Skip to Main Content

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.

Email Subscription E-mail Updates: To sign up for updates, please enter your e-mail address below.

Date Title Release No.
Feb. 10, 2016 SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S. 2016-27
Feb. 9, 2016 SEC Names C. Dabney O’Riordan and Alka Patel as Associate Regional Directors in Los Angeles Office 2016-26
Feb. 9, 2016 Monsanto Paying $80 Million Penalty for Accounting Violations 2016-25
Feb. 5, 2016 SEC Charges Company Executive With Insider Trading 2016-24
Feb. 4, 2016 SEC: Miami Firm Broke Anti-Money Laundering Protocols 2016-23
Feb. 4, 2016 SEC Announces Advisory Committee on Small and Emerging Companies Members 2016-22
Feb. 3, 2016 SEC Charges Lending Company and Brokerage Firm With Fraud 2016-21
Feb. 3, 2016 SEC Names Jane Jarcho as Deputy Director of National Exam Program 2016-20
Feb. 2, 2016 SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers 2016-19
Feb. 2, 2016 SEC Completes Muni-Underwriter Enforcement Sweep 2016-18
Feb. 1, 2016 SEC Charges Software Company With FCPA Violations 2016-17
Jan. 31, 2016 Barclays, Credit Suisse Charged With Dark Pool Violations 2016-16
Jan. 29, 2016 SEC Announces Agenda for February 2 Meeting of the Equity Market Structure Advisory Committee 2016-15
Jan. 28, 2016 Hedge Fund Manager Agrees to Reimburse Investor Losses 2016-14
Jan. 20, 2016 Ocwen Paying Penalty for Misstated Financial Results 2016-13
Jan. 20, 2016 Susan Nash, Associate Director in Division of Investment Management, to Leave SEC After 26 Years of Service 2016-12
Jan. 19, 2016 SEC: Alternative Fund Manager Overcharged Fees, Misled Investors 2016-11
Jan. 15, 2016 SEC Awards Whistleblower More Than $700,000 for Detailed Analysis 2016-10
Jan. 14, 2016 SEC Charges Goldman Sachs With Improper Securities Lending Practices 2016-9
Jan. 14, 2016 SEC Charges State Street for Pay-to-Play Scheme 2016-8
Jan. 13, 2016 SEC Charges 11 Bank Officers and Directors With Fraud 2016-7
Jan. 13, 2016 SEC Adopts Rules Implementing FAST Act Provisions 2016-6
Jan. 11, 2016 Julie M. Riewe, Co-Chief of Asset Management Unit, to Leave SEC After 10 Years of Service 2016-5
Jan. 11, 2016 SEC Announces 2016 Examination Priorities 2016-4
Jan. 8, 2016 Steven A. Cohen Barred From Supervisory Hedge Fund Role 2016-3
Jan. 7, 2016 Fee Rate Advisory #3 for Fiscal Year 2016 2016-2
Jan. 6, 2016 SEC: J.P. Morgan Misled Customers on Broker Compensation 2016-1
Dec. 28, 2015 Traders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case 2015-290
Dec. 28, 2015 SEC Issues Annual Staff Reports on Credit Rating Agencies 2015-289
Dec. 22, 2015 SEC Seeks Public Comment on Transfer Agent Rules 2015-288
Dec. 22, 2015 Morgan Stanley Settles Charges in “Parking” Scheme 2015-287
Dec. 21, 2015 SEC Charges Financial Advisor in Market Manipulation Case 2015-286
Dec. 18, 2015 Convicted Fraudster Using Aliases Charged Again for Defrauding Investors 2015-285
Dec. 18, 2015 SEC Issues Staff Report on Accredited Investor Definition 2015-284
Dec. 18, 2015 J.P. Morgan to Pay $267 Million for Disclosure Failures 2015-283
Dec. 17, 2015 SEC Charges Martin Shkreli With Fraud 2015-282
Dec. 16, 2015 SEC: Hedge Fund Adviser Lied to Investors 2015-281
Dec. 15, 2015 SEC Announces Fraud Charges Against Investment Adviser 2015-280
Dec. 15, 2015 SEC Files Charges in Multi-Million Dollar Market Manipulation 2015-279
Dec. 11, 2015 SEC: Sports Team Offering Is A Penny Stock Fraud 2015-278
Dec. 11, 2015 SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act 2015-277
Dec. 11, 2015 SEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies 2015-276
Dec. 10, 2015 SEC Suspends Public Accountants for Bad Auditing 2015-275
Dec. 7, 2015 SEC: Lawyers Offered EB-5 Investments as Unregistered Brokers 2015-274
Dec. 3, 2015 SEC Announces Charges for Spoofing and Order Mismarking 2015-273
Dec. 2, 2015 SEC: Grant Thornton Ignored Red Flags in Audits 2015-272
Dec. 1, 2015 SEC Charges Bitcoin Mining Companies 2015-271
Dec. 1, 2015 SEC, FINRA, MSRB to Hold Compliance Outreach Program for Municipal Advisors 2015-270
Nov. 30, 2015 SEC Names Katherine Martin as Associate Director in the Office of International Affairs 2015-269
Nov. 30, 2015 Standard Bank to Pay $4.2 Million to Settle SEC Charges 2015-268
Nov. 25, 2015 Former Goldman Employee Charged With Insider Trading Before Mergers 2015-267
Nov. 24, 2015 SEC Charges Political Intelligence Firm 2015-266
Nov. 23, 2015 SEC: Stockbroker Stole Investor Money for Home Renovations 2015-265
Nov. 20, 2015 Atlanta Businessman Charged in Nursing Home Investment Scheme 2015-264
Nov. 19, 2015 Assets Frozen in Alleged Immigration Scam 2015-263
Nov. 19, 2015 Custody Rule Violators Settle Charges 2015-262
Nov. 18, 2015 SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems 2015-261
Nov. 17, 2015 SEC Announces Agenda and Panelists for Small Business Forum 2015-260
Nov. 17, 2015 SEC Charges Pump-and-Dump in Marley Coffee Stock 2015-259
Nov. 16, 2015 Mutual Fund Adviser Advertised False Performance Claims 2015-258
Nov. 13, 2015 Sanket Bulsara Named Deputy General Counsel for Appellate Litigation and Adjudication 2015-257
Nov. 12, 2015 Marc Wyatt Named Director of the Office of Compliance Inspections and Examinations 2015-256
Nov. 12, 2015 Olivier Girod Named SEC Deputy Director of Office of Support Operations 2015-255
Nov. 5, 2015 SEC Charges: False Tweets Sent Two Stocks Reeling in Market Manipulation 2015-254
Nov. 5, 2015 Bryan Bennett Named to Head Exam Program in Los Angeles Office 2015-253
Nov. 4, 2015 SEC Announces Whistleblower Award of More Than $325,000 2015-252
Nov. 4, 2015 SEC Identifies More Alleged Corrupt Brokers in Stock Manipulation Case 2015-251
Nov. 3, 2015 SEC Charges Private Equity Firm and Four Executives With Failing to Disclose Conflicts of Interest 2015-250
Oct. 30, 2015 SEC Adopts Rules to Permit Crowdfunding 2015-249
Oct. 28, 2015 SEC Bars Brokers Who Played Favorites to Double Their Commissions 2015-248
Oct. 27, 2015 Developer, Former Top Execs Charged for Improper Accounting of Real Estate Assets During Financial Crisis 2015-247
Oct. 26, 2015 SEC Charges Credit Rating Agency With Misrepresenting Surveillance Methodology 2015-246
Oct. 22, 2015 SEC Announces Enforcement Results For FY 2015 2015-245
Oct. 21, 2015 SEC to Hold Annual Government-Business Forum on Small Business Capital Formation on November 19 2015-244
Oct. 20, 2015 Wenchi Hu, Christian Sabella Named Associate Directors in the Division of Trading and Markets 2015-243
Oct. 19, 2015 Former Head of Coastal Investment Advisors Settles Charges, Admits He Stole Money From Investors 2015-242
Oct. 19, 2015 Two UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment Strategy 2015-241
Oct. 16, 2015 SEC Staff Publishes Private Funds Statistics Report 2015-240
Oct. 14, 2015 SEC Charges Six Firms for Short Selling Violations in Advance of Stock Offerings 2015-239
Oct. 13, 2015 UBS to Pay $19.5 Million Settlement Involving Notes Linked to Currency Index 2015-238
Oct. 8, 2015 Wolverine Affiliates Charged With Failing to Maintain Policies to Prevent Misuse of Material Nonpublic Information 2015-237
Oct. 8, 2015 SEC Charges Firm and Owner With Manipulative Trading 2015-236
Oct. 7, 2015 Blackstone Charged With Disclosure Failures 2015-235
Oct. 6, 2015 SEC Charges Former Executives With Accounting Fraud and Other Accounting Failures 2015-234
Oct. 5, 2015 Michael Liftik Named SEC Deputy Chief of Staff 2015-233
Oct. 5, 2015 SEC Deputy Chief of Staff Erica Williams to Leave Agency 2015-232
Oct. 5, 2015 SEC Charges Florida Investment Adviser and His Company With Defrauding Investors 2015-231
Oct. 5, 2015 SEC Charges Home Loan Servicing Solutions for Misstatements and Inadequate Internal Controls 2015-230
Oct. 5, 2015 SEC Charges Bristol-Myers Squibb With FCPA Violations 2015-229
Oct. 2, 2015 Chyhe Becker Named as Associate Director in the Division of Economic and Risk Analysis 2015-228
Oct. 1, 2015 SEC Halts $32 Million Scheme That Promised Riches From Amber Mining 2015-227
Oct. 1, 2015 SEC Charges New Jersey Fund Manager With Securities Fraud 2015-226
Oct. 1, 2015 SEC Charges Two Grant Thornton Firms With Violating Auditor Independence Rules 2015-225
Sept. 30, 2015 SEC Charges Executives for Defrauding Investors in Financial Fraud Scheme 2015-224
Sept. 30, 2015 China-Based Company and CEO To Pay $55.6 Million for Inaccurate Disclosures 2015-223
Sept. 30, 2015 Fee Rate Advisory #2 for Fiscal Year 2016 2015-222
Sept. 30, 2015 Latour Trading Charged With Market Structure Rule Violations 2015-221
Sept. 30, 2015 SEC Sanctions 22 Underwriting Firms for Fraudulent Municipal Bond Offerings 2015-220
Sept. 29, 2015 SEC Names William Royer to Lead Exam Program in Atlanta Office 2015-219
Sept. 29, 2015 SEC Charges Investment Adviser With Fraud 2015-218
Currently only the first 100 results are displayed. To view more results please select a filter.
Subscribe RSS Subscribe

Last Updated Sort direction

Date: Feb. 9, 2016

Title: Monsanto Paying $80 Million Penalty for Accounting Violations

Release No. 2016-25

Date: Feb. 5, 2016

Title: SEC Charges Company Executive With Insider Trading

Release No. 2016-24

Date: Feb. 4, 2016

Title: SEC: Miami Firm Broke Anti-Money Laundering Protocols

Release No. 2016-23

Date: Feb. 4, 2016

Title: SEC Announces Advisory Committee on Small and Emerging Companies Members

Release No. 2016-22

Date: Feb. 3, 2016

Title: SEC Charges Lending Company and Brokerage Firm With Fraud

Release No. 2016-21

Date: Feb. 3, 2016

Title: SEC Names Jane Jarcho as Deputy Director of National Exam Program

Release No. 2016-20

Date: Feb. 2, 2016

Title: SEC Completes Muni-Underwriter Enforcement Sweep

Release No. 2016-18

Date: Feb. 1, 2016

Title: SEC Charges Software Company With FCPA Violations

Release No. 2016-17

Date: Jan. 31, 2016

Title: Barclays, Credit Suisse Charged With Dark Pool Violations

Release No. 2016-16

Date: Jan. 28, 2016

Title: Hedge Fund Manager Agrees to Reimburse Investor Losses

Release No. 2016-14

Date: Jan. 20, 2016

Title: Ocwen Paying Penalty for Misstated Financial Results

Release No. 2016-13

Date: Jan. 19, 2016

Title: SEC: Alternative Fund Manager Overcharged Fees, Misled Investors

Release No. 2016-11

Date: Jan. 15, 2016

Title: SEC Awards Whistleblower More Than $700,000 for Detailed Analysis

Release No. 2016-10

Date: Jan. 14, 2016

Title: SEC Charges Goldman Sachs With Improper Securities Lending Practices

Release No. 2016-9

Date: Jan. 14, 2016

Title: SEC Charges State Street for Pay-to-Play Scheme

Release No. 2016-8

Date: Jan. 13, 2016

Title: SEC Charges 11 Bank Officers and Directors With Fraud

Release No. 2016-7

Date: Jan. 13, 2016

Title: SEC Adopts Rules Implementing FAST Act Provisions

Release No. 2016-6

Date: Jan. 11, 2016

Title: SEC Announces 2016 Examination Priorities

Release No. 2016-4

Date: Jan. 8, 2016

Title: Steven A. Cohen Barred From Supervisory Hedge Fund Role

Release No. 2016-3

Date: Jan. 7, 2016

Title: Fee Rate Advisory #3 for Fiscal Year 2016

Release No. 2016-2

Date: Jan. 6, 2016

Title: SEC: J.P. Morgan Misled Customers on Broker Compensation

Release No. 2016-1

Date: Dec. 28, 2015

Title: SEC Issues Annual Staff Reports on Credit Rating Agencies

Release No. 2015-289

Date: Dec. 22, 2015

Title: SEC Seeks Public Comment on Transfer Agent Rules

Release No. 2015-288

Date: Dec. 22, 2015

Title: Morgan Stanley Settles Charges in “Parking” Scheme

Release No. 2015-287

Date: Dec. 21, 2015

Title: SEC Charges Financial Advisor in Market Manipulation Case

Release No. 2015-286

Date: Dec. 18, 2015

Title: Convicted Fraudster Using Aliases Charged Again for Defrauding Investors

Release No. 2015-285

Date: Dec. 18, 2015

Title: SEC Issues Staff Report on Accredited Investor Definition

Release No. 2015-284

Date: Dec. 18, 2015

Title: J.P. Morgan to Pay $267 Million for Disclosure Failures

Release No. 2015-283

Date: Dec. 17, 2015

Title: SEC Charges Martin Shkreli With Fraud

Release No. 2015-282

Date: Dec. 16, 2015

Title: SEC: Hedge Fund Adviser Lied to Investors

Release No. 2015-281

Date: Dec. 15, 2015

Title: SEC Announces Fraud Charges Against Investment Adviser

Release No. 2015-280

Date: Dec. 15, 2015

Title: SEC Files Charges in Multi-Million Dollar Market Manipulation

Release No. 2015-279

Date: Dec. 11, 2015

Title: SEC: Sports Team Offering Is A Penny Stock Fraud

Release No. 2015-278

Date: Dec. 11, 2015

Title: SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act

Release No. 2015-277

Date: Dec. 10, 2015

Title: SEC Suspends Public Accountants for Bad Auditing

Release No. 2015-275

Date: Dec. 7, 2015

Title: SEC: Lawyers Offered EB-5 Investments as Unregistered Brokers

Release No. 2015-274

Date: Dec. 3, 2015

Title: SEC Announces Charges for Spoofing and Order Mismarking

Release No. 2015-273

Date: Dec. 2, 2015

Title: SEC: Grant Thornton Ignored Red Flags in Audits

Release No. 2015-272

Date: Dec. 1, 2015

Title: SEC Charges Bitcoin Mining Companies

Release No. 2015-271

Date: Nov. 30, 2015

Title: Standard Bank to Pay $4.2 Million to Settle SEC Charges

Release No. 2015-268

Date: Nov. 25, 2015

Title: Former Goldman Employee Charged With Insider Trading Before Mergers

Release No. 2015-267

Date: Nov. 24, 2015

Title: SEC Charges Political Intelligence Firm

Release No. 2015-266

Date: Nov. 23, 2015

Title: SEC: Stockbroker Stole Investor Money for Home Renovations

Release No. 2015-265

Date: Nov. 20, 2015

Title: Atlanta Businessman Charged in Nursing Home Investment Scheme

Release No. 2015-264

Date: Nov. 19, 2015

Title: Assets Frozen in Alleged Immigration Scam

Release No. 2015-263

Date: Nov. 19, 2015

Title: Custody Rule Violators Settle Charges

Release No. 2015-262

Date: Nov. 17, 2015

Title: SEC Announces Agenda and Panelists for Small Business Forum

Release No. 2015-260

Date: Nov. 17, 2015

Title: SEC Charges Pump-and-Dump in Marley Coffee Stock

Release No. 2015-259

Date: Nov. 16, 2015

Title: Mutual Fund Adviser Advertised False Performance Claims

Release No. 2015-258

Date: Nov. 12, 2015

Title: Olivier Girod Named SEC Deputy Director of Office of Support Operations

Release No. 2015-255

Date: Nov. 5, 2015

Title: SEC Charges: False Tweets Sent Two Stocks Reeling in Market Manipulation

Release No. 2015-254

Date: Nov. 5, 2015

Title: Bryan Bennett Named to Head Exam Program in Los Angeles Office

Release No. 2015-253

Date: Nov. 4, 2015

Title: SEC Announces Whistleblower Award of More Than $325,000

Release No. 2015-252

Date: Nov. 4, 2015

Title: SEC Identifies More Alleged Corrupt Brokers in Stock Manipulation Case

Release No. 2015-251

Date: Oct. 30, 2015

Title: SEC Adopts Rules to Permit Crowdfunding

Release No. 2015-249

Date: Oct. 28, 2015

Title: SEC Bars Brokers Who Played Favorites to Double Their Commissions

Release No. 2015-248

Date: Oct. 22, 2015

Title: SEC Announces Enforcement Results For FY 2015

Release No. 2015-245

Date: Oct. 16, 2015

Title: SEC Staff Publishes Private Funds Statistics Report

Release No. 2015-240

Date: Oct. 8, 2015

Title: SEC Charges Firm and Owner With Manipulative Trading

Release No. 2015-236

Date: Oct. 7, 2015

Title: Blackstone Charged With Disclosure Failures

Release No. 2015-235

Date: Oct. 5, 2015

Title: Michael Liftik Named SEC Deputy Chief of Staff

Release No. 2015-233

Date: Oct. 5, 2015

Title: SEC Deputy Chief of Staff Erica Williams to Leave Agency

Release No. 2015-232

Date: Oct. 5, 2015

Title: SEC Charges Bristol-Myers Squibb With FCPA Violations

Release No. 2015-229

Date: Oct. 1, 2015

Title: SEC Halts $32 Million Scheme That Promised Riches From Amber Mining

Release No. 2015-227

Date: Oct. 1, 2015

Title: SEC Charges New Jersey Fund Manager With Securities Fraud

Release No. 2015-226

Date: Sept. 30, 2015

Title: SEC Charges Executives for Defrauding Investors in Financial Fraud Scheme

Release No. 2015-224

Date: Sept. 30, 2015

Title: China-Based Company and CEO To Pay $55.6 Million for Inaccurate Disclosures

Release No. 2015-223

Date: Sept. 30, 2015

Title: Fee Rate Advisory #2 for Fiscal Year 2016

Release No. 2015-222

Date: Sept. 30, 2015

Title: Latour Trading Charged With Market Structure Rule Violations

Release No. 2015-221

Date: Sept. 29, 2015

Title: SEC Names William Royer to Lead Exam Program in Atlanta Office

Release No. 2015-219

Date: Sept. 29, 2015

Title: SEC Charges Investment Adviser With Fraud

Release No. 2015-218

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