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
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Date
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Title
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Release No.
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| Published date grouping:September 2017 | Date: | Title: Catherine McGuire to Retire After More Than 40 Years at the SEC | Release No.:2017-167 |
| Published date grouping:September 2017 | Date: | Title: Ken C. Joseph, Head of Investment Adviser/Investment Company Examination Program in SEC's New York Regional Office, to Leave SEC After 21 Years of Service | Release No.:2017-166 |
| Published date grouping:September 2017 | Date: | Title: SunTrust Charged With Improperly Recommending Higher-Fee Mutual Funds | Release No.:2017-165 |
| Published date grouping:September 2017 | Date: | Title: SEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of Hurricane Harvey | Release No.:2017-164 |
| Published date grouping:September 2017 | Date: | Title: Commission Statement on T+2 Implementation | Release No.:2017-163 |
| Published date grouping:September 2017 | Date: | Title: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors | Release No.:2017-162 |
| Published date grouping:September 2017 | Date: | Title: Bridget Fitzpatrick Named Chief Litigation Counsel | Release No.:2017-161 |
| Published date grouping:September 2017 | Date: | Title: Former Amazon Employee and College Friend Charged With Insider Trading | Release No.:2017-160 |
| Published date grouping:September 2017 | Date: | Title: State Street Paying Penalties to Settle Fraud Charges and Disclosure Failures | Release No.:2017-159 |
| Published date grouping:September 2017 | Date: | Title: SEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies | Release No.:2017-158 |
| Published date grouping:September 2017 | Date: | Title: Radio Host Charged With Concert Ticket Investment Scam | Release No.:2017-157 |
| Published date grouping:September 2017 | Date: | Title: Adviser Charged With Stealing Investor Funds | Release No.:2017-156 |
| Published date grouping:August 2017 | Date: | Title: Chairman Clayton Names Executive Staff | Release No.:2017-155 |
| Published date grouping:August 2017 | Date: | Title: SEC Names Jeffrey Harris as Director of the Division of Economic and Risk Analysis | Release No.:2017-154 |
| Published date grouping:August 2017 | Date: | Title: SEC Names Dalia Blass as Director of the Division of Investment Management | Release No.:2017-153 |
| Published date grouping:August 2017 | Date: | Title: SEC and NYU to Host Forum on Exchange-Traded Products | Release No.:2017-152 |
| Published date grouping:August 2017 | Date: | Title: Former Pharma Company Accountant, Three Others Charged With Insider Trading | Release No.:2017-151 |
| Published date grouping:August 2017 | Date: | Title: SEC Monitoring Market Impact of Hurricane Harvey | Release No.:2017-150 |
| Published date grouping:August 2017 | Date: | Title: Fee Rate Advisory #1 for Fiscal Year 2018 | Release No.:2017-149 |
| Published date grouping:August 2017 | Date: | Title: Muni Bond Issuer and Underwriter Charged With Disclosure Failures | Release No.:2017-148 |
| Published date grouping:August 2017 | Date: | Title: SEC Charges Investment Adviser With Defrauding Professional Athlete and His Wife | Release No.:2017-147 |
| Published date grouping:August 2017 | Date: | Title: Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading | Release No.:2017-146 |
| Published date grouping:August 2017 | Date: | Title: Commission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition | Release No.:2017-145 |
| Published date grouping:August 2017 | Date: | Title: Banca IMI Securities to Pay $35 Million for Improper Handling of ADRs in Continuing SEC Crackdown | Release No.:2017-144 |
| Published date grouping:August 2017 | Date: | Title: SEC Uncovers Wide-Reaching Insider Trading Scheme | Release No.:2017-143 |
| Published date grouping:August 2017 | Date: | Title: SEC Charges KPMG with Audit Failures | Release No.:2017-142 |
| Published date grouping:August 2017 | Date: | Title: SEC Files Charges in Oil Drilling Investment Scheme | Release No.:2017-141 |
| Published date grouping:August 2017 | Date: | Title: SEC Staff Publishes Report on Access to Capital and Market Liquidity | Release No.:2017-140 |
| Published date grouping:August 2017 | Date: | Title: Investment Management Director David W. Grim to Leave SEC | Release No.:2017-139 |
| Published date grouping:August 2017 | Date: | Title: Donna Esau Named Associate Regional Director for Examinations in Atlanta Regional Office | Release No.:2017-138 |
| Published date grouping:August 2017 | Date: | Title: Overseas Stock Manipulator Settles SEC Charges | Release No.:2017-137 |
| Published date grouping:July 2017 | Date: | Title: SEC Files Charges to Stop Fraudulent Misuse of Cancer-Fighting Investments to Fund Restaurant Businesses | Release No.:2017-136 |
| Published date grouping:July 2017 | Date: | Title: SEC Files Fraud Charges Against Former Brokers Targeting Federal Retirees | Release No.:2017-135 |
| Published date grouping:July 2017 | Date: | Title: SEC Announces Whistleblower Award of More Than $1.7 Million | Release No.:2017-134 |
| Published date grouping:July 2017 | Date: | Title: Halliburton Paying $29.2 Million to Settle FCPA Violations | Release No.:2017-133 |
| Published date grouping:July 2017 | Date: | Title: Jessica Magee Named Associate Regional Director for Enforcement in Fort Worth Office | Release No.:2017-132 |
| Published date grouping:July 2017 | Date: | Title: SEC Issues Investigative Report Concluding DAO Tokens, a Digital Asset, Were Securities | Release No.:2017-131 |
| Published date grouping:July 2017 | Date: | Title: SEC Announces $2.5 Million Whistleblower Award | Release No.:2017-130 |
| Published date grouping:July 2017 | Date: | Title: SEC Names Bryan Wood as Director of the Office of Legislative and Intergovernmental Affairs | Release No.:2017-129 |
| Published date grouping:July 2017 | Date: | Title: Federal Regulatory Agencies Announce Coordination of Reviews for Certain Foreign Funds Under Volcker Rule | Release No.:2017-128 |
| Published date grouping:July 2017 | Date: | Title: SEC Bars Lawyer Who Committed Fraud | Release No.:2017-127 |
| Published date grouping:July 2017 | Date: | Title: SEC Announces Christopher Hetner as Senior Advisor to the Chairman for Cybersecurity Policy | Release No.:2017-126 |
| Published date grouping:July 2017 | Date: | Title: SEC Files Insider Trading Charges Against Research Scientist Aiming to Avoid SEC Detection | Release No.:2017-125 |
| Published date grouping:July 2017 | Date: | Title: SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors | Release No.:2017-124 |
| Published date grouping:June 2017 | Date: | Title: SEC Files Fraud Charges in Bitcoin and Office Space Investment Schemes | Release No.:2017-123 |
| Published date grouping:June 2017 | Date: | Title: SEC Charges Information Technology Company and Former Executives With Accounting Fraud | Release No.:2017-122 |
| Published date grouping:June 2017 | Date: | Title: SEC's Division of Corporation Finance Expands Popular JOBS Act Benefit to All Companies | Release No.:2017-121 |
| Published date grouping:June 2017 | Date: | Title: SEC Charges Oil and Gas Company and Top Finance Executives with Accounting Fraud | Release No.:2017-120 |
| Published date grouping:June 2017 | Date: | Title: Additional Charges Announced in Case Involving Pre-Released ADRs | Release No.:2017-119 |
| Published date grouping:June 2017 | Date: | Title: Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance | Release No.:2017-118 |
| Published date grouping:June 2017 | Date: | Title: Kelly L. Gibson Named as Associate Regional Director for Enforcement in the SEC’s Philadelphia Office | Release No.:2017-117 |
| Published date grouping:June 2017 | Date: | Title: Kathryn A. Pyszka Named as Associate Regional Director for Enforcement in the SEC’s Chicago Office | Release No.:2017-116 |
| Published date grouping:June 2017 | Date: | Title: Keith Cassidy Named Associate Director of Technology Controls Program in OCIE | Release No.:2017-115 |
| Published date grouping:June 2017 | Date: | Title: SEC Announces Agenda for June 22 Investor Advisory Committee Meeting | Release No.:2017-114 |
| Published date grouping:June 2017 | Date: | Title: SEC Names Stephanie Avakian and Steven Peikin as Co-Directors of Enforcement | Release No.:2017-113 |
| Published date grouping:June 2017 | Date: | Title: SEC Charges Brokerage Firm With Failing to Comply With Anti-Money Laundering Laws | Release No.:2017-112 |
| Published date grouping:May 2017 | Date: | Title: Fee Rate Advisory #3 for Fiscal Year 2017 | Release No.:2017-111 |
| Published date grouping:May 2017 | Date: | Title: SEC Names Peter Uhlmann Managing Executive in Chairman's Office | Release No.:2017-110 |
| Published date grouping:May 2017 | Date: | Title: SEC Files Charges in Trading Scheme Involving Confidential Government Information | Release No.:2017-109 |
| Published date grouping:May 2017 | Date: | Title: SEC and MSRB to Hold Webinar on Series 50 Exam for Municipal Advisors | Release No.:2017-108 |
| Published date grouping:May 2017 | Date: | Title: SEC Charges Fake Filer With Manipulating Fitbit Stock | Release No.:2017-107 |
| Published date grouping:May 2017 | Date: | Title: David Peavler, Associate Director of Enforcement in Fort Worth Office, to Leave SEC | Release No.:2017-106 |
| Published date grouping:May 2017 | Date: | Title: SEC Names Robert B. Stebbins as General Counsel | Release No.:2017-105 |
| Published date grouping:May 2017 | Date: | Title: SEC Names Jaime Klima Chief Counsel | Release No.:2017-104 |
| Published date grouping:May 2017 | Date: | Title: SEC Names Sean Memon Deputy Chief of Staff | Release No.:2017-103 |
| Published date grouping:May 2017 | Date: | Title: SEC Charges Former Head Traders at Nomura With Fraud | Release No.:2017-102 |
| Published date grouping:May 2017 | Date: | Title: SEC Names Lucas Moskowitz Chief of Staff | Release No.:2017-101 |
| Published date grouping:May 2017 | Date: | Title: Law Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme | Release No.:2017-100 |
| Published date grouping:May 2017 | Date: | Title: SEC Charges CEO With Failing to Disclose Perks to Shareholders | Release No.:2017-99 |
| Published date grouping:May 2017 | Date: | Title: Barclays to Pay $97 Million for Overcharging Clients | Release No.:2017-98 |
| Published date grouping:May 2017 | Date: | Title: William Hinman Named Director of Division of Corporation Finance | Release No.:2017-97 |
| Published date grouping:May 2017 | Date: | Title: SEC Charges Former Staffer With Securities Fraud Violations | Release No.:2017-96 |
| Published date grouping:May 2017 | Date: | Title: SEC Announces Agenda for May 10 Meeting of the Advisory Committee on Small and Emerging Companies | Release No.:2017-95 |
| Published date grouping:May 2017 | Date: | Title: Jay Clayton Sworn in as Chairman of SEC | Release No.:2017-94 |
| Published date grouping:May 2017 | Date: | Title: Firm, CEO Settle Charges in Ponzi-Like Scheme Involving Life Settlements | Release No.:2017-93 |
| Published date grouping:May 2017 | Date: | Title: SEC Staff Supplements Quarterly Private Funds Statistics | Release No.:2017-92 |
| Published date grouping:May 2017 | Date: | Title: SEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers | Release No.:2017-91 |
| Published date grouping:May 2017 | Date: | Title: Whistleblower Award of More Than Half-Million Dollars for Company Insider | Release No.:2017-90 |
| Published date grouping:May 2017 | Date: | Title: SEC and NYU to Host Forum on Reviving IPO Market to Help Drive Economy, Create Jobs | Release No.:2017-89 |
| Published date grouping:May 2017 | Date: | Title: Semiconductor Company and Former CFO Settle Accounting Fraud Charges | Release No.:2017-88 |
| Published date grouping:April 2017 | Date: | Title: SEC Charges EB-5 Operator With Securities Fraud | Release No.:2017-87 |
| Published date grouping:April 2017 | Date: | Title: Executives Charged in Connection With Accounting Failures at Government Contractor | Release No.:2017-86 |
| Published date grouping:April 2017 | Date: | Title: Broker Charged With Defrauding Customers | Release No.:2017-85 |
| Published date grouping:April 2017 | Date: | Title: SEC Awards Nearly $4 Million to Whistleblower | Release No.:2017-84 |
| Published date grouping:April 2017 | Date: | Title: Investment Bank VP Charged With Insider Trading | Release No.:2017-83 |
| Published date grouping:April 2017 | Date: | Title: Portfolio Manager Charged With Diverting Nearly $2 Million to Personal Account | Release No.:2017-82 |
| Published date grouping:April 2017 | Date: | Title: Telecom Executives Agree to Pay Penalties for FCPA Violations | Release No.:2017-81 |
| Published date grouping:April 2017 | Date: | Title: SEC Freezes Brokerage Accounts Behind Alleged Insider Trading | Release No.:2017-80 |
| Published date grouping:April 2017 | Date: | Title: SEC: Payments for Bullish Articles on Stocks Must Be Disclosed to Investors | Release No.:2017-79 |
| Published date grouping:April 2017 | Date: | Title: SEC Adopts JOBS Act Amendments to Help Entrepreneurs and Investors | Release No.:2017-78 |
| Published date grouping:April 2017 | Date: | Title: SEC Charges Muni Bond Underwriter With Gatekeeper Failures | Release No.:2017-77 |
| Published date grouping:April 2017 | Date: | Title: Kara Novaco Brockmeyer, Chief of FCPA Unit, to Leave SEC After 17 Years of Service | Release No.:2017-76 |
| Published date grouping:March 2017 | Date: | Title: SEC Announces Agenda for April 5 Meeting of the Equity Market Structure Advisory Committee | Release No.:2017-75 |
| Published date grouping:March 2017 | Date: | Title: SEC Charges Pastor With Defrauding Retirees | Release No.:2017-74 |
| Published date grouping:March 2017 | Date: | Title: SEC Names Sagar S. Teotia as Deputy Chief Accountant | Release No.:2017-73 |
| Published date grouping:March 2017 | Date: | Title: SEC Halts Fraud Targeting Seniors | Release No.:2017-72 |
| Published date grouping:March 2017 | Date: | Title: SEC Halts Boiler Room Scheme Involving State Lottery Tickets | Release No.:2017-71 |
| Published date grouping:March 2017 | Date: | Title: Overseas Traders Paying Back All Profits Plus Penalties in Insider Trading Case | Release No.:2017-70 |
| Published date grouping:March 2017 | Date: | Title: SEC Announces 2017 Compliance Outreach Program Seminars for Investment Companies and Investment Advisers | Release No.:2017-69 |
| Published date grouping:March 2017 | Date: | Title: SEC Adopts T+2 Settlement Cycle for Securities Transactions | Release No.:2017-68 |
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