19Feb 3, 2003Treasury, OFHEO and SEC Release Joint Report on Mortgage-Backed Securities Markets
2003-18Jan 31, 2003Fee Rate Advisory #9 for Fiscal Year 2003
2003-17Jan 31, 2003Securities and Exchange Commission Announces Availability of Options Intermarket Linkage
2003-16Jan 29, 2003SEC Charges KPMG and Four KPMG Partners With Fraud in Connection With Audits of Xerox; SEC Seeks Injunction, Disgorgement and Penalties
See Also:  SEC Litigation Release
2003-15Jan 27, 2003Shelley Parratt Named Deputy Director in SEC's Division of Corporation Finance
2003-14Jan 27, 2003Paula Dubberly Named Associate Director (Legal) in SEC's Division Of Corporation Finance
2003-13Jan 23, 2003SEC Adopts Attorney Conduct Rule Under Sarbanes-Oxley Act
2003-12Jan 23, 2003Securities and Exchange Commission Requires Proxy Voting Policies, Disclosure by Investment Companies and Investment Advisers
2003-11Jan 22, 2003SEC Adopts Rules on Retention of Records Relevant to Audits and Reviews
2003-10Jan 22, 2003SEC Adopts Rules on Disclosure of Off-Balance Sheet Arrangements and Aggregate Contractual Obligations
2003-9Jan 22, 2003Commission Adopts Rules Strengthening Auditor Independence
2003-8Jan 22, 2003SEC Adopts Measures to Certify Management Investment Company Shareholder Reports
2003-7Jan 16, 2003SEC and NASD Action Plan on Mutual Fund Sales Load Charges
2003-6Jan 15, 2003SEC Adopts Rules on Provisions of Sarbanes-Oxley Act
2003-5Jan 14, 2003SEC Charges Former Day-Trading Principals with Securities Fraud; Others Charged with Fraud or Violating Recordkeeping and Reporting Rules
See Also:  SEC v. Sheldon Maschler, Jeffrey A. Citron, Michael Mccarty, Erik Maschler, Heartland Securities Corporation, Aaron Elbogen, Moishe Zelcer, Raft Investments, Inc., and Jes Management Corporatione Litigation Release 17929, Complaint; Joshua M. Levine Litigation Release 17930, Complaint
2003-4Jan 10, 2003Fee Rate Advisory #8 for Fiscal Year 2003
2003-3Jan 9, 2003SEC Sues Robertson Stephens Inc. for Profit Sharing in Connection With 'Hot' IPOs
See Also:  SEC v. Paul E. Johnson Litigation Release 17922, Complaint; SEC v. Robertson Stephens, Inc. Litigation Release 17923, Complaint ; In the Matter of Robertson Stephens, Inc. Release No. 34-47144
2003-2Jan 8, 2003Commission Announces Acting Chairman of Public Company Accounting Oversight Board
2003-1Jan 8, 2003SEC Proposes Listing Standards Rule, Adopts Investment Company Exemptive Provisions
 
Last modified: Fri, 4 Jan 2008