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: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 |
| Published date grouping:March 2017 | Date: | Title: SEC, National Bank of Belgium Agree to Enhanced Cooperation and Information Sharing Regarding Euroclear | Release No.:2017-67 |
| Published date grouping:March 2017 | Date: | Title: Auditor Charged With Insider Trading on Client’s Nonpublic Information | Release No.:2017-66 |
| Published date grouping:March 2017 | Date: | Title: SEC FOIA Office Receives Award for Exceptional Service | Release No.:2017-65 |
| Published date grouping:March 2017 | Date: | Title: Executives Charged With Manipulating Company's Accounting Systems to Steal Money | Release No.:2017-64 |
| Published date grouping:March 2017 | Date: | Title: SEC Charges Firms Involved in Layering, Manipulation Schemes | Release No.:2017-63 |
| Published date grouping:March 2017 | Date: | Title: SEC Charges Marijuana-Related Company and Executives With Touting Bogus Revenues | Release No.:2017-62 |
| Published date grouping:March 2017 | Date: | Title: SEC Economist Receives Award for Academic Work on Market Insights | Release No.:2017-61 |
| Published date grouping:March 2017 | Date: | Title: SEC Charges Mexico-Based Homebuilder in $3.3 Billion Accounting Fraud | Release No.:2017-60 |
| Published date grouping:March 2017 | Date: | Title: SEC’s Office of the Investor Advocate to Hold Evidence Summit, Launch Investor Research Initiative | Release No.:2017-59 |
| Published date grouping:March 2017 | Date: | Title: SEC Posts Notice of Availability of IFRS Taxonomy | Release No.:2017-58 |
| Published date grouping:March 2017 | Date: | Title: SEC Proposes Rule Amendments to Improve Municipal Securities Disclosures | Release No.:2017-57 |
| Published date grouping:March 2017 | Date: | Title: SEC Proposes Inline XBRL Filing of Tagged Data | Release No.:2017-56 |
| Published date grouping:March 2017 | Date: | Title: SEC Approves Rules to Ease Investor Access to Exhibits in Company Filings | Release No.:2017-55 |
| Published date grouping:March 2017 | Date: | Title: SEC Votes to Seek Public Input on Possible Change to Industry Guide 3 | Release No.:2017-54 |
| Published date grouping:February 2017 | Date: | Title: SEC Announces Agenda for March 9 Investor Advisory Committee Meeting | Release No.:2017-53 |
| Published date grouping:February 2017 | Date: | Title: SEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers | Release No.:2017-52 |
| Published date grouping:February 2017 | Date: | Title: SEC to Host Crowdfunding Dialogue February 28 | Release No.:2017-51 |
| Published date grouping:February 2017 | Date: | Title: SEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings | Release No.:2017-50 |
| Published date grouping:February 2017 | Date: | Title: SEC Charges Fuel Cell Company and Officers With Defrauding Investors | Release No.:2017-49 |
| Published date grouping:February 2017 | Date: | Title: SEC Announces Cases Related to Disclosures During Battles for Corporate Control | Release No.:2017-48 |
| Published date grouping:February 2017 | Date: | Title: Purported Real Estate Investment Manager Settles Fraud Charges | Release No.:2017-47 |
| Published date grouping:February 2017 | Date: | Title: Morgan Stanley Settles Charges Related to ETF Investments | Release No.:2017-46 |
| Published date grouping:February 2017 | Date: | Title: Brokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures | Release No.:2017-45 |
| Published date grouping:February 2017 | Date: | Title: SEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition | Release No.:2017-44 |
| Published date grouping:February 2017 | Date: | Title: SEC Announces Agenda for February 15 Meeting of the Advisory Committee on Small and Emerging Companies | Release No.:2017-43 |
| Published date grouping:February 2017 | Date: | Title: Private Equity Adviser Barred From Industry for Improper Withdrawal From Funds | Release No.:2017-42 |
| Published date grouping:February 2017 | Date: | Title: SEC Charges Financial Adviser With Stealing From Client Accounts | Release No.:2017-41 |
| Published date grouping:February 2017 | Date: | Title: SEC Charges Investment Adviser With Stealing Investor Funds | Release No.:2017-40 |
| Published date grouping:January 2017 | Date: | Title: Wenchi Hu, Associate Director in the Division of Trading and Markets, to Leave SEC | Release No.:2017-39 |
| Published date grouping:January 2017 | Date: | Title: OCIE Director Marc Wyatt to Leave SEC | Release No.:2017-38 |
| Published date grouping:January 2017 | Date: | Title: SEC Announces Charges in Hamilton Ticket Resale Ponzi Scheme | Release No.:2017-37 |
| Published date grouping:January 2017 | Date: | Title: Chief Operating Officer Jeffery Heslop to Leave SEC | Release No.:2017-36 |
| Published date grouping:January 2017 | Date: | Title: Citigroup Paying $18 Million for Overbilling Clients | Release No.:2017-35 |
| Published date grouping:January 2017 | Date: | Title: SEC Charges Two Former Och-Ziff Executives With FCPA Violations | Release No.:2017-34 |
| Published date grouping:January 2017 | Date: | Title: Brokerage Firm Charged With Gatekeeper Failures Related to Pump-and-Dump Scheme | Release No.:2017-33 |
| Published date grouping:January 2017 | Date: | Title: SEC Uncovers Cherry-Picking Scheme, Charges Investment Adviser Behind It | Release No.:2017-32 |
| Published date grouping:January 2017 | Date: | Title: Timothy L. Warren, Associate Director of Enforcement in Chicago Office, to Retire After 30 Years of Service | Release No.:2017-31 |
| Published date grouping:January 2017 | Date: | Title: Morgan Stanley, Citigroup Charged With Misleading Investors About Forex Trading Program | Release No.:2017-30 |
| Published date grouping:January 2017 | Date: | Title: Shipping Conglomerate and Former CFO Charged With Failure to Recognize Hundreds of Millions in Tax Liabilities | Release No.:2017-29 |
| Published date grouping:January 2017 | Date: | Title: SEC Announces Fraud Charges, Asset Freeze in Alleged Nursing Home Investment Scheme | Release No.:2017-28 |
| Published date grouping:January 2017 | Date: | Title: SEC Announces $7 Million Whistleblower Award | Release No.:2017-27 |
| Published date grouping:January 2017 | Date: | Title: SEC Establishes Supervisory Cooperation Arrangement With Hong Kong SFC | Release No.:2017-26 |
| Published date grouping:January 2017 | Date: | Title: Jennifer Diamantis Named Chief of Office of Market Intelligence | Release No.:2017-25 |
| Published date grouping:January 2017 | Date: | Title: Financial Company Charged With Improper Accounting and Impeding Whistleblowers | Release No.:2017-24 |
| Published date grouping:January 2017 | Date: | Title: SEC Chief of Staff Andrew J. Donohue to Leave Agency | Release No.:2017-23 |
| Published date grouping:January 2017 | Date: | Title: General Counsel Anne K. Small to Leave SEC | Release No.:2017-22 |
| Published date grouping:January 2017 | Date: | Title: Company Settles Charges Over Undisclosed Perks and Improper Use of Non-GAAP Measures | Release No.:2017-21 |
| Published date grouping:January 2017 | Date: | Title: SEC Deputy Chief of Staff Nathaniel Stankard to Leave Agency | Release No.:2017-20 |
| Published date grouping:January 2017 | Date: | Title: General Motors Charged With Accounting Control Failures | Release No.:2017-19 |
| Published date grouping:January 2017 | Date: | Title: Medical Device Company Charged With Accounting Failures and FCPA Violations | Release No.:2017-18 |
| Published date grouping:January 2017 | Date: | Title: SEC Charges Businessman With Misusing EB-5 Investments | Release No.:2017-17 |
| Published date grouping:January 2017 | Date: | Title: Allergan Paying $15 Million Penalty for Disclosure Failures During Merger Talks | Release No.:2017-16 |
| Published date grouping:January 2017 | Date: | Title: 10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions | Release No.:2017-15 |
| Published date grouping:January 2017 | Date: | Title: BlackRock Charged With Removing Whistleblower Incentives in Separation Agreements | Release No.:2017-14 |
| Published date grouping:January 2017 | Date: | Title: Chemical and Mining Company in Chile Paying $30 Million to Resolve FCPA Cases | Release No.:2017-13 |
| Published date grouping:January 2017 | Date: | Title: Morgan Stanley Paying $13 Million Penalty for Overbilling Clients and Violating Custody Rule | Release No.:2017-12 |
| Published date grouping:January 2017 | Date: | Title: Citadel Securities Paying $22 Million for Misleading Clients About Pricing Trades | Release No.:2017-11 |
| Published date grouping:January 2017 | Date: | Title: Michael J. Osnato Jr., Chief of Enforcement Division’s Complex Financial Instruments Unit, to Leave SEC | Release No.:2017-10 |
| Published date grouping:January 2017 | Date: | Title: BNY Mellon Settles Charges Stemming From Miscalculations of Regulatory Capital Figures | Release No.:2017-9 |
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