SEC Channel
SEC PhotostreamPress Releases
Date: Sept. 26, 2016
Title: SEC Charges CEO and Boiler Room Operator With Fraud
Release No. 2016-193
Date: Sept. 26, 2016
Title: Merrill Lynch Charged With Trading Controls Failures That Led to Mini-Flash Crashes
Release No. 2016-192
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. 19, 2016
Title: Ernst & Young, Former Partners Charged With Violating Auditor Independence Rules
Release No. 2016-187
Date: Sept. 16, 2016
Title: Marijuana-Related Company Charged with Scheming Investors
Release No. 2016-186
Date: Sept. 15, 2016
Release No. 2016-185
Date: Sept. 13, 2016
Title: “Stock Trading Whiz Kid” to Pay $1.5 Million to Settle Stock Newsletter Fraud Charges
Release No. 2016-184
Date: Sept. 13, 2016
Title: SEC: Company Failed to Disclose Credit Risk in Investments
Release No. 2016-183
Date: Sept. 9, 2016
Title: BOK Financial, Senior Executive Charged With Turning Blind Eye to Investment Scheme
Release No. 2016-182
Date: Sept. 8, 2016
Title: Two Firms Charged With Compliance Failures in Wrap Fee Programs
Release No. 2016-181
Date: Sept. 8, 2016
Title: Executives Charged With Inflating Performance of Real Estate Investment Trust
Release No. 2016-180
Date: Sept. 7, 2016
Release No. 2016-179
Date: Sept. 6, 2016
Release No. 2016-178
Date: Sept. 1, 2016
Title: SEC Charges Alabama Attorney and His Companies in Purported Waste-To-Energy Ventures
Release No. 2016-177
Date: Aug. 31, 2016
Title: SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings
Release No. 2016-176
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. 30, 2016
Title: $22 Million Whistleblower Award for Company Insider Who Helped Uncover Fraud
Release No. 2016-172
Date: Aug. 29, 2016
Release No. 2016-171
Date: Aug. 26, 2016
Title: SEC: Purported Green Technology Company Defrauding Investors
Release No. 2016-170
Date: Aug. 25, 2016
Release No. 2016-169
Date: Aug. 25, 2016
Title: SEC Adopts Rules to Enhance Information Reported by Investment Advisers
Release No. 2016-168
Date: Aug. 25, 2016
Title: Investment Advisers Paying Penalties for Advertising False Performance Claims
Release No. 2016-167
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: Company Punished for Severance Agreements That Removed Financial Incentives for Whistleblowing
Release No. 2016-164
Date: Aug. 15, 2016
Title: Hedge Fund Manager Charged in Scheme Involving Terminally Ill
Release No. 2016-162
Date: Aug. 11, 2016
Title: SEC: Investment Adviser Boasted Phony Assets and Track Record, Stole From Client
Release No. 2016-161
Date: Aug. 11, 2016
Title: SEC Charges Stockbroker and Friend With Insider Trading
Release No. 2016-160
Date: Aug. 10, 2016
Title: SEC Charges Former Professional Football Player With Running $10 Million Fraud
Release No. 2016-159
Date: Aug. 10, 2016
Title: Kristin Snyder Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program
Release No. 2016-158
Date: Aug. 10, 2016
Title: Company Paying Penalty for Violating Key Whistleblower Protection Rule
Release No. 2016-157
Date: Aug. 4, 2016
Title: SEC Charges Cardiologist With Insider Trading on Confidential Drug Trial Developments
Release No. 2016-156
Date: Aug. 2, 2016
Release No. 2016-155
Date: July 28, 2016
Title: SEC Announces Agenda for August 2 Meeting of the Equity Market Structure Advisory Committee
Release No. 2016-154
Date: July 28, 2016
Title: SEC Obtains Asset Freeze in Case of Investor Funds Stolen for Shopping Sprees
Release No. 2016-153
Date: July 26, 2016
Title: SEC: State Street Misled Custody Clients About Prices for Foreign Currency Exchange Trades
Release No. 2016-152
Date: July 22, 2016
Title: Vincente L. Martinez, Chief of Office of Market Intelligence, to Leave SEC
Release No. 2016-150
Date: July 22, 2016
Title: Deputy Chief Accountant Brian T. Croteau to Leave SEC
Release No. 2016-149
Date: July 22, 2016
Title: Accountant Suspended for Failing to Spot Fraud in Company Audit
Release No. 2016-147
Date: July 20, 2016
Title: Kurt Gottschall Named Associate Regional Director in the SEC's Denver Regional Office
Release No. 2016-145
Date: July 14, 2016
Title: SEC Announces Agenda for July 19 Meeting of the Advisory Committee on Small and Emerging Companies
Release No. 2016-144
Date: July 14, 2016
Title: SEC Charges Investment Adviser With Failing to Clearly Disclose Additional Costs to Investors
Release No. 2016-143
Date: July 13, 2016
Title: SEC Adopts Amendments to Rules of Practice for Administrative Proceedings
Release No. 2016-142
Date: July 13, 2016
Release No. 2016-141
Date: July 13, 2016
Title: SEC Proposes Rules to Enhance Order Handling Information Available to Investors
Release No. 2016-140
Date: July 13, 2016
Title: SEC Adopts Additional Rules Related to Security-Based Swap Transaction Reporting
Release No. 2016-139
Date: July 12, 2016
Title: SEC: Citigroup Provided Incomplete Blue Sheet Data for 15 Years
Release No. 2016-138
Date: July 12, 2016
Title: SEC Announces New Investor Advisory Committee Members
Release No. 2016-137
Date: July 8, 2016
Title: Sean McKessy, Chief of Whistleblower Office, to Leave SEC
Release No. 2016-136
Date: June 29, 2016
Title: Paul Dudek, Chief of Office of International Corporate Finance, to Leave Agency
Release No. 2016-135
Date: June 28, 2016
Title: C. Dabney O’Riordan Named as Co-Chief of the Asset Management Unit
Release No. 2016-134
Date: June 28, 2016
Title: SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans
Release No. 2016-133
Date: June 27, 2016
Title: SEC Adopts Rules for Resource Extraction Issuers Under Dodd-Frank Act
Release No. 2016-132
Date: June 27, 2016
Title: SEC Proposes Amendments to Smaller Reporting Company Definition
Release No. 2016-131
Date: June 24, 2016
Title: SEC Charges “Frack Master” With Running an $80 Million Oil and Gas Fraud
Release No. 2016-130
Date: June 23, 2016
Title: Merrill Lynch Paying $10 Million Penalty for Misleading Investors in Structured Notes
Release No. 2016-129
Date: June 23, 2016
Title: Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk
Release No. 2016-128
Date: June 22, 2016
Title: SEC Sues UK-Based Trader for Account Intrusion Scheme
Release No. 2016-127
Date: June 21, 2016
Title: SEC Charges Medical Device Manufacturer With FCPA Violations
Release No. 2016-126
Date: June 21, 2016
Title: Former CEO of Chicago Charter School Operator Settles Muni-Bond Fraud Charges
Release No. 2016-125
Date: June 17, 2016
Release No. 2016-123
Date: June 16, 2016
Title: SEC Proposes Rules to Modernize Property Disclosures for Mining Registrants
Release No. 2016-122
Date: June 16, 2016
Title: Software Executive and Three Friends Charged With Insider Trading
Release No. 2016-121
Date: June 16, 2016
Title: Private Fund Administrator Charged With Gatekeeper Failures
Release No. 2016-120
Date: June 15, 2016
Title: Hedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme
Release No. 2016-119
Date: June 13, 2016
Title: SEC: Muni Advisors Acted Deceptively With California School Districts
Release No. 2016-118
Date: June 9, 2016
Title: Consultant to Chinese Private Equity Firms Settles Insider Trading Charges
Release No. 2016-115
Date: June 8, 2016
Title: SEC: Ethiopia’s Electric Utility Sold Unregistered Bonds in U.S.
Release No. 2016-113
Date: June 8, 2016
Title: SEC: Morgan Stanley Failed to Safeguard Customer Data
Release No. 2016-112
Date: June 8, 2016
Title: SEC Adopts Trade Acknowledgment and Verification Rules for Security-Based Swap Transactions
Release No. 2016-111
Date: June 8, 2016
Title: SEC Bars Corporate VP and Controller for False Accounting
Release No. 2016-110
Date: June 7, 2016
Title: SEC Announces Two Non-Prosecution Agreements in FCPA Cases
Release No. 2016-109
Date: June 3, 2016
Title: Childhood Friends Charged With Insider Trading in Pharmaceutical Stocks
Release No. 2016-108
Date: June 3, 2016
Title: Stephen L. Cohen, Associate Director of Enforcement, to Leave SEC After Nearly 12 Years of Service
Release No. 2016-107
Date: June 2, 2016
Title: SEC: Forex Trader Misrepresented Track Record and Hid Massive Losses
Release No. 2016-106
Date: June 2, 2016
Title: SEC Halts EB-5 Scheme Stealing Investments in Cancer Center
Release No. 2016-105
Date: June 2, 2016
Title: SEC: Adviser Steered Investor Money to His Own Companies
Release No. 2016-104
Date: June 2, 2016
Title: SEC Names Christopher Hetner as Senior Advisor to the Chair for Cybersecurity Policy
Release No. 2016-103
Date: June 1, 2016
Title: Brokerage Firm Charged With Anti-Money Laundering Failures
Release No. 2016-102
Date: June 1, 2016
Title: SEC Adopts Amendment to Form 10-K Implementing FAST Act Provision
Release No. 2016-101
Date: June 1, 2016
Title: SEC: Private Equity Fund Adviser Acted As Unregistered Broker
Release No. 2016-100
Date: May 31, 2016
Title: SEC: Nashville Firm Schemed to Collect Extra Fees From Hedge Funds
Release No. 2016-98
Date: May 31, 2016
Title: Investment Banker and Plumber Charged With Insider Trading
Release No. 2016-96
Date: May 20, 2016
Title: Two Individuals Share Whistleblower Award of More Than $450,000
Release No. 2016-94