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: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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