| Release No. |
Date |
Details |
| Fourth Quarter |
| 2010-258 |
Dec. 27, 2010 |
SEC Charges Alcatel-Lucent with FCPA Violations
|
| 2010-257 |
Dec. 23, 2010 |
Statement From Chairman Schapiro on Appointment of FASB Chairman
|
| 2010-256 |
Dec. 23, 2010 |
Senior Supervisors Group Issues Report on Risk Appetite Frameworks and IT Infrastructure
|
| 2010-255 |
Dec. 22, 2010 |
Fee Rate Advisory #5 for Fiscal Year 2011
|
| 2010-254 |
Dec. 21, 2010 |
SEC Charges San Francisco Managers of Subprime Loan Hedge Fund With Fraudulent Misuse of Fund Assets
|
| 2010-253 |
Dec. 20, 2010 |
SEC Proposes Permanent Rule Requiring Municipal Advisors to Register With Agency
|
| 2010-252 |
Dec. 20, 2010 |
SEC Charges Former Carter's Executive With Fraud and Insider Trading
|
| 2010-251 |
Dec. 18, 2010 |
Fee Rate Advisory #4 for Fiscal Year 2011
|
| 2010-250 |
Dec. 17, 2010 |
Stephen L. Cohen Named Associate Director in SEC Division of Enforcement
|
| 2010-249 |
Dec. 16, 2010 |
SEC Brings Fraud Charges Against Self-Described Idaho Nuclear Power Company
|
| 2010-248 |
Dec. 16, 2010 |
SEC Charges Former Law Firm Partner in Multi-Million Dollar Scheme
|
| 2010-247 |
Dec. 15, 2010 |
SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act |
| 2010-246 |
Dec. 15, 2010 |
SEC Proposes Specialized Disclosure of Mine Safety Information Under Dodd-Frank Act |
| 2010-245 |
Dec. 15, 2010 |
SEC Proposes Specialized Disclosure of Use of Conflict Minerals Under Dodd-Frank Act |
| 2010-244 |
Dec. 15, 2010 |
SEC Proposes End-User Requirements Under Dodd-Frank Act for Security-Based Swaps Exempt From Mandatory Clearing |
| 2010-243 |
Dec. 15, 2010 |
SEC Proposes Review Process for Mandatory Clearing of Security-Based Swaps Under Dodd-Frank Act |
| 2010-242 |
Dec. 10, 2010 |
SEC Charges RAE Systems for Illegal Payments Made Through Joint Ventures to Win Chinese Government Contracts
|
| 2010-241 |
Dec. 8, 2010 |
SEC Charges Uncle and Nephew in Insider Trading Scheme
|
| 2010-240 |
Dec. 7, 2010 |
SEC Charges Former Law Firm Technology Manager and Brother-in-Law in Serial Insider Trading Scheme |
| 2010-239 |
Dec. 7, 2010 |
SEC Charges Banc of America Securities With Fraud in Connection With Improper Bidding Practices Involving Investment of Proceeds of Municipal Securities
|
| 2010-238 |
Dec. 6, 2010 |
CFTC, SEC to Host Joint Public Roundtable to Discuss Issues Related to Capital and Margin for Swaps and
Security-Based Swaps
|
| 2010-237 |
Dec. 3, 2010 |
SEC Proposes Joint Rules with CFTC to Define Swap Related Terms
|
| 2010-236 |
Dec. 3, 2010 |
Fee Rate Advisory #3 for Fiscal Year 2011
|
| 2010-235 |
Dec. 2, 2010 |
Deputy Chief Litigation Counsel Mark A. Adler Leaving SEC After 13 Years of Service
|
| 2010-234 |
Nov. 30, 2010 |
SEC Charges Former Deloitte Partner and Wife in International Insider Trading Scheme
|
| 2010-233 |
Nov. 23, 2010 |
SEC Announces Agenda and Panelists for Second Field Hearing on State Of Municipal Securities Markets
|
| 2010-232 |
Nov. 23, 2010 |
Former Comverse CEO Agrees to $53 Million Settlement of Options Backdating Charges
|
| 2010-231 |
Nov. 23, 2010 |
SEC Obtains Emergency Asset Freeze in Diamond-Themed Ponzi Scheme
|
| 2010-230 |
Nov. 19, 2010 |
SEC Proposes Rules on Security-Based Swap Reporting
|
| 2010-229 |
Nov. 19, 2010 |
SEC Proposes Rules to Outline Obligations of Security-Based Swap Repositories
|
| 2010-228 |
Nov. 19, 2010 |
SEC Proposes Rules to Improve Oversight of Investment Advisers
|
| 2010-227 |
Nov. 19, 2010 |
Jennifer B. McHugh Named Acting Director of SEC Division of Investment Management
|
| 2010-226 |
Nov. 18, 2010 |
Henry T.C. Hu, Inaugural Director of Division Of Risk, Strategy and Financial Innovation, to Return to University of Texas
|
| 2010-225 |
Nov. 18, 2010 |
SEC Charges Two Longtime Madoff Employees with Fraud
|
| 2010-224 |
Nov. 18, 2010 |
SEC Charges Steven Rattner in Pay-to-Play Scheme Involving New York State Pension Fund
|
| 2010-223 |
Nov. 17, 2010 |
SEC Charges New York Firms and Chief Compliance Officer for Inadequate Procedures to Protect Nonpublic Information
|
| 2010-222 |
Nov. 16, 2010 |
SEC and CESR Members Announce Efforts to Continue Close Cooperation as National Securities Regulators Implement New Regulatory Reform Initiatives
|
| 2010-221 |
Nov. 15, 2010 |
SEC and UK FSA Hold Meeting of SEC-FSA Strategic Dialogue
|
| 2010-220 |
Nov. 12, 2010 |
SEC Brings Additional Charges in Its Ongoing Investigations Into Two Previously Identified Insider Trading Rings
|
| 2010-219 |
Nov. 12, 2010 |
SEC Publishes Agenda and Announces Speakers for Small Business Forum
|
| 2010-218 |
Nov. 10, 2010 |
Joseph Brenner Named Chief Counsel in SEC Division of Enforcement
|
| 2010-217 |
Nov. 10, 2010 |
James A. Clarkson, Director of Regional Office Operations in Enforcement Division, to Retire After 40 Years of Service
|
| 2010-216 |
Nov. 8, 2010 |
SEC Approves New Rules Prohibiting Market Maker Stub Quotes
|
| 2010-215 |
Nov. 4, 2010 |
SEC Extends New Short Sale Rule Compliance Date
|
| 2010-214 |
Nov. 4, 2010 |
SEC Charges Seven Oil Services and Freight Forwarding Companies for Widespread Bribery of Customs Officials
|
| 2010-213 |
Nov. 3, 2010 |
SEC Proposes New Whistleblower Program Under Dodd-Frank Act |
| 2010-212 |
Nov. 3, 2010 |
SEC Proposes New Rule to Prevent Fraud in Connection with Security-Based Swaps |
| 2010-211 |
Nov. 3, 2010 |
SEC Publishes Request for Comment on President's Working Group Report on Money Market Fund Reform Options |
| 2010-210 |
Nov. 3, 2010 |
SEC Adopts New Rule Preventing Unfiltered Market Access |
| 2010-209 |
Nov. 2, 2010 |
SEC Charges Medical Researcher With Tipping Inside Information About Clinical Trial
|
| 2010-208 |
Oct. 29, 2010 |
SEC Halts Offering Fraud by Chicago-Based Firms
|
| 2010-207 |
Oct. 29, 2010 |
SEC Staff Publishes Progress Report on Work Plan for Global Accounting Standards
|
| 2010-206 |
Oct. 29, 2010 |
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues to Meet November 5
|
| 2010-205 |
Oct. 28, 2010 |
SEC Charges Massachusetts-Based Forex Traders and Their Firm With Fraud
|
| 2010-204 |
Oct. 27, 2010 |
Former San Diego Officials Agree to Pay Financial Penalties in Municipal Bond Fraud Case
|
| 2010-203 |
Oct. 22, 2010 |
SEC, FINRA Announce 2011 National Seminar for Broker-Dealer CCOs
|
| 2010-202 |
Oct. 21, 2010 |
SEC Charges Office Depot and Company Executives With Improper Disclosures to Analysts
|
| 2010-201 |
Oct. 20, 2010 |
Thomas A. Bayer Named SEC Chief Information Officer
|
| 2010-200 |
Oct. 20, 2010 |
OECD Commends U.S. Regulators for Efforts to Fight Transnational Bribery
|
| 2010-199 |
Oct. 19, 2010 |
SEC Charges Georgia-Based Hedge Fund Managers With Fraud in Valuing a "Side Pocket" and Theft of Investor Assets
|
| 2010-198 |
Oct. 18, 2010 |
SEC Proposes Rules on "Say on Pay" and Proxy Vote Reporting
|
| 2010-197 |
Oct. 15, 2010 |
Former Countrywide CEO Angelo Mozilo to Pay SEC’s Largest-Ever Financial Penalty Against a Public Company's Senior Executive
|
| 2010-196 |
Oct. 15, 2010 |
SEC, CFTC Staffs to Host Joint Public Roundtable to Discuss Issues Related to Clearing of Credit Default Swaps
|
| 2010-195 |
Oct. 14, 2010 |
SEC Charges Two Florida-Based Fund Managers With Facilitating Petters Ponzi Scheme
|
| 2010-194 |
Oct. 14, 2010 |
James Capezzuto Named Associate Regional Director for Examinations in SEC New York Regional Office
|
| 2010-193 |
Oct. 13, 2010 |
SEC Warns of Potential Investment Scams Targeting Recipients of BP Oil Spill Payouts
|
| 2010-192 |
Oct. 13, 2010 |
SEC Proposes Rules to Require Issuer Review of Assets Underlying Asset-Backed Securities
|
| 2010-191 |
Oct. 13, 2010 |
SEC Adopts Interim Rule to Require Reporting of Security-Based Swaps
|
| 2010-190 |
Oct. 13, 2010 |
SEC Proposes Rules to Mitigate Conflicts of Interest Involving Security-Based Swaps
|
| 2010-189 |
Oct. 12, 2010 |
SEC Proposes New Family Office Definition Under Dodd-Frank Act
|
| 2010-188 |
Oct. 12, 2010 |
Karen Garnett and Mark Kronforst Named Associate Directors in SEC Division of Corporation Finance
|
| 2010-187 |
Oct. 7, 2010 |
SEC Charges Penny Stock Promoters in Series of Kickback Schemes
|
| 2010-186 |
Oct. 7, 2010 |
SEC Charges Internationally Syndicated Radio Show Host With Securities Fraud Scheme
|
| 2010-185 |
Oct. 7, 2010 |
SEC Charges Purported Real Estate Business and Owner for Conducting Ponzi Scheme
|
| 2010-184 |
Oct. 7, 2010 |
SEC Halts Web-Based Scheme Defrauding Deaf Investors
|
| 2010-183 |
Oct. 6, 2010 |
Heather Seidel Named Associate Director in Division of Trading and Markets
|
| 2010-182 |
Oct. 6, 2010 |
SEC Seeks Public Comment on Asset-Backed Securities Rule Proposal Under Dodd-Frank Act
|
| 2010-181 |
Oct. 6, 2010 |
SEC to Hold Small Business Capital Formation Forum
|
| 2010-180 |
Oct. 1, 2010 |
SEC Wins Fraud Trial Against Miami-Based Investment Companies and Their Owners
|
| 2010-179 |
Oct. 1, 2010 |
Statement by SEC Chairman Schapiro and CFTC Chairman Gensler on the Joint Report Regarding the Market Events of May 6th
|
| Third Quarter |
| 2010-178 |
Sep. 30, 2010 |
SEC Charges Family Insider Trading Ring in Million-Dollar Scheme
|
| 2010-177 |
Sep. 30, 2010 |
Former State Street Employees Charged for Misleading Investors About Subprime Mortgage Investments
|
| 2010-176 |
Sep. 30, 2010 |
SEC Charges Two Florida Companies and CEOs for Orchestrating Pump-and-Dump Schemes
|
| 2010-175 |
Sep. 29, 2010 |
SEC Charges ABB For Bribery Schemes in Mexico and Iraq
|
| 2010-174 |
Sep. 29, 2010 |
SEC Charges Bay Area Investment Adviser for Not Disclosing Conflict of Interest to Investors
|
| 2010-173 |
Sep. 29, 2010 |
Fee Rate Advisory #2 for Fiscal Year 2011
|
| 2010-172 |
Sep. 23, 2010 |
SEC Charges Dallas-Based Hedge Fund Adviser for Participating in Stock Offerings After Selling Short
|
| 2010-171 |
Sep. 21, 2010 |
Administrative Law Judge James T. Kelly to Retire After 11 Years at SEC
|
| 2010-170 |
Sep. 21, 2010 |
SEC Charges Minneapolis Attorney and San Francisco Real Estate Lending Fund Promoters with Misleading Investors
|
| 2010-169 |
Sep. 17, 2010 |
SEC Proposes Measures to Enhance Short-Term Borrowing Disclosure to Investors
|
| 2010-168 |
Sep. 14, 2010 |
J.W. Mike Starr Named Deputy Chief Accountant for Policy Support and Market Monitoring in Office of Chief Accountant
|
| 2010-167 |
Sep. 10, 2010 |
SEC Approves Rules Expanding Stock-by-Stock Circuit Breakers and Clarifying Process for Breaking Erroneous Trades
|
| 2010-166 |
Sep. 8, 2010 |
SEC, CFTC To Host Joint September Roundtables On Swap and Security-Based Swap Matters
|
| 2010-165 |
Sep. 7, 2010 |
SEC Charges Colorado-Based Investment Adviser With Fraudulently Recommending Hedge Funds to Older Investors
|
| 2010-164 |
Sep. 7, 2010 |
SEC Sets Field Hearings on State of Municipal Securities Markets
|
| 2010-163 |
Sep. 2, 2010 |
SEC Charges New Jersey Investment Adviser in Multi-Million Dollar Offering Fraud
|
| 2010-162 |
Sep. 2, 2010 |
SEC Adopts Temporary Rule Requiring Municipal Advisors to Register With Agency
|
| 2010-161 |
Sep. 1, 2010 |
SEC Charges Pinnacle Capital Markets for Deficient Customer Identification Program Procedures
|
| 2010-160 |
Aug. 31, 2010 |
SEC Charges Two Accounting Professionals at Milwaukee-Based Company with Fraud |
| 2010-159 |
Aug. 31, 2010 |
SEC Issues Report Cautioning Credit Rating Agencies
|
| 2010-158 |
Aug. 30, 2010 |
Brian Breheny, Deputy Director in Division of Corporation Finance, to Leave After Seven Years at SEC |
| 2010-157 |
Aug. 30, 2010 |
Christopher R. Conte, Associate Director of Enforcement, to Leave After Nearly 18 Years at SEC
|
| 2010-156 |
Aug. 30, 2010 |
John Ramsay Named Deputy Director in Division of Trading and Markets
|
| 2010-155 |
Aug. 25, 2010 |
SEC Adopts New Measures to Facilitate Director Nominations by Shareholders
|
| 2010-154 |
Aug. 24, 2010 |
Statement From Chairman Schapiro on Financial Accounting Foundation Developments
|
| 2010-153 |
Aug. 24, 2010 |
SEC Freezes Assets of Two Traders in Spain for Insider Trading Around Public Announcement of BHP Acquisition Bid
|
| 2010-152 |
Aug. 18, 2010 |
SEC Charges State of New Jersey for Fraudulent Municipal Bond Offerings
|
| 2010-151 |
Aug. 17, 2010 |
Andrew J. Donohue to Leave SEC After Four Years Leading Division of Investment Management
|
| 2010-150 |
Aug. 13, 2010 |
Deputy Chief Economist Stewart Mayhew to Leave SEC After Eight Years of Service
|
| 2010-149 |
Aug. 13, 2010 |
SEC, CFTC Seeking Public Comment on Definitions and Regulation of Mixed Swaps
|
| 2010-148 |
Aug. 13, 2010 |
SEC, CFTC to Host August 20 Roundtable on Clearing and Listing of Swaps and Security-Based Swaps
|
| 2010-147 |
Aug. 13, 2010 |
Securities Regulators Publish Updated Best Practices for Firms Serving Senior Investors
|
| 2010-146 |
Aug. 9, 2010 |
SEC Charges Seattle-Area Company and Former CFO With Phony Accounting of Infomercial Sales
|
| 2010-145 |
Aug. 6, 2010 |
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Announces Agenda/Participants for August 11 Meeting
|
| 2010-144 |
Aug. 6, 2010 |
SEC Charges Two Global Tobacco Companies With Bribery
|
| 2010-143 |
Aug. 5, 2010 |
Office of the Chief Accountant Names Academic Fellows |
| 2010-142 |
Aug. 5, 2010 |
Shira Pavis Minton Named SEC Ethics Counsel |
| 2010-141 |
Aug. 5, 2010 |
SEC Charges Two Individuals for Roles in Innospec FCPA Scheme
|
| 2010-140 |
Aug. 4, 2010 |
SEC Charges Former Deloitte Partner and Son With Insider Trading
|
| 2010-139 |
Aug. 2, 2010 |
Matthew Martens Named Chief Litigation Counsel in SEC Division of Enforcement
|
| 2010-138 |
Jul. 30, 2010 |
SEC Completes Inaugural Teacher Training Workshop
|
| 2010-137 |
Jul. 29, 2010 |
SEC Charges Corporate Insider Brothers With Fraud
|
| 2010-136 |
Jul. 29, 2010 |
SEC Charges Citigroup and Two Executives for Misleading Investors About Exposure to Subprime Mortgage Assets
|
| 2010-135 |
Jul. 27, 2010 |
SEC Chairman Schapiro Announces Open Process for Regulatory Reform Rulemaking
|
| 2010-134 |
Jul. 27, 2010 |
SEC Publishes Public Request for Comment to Inform Study of Obligations of Broker-Dealers and Investment Advisers
|
| 2010-133 |
Jul. 27, 2010 |
SEC Charges General Electric and Two Subsidiaries with FCPA Violations
|
| 2010-132 |
Jul. 26, 2010 |
SEC Announces $106 Million Fair Fund Distribution to Harmed Investors in HealthSouth Financial Fraud
|
| 2010-131 |
Jul. 22, 2010 |
SEC Charges Dell and Senior Executives with Disclosure and Accounting Fraud
|
| 2010-130 |
Jul. 22, 2010 |
SEC Charges Two New York-Based Accountants With Conducting Ponzi Scheme Against Clients
|
| 2010-129 |
Jul. 22, 2010 |
SEC Releases Report of the Life Settlements Task Force
|
| 2010-128 |
Jul. 21, 2010 |
David W. Blass Named SEC Associate General Counsel for Legal Policy
|
| 2010-127 |
Jul. 21, 2010 |
SEC Approves Disclosure Form Changes to Provide Investors Greater Information About Their Investment Advisers
|
| 2010-126 |
Jul. 21, 2010 |
SEC Proposes Measures to Improve Regulation of Fund Distribution Fees and Provide Better Disclosure for Investors
|
| 2010-125 |
Jul. 16, 2010 |
Paula Dubberly Named to New Deputy Director Position in Division of Corporation Finance
|
| 2010-124 |
Jul. 16, 2010 |
SEC Adds Units to Oversee Financial Institutions, Asset-Backed Securities, New Financial Products and Trends
|
| 2010-123 |
Jul. 15, 2010 |
Goldman Sachs to Pay Record $550 Million to Settle SEC Charges Related to Subprime Mortgage CDO
|
| 2010-122 |
Jul. 14, 2010 |
SEC Votes to Seek Public Comment on U.S. Proxy System
|
| 2010-121 |
Jul. 14, 2010 |
Enforcement Chief Counsel Joan McKown to Leave SEC
|
| 2010-120 |
Jul. 12, 2010 |
Chief Information Officer Charles Boucher to Leave SEC
|
| 2010-119 |
Jul. 7, 2010 |
SEC Charges Italian Company and Dutch Subsidiary in Scheme Bribing Nigerian Officials With Carloads of Cash
|
| 2010-118 |
Jul. 2, 2010 |
SEC and Japan Financial Services Agency Hold Meeting of the SEC-JFSA Strategic Dialogue
|
| Second Quarter |
| 2010-117 |
Jun. 30, 2010 |
SEC to Publish for Public Comment Proposed Rules Expanding Stock-by-Stock Circuit Breakers
|
| 2010-116 |
Jun. 30, 2010 |
SEC Adopts New Measures to Curtail Pay to Play Practices by Investment Advisers
|
| 2010-115 |
Jun. 29, 2010 |
SEC Charges California Telecommunications Company With FCPA Violations
|
| 2010-114 |
Jun. 29, 2010 |
SEC Charges Two Canadians With Fraudulently Touting Penny Stocks on a Website, Facebook and Twitter
|
| 2010-113 |
Jun. 28, 2010 |
Chairman Schapiro Statement on Regulatory Reform Legislation
|
| 2010-112 |
Jun. 28, 2010 |
SEC Halts $105 Million Ponzi Scheme by U.S. Virgin Islands-Based Money Manager |
| 2010-111 |
Jun. 28, 2010 |
Statement on the Supreme Court's Decision in FEF v. PCAOB |
| 2010-110 |
Jun. 28, 2010 |
SEC Charges Technip with FCPA Violations |
| 2010-109 |
Jun. 25, 2010 |
SEC Announces $13.9 Million Fair Fund Distribution to Harmed Investors in Raytheon Financial Fraud Settlement Today |
| 2010-108 |
Jun. 25, 2010 |
SEC Charges Benefits Consultant to Government Agencies With Ponzi Scheme
|
| 2010-107 |
Jun. 22, 2010 |
SEC Charges Palm Beach County Investment Adviser With Running a Ponzi Scheme and Stealing Client Funds
|
| 2010-106 |
Jun. 21, 2010 |
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Announces Agenda, List of Participants for June 22 Meeting
|
| 2010-105 |
Jun. 21, 2010 |
SEC Charges N.Y.-Based Investment Adviser With Fraudulent Management of CDOs Tied to Mortgage-Backed Securities
|
| 2010-104 |
Jun. 17, 2010 |
SEC to Publish for Public Comment Proposed Rules for Clearly Erroneous Trades
|
| 2010-103 |
Jun. 16, 2010 |
SEC Proposes New Measures to Help Investors in Target Date Funds
|
| 2010-102 |
Jun. 16, 2010 |
SEC Charges Former Chairman of Major Mortgage Lender With $1.5 Billion Securities Fraud and Related TARP Scheme
|
| 2010-101 |
Jun. 14, 2010 |
SEC, Quebec Autorité Des Marchés Financiers and Ontario Securities Commission Sign Regulatory Cooperation Arrangement
|
| 2010-100 |
Jun. 11, 2010 |
SEC Charges New York-Based Money Manager and Firm Touting Ties to Belgian Royal Family
|
| 2010-99 |
Jun. 10, 2010 |
SEC Charges Perpetrators of $300 Million Ponzi Scheme Involving Purported Gold Mining Investments
|
| 2010-98 |
Jun. 10, 2010 |
SEC Approves New Stock-by-Stock Circuit Breaker Rules
|
| 2010-97 |
Jun. 4, 2010 |
SEC Statement on Status of Stock-by-Stock Circuit Breaker Rule Proposals
|
| 2010-96 |
Jun. 2, 2010 |
Chairman Schapiro Statement on FASB-IASB Decision to Modify Timing of Certain Convergence Projects
|
| 2010-95 |
Jun. 2, 2010 |
SEC Charges Miami Man in $40 Million Ponzi Scheme
|
| 2010-94 |
Jun. 2, 2010 |
SEC Charges Former Biotech Company Executive for False Claims About Down Syndrome Test
|
| 2010-93 |
Jun. 2, 2010 |
SEC Charges Diebold and Former Executives With Accounting Fraud
|
| 2010-92 |
May 28, 2010 |
SEC Announces Agenda and Panelists for Market Structure Roundtable
|
| 2010-91 |
May 27, 2010 |
Jeff Heslop Named SEC Chief Operating Officer
|
| 2010-90 |
May 27, 2010 |
Brian T. Croteau Named Deputy Chief Accountant for Professional Practice in SEC Office of the Chief Accountant
|
| 2010-89 |
May 27, 2010 |
SEC Files Emergency Charges Against New York-Based Financial Advisor for Defrauding Clients
|
| 2010-88 |
May 27, 2010 |
SEC Charges Pequot Capital Management and CEO Arthur Samberg With Insider Trading
|
| 2010-87 |
May 26, 2010 |
SEC Charges Money Manager and Two Associates in New York City-Based Affinity Fraud
|
| 2010-86 |
May 26, 2010 |
SEC Proposes Consolidated Audit Trail System to Better Track Market Trades
|
| 2010-85 |
May 26, 2010 |
SEC Approves Rule Changes to Enhance Municipal Securities Disclosure
|
| 2010-84 |
May 26, 2010 |
SEC Charges Disney Employee and Boyfriend in Brazen Insider Trading Scheme
|
| 2010-83 |
May 21, 2010 |
SEC Announces $178 Million Distribution from Millennium Fair Fund |
| 2010-82 |
May 21, 2010 |
Kenneth A. Johnson Named SEC Chief Financial Officer
|
| 2010-81 |
May 18, 2010 |
SEC-CFTC Release Preliminary Findings in Review of May 6 Market Events |
| 2010-80 |
May 18, 2010 |
SEC Announces Stock-by-Stock Circuit Breaker Proposals |
| 2010-79 |
May 17, 2010 |
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues to Meet on May 24
|
| 2010-78 |
May 13, 2010 |
Gerald Hodgkins Named Associate Director in SEC Division of Enforcement
|
| 2010-77 |
May 13, 2010 |
SEC Investor Advisory Committee Announces Meeting Agenda, List of Participants
|
| 2010-76 |
May 11, 2010 |
SEC Charges Two Florida Residents for Unlawful Short Selling
|
| 2010-75 |
May 11, 2010 |
SEC, CFTC Announce Creation Of Joint CFTC-SEC Advisory Committee On Emerging Regulatory Issues
|
| 2010-74 |
May 10, 2010 |
SEC Statement on Meeting With Exchanges
|
| 2010-73 |
May 7, 2010 |
Statement of the Securities and Exchange Commission and the Commodity Futures Trading Commission
|
| 2010-72 |
May 6, 2010 |
Statement from SEC and CFTC
|
| 2010-71 |
May 5, 2010 |
SEC Staff to Hold Seminar to Help Mutual Funds Comply With XBRL Reporting Rules
|
| 2010-70 |
May 5, 2010 |
SEC Charges Spongetech and Senior Executives in Pump-and-Dump Scheme
|
| 2010-69 |
May 3, 2010 |
Richard A. Levine Named SEC Associate General Counsel for Legal Policy
|
| 2010-68 |
May 3, 2010 |
SEC Completes 20th Annual International Institute for Securities Market Development
|
| 2010-67 |
Apr. 30, 2010 |
SEC Announces $113.5 Million Distribution in Royal Dutch Shell Fair Fund
|
| 2010-66 |
Apr. 30, 2010 |
Fee Rate Advisory #1 for Fiscal Year 2011
|
| 2010-65 |
Apr. 27, 2010 |
SEC Charges Securities Professionals With Facilitating Illegal Penny Stock Sales and Failing to Act as Gatekeepers
|
| 2010-64 |
Apr. 22, 2010 |
SEC Charges Private Equity Firm and Money Manager for Defrauding Detroit-Area Public Pension Funds
|
| 2010-63 |
Apr. 21, 2010 |
SEC Charges Prominent Miami Beach Businessman in $900 Million Ponzi Scheme
|
| 2010-62 |
Apr. 20, 2010 |
SEC Files Emergency Action to Halt Fraudulent Scheme at Albany-Based Firm
|
| 2010-61 |
Apr. 20, 2010 |
SEC Halts Internet-Based Scam by Staten Island Firm Luring Investors With Phony Stock Tips and Fictional Trading Experts
|
| 2010-60 |
Apr. 16, 2010 |
Statement From Chairman Schapiro on OIG Report 526: "Investigation of the SEC's Response to Concerns Regarding Robert Allen Stanford's Alleged Ponzi Scheme"
|
| 2010-59 |
Apr. 16, 2010 |
SEC Charges Goldman Sachs With Fraud in Structuring and Marketing of CDO Tied to Subprime Mortgages
|
| 2010-58 |
Apr. 15, 2010 |
SEC Charges Private Equity Firm in Kickback Scheme Involving New York Pension Fund
|
| 2010-57 |
Apr. 15, 2010 |
Federal Regulators Release Model Consumer Privacy Notice Online Form Builder
|
| 2010-56 |
Apr. 14, 2010 |
SEC Proposes New Measures to Protect Investors in Options Markets
|
| 2010-55 |
Apr. 14, 2010 |
SEC Proposes Large Trader Reporting System
|
| 2010-54 |
Apr. 7, 2010 |
SEC Proposes Rules to Increase Investor Protections in Asset-Backed Securities
|
| 2010-53 |
Apr. 7, 2010 |
SEC Charges Morgan Keegan and Two Employees With Fraud Related to Subprime Mortgages
|
| 2010-52 |
Apr. 5, 2010 |
Robert J. Keyes Named Associate Regional Director and Chief of Regional Office Operations in SEC's New York Office
|
| 2010-51 |
Apr. 1, 2010 |
SEC Charges Daimler AG With Global Bribery
|
| 2010-50 |
Apr. 1, 2010 |
Kathleen Griffin Named SEC's First Chief Compliance Officer
|
| First Quarter |
| 2010-49 |
Mar. 29, 2010 |
SEC Charges Ohio-Based Investment Adviser for Defrauding Clients in Several States |
| 2010-48 |
Mar. 26, 2010 |
SEC Announces $185 Million Distribution to Investors Injured by Prudential Securities Market Timing Fraud
|
| 2010-47 |
Mar. 25, 2010 |
Office of the Chief Accountant Selects Eight Professional Accounting Fellows
|
| 2010-46 |
Mar. 25, 2010 |
Howard A. Scheck Named Chief Accountant in SEC Enforcement Division
|
| 2010-45 |
Mar. 25, 2010 |
SEC Staff Evaluating the Use of Derivatives by Funds
|
| 2010-44 |
Mar. 24, 2010 |
SEC Charges Securities Professionals in Insider Trading Scheme Using Coded E-Mail Messages
|
| 2010-43 |
Mar. 24, 2010 |
SEC Charges New Mexico Real Estate Magnate in $80 Million Ponzi Scheme
|
| 2010-42 |
Mar. 18, 2010 |
SEC Warns Firms on Muni Pay-to-Play Rules |
| 2010-41 |
Mar. 18, 2010 |
SEC Charges S.C.-Based Lawyer in Scheme Promising Investors Returns as High as 4,900 Percent |
| 2010-40 |
Mar. 18, 2010 |
SEC Charges Innospec for Illegal Bribes to Iraqi and Indonesian Officials
|
| 2010-39 |
Mar. 15, 2010 |
SEC Charges Former Executives in Illegal Scheme to Enrich CEO With Perks
|
| 2010-38 |
Mar. 10, 2010 |
SEC Warns Investors of Phony Web Site Targeting Madoff Fraud Victims
|
| 2010-37 |
Mar. 10, 2010 |
SEC Halts Ponzi Scheme Preying on Retirees Attending Estate Planning Seminars
|
| 2010-36 |
Mar. 9, 2010 |
Chief Economist James Overdahl to Leave SEC
|
| 2010-35 |
Mar. 5, 2010 |
SEC Charges San Diego Brokerage Firm with Failing to Supervise Broker Who Defrauded Two Florida Municipalities |
| 2010-34 |
Mar. 4, 2010 |
SEC Charges Nationally Known Psychic in Multi-Million Dollar Securities Fraud
|
| 2010-33 |
Mar. 4, 2010 |
SEC Halts Ponzi Scheme Targeting Retired L.A. Bus Drivers
|
| 2010-32 |
Mar. 3, 2010 |
SEC Charges Executives of Iowa Insurance Company With Misleading Proxy Disclosures to Investors
|
| 2010-31 |
Mar. 3, 2010 |
SEC Charges Miami Couple in $135 Million Ponzi Scheme Targeting Cuban-American Community
|
| 2010-30 |
Mar. 2, 2010 |
SEC and IRS Agree to Work More Closely Regarding Municipal Bond Enforcement
|
| 2010-29 |
Mar. 1, 2010 |
Fee Rate Advisory #5 for Fiscal Year 2010
|
| 2010-28 |
Feb. 25, 2010 |
SEC Charges Madoff's Director of Operations with Falsifying Accounting Records and Siphoning Investor Funds
|
| 2010-27 |
Feb. 24, 2010 |
SEC Approves Statement on Global Accounting Standards
|
| 2010-26 |
Feb. 24, 2010 |
SEC Approves Short Selling Restrictions
|
| 2010-25 |
Feb. 23, 2010 |
SEC Staff to Hold Seminar to Help Companies Comply With XBRL Reporting Rules
|
| 2010-24 |
Feb. 23, 2010 |
SEC Charges Two Sacramento Men with Defrauding Real Estate Fund Investors of Millions of Dollars |
| 2010-23 |
Feb. 22, 2010 |
SEC Announces Efforts to Educate Investors About Participating in Corporate Elections |
| 2010-22 |
Feb. 22, 2010 |
SEC Announces $67 Million Fair Fund Distribution to Harmed Investors in McAfee Financial Fraud Settlement
|
| 2010-21 |
Feb. 4, 2010 |
SEC Charges State Street for Misleading Investors About Subprime Mortgage Investments
|
| 2010-20 |
Feb. 3, 2010 |
William P. Hicks Named Associate Regional Director for Enforcement in SEC Atlanta Regional Office
|
| 2010-19 |
Feb. 3, 2010 |
Rhea Kemble Dignam Named Director of SEC Atlanta Regional Office
|
| 2010-18 |
Feb. 1, 2010 |
Statement From Chairman Schapiro on Proposed Budget for SEC
|
| 2010-17 |
Feb. 1, 2010 |
SEC and UK FSA Hold Fifth Meeting of the SEC-FSA Strategic Dialogue
|
| 2010-16 |
Jan. 29, 2010 |
Reserve Primary Fund Distributes Assets to Investors
|
| 2010-15 |
Jan. 27, 2010 |
SEC Issues Interpretive Guidance on Disclosure Related to Business or Legal Developments Regarding Climate Change
|
| 2010-14 |
Jan. 27, 2010 |
SEC Approves Money Market Fund Reforms to Better Protect Investors
|
| 2010-13 |
Jan. 26, 2010 |
SEC Charges Two California Firms For Unlawful Short Selling Practices
|
| 2010-12 |
Jan. 25, 2010 |
Alleged Minneapolis-Based Fraudster Trevor Cook Jailed for Failing to Surrender Assets in SEC Case
|
| 2010-11 |
Jan. 25, 2010 |
Dan Gallagher, Deputy Director of Trading and Markets, to Leave SEC and Return to Private Practice
|
| 2010-10 |
Jan. 20, 2010 |
SEC Charges General Re Corporation for Role in AIG and Prudential Accounting Frauds
|
| 2010-9 |
Jan. 20, 2010 |
Fredric D. Firestone, Associate Director of Enforcement, to Leave SEC
|
| 2010-8 |
Jan. 13, 2010 |
SEC Issues Concept Release Seeking Comment on Structure of Equity Markets
|
| 2010-7 |
Jan. 13, 2010 |
SEC Proposes New Rule to Effectively Prohibit Unfiltered Access and Maintain Market Access Controls
|
| 2010-6 |
Jan. 13, 2010 |
SEC Announces Initiative to Encourage Individuals and Companies to Cooperate and Assist in Investigations
|
| 2010-5 |
Jan. 13, 2010 |
SEC Names New Specialized Unit Chiefs and Head of New Office of Market Intelligence
|
| 2010-4 |
Jan. 11, 2010 |
SEC Charges Father-Son Investment Adviser Team in Florida For Role in Massive Hedge Fund Fraud
|
| 2010-3 |
Jan. 11, 2010 |
SEC Halts Fraudulent Scheme Targeting Iranian-American Community in Los Angeles
|
| 2010-2 |
Jan. 5, 2010 |
Perot Systems Insider Trader Agrees to Return $8.6 Million in Illicit Profits
|
| 2010-1 |
Jan. 4, 2010 |
Carlo di Florio Named Director of SEC Office of Compliance Inspections and Examinations |
