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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Published date grouping
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Date
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Title
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Release No.
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| Published date grouping:October 2017 | Date: | Title: SEC Names Brett Redfearn as Director of the Division of Trading and Markets | Release No.:2017-198 |
| Published date grouping:October 2017 | Date: | Title: SEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin | Release No.:2017-197 |
| Published date grouping:October 2017 | Date: | Title: Rio Tinto, Former Top Executives Charged With Fraud | Release No.:2017-196 |
| Published date grouping:October 2017 | Date: | Title: SEC Announces Whistleblower Award of More Than a Million Dollars | Release No.:2017-195 |
| Published date grouping:October 2017 | Date: | Title: Lawyers Charged With Assisting a Microcap Fraud Scheme | Release No.:2017-194 |
| Published date grouping:October 2017 | Date: | Title: SEC Files Charges in Snack Company Investment Scam | Release No.:2017-193 |
| Published date grouping:October 2017 | Date: | Title: SEC Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure | Release No.:2017-192 |
| Published date grouping:October 2017 | Date: | Title: Walter Jospin, Regional Director of the SEC’s Atlanta Office, to Leave the Agency | Release No.:2017-191 |
| Published date grouping:October 2017 | Date: | Title: Robert Evans III Named Chief of the Office of International Corporate Finance in SEC’s Division of Corporation Finance | Release No.:2017-190 |
| Published date grouping:October 2017 | Date: | Title: Investment Adviser Charged in Multi-Million Dollar Options Trading Scheme | Release No.:2017-189 |
| Published date grouping:October 2017 | Date: | Title: SEC Charges Penny-Stock Operators in Push to Crack Down on Repeat Offenders | Release No.:2017-188 |
| Published date grouping:October 2017 | Date: | Title: World Investor Week Brings Together Securities Regulators on Six Continents to Promote Investor Education and Protection | Release No.:2017-187 |
| Published date grouping:October 2017 | Date: | Title: Chairman Clayton Provides Update on Review of 2016 Cyber Intrusion Involving EDGAR System | Release No.:2017-186 |
| Published date grouping:September 2017 | Date: | Title: SEC Exposes Two Initial Coin Offerings Purportedly Backed by Real Estate and Diamonds | Release No.:2017-185 |
| Published date grouping:September 2017 | Date: | Title: Former Corporate Insider, Middleman Tipper, and Six Traders Charged With Insider Trading | Release No.:2017-184 |
| Published date grouping:September 2017 | Date: | Title: Fee Rate Advisory #2 for Fiscal Year 2018 | Release No.:2017-183 |
| Published date grouping:September 2017 | Date: | Title: Barred Broker Charged in Real Estate Investment Scheme | Release No.:2017-182 |
| Published date grouping:September 2017 | Date: | Title: SEC Provides Regulatory Relief and Assistance for Hurricane Victims | Release No.:2017-181 |
| Published date grouping:September 2017 | Date: | Title: SEC Detects Brokers Defrauding Customers | Release No.:2017-180 |
| Published date grouping:September 2017 | Date: | Title: Andrew Calamari, Regional Director of the SEC’s New York Office, to Leave the Agency After 17 Years of Service | Release No.:2017-179 |
| Published date grouping:September 2017 | Date: | Title: Medical Manufacturer Settles Accounting Fraud Charges | Release No.:2017-178 |
| Published date grouping:September 2017 | Date: | Title: Stock Market Analyst Barred for Illegally Cashing In On His Research Reports | Release No.:2017-177 |
| Published date grouping:September 2017 | Date: | Title: SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors | Release No.:2017-176 |
| Published date grouping:September 2017 | Date: | Title: Pharmaceutical Company Paying Penalty for Misleading Investors About Sales Metric | Release No.:2017-175 |
| Published date grouping:September 2017 | Date: | Title: SEC Announces Agenda for October 12 Investor Advisory Committee Meeting | Release No.:2017-174 |
| Published date grouping:September 2017 | Date: | Title: SEC Suspends Trading in Company Purporting Involvement in Hurricane Harvey Relief Efforts | Release No.:2017-173 |
| Published date grouping:September 2017 | Date: | Title: SEC Adopts Interpretive Guidance on Pay Ratio Rule | Release No.:2017-172 |
| Published date grouping:September 2017 | Date: | Title: Telecommunications Company Paying $965 Million For FCPA Violations | Release No.:2017-171 |
| Published date grouping:September 2017 | Date: | Title: SEC Chairman Clayton Issues Statement on Cybersecurity | Release No.:2017-170 |
| Published date grouping:September 2017 | Date: | Title: Thomas J. Butler Named an Associate Regional Director for Examinations in New York Regional Office | Release No.:2017-169 |
| Published date grouping:September 2017 | Date: | Title: CEO Charged With Using Secret Accounts for Insider Trading in Company Stock | Release No.:2017-168 |
| Published date grouping:September 2017 | Date: | Title: Catherine McGuire to Retire After More Than 40 Years at the SEC | Release No.:2017-167 |
| Published date grouping:September 2017 | Date: | Title: Ken C. Joseph, Head of Investment Adviser/Investment Company Examination Program in SEC's New York Regional Office, to Leave SEC After 21 Years of Service | Release No.:2017-166 |
| Published date grouping:September 2017 | Date: | Title: SunTrust Charged With Improperly Recommending Higher-Fee Mutual Funds | Release No.:2017-165 |
| Published date grouping:September 2017 | Date: | Title: SEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of Hurricane Harvey | Release No.:2017-164 |
| Published date grouping:September 2017 | Date: | Title: Commission Statement on T+2 Implementation | Release No.:2017-163 |
| Published date grouping:September 2017 | Date: | Title: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors | Release No.:2017-162 |
| Published date grouping:September 2017 | Date: | Title: Bridget Fitzpatrick Named Chief Litigation Counsel | Release No.:2017-161 |
| Published date grouping:September 2017 | Date: | Title: Former Amazon Employee and College Friend Charged With Insider Trading | Release No.:2017-160 |
| Published date grouping:September 2017 | Date: | Title: State Street Paying Penalties to Settle Fraud Charges and Disclosure Failures | Release No.:2017-159 |
| Published date grouping:September 2017 | Date: | Title: SEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies | Release No.:2017-158 |
| Published date grouping:September 2017 | Date: | Title: Radio Host Charged With Concert Ticket Investment Scam | Release No.:2017-157 |
| Published date grouping:September 2017 | Date: | Title: Adviser Charged With Stealing Investor Funds | Release No.:2017-156 |
| Published date grouping:August 2017 | Date: | Title: Chairman Clayton Names Executive Staff | Release No.:2017-155 |
| Published date grouping:August 2017 | Date: | Title: SEC Names Jeffrey Harris as Director of the Division of Economic and Risk Analysis | Release No.:2017-154 |
| Published date grouping:August 2017 | Date: | Title: SEC Names Dalia Blass as Director of the Division of Investment Management | Release No.:2017-153 |
| Published date grouping:August 2017 | Date: | Title: SEC and NYU to Host Forum on Exchange-Traded Products | Release No.:2017-152 |
| Published date grouping:August 2017 | Date: | Title: Former Pharma Company Accountant, Three Others Charged With Insider Trading | Release No.:2017-151 |
| Published date grouping:August 2017 | Date: | Title: SEC Monitoring Market Impact of Hurricane Harvey | Release No.:2017-150 |
| Published date grouping:August 2017 | Date: | Title: Fee Rate Advisory #1 for Fiscal Year 2018 | Release No.:2017-149 |
| Published date grouping:August 2017 | Date: | Title: Muni Bond Issuer and Underwriter Charged With Disclosure Failures | Release No.:2017-148 |
| Published date grouping:August 2017 | Date: | Title: SEC Charges Investment Adviser With Defrauding Professional Athlete and His Wife | Release No.:2017-147 |
| Published date grouping:August 2017 | Date: | Title: Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading | Release No.:2017-146 |
| Published date grouping:August 2017 | Date: | Title: Commission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition | Release No.:2017-145 |
| Published date grouping:August 2017 | Date: | Title: Banca IMI Securities to Pay $35 Million for Improper Handling of ADRs in Continuing SEC Crackdown | Release No.:2017-144 |
| Published date grouping:August 2017 | Date: | Title: SEC Uncovers Wide-Reaching Insider Trading Scheme | Release No.:2017-143 |
| Published date grouping:August 2017 | Date: | Title: SEC Charges KPMG with Audit Failures | Release No.:2017-142 |
| Published date grouping:August 2017 | Date: | Title: SEC Files Charges in Oil Drilling Investment Scheme | Release No.:2017-141 |
| Published date grouping:August 2017 | Date: | Title: SEC Staff Publishes Report on Access to Capital and Market Liquidity | Release No.:2017-140 |
| Published date grouping:August 2017 | Date: | Title: Investment Management Director David W. Grim to Leave SEC | Release No.:2017-139 |
| Published date grouping:August 2017 | Date: | Title: Donna Esau Named Associate Regional Director for Examinations in Atlanta Regional Office | Release No.:2017-138 |
| Published date grouping:August 2017 | Date: | Title: Overseas Stock Manipulator Settles SEC Charges | Release No.:2017-137 |
| Published date grouping:July 2017 | Date: | Title: SEC Files Charges to Stop Fraudulent Misuse of Cancer-Fighting Investments to Fund Restaurant Businesses | Release No.:2017-136 |
| Published date grouping:July 2017 | Date: | Title: SEC Files Fraud Charges Against Former Brokers Targeting Federal Retirees | Release No.:2017-135 |
| Published date grouping:July 2017 | Date: | Title: SEC Announces Whistleblower Award of More Than $1.7 Million | Release No.:2017-134 |
| Published date grouping:July 2017 | Date: | Title: Halliburton Paying $29.2 Million to Settle FCPA Violations | Release No.:2017-133 |
| Published date grouping:July 2017 | Date: | Title: Jessica Magee Named Associate Regional Director for Enforcement in Fort Worth Office | Release No.:2017-132 |
| Published date grouping:July 2017 | Date: | Title: SEC Issues Investigative Report Concluding DAO Tokens, a Digital Asset, Were Securities | Release No.:2017-131 |
| Published date grouping:July 2017 | Date: | Title: SEC Announces $2.5 Million Whistleblower Award | Release No.:2017-130 |
| Published date grouping:July 2017 | Date: | Title: SEC Names Bryan Wood as Director of the Office of Legislative and Intergovernmental Affairs | Release No.:2017-129 |
| Published date grouping:July 2017 | Date: | Title: Federal Regulatory Agencies Announce Coordination of Reviews for Certain Foreign Funds Under Volcker Rule | Release No.:2017-128 |
| Published date grouping:July 2017 | Date: | Title: SEC Bars Lawyer Who Committed Fraud | Release No.:2017-127 |
| Published date grouping:July 2017 | Date: | Title: SEC Announces Christopher Hetner as Senior Advisor to the Chairman for Cybersecurity Policy | Release No.:2017-126 |
| Published date grouping:July 2017 | Date: | Title: SEC Files Insider Trading Charges Against Research Scientist Aiming to Avoid SEC Detection | Release No.:2017-125 |
| Published date grouping:July 2017 | Date: | Title: SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors | Release No.:2017-124 |
| Published date grouping:June 2017 | Date: | Title: SEC Files Fraud Charges in Bitcoin and Office Space Investment Schemes | Release No.:2017-123 |
| Published date grouping:June 2017 | Date: | Title: SEC Charges Information Technology Company and Former Executives With Accounting Fraud | Release No.:2017-122 |
| Published date grouping:June 2017 | Date: | Title: SEC's Division of Corporation Finance Expands Popular JOBS Act Benefit to All Companies | Release No.:2017-121 |
| Published date grouping:June 2017 | Date: | Title: SEC Charges Oil and Gas Company and Top Finance Executives with Accounting Fraud | Release No.:2017-120 |
| Published date grouping:June 2017 | Date: | Title: Additional Charges Announced in Case Involving Pre-Released ADRs | Release No.:2017-119 |
| Published date grouping:June 2017 | Date: | Title: Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance | Release No.:2017-118 |
| Published date grouping:June 2017 | Date: | Title: Kelly L. Gibson Named as Associate Regional Director for Enforcement in the SEC’s Philadelphia Office | Release No.:2017-117 |
| Published date grouping:June 2017 | Date: | Title: Kathryn A. Pyszka Named as Associate Regional Director for Enforcement in the SEC’s Chicago Office | Release No.:2017-116 |
| Published date grouping:June 2017 | Date: | Title: Keith Cassidy Named Associate Director of Technology Controls Program in OCIE | Release No.:2017-115 |
| Published date grouping:June 2017 | Date: | Title: SEC Announces Agenda for June 22 Investor Advisory Committee Meeting | Release No.:2017-114 |
| Published date grouping:June 2017 | Date: | Title: SEC Names Stephanie Avakian and Steven Peikin as Co-Directors of Enforcement | Release No.:2017-113 |
| Published date grouping:June 2017 | Date: | Title: SEC Charges Brokerage Firm With Failing to Comply With Anti-Money Laundering Laws | Release No.:2017-112 |
| Published date grouping:May 2017 | Date: | Title: Fee Rate Advisory #3 for Fiscal Year 2017 | Release No.:2017-111 |
| Published date grouping:May 2017 | Date: | Title: SEC Names Peter Uhlmann Managing Executive in Chairman's Office | Release No.:2017-110 |
| Published date grouping:May 2017 | Date: | Title: SEC Files Charges in Trading Scheme Involving Confidential Government Information | Release No.:2017-109 |
| Published date grouping:May 2017 | Date: | Title: SEC and MSRB to Hold Webinar on Series 50 Exam for Municipal Advisors | Release No.:2017-108 |
| Published date grouping:May 2017 | Date: | Title: SEC Charges Fake Filer With Manipulating Fitbit Stock | Release No.:2017-107 |
| Published date grouping:May 2017 | Date: | Title: David Peavler, Associate Director of Enforcement in Fort Worth Office, to Leave SEC | Release No.:2017-106 |
| Published date grouping:May 2017 | Date: | Title: SEC Names Robert B. Stebbins as General Counsel | Release No.:2017-105 |
| Published date grouping:May 2017 | Date: | Title: SEC Names Jaime Klima Chief Counsel | Release No.:2017-104 |
| Published date grouping:May 2017 | Date: | Title: SEC Names Sean Memon Deputy Chief of Staff | Release No.:2017-103 |
| Published date grouping:May 2017 | Date: | Title: SEC Charges Former Head Traders at Nomura With Fraud | Release No.:2017-102 |
| Published date grouping:May 2017 | Date: | Title: SEC Names Lucas Moskowitz Chief of Staff | Release No.:2017-101 |
| Published date grouping:May 2017 | Date: | Title: Law Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme | Release No.:2017-100 |
| Published date grouping:May 2017 | Date: | Title: SEC Charges CEO With Failing to Disclose Perks to Shareholders | Release No.:2017-99 |
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