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:March 2019 Date: Title: SEC Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds Release No.:2019-39
Published date grouping:March 2019 Date: Title: SEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure Release No.:2019-38
Published date grouping:March 2019 Date: Title: Justin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office Release No.:2019-37
Published date grouping:March 2019 Date: Title: SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client Release No.:2019-36
Published date grouping:March 2019 Date: Title: SEC Staff to Hold Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets Release No.:2019-35
Published date grouping:March 2019 Date: Title: SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During "Clean Diesel" Emissions Fraud Release No.:2019-34
Published date grouping:March 2019 Date: Title: Jason J. Burt Named Associate Regional Director for Enforcement in SEC's Denver Office Release No.:2019-33
Published date grouping:March 2019 Date: Title: Wedbush Settles Failure to Supervise Charge Release No.:2019-32
Published date grouping:March 2019 Date: Title: SEC Announces March 28 Meeting of Investor Advisory Committee Release No.:2019-31
Published date grouping:March 2019 Date: Title: Fee Rate Advisory #2 for Fiscal Year 2019 Release No.:2019-30
Published date grouping:March 2019 Date: Title: SEC Charges Lumber Liquidators With Fraud Release No.:2019-29
Published date grouping:March 2019 Date: Title: SEC Share Class Initiative Returning More Than $125 Million to Investors Release No.:2019-28
Published date grouping:March 2019 Date: Title: Mobile TeleSystems Settles FCPA Violations Release No.:2019-27
Published date grouping:March 2019 Date: Title: BB&T to Return More Than $5 Million to Retail Investors and Pay Penalty Relating to Directed Brokerage Arrangements Release No.:2019-26
Published date grouping:March 2019 Date: Title: SEC Celebrates African American History Month with Presentation by Award-Winning Filmmaker Release No.:2019-25
Published date grouping:February 2019 Date: Title: SEC Names Gabriel Benincasa As Its First Chief Risk Officer Release No.:2019-24
Published date grouping:February 2019 Date: Title: SEC Modifies Timing for Filing Non-Public Form N-PORT Data to Align With Its Approach to Data Management and Cybersecurity Release No.:2019-23
Published date grouping:February 2019 Date: Title: SEC Names Vanessa Countryman Acting Secretary Release No.:2019-22
Published date grouping:February 2019 Date: Title: Brent J. Fields Named Associate Director in the Division of Investment Management Release No.:2019-21
Published date grouping:February 2019 Date: Title: SEC Names S.P. Kothari as Chief Economist and Director of the Division of Economic and Risk Analysis Release No.:2019-20
Published date grouping:February 2019 Date: Title: SEC Halts South Florida Alternative Investments Scheme Targeting Retail Investors Release No.:2019-19
Published date grouping:February 2019 Date: Title: Giles Cohen Named Acting Chief Counsel, Office of the Chief Accountant Release No.:2019-18
Published date grouping:February 2019 Date: Title: SEC Names James P. McNamara as Chief Human Capital Officer Release No.:2019-17
Published date grouping:February 2019 Date: Title: SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud Release No.:2019-16
Published date grouping:February 2019 Date: Title: Company Settles Unregistered ICO Charges After Self-Reporting to SEC Release No.:2019-15
Published date grouping:February 2019 Date: Title: SEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers Release No.:2019-14
Published date grouping:February 2019 Date: Title: SEC Files Charges in Elaborate Microcap Stock Fraud Release No.:2019-13
Published date grouping:February 2019 Date: Title: SEC Charges Cognizant and Two Former Executives With FCPA Violations Release No.:2019-12
Published date grouping:February 2019 Date: Title: SEC Extends Comment Period for Rulemaking Proposal Regarding Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts Release No.:2019-11
Published date grouping:February 2019 Date: Title: SEC Charges Former Senior Attorney at Apple With Insider Trading Release No.:2019-10
Published date grouping:February 2019 Date: Title: Deloitte Japan Charged With Violating Auditor Independence Rules Release No.:2019-9
Published date grouping:February 2019 Date: Title: SEC Charges Founder of Online Gaming Company With Defrauding Investors Release No.:2019-8
Published date grouping:February 2019 Date: Title: Elizabeth McFadden Named Deputy General Counsel Release No.:2019-7
Published date grouping:January 2019 Date: Title: SEC Charges Four Public Companies With Longstanding ICFR Failures Release No.:2019-6
Published date grouping:January 2019 Date: Title: SEC Names Manisha Kimmel as Senior Policy Advisor to the Chairman on the Consolidated Audit Trail Release No.:2019-5
Published date grouping:January 2019 Date: Title: Shamoil T. Shipchandler, Regional Director of the SEC’s Fort Worth Regional Office, Has Left the Agency Release No.:2019-4
Published date grouping:January 2019 Date: Title: Court Orders $1 Billion Judgment Against Operators of Woodbridge Ponzi Scheme Targeting Retail Investors Release No.:2019-3
Published date grouping:January 2019 Date: Title: SEC Emergency Action Charges Texas Real Estate Developer for Multi-Million Dollar Offering Fraud Release No.:2019-2
Published date grouping:January 2019 Date: Title: SEC Brings Charges in Edgar Hacking Case Release No.:2019-1
Published date grouping:December 2018 Date: Title: JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs Release No.:2018-306
Published date grouping:December 2018 Date: Title: Agencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule Release No.:2018-305
Published date grouping:December 2018 Date: Title: Martha Miller Named Advocate for Small Business Capital Formation Release No.:2018-304
Published date grouping:December 2018 Date: Title: Two Advisory Firms, CEO Charged With Mutual Fund Share Class Disclosure Violations Release No.:2018-303
Published date grouping:December 2018 Date: Title: SEC Charges Audit Firm and Suspends Accountants for Deficient Audits Release No.:2018-302
Published date grouping:December 2018 Date: Title: SEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions Release No.:2018-301
Published date grouping:December 2018 Date: Title: SEC Charges Two Robo-Advisers With False Disclosures Release No.:2018-300
Published date grouping:December 2018 Date: Title: SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities Release No.:2018-299
Published date grouping:December 2018 Date: Title: SEC Adopts Transaction Fee Pilot for NMS Stocks Release No.:2018-298
Published date grouping:December 2018 Date: Title: SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A Release No.:2018-297
Published date grouping:December 2018 Date: Title: SEC Charges Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors Release No.:2018-296
Published date grouping:December 2018 Date: Title: SEC Proposes Rule Changes for Fund of Funds Arrangements Release No.:2018-295
Published date grouping:December 2018 Date: Title: SEC Proposes Risk Mitigation Techniques for Uncleared Security-Based Swaps Release No.:2018-294
Published date grouping:December 2018 Date: Title: SEC Adopts Rule of Practice 194 Release No.:2018-293
Published date grouping:December 2018 Date: Title: SEC Approves 2019 PCAOB Budget and Accounting Support Fee Release No.:2018-292
Published date grouping:December 2018 Date: Title: SEC Adopts Final Rules for Disclosure of Hedging Policies Release No.:2018-291
Published date grouping:December 2018 Date: Title: SEC Charges Former Panasonic Executives Release No.:2018-290
Published date grouping:December 2018 Date: Title: SEC Publishes Two Reports on Credit Rating Agencies Showing Continued Focus on Compliance and Competition Release No.:2018-289
Published date grouping:December 2018 Date: Title: Daniel Kahl Named Deputy Director of the Office of Compliance Inspections and Examinations Release No.:2018-288
Published date grouping:December 2018 Date: Title: SEC Solicits Public Comment on Earnings Releases and Quarterly Reports Release No.:2018-287
Published date grouping:December 2018 Date: Title: Scott W. Bauguess, Deputy Director of the Division of Economic and Risk Analysis, to Leave the Agency After a Decade of Service Release No.:2018-286
Published date grouping:December 2018 Date: Title: BNY Mellon to Pay More Than $54 Million for Improper Handling of ADRs Release No.:2018-285
Published date grouping:December 2018 Date: Title: Jeffrey S. Mooney Named Associate Director in the Office of Clearance and Settlement Release No.:2018-284
Published date grouping:December 2018 Date: Title: SEC Charges Former New York Investment Advisor and Daughter With Conducting a Ponzi Scheme Release No.:2018-283
Published date grouping:December 2018 Date: Title: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors Release No.:2018-282
Published date grouping:December 2018 Date: Title: Jeffrey Minton, Office of the Chief Accountant Chief Counsel, to Retire from the SEC After 20 Years of Service Release No.:2018-281
Published date grouping:December 2018 Date: Title: Executives Settle ICO Scam Charges Release No.:2018-280
Published date grouping:December 2018 Date: Title: Three Developers Settle Charges of Fraudulent EB-5 Offering Release No.:2018-279
Published date grouping:December 2018 Date: Title: SEC Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official Release No.:2018-278
Published date grouping:December 2018 Date: Title: SEC Charges The Hain Celestial Group with Internal Controls Failures Release No.:2018-277
Published date grouping:December 2018 Date: Title: SEC Charges Agria Corporation and Executive Chairman With Fraud Release No.:2018-276
Published date grouping:December 2018 Date: Title: Three Broker-Dealers to Pay More Than $6 Million in Penalties for Providing Deficient Blue Sheet Data Release No.:2018-275
Published date grouping:December 2018 Date: Title: SEC Announces Agenda and Panelists for the 37th Annual Small Business Forum Release No.:2018-274
Published date grouping:December 2018 Date: Title: SEC Halts Alleged Insider Trading Ring Spanning Three Countries Release No.:2018-273
Published date grouping:December 2018 Date: Title: SEC Investor Advisory Committee to Meet on December 13 Release No.:2018-272
Published date grouping:December 2018 Date: Title: Shira Pavis Minton, Ethics Counsel, to Retire From SEC After 20 Years of Federal Service Release No.:2018-271
Published date grouping:December 2018 Date: Title: Aaron Lipson, Associate Regional Director of Atlanta Office, to Leave Agency After 14 Years of Service Release No.:2018-270
Published date grouping:November 2018 Date: Title: SEC Adopts FAIR Act Rules Promoting Research Reports on Investment Funds Release No.:2018-269
Published date grouping:November 2018 Date: Title: Two Celebrities Charged With Unlawfully Touting Coin Offerings Release No.:2018-268
Published date grouping:November 2018 Date: Title: Jina L. Choi, Regional Director of the SEC’s San Francisco Office, to Leave the Agency After Over 16 Years of Service Release No.:2018-267
Published date grouping:November 2018 Date: Title: SEC Charges Self-Described Promoter With Microcap Market Manipulation Scheme Release No.:2018-266
Published date grouping:November 2018 Date: Title: Kurt Gottschall Named Director of Denver Office Release No.:2018-265
Published date grouping:November 2018 Date: Title: Two ICO Issuers Settle SEC Registration Charges, Agree to Register Tokens as Securities Release No.:2018-264
Published date grouping:November 2018 Date: Title: SEC Charges Giga Entertainment Media, Former Officers and Directors With Fraud in Pay-For-Download Campaign Release No.:2018-263
Published date grouping:November 2018 Date: Title: SEC Brings Additional Charges in New York Boiler Room Scheme Targeting Seniors Release No.:2018-262
Published date grouping:November 2018 Date: Title: SEC Settles Insider Trading Claims Against Former Chairman and CEO of Advanced Medical Optics Release No.:2018-261
Published date grouping:November 2018 Date: Title: SEC Announces Agenda, Panelists for Staff Roundtable on the Proxy Process Release No.:2018-260
Published date grouping:November 2018 Date: Title: Stock Research Firm and Co-Founders Charged With Deceiving Investors in Supposedly Unbiased Reports Release No.:2018-259
Published date grouping:November 2018 Date: Title: SEC Charges EtherDelta Founder With Operating an Unregistered Exchange Release No.:2018-258
Published date grouping:November 2018 Date: Title: Investor Testing of the Proposed Relationship Summary for Investment Advisers and Broker-Dealers Release No.:2018-257
Published date grouping:November 2018 Date: Title: SEC Charges ITG With Misleading Dark Pool Subscribers Release No.:2018-256
Published date grouping:November 2018 Date: Title: Citibank to Pay More Than $38 Million for Improper Handling of ADRs Release No.:2018-255
Published date grouping:November 2018 Date: Title: Anthony S. Kelly, Co-Chief of Asset Management Unit, to Leave SEC After 18 Years of Service Release No.:2018-254
Published date grouping:November 2018 Date: Title: SEC Adopts Rules That Increase Information Brokers Must Provide to Investors on Order Handling Release No.:2018-253
Published date grouping:November 2018 Date: Title: SEC Charges Investment Adviser With Running $3.9 Million Fraud Release No.:2018-252
Published date grouping:November 2018 Date: Title: SEC Charges Family Friend of Former Investment Banker With Insider Trading Release No.:2018-251
Published date grouping:November 2018 Date: Title: SEC Enforcement Division Issues Report on FY 2018 Results Release No.:2018-250
Published date grouping:October 2018 Date: Title: SEC Issues Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2018-249
Published date grouping:October 2018 Date: Title: SEC Adopts Rules to Modernize Property Disclosures Required for Mining Registrants Release No.:2018-248
Published date grouping:October 2018 Date: Title: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2018-247
Published date grouping:October 2018 Date: Title: SEC Proposes Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts Release No.:2018-246
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