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Press Releases

Press Releases

 
Official announcements highlighting recent actions taken by the SEC and other newsworthy information.  To view Press Releases prior to 2012, view the Press Release Archive.

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Date Title Release No.
April 22, 2015 SEC Charges Issuer for Failing to Make Public Filings 2015-74
April 22, 2015 SEC Announces Million-Dollar Whistleblower Award to Compliance Officer 2015-73
April 20, 2015 Fort Worth Regional Director David Woodcock to Leave SEC 2015-72
April 20, 2015 SEC Charges BlackRock Advisors With Failing to Disclose Conflict of Interest to Clients and Fund Boards 2015-71
April 17, 2015 SEC Announces Agenda for May 13 Meeting of the Equity Market Structure Advisory Committee 2015-70
April 16, 2015 SEC Charges 10 Individuals in Scheme to Sell Stock in Blank Check Companies Secretly Bound for Reverse Mergers 2015-69
April 16, 2015 SEC Charges New York-Based Financial Advisor With Stealing $20 Million From Customers 2015-68
April 15, 2015 SEC Staff and FINRA Issue Report on National Senior Investor Initiative 2015-67
April 14, 2015 SEC Halts Investment Scheme Targeting Military Personnel 2015-66
April 9, 2015 SEC Announces Fraud Charges Against Former Accounting Executive at Japanese Subsidiary 2015-65
April 9, 2015 SEC Names Marc Wyatt as Acting Director of the Office of Compliance Inspections and Examinations 2015-64
April 9, 2015 SEC Halts Microcap Scheme in South Florida 2015-63
April 8, 2015 SEC Charges Oregon-Based Defense Contractor With FCPA Violations 2015-62
April 8, 2015 Gregg E. Berman, Associate Director in the Division of Trading and Markets, to Leave SEC 2015-61
April 7, 2015 SEC Charges L.A.-Based Pacific West Capital Group With Fraud in Sale of Life Settlement Investments 2015-60
April 7, 2015 OCIE Director Andrew Bowden to Leave SEC 2015-59
April 7, 2015 SEC Obtains Asset Freeze in Ponzi Scheme Involving Loans to Professional Athletes 2015-58
April 6, 2015 SEC Charges Firms and Individuals for Defrauding Investors in Cellular Licensing Scheme 2015-57
April 2, 2015 SEC Charges Friends With Insider Trading on Acquisition of Cooper Tire 2015-56
April 1, 2015 SEC Charges North Carolina Executive With Fraud 2015-55
April 1, 2015 SEC: Companies Cannot Stifle Whistleblowers in Confidentiality Agreements 2015-54
March 31, 2015 SEC Charges Former Polycom CEO With Hiding Perks From Investors 2015-53
March 30, 2015 SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From Investors 2015-52
March 27, 2015 SEC Charges New York-Based Brokerage Firm With Faulty Underwriting of Public Offering by China-Based Company 2015-51
March 26, 2015 SEC Charges Nearly Two Dozen Unregistered Broker-Dealers 2015-50
March 25, 2015 SEC Adopts Rules to Facilitate Smaller Companies’ Access to Capital 2015-49
March 25, 2015 SEC Proposes Rule to Require Broker-Dealers Active in Off-Exchange Market to Become Members of National Securities Association 2015-48
March 13, 2015 Corporate Insiders Charged for Failing to Update Disclosures Involving “Going Private” Transactions 2015-47
March 4, 2015 SEC Charges Texas-Based Brokerage Firm With Violating Supervisory and Customer Protection Rules 2015-46
March 2, 2015 Former Company Officer Earns Half-Million Dollar Whistleblower Award for Reporting Fraud Case to SEC 2015-45
March 2, 2015 SEC Suspends Trading in 128 Dormant Shell Companies to Put Them Out of Reach of Microcap Fraudsters 2015-44
Feb. 27, 2015 SEC Halts Ponzi-Like Scheme by Purported Venture Capital Fund Manager in Buffalo 2015-43
Feb. 27, 2015 Fee Rate Advisory #4 for Fiscal Year 2015 2015-42
Feb. 27, 2015 SEC Announces Agenda for March 4 Meeting of the Advisory Committee on Small and Emerging Companies 2015-41
Feb. 26, 2015 Readout of SEC Chair Mary Jo White’s Meeting with European Union Financial Services Commissioner Jonathan Hill 2015-40
Feb. 26, 2015 SEC Salt Lake Office Director Karen Martinez to Retire From Public Service 2015-39
Feb. 24, 2015 SEC Charges Goodyear With FCPA Violations 2015-38
Feb. 19, 2015 SEC Charges Brothers-in-Law in Louisiana With Insider Trading 2015-37
Feb. 19, 2015 SEC Charges New York-Based Brokerage Firm and CEO With Committing Fraud During CDO Liquidation Auctions 2015-36
Feb. 18, 2015 SEC Halts Colorado-Based Pyramid Scheme 2015-35
Feb. 13, 2015 SEC Announces Fraud Charges Against Purported Hedge Fund Manager 2015-34
Feb. 12, 2015 Pamela C. Dyson Named SEC Chief Information Officer 2015-33
Feb. 12, 2015 SEC Announces Agenda, Panelists for Proxy Voting Roundtable 2015-32
Feb. 12, 2015 SEC Charges Mutual Fund Adviser in Connection With Improper Handling of Fund Assets 2015-31
Feb. 11, 2015 Heather Seidel Named Chief Counsel in SEC’s Division of Trading and Markets 2015-30
Feb. 11, 2015 SEC Announces Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender Offer 2015-29
Feb. 10, 2015 SEC Announces Half-Million Dollar Clawback from CFOs of Silicon Valley Company That Committed Accounting Fraud 2015-28
Feb. 10, 2015 SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme 2015-27
Feb. 9, 2015 SEC Proposes Rules for Hedging Disclosure 2015-26
Feb. 6, 2015 SEC Imposes Sanctions Against China-Based Members of Big Four Accounting Networks for Refusing to Produce Documents 2015-25
Feb. 5, 2015 SEC Charges Chicago-Area Alternative Energy Company for Accounting and Disclosure Violations 2015-24
Feb. 5, 2015 SEC Charges Four in California Insider Trading Ring 2015-23
Feb. 4, 2015 SEC Approves 2015 PCAOB Budget and Accounting Support Fee 2015-22
Feb. 3, 2015 SEC Names David Grim as Acting Director of the Division of Investment Management 2015-21
Feb. 3, 2015 SEC Alerts Investors, Industry on Cybersecurity 2015-20
Jan. 30, 2015 SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting 2015-19
Jan. 29, 2015 SEC Charges Stock-Based Lender With Selling Billions of Penny Stock Shares as Unregistered Broker-Dealer 2015-18
Jan. 29, 2015 Robert E. Rice, Chief Counsel to SEC Chair, to Leave SEC 2015-17
Jan. 28, 2015 SEC Names Erin Schneider as Associate Regional Director in San Francisco Office 2015-16
Jan. 27, 2015 SEC to Hold Roundtable on Proxy Voting 2015-15
Jan. 27, 2015 SEC Charges Oppenheimer With Securities Law Violations Related to Improper Penny Stock Sales 2015-14
Jan. 22, 2015 SEC Charges Former Executive at Tampa-Based Engineering Firm With FCPA Violations 2015-13
Jan. 21, 2015 SEC Charges Investment Adviser and Manager in South Florida-Based Fraud 2015-12
Jan. 21, 2015 Investment Management Director Norm Champ to Leave SEC 2015-11
Jan. 21, 2015 SEC Announces Charges Against Standard & Poor’s for Fraudulent Ratings Misconduct 2015-10
Jan. 15, 2015 SEC Announces Charges Against Attorneys and Auditors in Microcap Scheme Involving Purported Mining Companies 2015-9
Jan. 15, 2015 Fee Rate Advisory #3 for Fiscal Year 2015 2015-8
Jan. 15, 2015 SEC Charges UBS Subsidiary With Disclosure Violations and Other Regulatory Failures in Operating Dark Pool 2015-7
Jan. 14, 2015 SEC Adopts Rules to Increase Transparency in Security-Based Swap Market 2015-6
Jan. 13, 2015 SEC Announces Members of New Equity Market Structure Advisory Committee 2015-5
Jan. 13, 2015 SEC Charges Canadian Man With Conducting Fraudulent Trading Scheme 2015-4
Jan. 13, 2015 SEC Announces 2015 Examination Priorities 2015-3
Jan. 12, 2015 SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types 2015-2
Jan. 8, 2015 SEC Names Walter Jospin as Regional Director of Atlanta Office 2015-1
Dec. 30, 2014 SEC Announces Program to Facilitate Analysis of Corporate Financial Data 2014-295
Dec. 29, 2014 SEC Announces Charges Against N.Y.-Based Firm and Three Executives Accused of Siphoning Investor Money 2014-294
Dec. 23, 2014 SEC Issues Annual Staff Reports on Credit Rating Agencies 2014-293
Dec. 23, 2014 SEC Charges California-Based Stock Promoter With Defrauding Investors Seeking Pre-IPO Facebook and Twitter Shares 2014-292
Dec. 22, 2014 SEC Charges Two Traders in Chile With Insider Trading 2014-291
Dec. 22, 2014 SEC Charges Corporate Attorney and Wife With Insider Trading on Client’s Confidential Information 2014-290
Dec. 22, 2014 SEC Charges Investment Manager F-Squared and Former CEO With Making False Performance Claims 2014-289
Dec. 18, 2014 SEC Proposes Amendments to Implement JOBS Act Mandate for Exchange Act Registration Requirements 2014-288
Dec. 18, 2014 SEC Charges Staten Island-Based Firm With Operating Boiler Room Scheme Targeting Seniors 2014-287
Dec. 17, 2014 SEC Names Deputy Directors in the Division of Trading and Markets 2014-286
Dec. 17, 2014 SEC Charges Avon With FCPA Violations 2014-285
Dec. 17, 2014 SEC Imposes Sanctions Against Hong Kong-Based Firm and Two Accountants for Audit Failures 2014-284
Dec. 16, 2014 SEC Announces Charges in Alleged Gold Mining Investment Scheme 2014-283
Dec. 16, 2014 SEC Announces Charges Against Owner of Equity Research Firm Accused of Manipulative Trading 2014-282
Dec. 15, 2014 SEC Charges New Orleans-Based Energy Company and Executives With Fraudulent Stock Manipulation 2014-281
Dec. 15, 2014 SEC Charges Massachusetts-Based Scientific Instruments Manufacturer with FCPA Violations 2014-280
Dec. 12, 2014 SEC Charges Manhattan-Based Attorney With Conducting Ponzi Scheme 2014-279
Dec. 12, 2014 SEC Files Securities Fraud Charges Against Owner of Home Restoration Business in Upstate New York 2014-278
Dec. 11, 2014 SEC Announces Agenda for Meeting of the Advisory Committee on Small and Emerging Companies 2014-277
Dec. 10, 2014 SEC Names Karol Pollock to Lead Exam Program in Los Angeles Office 2014-276
Dec. 10, 2014 SEC Announces Fraud Charges Against Buffalo-Based Firm and Co-Owners Accused of Misleading Investors in Hedge Fund 2014-275
Dec. 10, 2014 SEC Penalizes Morgan Stanley for Violating Market Access Rule 2014-274
Dec. 8, 2014 SEC Sanctions Operator of Bitcoin-Related Stock Exchange for Registration Violations 2014-273
Dec. 8, 2014 SEC Sanctions Eight Audit Firms for Violating Auditor Independence Rules 2014-272
Dec. 5, 2014 SEC Charges Virginia Beach-Based Bank Holding Company With Accounting Violations 2014-271
Dec. 4, 2014 SEC Charges Montana Man in Pump-and-Dump Scheme Involving Virginia-Based Penny Stock Company 2014-270
Currently only the first 100 results are displayed. To view more results please select a filter.
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Last Updated

Date: April 22, 2015

Title: SEC Charges Issuer for Failing to Make Public Filings

Release No. 2015-74

Date: April 22, 2015

Title: SEC Announces Million-Dollar Whistleblower Award to Compliance Officer

Release No. 2015-73

Date: April 20, 2015

Title: Fort Worth Regional Director David Woodcock to Leave SEC

Release No. 2015-72

Date: April 15, 2015

Title: SEC Staff and FINRA Issue Report on National Senior Investor Initiative

Release No. 2015-67

Date: April 14, 2015

Title: SEC Halts Investment Scheme Targeting Military Personnel

Release No. 2015-66

Date: April 9, 2015

Title: SEC Halts Microcap Scheme in South Florida

Release No. 2015-63

Date: April 8, 2015

Title: SEC Charges Oregon-Based Defense Contractor With FCPA Violations

Release No. 2015-62

Date: April 7, 2015

Title: OCIE Director Andrew Bowden to Leave SEC

Release No. 2015-59

Date: April 2, 2015

Title: SEC Charges Friends With Insider Trading on Acquisition of Cooper Tire

Release No. 2015-56

Date: April 1, 2015

Title: SEC Charges North Carolina Executive With Fraud

Release No. 2015-55

Date: April 1, 2015

Title: SEC: Companies Cannot Stifle Whistleblowers in Confidentiality Agreements

Release No. 2015-54

Date: March 31, 2015

Title: SEC Charges Former Polycom CEO With Hiding Perks From Investors

Release No. 2015-53

Date: March 26, 2015

Title: SEC Charges Nearly Two Dozen Unregistered Broker-Dealers

Release No. 2015-50

Date: March 25, 2015

Title: SEC Adopts Rules to Facilitate Smaller Companies’ Access to Capital

Release No. 2015-49

Date: Feb. 27, 2015

Title: Fee Rate Advisory #4 for Fiscal Year 2015

Release No. 2015-42

Date: Feb. 24, 2015

Title: SEC Charges Goodyear With FCPA Violations

Release No. 2015-38

Date: Feb. 19, 2015

Title: SEC Charges Brothers-in-Law in Louisiana With Insider Trading

Release No. 2015-37

Date: Feb. 18, 2015

Title: SEC Halts Colorado-Based Pyramid Scheme

Release No. 2015-35

Date: Feb. 13, 2015

Title: SEC Announces Fraud Charges Against Purported Hedge Fund Manager

Release No. 2015-34

Date: Feb. 12, 2015

Title: Pamela C. Dyson Named SEC Chief Information Officer

Release No. 2015-33

Date: Feb. 12, 2015

Title: SEC Announces Agenda, Panelists for Proxy Voting Roundtable

Release No. 2015-32

Date: Feb. 10, 2015

Title: SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme

Release No. 2015-27

Date: Feb. 9, 2015

Title: SEC Proposes Rules for Hedging Disclosure

Release No. 2015-26

Date: Feb. 5, 2015

Title: SEC Charges Four in California Insider Trading Ring

Release No. 2015-23

Date: Feb. 4, 2015

Title: SEC Approves 2015 PCAOB Budget and Accounting Support Fee

Release No. 2015-22

Date: Feb. 3, 2015

Title: SEC Alerts Investors, Industry on Cybersecurity

Release No. 2015-20

Date: Jan. 29, 2015

Title: Robert E. Rice, Chief Counsel to SEC Chair, to Leave SEC

Release No. 2015-17

Date: Jan. 27, 2015

Title: SEC to Hold Roundtable on Proxy Voting

Release No. 2015-15

Date: Jan. 21, 2015

Title: SEC Charges Investment Adviser and Manager in South Florida-Based Fraud

Release No. 2015-12

Date: Jan. 21, 2015

Title: Investment Management Director Norm Champ to Leave SEC

Release No. 2015-11

Date: Jan. 15, 2015

Title: Fee Rate Advisory #3 for Fiscal Year 2015

Release No. 2015-8

Date: Jan. 14, 2015

Title: SEC Adopts Rules to Increase Transparency in Security-Based Swap Market

Release No. 2015-6

Date: Jan. 13, 2015

Title: SEC Charges Canadian Man With Conducting Fraudulent Trading Scheme

Release No. 2015-4

Date: Jan. 13, 2015

Title: SEC Announces 2015 Examination Priorities

Release No. 2015-3

Date: Jan. 8, 2015

Title: SEC Names Walter Jospin as Regional Director of Atlanta Office

Release No. 2015-1

Date: Dec. 30, 2014

Title: SEC Announces Program to Facilitate Analysis of Corporate Financial Data

Release No. 2014-295

Date: Dec. 23, 2014

Title: SEC Issues Annual Staff Reports on Credit Rating Agencies

Release No. 2014-293

Date: Dec. 22, 2014

Title: SEC Charges Two Traders in Chile With Insider Trading

Release No. 2014-291

Date: Dec. 17, 2014

Title: SEC Names Deputy Directors in the Division of Trading and Markets

Release No. 2014-286

Date: Dec. 17, 2014

Title: SEC Charges Avon With FCPA Violations

Release No. 2014-285

Date: Dec. 16, 2014

Title: SEC Announces Charges in Alleged Gold Mining Investment Scheme

Release No. 2014-283

Date: Dec. 12, 2014

Title: SEC Charges Manhattan-Based Attorney With Conducting Ponzi Scheme

Release No. 2014-279

Date: Dec. 10, 2014

Title: SEC Names Karol Pollock to Lead Exam Program in Los Angeles Office

Release No. 2014-276

Date: Dec. 10, 2014

Title: SEC Penalizes Morgan Stanley for Violating Market Access Rule

Release No. 2014-274

Date: Dec. 8, 2014

Title: SEC Sanctions Eight Audit Firms for Violating Auditor Independence Rules

Release No. 2014-272

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