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
Date
Title
Release No.
Published date grouping:October 2018 Date: Title: SEC Announces 2018 Government-Business Forum to Be Held at The Ohio State University Release No.:2018-239
Published date grouping:October 2018 Date: Title: SEC Charges Investment Adviser With Stealing From Friends, Community Members Release No.:2018-238
Published date grouping:October 2018 Date: Title: SEC Provides Regulatory Relief and Assistance for Hurricane Victims Release No.:2018-237
Published date grouping:October 2018 Date: Title: SEC Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting Controls Release No.:2018-236
Published date grouping:October 2018 Date: Title: SEC Suspends Former BDO Accountants for Improperly “Predating” Audit Work Papers Release No.:2018-235
Published date grouping:October 2018 Date: Title: SEC’s New Strategic Plan Puts Investors, Innovation, and Performance at Top Release No.:2018-234
Published date grouping:October 2018 Date: Title: SEC Reopens Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2018-233
Published date grouping:October 2018 Date: Title: SEC Stops Fraudulent ICO That Falsely Claimed SEC Approval Release No.:2018-232
Published date grouping:October 2018 Date: Title: Gary Goldsholle, Former Deputy Director, Current Senior Policy Adviser in the Division of Trading and Markets, to Leave the SEC Release No.:2018-231
Published date grouping:October 2018 Date: Title: SEC Monitoring Impact of Hurricane Michael on Capital Markets Release No.:2018-230
Published date grouping:October 2018 Date: Title: SEC Charges Real Estate Developer With Fraud in Project Tied to New Commuter Rail Station Release No.:2018-229
Published date grouping:October 2018 Date: Title: SEC Halts Microcap Fraud Scheme Orchestrated Through International Accounts Release No.:2018-228
Published date grouping:October 2018 Date: Title: SEC to Focus on Empowering Main Street Investors for 2018 World Investor Week Release No.:2018-227
Published date grouping:September 2018 Date: Title: Elon Musk Settles SEC Fraud Charges; Tesla Charged With and Resolves Securities Law Charge Release No.:2018-226
Published date grouping:September 2018 Date: Title: Brokerage Firm to Exit Penny Stock Deposit Business and Pay Penalty for Repeatedly Failing to Report Suspicious Trading Release No.:2018-225
Published date grouping:September 2018 Date: Title: Credit Suisse Agrees to Pay $10 Million to Settle Charges Related to Handling of Retail Customer Orders Release No.:2018-224
Published date grouping:September 2018 Date: Title: SEC Charges LendingClub Asset Management and Former Executives With Misleading Investors and Breaching Fiduciary Duty Release No.:2018-223
Published date grouping:September 2018 Date: Title: SEC Charges Stryker A Second Time for FCPA Violations Release No.:2018-222
Published date grouping:September 2018 Date: Title: SEC Charges Salix Pharmaceuticals and Former CFO With Lying About Distribution Channel Release No.:2018-221
Published date grouping:September 2018 Date: Title: SEC Charges Walgreens and Two Former Executives With Misleading Investors About Forecasted Earnings Goal Release No.:2018-220
Published date grouping:September 2018 Date: Title: Elon Musk Charged With Securities Fraud for Misleading Tweets Release No.:2018-219
Published date grouping:September 2018 Date: Title: SEC Charges Bitcoin-Funded Securities Dealer and CEO Release No.:2018-218
Published date grouping:September 2018 Date: Title: Lacey Dingman, Chief Human Capital Officer and Director of Human Resources, to Leave SEC Release No.:2018-217
Published date grouping:September 2018 Date: Title: Online Marketers Charged With Conning Main Street Investors Through Rags-to-Riches Infomercials Release No.:2018-216
Published date grouping:September 2018 Date: Title: Petrobras Reaches Settlement With SEC for Misleading Investors Release No.:2018-215
Published date grouping:September 2018 Date: Title: SEC Proposes Amendments to Codify Exemption to Credit Rating Agency Rule Release No.:2018-214
Published date grouping:September 2018 Date: Title: SEC Charges Firm With Deficient Cybersecurity Procedures Release No.:2018-213
Published date grouping:September 2018 Date: Title: SEC Charges Former CEO of Chilean-Based Chemical and Mining Company With FCPA Violations Release No.:2018-212
Published date grouping:September 2018 Date: Title: SG Americas Securities Charged for Improper Handling of ADRs Release No.:2018-211
Published date grouping:September 2018 Date: Title: SEC Staff to Host Roundtable on Market Data and Market Access Release No.:2018-210
Published date grouping:September 2018 Date: Title: SEC Awards Almost $4 Million to Overseas Whistleblower Release No.:2018-209
Published date grouping:September 2018 Date: Title: SEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program Release No.:2018-208
Published date grouping:September 2018 Date: Title: Public Companies Charged With Failing to Comply With Quarterly Reporting Obligations Release No.:2018-207
Published date grouping:September 2018 Date: Title: SEC Staff to Host Nov. 15 Roundtable on the Proxy Process Release No.:2018-206
Published date grouping:September 2018 Date: Title: Business Services Company and Former CFO Charged With Accounting Fraud Release No.:2018-205
Published date grouping:September 2018 Date: Title: Pamela C. Dyson, Chief Information Officer, to Leave SEC Release No.:2018-204
Published date grouping:September 2018 Date: Title: Christopher Hetner, Senior Advisor to the Chairman for Cybersecurity Policy, to Leave the Agency Release No.:2018-203
Published date grouping:September 2018 Date: Title: SEC Provides Regulatory Relief and Assistance for Hurricane Victims Release No.:2018-202
Published date grouping:September 2018 Date: Title: SEC Shuts Down $345 Million Fraud and Obtains Asset Freeze Release No.:2018-201
Published date grouping:September 2018 Date: Title: SEC Staff to Host Roundtable on Regulatory Approaches to Combating Retail Investor Fraud Release No.:2018-200
Published date grouping:September 2018 Date: Title: Biopharmaceutical Company, Executives Charged With Misleading Investors About Cancer Drug Release No.:2018-199
Published date grouping:September 2018 Date: Title: SeaWorld and Former CEO to Pay More Than $5 Million to Settle Fraud Charges Release No.:2018-198
Published date grouping:September 2018 Date: Title: SEC and NYU to Host Sept. 21 Forum on High-Frequency Trading and Liquidity Resiliency Release No.:2018-197
Published date grouping:September 2018 Date: Title: Mark Wolfe Named Associate Director in Office of Derivatives Policy and Trading Practices Release No.:2018-196
Published date grouping:September 2018 Date: Title: SEC Charges Investment Advisers With Defrauding Retail Advisory Clients Release No.:2018-195
Published date grouping:September 2018 Date: Title: Whistleblower Receives Award of Approximately $1.5 Million Release No.:2018-194
Published date grouping:September 2018 Date: Title: SEC Charges Citigroup for Dark Pool Misrepresentations Release No.:2018-193
Published date grouping:September 2018 Date: Title: SEC Monitoring Impact of Hurricane Florence on Capital Markets Release No.:2018-192
Published date grouping:September 2018 Date: Title: Broker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data Release No.:2018-191
Published date grouping:September 2018 Date: Title: SEC Charges Hedge Fund Adviser With Short-and-Distort Scheme Release No.:2018-190
Published date grouping:September 2018 Date: Title: SEC Uses Data Analysis to Detect Cherry-Picking By Broker Release No.:2018-189
Published date grouping:September 2018 Date: Title: United Technologies Charged With Violating FCPA Release No.:2018-188
Published date grouping:September 2018 Date: Title: Elad Roisman Sworn In As SEC Commissioner Release No.:2018-187
Published date grouping:September 2018 Date: Title: SEC Charges Digital Asset Hedge Fund Manager With Misrepresentations and Registration Failures Release No.:2018-186
Published date grouping:September 2018 Date: Title: SEC Charges ICO Superstore and Owners With Operating As Unregistered Broker-Dealers Release No.:2018-185
Published date grouping:September 2018 Date: Title: SEC Obtains Relief to Fully Reimburse Retail Investors Sold Unsuitable Product Release No.:2018-184
Published date grouping:September 2018 Date: Title: SEC Charges Two Brokers With Defrauding Customers Release No.:2018-183
Published date grouping:September 2018 Date: Title: SEC Charges Microcap Fraudsters for Roles in Lucrative Market Manipulation Schemes Release No.:2018-182
Published date grouping:September 2018 Date: Title: SEC Charges Real Estate Broker With FCPA Violations Release No.:2018-181
Published date grouping:September 2018 Date: Title: SEC Names Anita Bandy and Carolyn Welshhans as Associate Directors in Enforcement Division Release No.:2018-180
Published date grouping:September 2018 Date: Title: SEC Awards More Than $54 Million to Two Whistleblowers Release No.:2018-179
Published date grouping:September 2018 Date: Title: SEC Charges Two Men With Fraud in Fake Trading Accounts Scheme Release No.:2018-178
Published date grouping:September 2018 Date: Title: SEC Charges Cannabis Investment Fund and Founder in Fraudulent Scheme Release No.:2018-177
Published date grouping:September 2018 Date: Title: SEC Names Rebecca J. Olsen as Director of the Office of Municipal Securities Release No.:2018-176
Published date grouping:September 2018 Date: Title: SEC Charges Telecommunications Expense Management Company With Accounting Fraud Release No.:2018-175
Published date grouping:September 2018 Date: Title: Sanofi Charged With FCPA Violations Release No.:2018-174
Published date grouping:September 2018 Date: Title: Agencies Extend Comment Period for Proposed Rule Simplifying and Tailoring the “Volcker Rule” Release No.:2018-173
Published date grouping:August 2018 Date: Title: SEC Charges Buffalo Advisory Firm and Principal With Fraud Relating to Association With Barred Adviser Release No.:2018-172
Published date grouping:August 2018 Date: Title: SEC Charges Florida Cash Advance Company, Former CEO With Defrauding Retail Investors Release No.:2018-171
Published date grouping:August 2018 Date: Title: SEC Charges NFL Player and Former Investment Banker With Insider Trading Release No.:2018-170
Published date grouping:August 2018 Date: Title: SEC Charges Moody’s With Internal Controls Failures and Ratings Symbols Deficiencies Release No.:2018-169
Published date grouping:August 2018 Date: Title: Legg Mason Charged With Violating the FCPA Release No.:2018-168
Published date grouping:August 2018 Date: Title: Transamerica Entities to Pay $97 Million to Investors Relating to Errors in Quantitative Investment Models Release No.:2018-167
Published date grouping:August 2018 Date: Title: SEC Announces Agenda for Sept. 13 Investor Advisory Committee Meeting Release No.:2018-166
Published date grouping:August 2018 Date: Title: Fee Rate Advisory #1 for Fiscal Year 2019 Release No.:2018-165
Published date grouping:August 2018 Date: Title: SEC Names Matthew S. Jacques as Chief Accountant in Enforcement Division Release No.:2018-164
Published date grouping:August 2018 Date: Title: Barry Miller, Associate Director in Division of Investment Management, to Leave SEC After More Than 40 Years of Public Service Release No.:2018-163
Published date grouping:August 2018 Date: Title: SEC Chairman Clayton Announces Additional Investor Roundtable in Baltimore for Main Street Investors to ‘Tell Us’ About Their Investor Experience Release No.:2018-162
Published date grouping:August 2018 Date: Title: SEC Charges Former Online Marketing Company Executives With Inflating Operating Metrics Release No.:2018-161
Published date grouping:August 2018 Date: Title: SEC Charges Technology Fund Adviser, Founder in Fraudulent Scheme Release No.:2018-160
Published date grouping:August 2018 Date: Title: Merrill Lynch Settles SEC Charges of Undisclosed Conflict in Advisory Decision Release No.:2018-159
Published date grouping:August 2018 Date: Title: SEC Adopts Rule Amendments to Improve Municipal Securities Disclosure Release No.:2018-158
Published date grouping:August 2018 Date: Title: SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors Release No.:2018-157
Published date grouping:August 2018 Date: Title: SEC Adopts Amendments to Simplify and Update Disclosure Requirements Release No.:2018-156
Published date grouping:August 2018 Date: Title: Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls Release No.:2018-155
Published date grouping:August 2018 Date: Title: SEC Charges Ameriprise Financial Services for Failing to Safeguard Client Assets Release No.:2018-154
Published date grouping:August 2018 Date: Title: SEC Files Charges in Municipal Bond “Flipping” and Kickback Schemes Release No.:2018-153
Published date grouping:August 2018 Date: Title: SEC Bars Perpetrator of Initial Coin Offering Fraud Release No.:2018-152
Published date grouping:August 2018 Date: Title: SEC Charges U.S. Congressman and Others With Insider Trading Release No.:2018-151
Published date grouping:August 2018 Date: Title: SEC Charges Cloud Communications Company and Two Senior Executives With Misleading Revenue Projections Release No.:2018-150
Published date grouping:August 2018 Date: Title: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2018-149
Published date grouping:July 2018 Date: Title: SEC Charges Recidivist in Stock Manipulation Scheme Release No.:2018-148
Published date grouping:July 2018 Date: Title: Daniel Gregus Named National Associate Director of Clearance and Settlement Examination Program Release No.:2018-147
Published date grouping:July 2018 Date: Title: Kristin Snyder Named Deputy Director of OCIE Release No.:2018-146
Published date grouping:July 2018 Date: Title: Jane Jarcho, Deputy Director of OCIE, to Retire From SEC Release No.:2018-145
Published date grouping:July 2018 Date: Title: Elizabeth Baird and Christian Sabella Named Deputy Directors of the Division of Trading and Markets Release No.:2018-144
Published date grouping:July 2018 Date: Title: SEC Proposes Rules to Simplify and Streamline Disclosures in Certain Registered Debt Offerings Release No.:2018-143
Published date grouping:July 2018 Date: Title: SEC Detects Silicon Valley Executive’s Insider Trading Release No.:2018-142
Published date grouping:July 2018 Date: Title: SEC Charges Failed Fyre Festival Founder and Others With $27.4 Million Offering Fraud Release No.:2018-141
Published date grouping:July 2018 Date: Title: SEC Charges Mizuho Securities for Failure to Safeguard Customer Information Release No.:2018-140
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