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 2020 Date: Title: SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions Release No.:2020-267
Published date grouping:October 2020 Date: Title: SEC Issues Record $114 Million Whistleblower Award Release No.:2020-266
Published date grouping:October 2020 Date: Title: SEC Charges Goldman Sachs With FCPA Violations Release No.:2020-265
Published date grouping:October 2020 Date: Title: At Joint Open Meeting, SEC and CFTC Approve Final Rule on Security Futures Margin and Request for Comment on Portfolio Margining Release No.:2020-264
Published date grouping:October 2020 Date: Title: SEC to Host Panel with Women Entrepreneurs of Color on Oct. 28 Release No.:2020-263
Published date grouping:October 2020 Date: Title: SEC Obtains Final Judgment Against Kik Interactive For Unregistered Offering Release No.:2020-262
Published date grouping:October 2020 Date: Title: SEC Updates Auditor Independence Rules Release No.:2020-261
Published date grouping:October 2020 Date: Title: SEC Releases Agenda for October 26 Roundtable on Regulation Best Interest and Form CRS Release No.:2020-260
Published date grouping:October 2020 Date: Title: SEC and CFTC to Hold a Joint Open Meeting on October 22 Release No.:2020-259
Published date grouping:October 2020 Date: Title: SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan Release No.:2020-258
Published date grouping:October 2020 Date: Title: Board Member James G. Kaiser to Retire From the PCAOB; Contributed Substantially to PCAOB Strategic Plan and the Use of Technology to Enhance Audit Quality Release No.:2020-257
Published date grouping:October 2020 Date: Title: SEC Appoints PCAOB Chief Auditor Megan Zietsman to PCAOB Board Release No.:2020-256
Published date grouping:October 2020 Date: Title: SEC Awards $800,000 to Whistleblower Release No.:2020-255
Published date grouping:October 2020 Date: Title: SEC Charges Brazilian Meat Producers With FCPA Violations Release No.:2020-254
Published date grouping:October 2020 Date: Title: Tamara Brightwell Named Deputy Director of Division of Corporation Finance’s Disclosure Review Program Release No.:2020-253
Published date grouping:October 2020 Date: Title: Jessica Kane Named Director of Division of Corporation Finance’s Disclosure Review Program Release No.:2020-252
Published date grouping:October 2020 Date: Title: SEC Charges Seismic Data Company, Former Executives With $100 Million Accounting Fraud Release No.:2020-251
Published date grouping:October 2020 Date: Title: SEC Names Nichola L. Timmons Chief of New Office of Bankruptcy, Collections, Distributions, and Receiverships Release No.:2020-250
Published date grouping:October 2020 Date: Title: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Virtually Release No.:2020-249
Published date grouping:October 2020 Date: Title: SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising Release No.:2020-248
Published date grouping:October 2020 Date: Title: SEC Updates Regulatory Framework for Fund of Funds Arrangements Release No.:2020-247
Published date grouping:October 2020 Date: Title: SEC Charges John McAfee With Fraudulently Touting ICOs Release No.:2020-246
Published date grouping:October 2020 Date: Title: SEC Staff Releases Report on U.S. Credit Market Interconnectedness and the Effects of the COVID-19 Economic Shock Release No.:2020-245
Published date grouping:October 2020 Date: Title: SEC’s Messages for World Investor Week 2020 Release No.:2020-244
Published date grouping:October 2020 Date: Title: SEC Issues Agenda for Oct. 5 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2020-243
Published date grouping:September 2020 Date: Title: SEC Charges Hospitality Company for Failing to Disclose Executive Perks Release No.:2020-242
Published date grouping:September 2020 Date: Title: SEC Charges HP Inc. With Disclosure Violations and Control Failures Release No.:2020-241
Published date grouping:September 2020 Date: Title: SEC Whistleblower Program Ends Record-Setting Fiscal Year With Four Additional Awards Release No.:2020-240
Published date grouping:September 2020 Date: Title: SEC Awards Almost $30 Million to Two Insider Whistleblowers Release No.:2020-239
Published date grouping:September 2020 Date: Title: Morgan Stanley Agrees to Pay $5 Million for Reg SHO Violations in Prime Brokerage Swaps Business Release No.:2020-238
Published date grouping:September 2020 Date: Title: SEC Charges Manitex International and Three Former Senior Executives With Accounting Fraud Release No.:2020-237
Published date grouping:September 2020 Date: Title: SEC Charges Former Real Estate Executive With Misappropriating $26 Million in Ponzi Scheme Release No.:2020-236
Published date grouping:September 2020 Date: Title: SEC Charges Ratings Agency With Internal Controls Failures in Connection With Ratings of CMBS and CLO Combo Notes Release No.:2020-235
Published date grouping:September 2020 Date: Title: SEC Charges Unregistered Brokers in Penny Stock Scheme Targeting Seniors Release No.:2020-234
Published date grouping:September 2020 Date: Title: J.P. Morgan Securities Admits to Manipulative Trading in U.S. Treasuries Release No.:2020-233
Published date grouping:September 2020 Date: Title: SEC Charges Swedish National with Global Scheme Defrauding Retail Investors, Including Deaf Community Members Release No.:2020-232
Published date grouping:September 2020 Date: Title: SEC Issues $1.8 Million Whistleblower Award to a Company Outsider Release No.:2020-231
Published date grouping:September 2020 Date: Title: Fiat Chrysler Agrees to Pay $9.5 Million Penalty for Disclosure Violations Release No.:2020-230
Published date grouping:September 2020 Date: Title: SEC Staff to Host October 26 Roundtable on Regulation Best Interest and Form CRS Release No.:2020-229
Published date grouping:September 2020 Date: Title: SEC Charges Amazon Finance Manager and Family With Insider Trading Release No.:2020-228
Published date grouping:September 2020 Date: Title: SEC Proposes Rules to Extend Regulations ATS and SCI to Treasuries and Other Government Securities Markets Release No.:2020-227
Published date grouping:September 2020 Date: Title: SEC Charges Companies, Former Executives as Part of Risk-Based Initiative Release No.:2020-226
Published date grouping:September 2020 Date: Title: SEC Issues Two Whistleblower Awards for High-Quality Information Regarding Overseas Conduct Release No.:2020-225
Published date grouping:September 2020 Date: Title: SEC Charges Top Executive of California Microcap Company for Misleading Claims Concerning COVID-19 Test and Financial Statements Release No.:2020-224
Published date grouping:September 2020 Date: Title: SEC Charges BMW for Disclosing Inaccurate and Misleading Retail Sales Information to Bond Investors Release No.:2020-223
Published date grouping:September 2020 Date: Title: Engine Manufacturing Company to Pay Penalty, Take Remedial Measures to Settle Charges of Accounting Fraud Release No.:2020-222
Published date grouping:September 2020 Date: Title: SEC Charges Lighting Products Company and Four Executives With Accounting Violations Release No.:220-221
Published date grouping:September 2020 Date: Title: SEC Adopts Amendments to Modernize Shareholder Proposal Rule Release No.:2020-220
Published date grouping:September 2020 Date: Title: SEC Adds Clarity, Efficiency and Transparency to Its Successful Whistleblower Award Program Release No.:2020-219
Published date grouping:September 2020 Date: Title: SEC Obtains Emergency Asset Freeze, Charges Ring of Microcap Stock Manipulators Targeting Retail Investors Release No.:2020-218
Published date grouping:September 2020 Date: Title: SEC Charges Index Manager and Friend With Insider Trading Release No.:2020-217
Published date grouping:September 2020 Date: Title: SEC Charges Ponzi Scheme Targeting U.S. Military Service Members Release No.:2020-216
Published date grouping:September 2020 Date: Title: SEC Issues $2.4 Million Whistleblower Award Release No.:2020-215
Published date grouping:September 2020 Date: Title: SEC Awards Almost $250,000 to Joint Whistleblowers Release No.:2020-214
Published date grouping:September 2020 Date: Title: SEC Charges Former CEO of Technology Company With Raising $123 Million in Fraudulent Offerings Release No.:2020-213
Published date grouping:September 2020 Date: Title: SEC Adopts Amendments to Enhance Retail Investor Protections and Modernize the Rule Governing Quotations for Over-the-Counter Securities Release No.:2020-212
Published date grouping:September 2020 Date: Title: Unregistered ICO Issuer Agrees to Disable Tokens and Pay Penalty for Distribution to Harmed Investors Release No.:2020-211
Published date grouping:September 2020 Date: Title: SEC Releases Report and Recommendations on the 39th Annual Small Business Forum Release No.:2020-210
Published date grouping:September 2020 Date: Title: SEC Awards More Than $10 Million to Whistleblower Release No.:2020-209
Published date grouping:September 2020 Date: Title: SEC Charges Charter School Operator and its Former President With Fraudulent Municipal Bond Offering Release No.:2020-208
Published date grouping:September 2020 Date: Title: SEC Charges Film Producer, Rapper, and Others for Participation in Two Fraudulent ICOs Release No.:2020-207
Published date grouping:September 2020 Date: Title: SEC Issues Agenda for September 16 Meeting of the Asset Management Advisory Committee Release No.:2020-206
Published date grouping:September 2020 Date: Title: SEC Modernizes Disclosures for Banking Registrants Release No.:2020-205
Published date grouping:September 2020 Date: Title: SEC Announces Final Distribution in WG Trading Investment Fraud, Totaling Over $1 Billion Returned to Harmed Investors Release No.:2020-204
Published date grouping:September 2020 Date: Title: SEC Charges Fund Manager for Fraud in Securities Offering in Neiman Marcus Bankruptcy Release No.:2020-203
Published date grouping:September 2020 Date: Title: SEC Investor Advisory Committee to Meet Virtually on September 24 Release No.:2020-202
Published date grouping:September 2020 Date: Title: SEC Awards Over $2.5 Million to Joint Whistleblowers for Detailed Analysis That Led to Multiple Successful Actions Release No.:2020-201
Published date grouping:August 2020 Date: Title: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2020-200
Published date grouping:August 2020 Date: Title: SEC Awards Over $1.25 Million to Whistleblower Release No.:2020-199
Published date grouping:August 2020 Date: Title: SEC Charges Ponzi Scheme Targeting African Immigrants Release No.:2020-198
Published date grouping:August 2020 Date: Title: SEC Charges Herbalife With FCPA Violations Release No.:2020-197
Published date grouping:August 2020 Date: Title: Fee Rate Advisory #1 for Fiscal Year 2021 Release No.:2020-196
Published date grouping:August 2020 Date: Title: SEC Charges BorgWarner for Materially Misstating its Financial Statements Release No.:2020-195
Published date grouping:August 2020 Date: Title: SEC Monitoring Impact of Hurricane Laura on Capital Markets Release No.:2020-194
Published date grouping:August 2020 Date: Title: SEC Halts Fraudulent Offering by Florida Investment Adviser Release No.:2020-193
Published date grouping:August 2020 Date: Title: SEC Adopts Rule Amendments to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K Release No.:2020-192
Published date grouping:August 2020 Date: Title: SEC Modernizes the Accredited Investor Definition Release No.:2020-191
Published date grouping:August 2020 Date: Title: SEC Charges Super Micro and Former CFO in Connection with Widespread Accounting Violations Release No.:2020-190
Published date grouping:August 2020 Date: Title: SEC Proposes Data Security Enhancements to the CAT NMS Plan Release No.:2020-189
Published date grouping:August 2020 Date: Title: SEC Adopts Requirements to Ensure Public Notice, Comment, and Approval Prior to Effectiveness of NMS Plan Fees Release No.:2020-188
Published date grouping:August 2020 Date: Title: Richard R. Best Named Director of SEC's New York Regional Office Release No.:2020-187
Published date grouping:August 2020 Date: Title: SEC Names Marc P. Berger as Deputy Director of Enforcement Release No.:2020-186
Published date grouping:August 2020 Date: Title: SEC Names Diana Stoltzfus as Deputy Chief Accountant Release No.:2020-185
Published date grouping:August 2020 Date: Title: Caroline A. Crenshaw and Hester M. Peirce Sworn-In As SEC Commissioners Release No.:2020-184
Published date grouping:August 2020 Date: Title: SEC Charges Hertz’s Former CEO With Aiding and Abetting Company’s Financial Reporting and Disclosure Violations Release No.:2020-183
Published date grouping:August 2020 Date: Title: Advisory Firm Settles Charges of Defrauding Investors, Agrees to Refund Allegedly Ill-Gotten Gains to Harmed Clients Release No.:2020-182
Published date grouping:August 2020 Date: Title: SEC Charges Issuer and CEO With Misrepresenting Platform Technology in Fraudulent ICO Release No.:2020-181
Published date grouping:August 2020 Date: Title: Deputy Chief Accountant Marc Panucci to Leave SEC Release No.:2020-180
Published date grouping:August 2020 Date: Title: Sebastian Gomez Abero Named Deputy Director of SEC's Small Business Advocacy Office Release No.:2020-179
Published date grouping:August 2020 Date: Title: SEC Charges Interactive Brokers With Repeatedly Failing to File Suspicious Activity Reports Release No.:2020-178
Published date grouping:August 2020 Date: Title: SEC Charges Consumer Loan Company With FCPA Violations Release No.:2020-177
Published date grouping:August 2020 Date: Title: Lindsay McCord Named Chief Accountant in Division of Corporation Finance Release No.:2020-176
Published date grouping:August 2020 Date: Title: SEC Charges Affiliated Advisers for Misrepresentations About Payment for Order Flow Arrangements Release No.:2020-175
Published date grouping:August 2020 Date: Title: Enforcement Co-Director Steven Peikin to Depart Release No.:2020-174
Published date grouping:August 2020 Date: Title: SEC Provides Transparency to the Process of Nominating Candidates to the Investor Advisory Committee Release No.:2020-173
Published date grouping:August 2020 Date: Title: SEC Proposes to Improve the Retail Investor Experience through Modernized Fund Shareholder Reports and Disclosures Release No.:2020-172
Published date grouping:August 2020 Date: Title: SEC Announces New Small Business Capital Formation Advisory Committee Members Release No.:2020-171
Published date grouping:August 2020 Date: Title: Scott A. Thompson Named Associate Regional Director in Philadelphia Office Release No.:2020-170
Published date grouping:July 2020 Date: Title: Pharmaceutical Company and Former Executives Charged With Misleading Financial Disclosures Release No.:2020-169
Published date grouping:July 2020 Date: Title: SEC Charges Former Georgia State Legislator With Defrauding Investors in Ponzi Scheme Release No.:2020-168