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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.
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
Aug. 4, 2016 SEC Charges Cardiologist With Insider Trading on Confidential Drug Trial Developments 2016-156
Aug. 2, 2016 Statement Regarding Progress on the Review of the U.S. Treasury Market Structure since the July 2015 Joint Staff Report 2016-155
July 28, 2016 SEC Announces Agenda for August 2 Meeting of the Equity Market Structure Advisory Committee 2016-154
July 28, 2016 SEC Obtains Asset Freeze in Case of Investor Funds Stolen for Shopping Sprees 2016-153
July 26, 2016 SEC: State Street Misled Custody Clients About Prices for Foreign Currency Exchange Trades 2016-152
July 25, 2016 LAN Airlines Settles FCPA Charges 2016-151
July 22, 2016 Vincente L. Martinez, Chief of Office of Market Intelligence, to Leave SEC 2016-150
July 22, 2016 Deputy Chief Accountant Brian T. Croteau to Leave SEC 2016-149
July 22, 2016 SEC Halts Ongoing Fraudulent Stock Scheme 2016-148
July 22, 2016 Accountant Suspended for Failing to Spot Fraud in Company Audit 2016-147
July 21, 2016 Wesley R. Bricker Named Interim Chief Accountant 2016-146
July 20, 2016 Kurt Gottschall Named Associate Regional Director in the SEC's Denver Regional Office 2016-145
July 14, 2016 SEC Announces Agenda for July 19 Meeting of the Advisory Committee on Small and Emerging Companies 2016-144
July 14, 2016 SEC Charges Investment Adviser With Failing to Clearly Disclose Additional Costs to Investors 2016-143
July 13, 2016 SEC Adopts Amendments to Rules of Practice for Administrative Proceedings 2016-142
July 13, 2016 SEC Proposes Amendments to Update and Simplify Disclosure Requirements As Part of Overall Disclosure Effectiveness Review 2016-141
July 13, 2016 SEC Proposes Rules to Enhance Order Handling Information Available to Investors 2016-140
July 13, 2016 SEC Adopts Additional Rules Related to Security-Based Swap Transaction Reporting 2016-139
July 12, 2016 SEC: Citigroup Provided Incomplete Blue Sheet Data for 15 Years 2016-138
July 12, 2016 SEC Announces New Investor Advisory Committee Members 2016-137
July 8, 2016 Sean McKessy, Chief of Whistleblower Office, to Leave SEC 2016-136
June 29, 2016 Paul Dudek, Chief of Office of International Corporate Finance, to Leave Agency 2016-135
June 28, 2016 C. Dabney O’Riordan Named as Co-Chief of the Asset Management Unit 2016-134
June 28, 2016 SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans 2016-133
June 27, 2016 SEC Adopts Rules for Resource Extraction Issuers Under Dodd-Frank Act 2016-132
June 27, 2016 SEC Proposes Amendments to Smaller Reporting Company Definition 2016-131
June 24, 2016 SEC Charges “Frack Master” With Running an $80 Million Oil and Gas Fraud 2016-130
June 23, 2016 Merrill Lynch Paying $10 Million Penalty for Misleading Investors in Structured Notes 2016-129
June 23, 2016 Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk 2016-128
June 22, 2016 SEC Sues UK-Based Trader for Account Intrusion Scheme 2016-127
June 21, 2016 SEC Charges Medical Device Manufacturer With FCPA Violations 2016-126
June 21, 2016 Former CEO of Chicago Charter School Operator Settles Muni-Bond Fraud Charges 2016-125
June 21, 2016 SEC Halts Scheme Defrauding Pro Athletes 2016-124
June 17, 2016 SEC Approves IEX Proposal to Launch National Exchange, Issues Interpretation on Automated Securities Prices 2016-123
June 16, 2016 SEC Proposes Rules to Modernize Property Disclosures for Mining Registrants 2016-122
June 16, 2016 Software Executive and Three Friends Charged With Insider Trading 2016-121
June 16, 2016 Private Fund Administrator Charged With Gatekeeper Failures 2016-120
June 15, 2016 Hedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme 2016-119
June 13, 2016 SEC: Muni Advisors Acted Deceptively With California School Districts 2016-118
June 13, 2016 SEC to Permit Voluntary Filing Using Inline XBRL 2016-117
June 10, 2016 Investment Fraud Victims Include Online Daters 2016-116
June 9, 2016 Consultant to Chinese Private Equity Firms Settles Insider Trading Charges 2016-115
June 9, 2016 SEC Issues $17 Million Whistleblower Award 2016-114
June 8, 2016 SEC: Ethiopia’s Electric Utility Sold Unregistered Bonds in U.S. 2016-113
June 8, 2016 SEC: Morgan Stanley Failed to Safeguard Customer Data 2016-112
June 8, 2016 SEC Adopts Trade Acknowledgment and Verification Rules for Security-Based Swap Transactions 2016-111
June 8, 2016 SEC Bars Corporate VP and Controller for False Accounting 2016-110
June 7, 2016 SEC Announces Two Non-Prosecution Agreements in FCPA Cases 2016-109
June 3, 2016 Childhood Friends Charged With Insider Trading in Pharmaceutical Stocks 2016-108
June 3, 2016 Stephen L. Cohen, Associate Director of Enforcement, to Leave SEC After Nearly 12 Years of Service 2016-107
June 2, 2016 SEC: Forex Trader Misrepresented Track Record and Hid Massive Losses 2016-106
June 2, 2016 SEC Halts EB-5 Scheme Stealing Investments in Cancer Center 2016-105
June 2, 2016 SEC: Adviser Steered Investor Money to His Own Companies 2016-104
June 2, 2016 SEC Names Christopher Hetner as Senior Advisor to the Chair for Cybersecurity Policy 2016-103
June 1, 2016 Brokerage Firm Charged With Anti-Money Laundering Failures 2016-102
June 1, 2016 SEC Adopts Amendment to Form 10-K Implementing FAST Act Provision 2016-101
June 1, 2016 SEC: Private Equity Fund Adviser Acted As Unregistered Broker 2016-100
May 31, 2016 SEC Halts Ponzi Scheme Aimed at Middle Class 2016-99
May 31, 2016 SEC: Nashville Firm Schemed to Collect Extra Fees From Hedge Funds 2016-98
May 31, 2016 Mortgage Company and Executives Settle Fraud Charges 2016-97
May 31, 2016 Investment Banker and Plumber Charged With Insider Trading 2016-96
May 24, 2016 SEC Prevents Trader’s Profits From False Filing 2016-95
May 20, 2016 Two Individuals Share Whistleblower Award of More Than $450,000 2016-94
Currently only the first 100 results are displayed. To view more results please select a filter.
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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

Date: July 25, 2016

Title: LAN Airlines Settles FCPA Charges

Release No. 2016-151

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: SEC Halts Ongoing Fraudulent Stock Scheme

Release No. 2016-148

Date: July 22, 2016

Title: Accountant Suspended for Failing to Spot Fraud in Company Audit

Release No. 2016-147

Date: July 21, 2016

Title: Wesley R. Bricker Named Interim Chief Accountant

Release No. 2016-146

Date: July 13, 2016

Title: SEC Adopts Amendments to Rules of Practice for Administrative Proceedings

Release No. 2016-142

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 28, 2016

Title: C. Dabney O’Riordan Named as Co-Chief of the Asset Management Unit

Release No. 2016-134

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 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: SEC Halts Scheme Defrauding Pro Athletes

Release No. 2016-124

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 13, 2016

Title: SEC: Muni Advisors Acted Deceptively With California School Districts

Release No. 2016-118

Date: June 13, 2016

Title: SEC to Permit Voluntary Filing Using Inline XBRL

Release No. 2016-117

Date: June 10, 2016

Title: Investment Fraud Victims Include Online Daters

Release No. 2016-116

Date: June 9, 2016

Title: SEC Issues $17 Million Whistleblower Award

Release No. 2016-114

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 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 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 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 Halts Ponzi Scheme Aimed at Middle Class

Release No. 2016-99

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: Mortgage Company and Executives Settle Fraud Charges

Release No. 2016-97

Date: May 31, 2016

Title: Investment Banker and Plumber Charged With Insider Trading

Release No. 2016-96

Date: May 24, 2016

Title: SEC Prevents Trader’s Profits From False Filing

Release No. 2016-95

Date: May 20, 2016

Title: Two Individuals Share Whistleblower Award of More Than $450,000

Release No. 2016-94

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