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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.
Dec. 5, 2016 IT Specialist Settles Charges of Insider Trading on Hacked Nonpublic Information 2016-256
Dec. 5, 2016 SEC Awards $3.5 Million to Whistleblower 2016-255
Dec. 2, 2016 Chief Economist and Division of Economic and Risk Analysis Director Mark Flannery to Leave SEC 2016-254
Dec. 2, 2016 United Settles Charges in Case of Flight Route to Benefit Public Official 2016-253
Dec. 1, 2016 PIMCO Settles Charges of Misleading Investors About ETF Performance 2016-252
Dec. 1, 2016 SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting on December 7 2016-251
Dec. 1, 2016 SEC Charges Asset Management Fund and Manager 2016-250
Nov. 29, 2016 SEC Votes to Renew Equity Market Structure Advisory Committee 2016-249
Nov. 23, 2016 SEC Announces Agenda for Nov. 29 Meeting of the Equity Market Structure Advisory Committee 2016-248
Nov. 22, 2016 SEC Names Wesley R. Bricker as Chief Accountant 2016-247
Nov. 22, 2016 Chief Accountant James Schnurr to Leave SEC 2016-246
Nov. 21, 2016 Trading and Markets Director Stephen Luparello to Leave SEC 2016-245
Nov. 21, 2016 Chief Litigation Counsel Matthew C. Solomon to Leave SEC 2016-244
Nov. 21, 2016 SEC Announces Agenda for December 8 Investor Advisory Committee Meeting 2016-243
Nov. 17, 2016 SEC Charges Renewable Energy Company, CEO, and Others With Defrauding Investors 2016-242
Nov. 17, 2016 JPMorgan Chase Paying $264 Million to Settle FCPA Charges 2016-241
Nov. 15, 2016 SEC Approves Plan to Create Consolidated Audit Trail 2016-240
Nov. 15, 2016 SEC Announces Agenda and Panelists for the 35th Annual Small Business Forum 2016-239
Nov. 14, 2016 SEC Chair Mary Jo White Announces Departure Plans 2016-238
Nov. 14, 2016 SEC Issues $20 Million Whistleblower Award 2016-237
Nov. 10, 2016 Firm Charged With Misleading Investors About Binary Options Profitability 2016-236
Nov. 9, 2016 Movie Producer Charged With Defrauding Hedge Fund Investors 2016-235
Nov. 3, 2016 SEC Announces Agenda, Panelists for Nov. 14 Fintech Forum 2016-234
Nov. 2, 2016 SEC Names Marc A. Panucci as Deputy Chief Accountant 2016-233
Nov. 1, 2016 SEC Staff Provides Additional Economic Analysis on Proposed Derivatives Rule 2016-232
Oct. 31, 2016 Company Co-Founder Charged in Manipulation Scheme 2016-231
Oct. 31, 2016 Audit Partner Charged in Failed Audits of Venture Capital Fund 2016-230
Oct. 31, 2016 Firm and Partner Charged With Issuing Fraudulent Audit Reports 2016-229
Oct. 27, 2016 SEC: Investment Adviser Fraudulently Overbilled Clients, Stole Assets for Personal Expenses 2016-228
Oct. 27, 2016 SEC to Hold Annual Government-Business Forum on Small Business Capital Formation on November 17 2016-227
Oct. 26, 2016 SEC Adopts Final Rules to Facilitate Intrastate and Regional Securities Offerings 2016-226
Oct. 26, 2016 SEC Proposes Amendments to Require Use of Universal Proxy Cards 2016-225
Oct. 24, 2016 Embraer Paying $205 Million to Settle FCPA Charges 2016-224
Oct. 21, 2016 John W. Berry Named Associate Regional Director for Enforcement in Los Angeles Office 2016-223
Oct. 21, 2016 SEC Charges Board Member With Insider Trading During and After Board Meeting 2016-222
Oct. 20, 2016 Company and Former Executives Paying Penalties for Accounting Violations 2016-221
Oct. 18, 2016 SEC Charges Bank Leumi With Conducting Unregistered U.S. Cross-Border Business 2016-220
Oct. 18, 2016 Ernst & Young to Pay $11.8 Million for Audit Failures 2016-219
Oct. 17, 2016 SEC Charges Energy Services Company and Executives With Accounting Fraud 2016-218
Oct. 14, 2016 Melissa Hodgman Named Associate Director in SEC Enforcement Division 2016-217
Oct. 13, 2016 Company to Pay Penalty for Stock Picking Game That Was An Unregistered Swap 2016-216
Oct. 13, 2016 SEC Adopts Rules to Modernize Information Reported by Funds, Require Liquidity Risk Management Programs, and Permit Swing Pricing 2016-215
Oct. 13, 2016 Hedge Fund Firm and Supervisor Charged With Failing to Prevent Insider Trading 2016-214
Oct. 12, 2016 SEC: Deutsche Bank Failed to Properly Safeguard Research Information 2016-213
Oct. 11, 2016 SEC Announces Enforcement Results for FY 2016 2016-212
Oct. 6, 2016 David Saltiel Named to Head Office of Analytics and Research in the Division of Trading and Markets 2016-211
Oct. 5, 2016 Credit Suisse Paying $90 Million Penalty for Misrepresenting Performance Metric 2016-210
Oct. 4, 2016 Investment Adviser Charged With Cherry-Picking and Misleading Clients 2016-209
Oct. 3, 2016 SEC, FINRA and MSRB to Hold Compliance Outreach Program for Municipal Advisors 2016-208
Sept. 30, 2016 Aaron W. Lipson Named as Associate Regional Director for Enforcement in the SEC’s Atlanta Regional Office 2016-207
Sept. 30, 2016 Fee Rate Advisory #2 for Fiscal Year 2017 2016-206
Sept. 29, 2016 Biotech Employee Charged With Insider Trading Ahead of Company’s Announcements About Breast Cancer Drug 2016-205
Sept. 29, 2016 SEC: Casino-Gaming Company Retaliated Against Whistleblower 2016-204
Sept. 29, 2016 Och-Ziff Hedge Fund Settles FCPA Charges 2016-203
Sept. 29, 2016 SEC Announces Agenda for October 5 Meeting of the Advisory Committee on Small and Emerging Companies 2016-202
Sept. 28, 2016 Jane Norberg Named Chief of SEC Whistleblower Office 2016-201
Sept. 28, 2016 SEC Proposes Rule Amendment to Expedite Process for Settling Securities Transactions 2016-200
Sept. 28, 2016 SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies 2016-199
Sept. 28, 2016 SEC Files Insider Trading Charges Against Peruvian Traders Using Overseas Accounts 2016-198
Sept. 28, 2016 SEC Charges UBS With Supervisory Failures in Sale of Complex Products to Retail Investors 2016-197
Sept. 28, 2016 SEC Charges Anheuser-Busch InBev With Violating FCPA and Whistleblower Protection Laws 2016-196
Sept. 27, 2016 SEC to Hold Forum to Discuss Fintech Innovation in the Financial Services Industry 2016-195
Sept. 27, 2016 Oil Services Company Paying $140 Million Penalty for Accounting Fraud 2016-194
Sept. 26, 2016 SEC Charges CEO and Boiler Room Operator With Fraud 2016-193
Sept. 26, 2016 Merrill Lynch Charged With Trading Controls Failures That Led to Mini-Flash Crashes 2016-192
Sept. 23, 2016 ''Movie Studio'' Executives Charged With Microcap Fraud 2016-191
Sept. 21, 2016 Blank Check Company Manufacturer Charged With Fraud 2016-190
Sept. 21, 2016 SEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading 2016-189
Sept. 20, 2016 SEC Issues $4 Million Whistleblower Award 2016-188
Sept. 19, 2016 Ernst & Young, Former Partners Charged With Violating Auditor Independence Rules 2016-187
Sept. 16, 2016 Marijuana-Related Company Charged with Scheming Investors 2016-186
Sept. 15, 2016 Jennifer Marietta-Westberg, Deputy Director and Deputy Chief Economist of the Division of Economic and Risk Analysis, to Leave SEC after Ten Years of Service 2016-185
Sept. 13, 2016 “Stock Trading Whiz Kid” to Pay $1.5 Million to Settle Stock Newsletter Fraud Charges 2016-184
Sept. 13, 2016 SEC: Company Failed to Disclose Credit Risk in Investments 2016-183
Sept. 9, 2016 BOK Financial, Senior Executive Charged With Turning Blind Eye to Investment Scheme 2016-182
Sept. 8, 2016 Two Firms Charged With Compliance Failures in Wrap Fee Programs 2016-181
Sept. 8, 2016 Executives Charged With Inflating Performance of Real Estate Investment Trust 2016-180
Sept. 7, 2016 SEC Names Sarah G. ten Siethoff Deputy Associate Director in the Division of Investment Management’s Rulemaking Office 2016-179
Sept. 6, 2016 SEC Charges CEO and Paid Promoter With Fraudulently Promoting Stock of Las Vegas Health Products Company 2016-178
Sept. 1, 2016 SEC Charges Alabama Attorney and His Companies in Purported Waste-To-Energy Ventures 2016-177
Aug. 31, 2016 SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings 2016-176
Aug. 31, 2016 Fee Rate Advisory #1 for Fiscal Year 2017 2016-175
Aug. 31, 2016 RBC to Pay $2.5 Million for Proxy Statement Disclosure Violations 2016-174
Aug. 30, 2016 SEC Whistleblower Program Surpasses $100 Million in Awards 2016-173
Aug. 30, 2016 $22 Million Whistleblower Award for Company Insider Who Helped Uncover Fraud 2016-172
Aug. 29, 2016 SEC Adopts Amendments Providing Authorities Access to Data Obtained by Security-Based Swap Data Repositories 2016-171
Aug. 26, 2016 SEC: Purported Green Technology Company Defrauding Investors 2016-170
Aug. 25, 2016 SEC Seeks Public Comment on Disclosure Requirements Relating to Management, Security Holders and Corporate Governance Matters 2016-169
Aug. 25, 2016 SEC Adopts Rules to Enhance Information Reported by Investment Advisers 2016-168
Aug. 25, 2016 Investment Advisers Paying Penalties for Advertising False Performance Claims 2016-167
Aug. 24, 2016 SEC Charges 71 Municipal Issuers in Muni Bond Disclosure Initiative 2016-166
Aug. 23, 2016 Apollo Charged With Disclosure and Supervisory Failures 2016-165
Aug. 16, 2016 Company Punished for Severance Agreements That Removed Financial Incentives for Whistleblowing 2016-164
Aug. 16, 2016 Former Goldman Sachs Trader Settles Fraud Charges 2016-163
Aug. 15, 2016 Hedge Fund Manager Charged in Scheme Involving Terminally Ill 2016-162
Aug. 11, 2016 SEC: Investment Adviser Boasted Phony Assets and Track Record, Stole From Client 2016-161
Aug. 11, 2016 SEC Charges Stockbroker and Friend With Insider Trading 2016-160
Aug. 10, 2016 SEC Charges Former Professional Football Player With Running $10 Million Fraud 2016-159
Aug. 10, 2016 Kristin Snyder Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program 2016-158
Aug. 10, 2016 Company Paying Penalty for Violating Key Whistleblower Protection Rule 2016-157
Currently only the first 100 results are displayed. To view more results please select a filter.
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Date: Dec. 5, 2016

Title: SEC Awards $3.5 Million to Whistleblower

Release No. 2016-255

Date: Dec. 2, 2016

Title: United Settles Charges in Case of Flight Route to Benefit Public Official

Release No. 2016-253

Date: Dec. 1, 2016

Title: PIMCO Settles Charges of Misleading Investors About ETF Performance

Release No. 2016-252

Date: Dec. 1, 2016

Title: SEC Charges Asset Management Fund and Manager

Release No. 2016-250

Date: Nov. 29, 2016

Title: SEC Votes to Renew Equity Market Structure Advisory Committee

Release No. 2016-249

Date: Nov. 22, 2016

Title: SEC Names Wesley R. Bricker as Chief Accountant

Release No. 2016-247

Date: Nov. 22, 2016

Title: Chief Accountant James Schnurr to Leave SEC

Release No. 2016-246

Date: Nov. 21, 2016

Title: Trading and Markets Director Stephen Luparello to Leave SEC

Release No. 2016-245

Date: Nov. 21, 2016

Title: Chief Litigation Counsel Matthew C. Solomon to Leave SEC

Release No. 2016-244

Date: Nov. 21, 2016

Title: SEC Announces Agenda for December 8 Investor Advisory Committee Meeting

Release No. 2016-243

Date: Nov. 17, 2016

Title: JPMorgan Chase Paying $264 Million to Settle FCPA Charges

Release No. 2016-241

Date: Nov. 15, 2016

Title: SEC Approves Plan to Create Consolidated Audit Trail

Release No. 2016-240

Date: Nov. 14, 2016

Title: SEC Chair Mary Jo White Announces Departure Plans

Release No. 2016-238

Date: Nov. 14, 2016

Title: SEC Issues $20 Million Whistleblower Award

Release No. 2016-237

Date: Nov. 10, 2016

Title: Firm Charged With Misleading Investors About Binary Options Profitability

Release No. 2016-236

Date: Nov. 9, 2016

Title: Movie Producer Charged With Defrauding Hedge Fund Investors

Release No. 2016-235

Date: Nov. 3, 2016

Title: SEC Announces Agenda, Panelists for Nov. 14 Fintech Forum

Release No. 2016-234

Date: Nov. 2, 2016

Title: SEC Names Marc A. Panucci as Deputy Chief Accountant

Release No. 2016-233

Date: Oct. 31, 2016

Title: Company Co-Founder Charged in Manipulation Scheme

Release No. 2016-231

Date: Oct. 31, 2016

Title: Audit Partner Charged in Failed Audits of Venture Capital Fund

Release No. 2016-230

Date: Oct. 31, 2016

Title: Firm and Partner Charged With Issuing Fraudulent Audit Reports

Release No. 2016-229

Date: Oct. 26, 2016

Title: SEC Proposes Amendments to Require Use of Universal Proxy Cards

Release No. 2016-225

Date: Oct. 24, 2016

Title: Embraer Paying $205 Million to Settle FCPA Charges

Release No. 2016-224

Date: Oct. 20, 2016

Title: Company and Former Executives Paying Penalties for Accounting Violations

Release No. 2016-221

Date: Oct. 18, 2016

Title: Ernst & Young to Pay $11.8 Million for Audit Failures

Release No. 2016-219

Date: Oct. 17, 2016

Title: SEC Charges Energy Services Company and Executives With Accounting Fraud

Release No. 2016-218

Date: Oct. 14, 2016

Title: Melissa Hodgman Named Associate Director in SEC Enforcement Division

Release No. 2016-217

Date: Oct. 13, 2016

Title: Company to Pay Penalty for Stock Picking Game That Was An Unregistered Swap

Release No. 2016-216

Date: Oct. 12, 2016

Title: SEC: Deutsche Bank Failed to Properly Safeguard Research Information

Release No. 2016-213

Date: Oct. 11, 2016

Title: SEC Announces Enforcement Results for FY 2016

Release No. 2016-212

Date: Oct. 4, 2016

Title: Investment Adviser Charged With Cherry-Picking and Misleading Clients

Release No. 2016-209

Date: Sept. 30, 2016

Title: Fee Rate Advisory #2 for Fiscal Year 2017

Release No. 2016-206

Date: Sept. 29, 2016

Title: SEC: Casino-Gaming Company Retaliated Against Whistleblower

Release No. 2016-204

Date: Sept. 29, 2016

Title: Och-Ziff Hedge Fund Settles FCPA Charges

Release No. 2016-203

Date: Sept. 28, 2016

Title: Jane Norberg Named Chief of SEC Whistleblower Office

Release No. 2016-201

Date: Sept. 27, 2016

Title: Oil Services Company Paying $140 Million Penalty for Accounting Fraud

Release No. 2016-194

Date: Sept. 26, 2016

Title: SEC Charges CEO and Boiler Room Operator With Fraud

Release No. 2016-193

Date: Sept. 23, 2016

Title: ''Movie Studio'' Executives Charged With Microcap Fraud

Release No. 2016-191

Date: Sept. 21, 2016

Title: Blank Check Company Manufacturer Charged With Fraud

Release No. 2016-190

Date: Sept. 21, 2016

Title: SEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading

Release No. 2016-189

Date: Sept. 20, 2016

Title: SEC Issues $4 Million Whistleblower Award

Release No. 2016-188

Date: Sept. 16, 2016

Title: Marijuana-Related Company Charged with Scheming Investors

Release No. 2016-186

Date: Sept. 13, 2016

Title: SEC: Company Failed to Disclose Credit Risk in Investments

Release No. 2016-183

Date: Sept. 8, 2016

Title: Two Firms Charged With Compliance Failures in Wrap Fee Programs

Release No. 2016-181

Date: Aug. 31, 2016

Title: SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings

Release No. 2016-176

Date: Aug. 31, 2016

Title: Fee Rate Advisory #1 for Fiscal Year 2017

Release No. 2016-175

Date: Aug. 31, 2016

Title: RBC to Pay $2.5 Million for Proxy Statement Disclosure Violations

Release No. 2016-174

Date: Aug. 30, 2016

Title: SEC Whistleblower Program Surpasses $100 Million in Awards

Release No. 2016-173

Date: Aug. 26, 2016

Title: SEC: Purported Green Technology Company Defrauding Investors

Release No. 2016-170

Date: Aug. 25, 2016

Title: SEC Adopts Rules to Enhance Information Reported by Investment Advisers

Release No. 2016-168

Date: Aug. 24, 2016

Title: SEC Charges 71 Municipal Issuers in Muni Bond Disclosure Initiative

Release No. 2016-166

Date: Aug. 23, 2016

Title: Apollo Charged With Disclosure and Supervisory Failures

Release No. 2016-165

Date: Aug. 16, 2016

Title: Former Goldman Sachs Trader Settles Fraud Charges

Release No. 2016-163

Date: Aug. 15, 2016

Title: Hedge Fund Manager Charged in Scheme Involving Terminally Ill

Release No. 2016-162

Date: Aug. 11, 2016

Title: SEC Charges Stockbroker and Friend With Insider Trading

Release No. 2016-160

Date: Aug. 10, 2016

Title: Company Paying Penalty for Violating Key Whistleblower Protection Rule

Release No. 2016-157

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