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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.
Feb. 17, 2017 SEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings 2017-50
Feb. 14, 2017 SEC Charges Fuel Cell Company and Officers With Defrauding Investors 2017-49
Feb. 14, 2017 SEC Announces Cases Related to Disclosures During Battles for Corporate Control 2017-48
Feb. 14, 2017 Purported Real Estate Investment Manager Settles Fraud Charges 2017-47
Feb. 14, 2017 Morgan Stanley Settles Charges Related to ETF Investments 2017-46
Feb. 13, 2017 Brokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures 2017-45
Feb. 10, 2017 SEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition 2017-44
Feb. 8, 2017 SEC Announces Agenda for February 15 Meeting of the Advisory Committee on Small and Emerging Companies 2017-43
Feb. 7, 2017 Private Equity Adviser Barred From Industry for Improper Withdrawal From Funds 2017-42
Feb. 3, 2017 SEC Charges Financial Adviser With Stealing From Client Accounts 2017-41
Feb. 2, 2017 SEC Charges Investment Adviser With Stealing Investor Funds 2017-40
Jan. 30, 2017 Wenchi Hu, Associate Director in the Division of Trading and Markets, to Leave SEC 2017-39
Jan. 30, 2017 OCIE Director Marc Wyatt to Leave SEC 2017-38
Jan. 27, 2017 SEC Announces Charges in Hamilton Ticket Resale Ponzi Scheme 2017-37
Jan. 27, 2017 Chief Operating Officer Jeffery Heslop to Leave SEC 2017-36
Jan. 26, 2017 Citigroup Paying $18 Million for Overbilling Clients 2017-35
Jan. 26, 2017 SEC Charges Two Former Och-Ziff Executives With FCPA Violations 2017-34
Jan. 25, 2017 Brokerage Firm Charged With Gatekeeper Failures Related to Pump-and-Dump Scheme 2017-33
Jan. 25, 2017 SEC Uncovers Cherry-Picking Scheme, Charges Investment Adviser Behind It 2017-32
Jan. 24, 2017 Timothy L. Warren, Associate Director of Enforcement in Chicago Office, to Retire After 30 Years of Service 2017-31
Jan. 24, 2017 Morgan Stanley, Citigroup Charged With Misleading Investors About Forex Trading Program 2017-30
Jan. 23, 2017 Shipping Conglomerate and Former CFO Charged With Failure to Recognize Hundreds of Millions in Tax Liabilities 2017-29
Jan. 23, 2017 SEC Announces Fraud Charges, Asset Freeze in Alleged Nursing Home Investment Scheme 2017-28
Jan. 23, 2017 SEC Announces $7 Million Whistleblower Award 2017-27
Jan. 19, 2017 SEC Establishes Supervisory Cooperation Arrangement With Hong Kong SFC 2017-26
Jan. 19, 2017 Jennifer Diamantis Named Chief of Office of Market Intelligence 2017-25
Jan. 19, 2017 Financial Company Charged With Improper Accounting and Impeding Whistleblowers 2017-24
Jan. 19, 2017 SEC Chief of Staff Andrew J. Donohue to Leave Agency 2017-23
Jan. 18, 2017 General Counsel Anne K. Small to Leave SEC 2017-22
Jan. 18, 2017 Company Settles Charges Over Undisclosed Perks and Improper Use of Non-GAAP Measures 2017-21
Jan. 18, 2017 SEC Deputy Chief of Staff Nathaniel Stankard to Leave Agency 2017-20
Jan. 18, 2017 General Motors Charged With Accounting Control Failures 2017-19
Jan. 18, 2017 Medical Device Company Charged With Accounting Failures and FCPA Violations 2017-18
Jan. 17, 2017 SEC Charges Businessman With Misusing EB-5 Investments 2017-17
Jan. 17, 2017 Allergan Paying $15 Million Penalty for Disclosure Failures During Merger Talks 2017-16
Jan. 17, 2017 10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions 2017-15
Jan. 17, 2017 BlackRock Charged With Removing Whistleblower Incentives in Separation Agreements 2017-14
Jan. 13, 2017 Chemical and Mining Company in Chile Paying $30 Million to Resolve FCPA Cases 2017-13
Jan. 13, 2017 Morgan Stanley Paying $13 Million Penalty for Overbilling Clients and Violating Custody Rule 2017-12
Jan. 13, 2017 Citadel Securities Paying $22 Million for Misleading Clients About Pricing Trades 2017-11
Jan. 12, 2017 Michael J. Osnato Jr., Chief of Enforcement Division’s Complex Financial Instruments Unit, to Leave SEC 2017-10
Jan. 12, 2017 BNY Mellon Settles Charges Stemming From Miscalculations of Regulatory Capital Figures 2017-9
Jan. 12, 2017 Biomet Charged With Repeating FCPA Violations 2017-8
Jan. 12, 2017 SEC Announces 2017 Examination Priorities 2017-7
Jan. 12, 2017 ITG Paying $24 Million for Improper Handling of ADRs 2017-6
Jan. 11, 2017 SEC Charges Government Contractor With Inadequate Controls and Books and Records Violations 2017-5
Jan. 10, 2017 SEC: Port Authority Omitted Risks to Investors in Roadway Projects 2017-4
Jan. 9, 2017 Investment Adviser, Lawyer Settle Charges in Secret Referral Fee Scheme 2017-3
Jan. 9, 2017 SEC Charges Two Brokers With Defrauding Customers 2017-2
Jan. 6, 2017 SEC Awards $5.5 Million to Whistleblower 2017-1
Dec. 29, 2016 Wire and Cable Manufacturer Settles FCPA and Accounting Charges 2016-283
Dec. 28, 2016 Businessman Settles Charges of Fraudulent EB-5 Offering 2016-282
Dec. 27, 2016 SEC Charges Lawyer With Stealing Investor Money in EB-5 Offerings 2016-281
Dec. 27, 2016 Chinese Traders Charged With Trading on Hacked Nonpublic Information Stolen From Two Law Firms 2016-280
Dec. 22, 2016 SEC Names Timothy Husson Associate Director in the Division of Investment Management’s Risk and Examinations Office 2016-279
Dec. 22, 2016 SEC Names Sara P. Crovitz Deputy Chief Counsel in the Division of Investment Management’s Chief Counsel’s Office 2016-278
Dec. 22, 2016 Teva Pharmaceutical Paying $519 Million to Settle FCPA Charges 2016-277
Dec. 21, 2016 SEC Issues Annual Staff Reports on Credit Rating Agencies 2016-276
Dec. 21, 2016 G. Jeffrey Boujoukos Named Director of Philadelphia Regional Office 2016-275
Dec. 21, 2016 Sharon Binger, Director of Philadelphia Regional Office, to Leave SEC 2016-274
Dec. 21, 2016 SEC Charges Operators of Fake Day-Trading Firm With Defrauding Inexperienced Investors 2016-273
Dec. 21, 2016 SEC Charges Former New York Pension Official and Two Brokers in Pay-to-Play Scheme 2016-272
Dec. 21, 2016 Petrochemical Manufacturer Braskem S.A. to Pay $957 Million to Settle FCPA Charges 2016-271
Dec. 20, 2016 Company Settles Charges in Whistleblower Retaliation Case 2016-270
Dec. 20, 2016 SEC Charges Morgan Stanley With Customer Protection Rule Violations 2016-269
Dec. 19, 2016 Company Violated Rule Aimed at Protecting Potential Whistleblowers 2016-268
Dec. 19, 2016 SEC Charges Platinum Funds and Founder With Defrauding Investors 2016-267
Dec. 16, 2016 SEC Charges Three Individuals and Broker-Dealer With Violating Market Structure Rules 2016-266
Dec. 16, 2016 SEC Charges Gatekeepers in Microcap Frauds 2016-265
Dec. 16, 2016 Deutsche Bank Settles Charges of Misleading Clients About Order Router 2016-264
Dec. 14, 2016 SEC Approves 2017 PCAOB Budget and Accounting Support Fee 2016-263
Dec. 12, 2016 SEC Names Dr. Narahari Phatak Associate Director for Policy in the Division of Economic and Risk Analysis 2016-262
Dec. 12, 2016 SEC Files Charges in $26 Million Stock Manipulation Scheme 2016-261
Dec. 9, 2016 SEC Awards Nearly $1 Million to Whistleblower 2016-260
Dec. 8, 2016 Enforcement Director Andrew J. Ceresney to Leave SEC 2016-259
Dec. 6, 2016 Division of Corporation Finance Director Keith Higgins to Leave SEC 2016-258
Dec. 6, 2016 Firm Settles Charges for Selling Unregistered Swaps Involving Pre-IPO Companies 2016-257
Dec. 5, 2016 IT Specialist Settles Charges of Insider Trading on Hacked Nonpublic Information 2016-256
Dec. 5, 2016 SEC Awards $3.5 Million to Whistleblower 2016-255
Dec. 2, 2016 Chief Economist and Division of Economic and Risk Analysis Director Mark Flannery to Leave SEC 2016-254
Dec. 2, 2016 United Settles Charges in Case of Flight Route to Benefit Public Official 2016-253
Dec. 1, 2016 PIMCO Settles Charges of Misleading Investors About ETF Performance 2016-252
Dec. 1, 2016 SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting on December 7 2016-251
Dec. 1, 2016 SEC Charges Asset Management Fund and Manager 2016-250
Nov. 29, 2016 SEC Votes to Renew Equity Market Structure Advisory Committee 2016-249
Nov. 23, 2016 SEC Announces Agenda for Nov. 29 Meeting of the Equity Market Structure Advisory Committee 2016-248
Nov. 22, 2016 SEC Names Wesley R. Bricker as Chief Accountant 2016-247
Nov. 22, 2016 Chief Accountant James Schnurr to Leave SEC 2016-246
Nov. 21, 2016 Trading and Markets Director Stephen Luparello to Leave SEC 2016-245
Nov. 21, 2016 Chief Litigation Counsel Matthew C. Solomon to Leave SEC 2016-244
Nov. 21, 2016 SEC Announces Agenda for December 8 Investor Advisory Committee Meeting 2016-243
Nov. 17, 2016 SEC Charges Renewable Energy Company, CEO, and Others With Defrauding Investors 2016-242
Nov. 17, 2016 JPMorgan Chase Paying $264 Million to Settle FCPA Charges 2016-241
Nov. 15, 2016 SEC Approves Plan to Create Consolidated Audit Trail 2016-240
Nov. 15, 2016 SEC Announces Agenda and Panelists for the 35th Annual Small Business Forum 2016-239
Nov. 14, 2016 SEC Chair Mary Jo White Announces Departure Plans 2016-238
Nov. 14, 2016 SEC Issues $20 Million Whistleblower Award 2016-237
Nov. 10, 2016 Firm Charged With Misleading Investors About Binary Options Profitability 2016-236
Nov. 9, 2016 Movie Producer Charged With Defrauding Hedge Fund Investors 2016-235
Nov. 3, 2016 SEC Announces Agenda, Panelists for Nov. 14 Fintech Forum 2016-234
Currently only the first 100 results are displayed. To view more results please select a filter.
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Date: Feb. 14, 2017

Title: SEC Charges Fuel Cell Company and Officers With Defrauding Investors

Release No. 2017-49

Date: Feb. 14, 2017

Title: Purported Real Estate Investment Manager Settles Fraud Charges

Release No. 2017-47

Date: Feb. 14, 2017

Title: Morgan Stanley Settles Charges Related to ETF Investments

Release No. 2017-46

Date: Feb. 3, 2017

Title: SEC Charges Financial Adviser With Stealing From Client Accounts

Release No. 2017-41

Date: Feb. 2, 2017

Title: SEC Charges Investment Adviser With Stealing Investor Funds

Release No. 2017-40

Date: Jan. 30, 2017

Title: OCIE Director Marc Wyatt to Leave SEC

Release No. 2017-38

Date: Jan. 27, 2017

Title: SEC Announces Charges in Hamilton Ticket Resale Ponzi Scheme

Release No. 2017-37

Date: Jan. 27, 2017

Title: Chief Operating Officer Jeffery Heslop to Leave SEC

Release No. 2017-36

Date: Jan. 26, 2017

Title: Citigroup Paying $18 Million for Overbilling Clients

Release No. 2017-35

Date: Jan. 26, 2017

Title: SEC Charges Two Former Och-Ziff Executives With FCPA Violations

Release No. 2017-34

Date: Jan. 25, 2017

Title: SEC Uncovers Cherry-Picking Scheme, Charges Investment Adviser Behind It

Release No. 2017-32

Date: Jan. 23, 2017

Title: SEC Announces $7 Million Whistleblower Award

Release No. 2017-27

Date: Jan. 19, 2017

Title: SEC Establishes Supervisory Cooperation Arrangement With Hong Kong SFC

Release No. 2017-26

Date: Jan. 19, 2017

Title: Jennifer Diamantis Named Chief of Office of Market Intelligence

Release No. 2017-25

Date: Jan. 19, 2017

Title: SEC Chief of Staff Andrew J. Donohue to Leave Agency

Release No. 2017-23

Date: Jan. 18, 2017

Title: General Counsel Anne K. Small to Leave SEC

Release No. 2017-22

Date: Jan. 18, 2017

Title: SEC Deputy Chief of Staff Nathaniel Stankard to Leave Agency

Release No. 2017-20

Date: Jan. 18, 2017

Title: General Motors Charged With Accounting Control Failures

Release No. 2017-19

Date: Jan. 17, 2017

Title: SEC Charges Businessman With Misusing EB-5 Investments

Release No. 2017-17

Date: Jan. 12, 2017

Title: Biomet Charged With Repeating FCPA Violations

Release No. 2017-8

Date: Jan. 12, 2017

Title: SEC Announces 2017 Examination Priorities

Release No. 2017-7

Date: Jan. 12, 2017

Title: ITG Paying $24 Million for Improper Handling of ADRs

Release No. 2017-6

Date: Jan. 10, 2017

Title: SEC: Port Authority Omitted Risks to Investors in Roadway Projects

Release No. 2017-4

Date: Jan. 9, 2017

Title: SEC Charges Two Brokers With Defrauding Customers

Release No. 2017-2

Date: Jan. 6, 2017

Title: SEC Awards $5.5 Million to Whistleblower

Release No. 2017-1

Date: Dec. 29, 2016

Title: Wire and Cable Manufacturer Settles FCPA and Accounting Charges

Release No. 2016-283

Date: Dec. 28, 2016

Title: Businessman Settles Charges of Fraudulent EB-5 Offering

Release No. 2016-282

Date: Dec. 27, 2016

Title: SEC Charges Lawyer With Stealing Investor Money in EB-5 Offerings

Release No. 2016-281

Date: Dec. 22, 2016

Title: Teva Pharmaceutical Paying $519 Million to Settle FCPA Charges

Release No. 2016-277

Date: Dec. 21, 2016

Title: SEC Issues Annual Staff Reports on Credit Rating Agencies

Release No. 2016-276

Date: Dec. 21, 2016

Title: G. Jeffrey Boujoukos Named Director of Philadelphia Regional Office

Release No. 2016-275

Date: Dec. 21, 2016

Title: Sharon Binger, Director of Philadelphia Regional Office, to Leave SEC

Release No. 2016-274

Date: Dec. 20, 2016

Title: Company Settles Charges in Whistleblower Retaliation Case

Release No. 2016-270

Date: Dec. 20, 2016

Title: SEC Charges Morgan Stanley With Customer Protection Rule Violations

Release No. 2016-269

Date: Dec. 19, 2016

Title: Company Violated Rule Aimed at Protecting Potential Whistleblowers

Release No. 2016-268

Date: Dec. 19, 2016

Title: SEC Charges Platinum Funds and Founder With Defrauding Investors

Release No. 2016-267

Date: Dec. 16, 2016

Title: SEC Charges Gatekeepers in Microcap Frauds

Release No. 2016-265

Date: Dec. 16, 2016

Title: Deutsche Bank Settles Charges of Misleading Clients About Order Router

Release No. 2016-264

Date: Dec. 14, 2016

Title: SEC Approves 2017 PCAOB Budget and Accounting Support Fee

Release No. 2016-263

Date: Dec. 12, 2016

Title: SEC Files Charges in $26 Million Stock Manipulation Scheme

Release No. 2016-261

Date: Dec. 9, 2016

Title: SEC Awards Nearly $1 Million to Whistleblower

Release No. 2016-260

Date: Dec. 8, 2016

Title: Enforcement Director Andrew J. Ceresney to Leave SEC

Release No. 2016-259

Date: Dec. 6, 2016

Title: Division of Corporation Finance Director Keith Higgins to Leave SEC

Release No. 2016-258

Date: Dec. 5, 2016

Title: SEC Awards $3.5 Million to Whistleblower

Release No. 2016-255

Date: Dec. 2, 2016

Title: United Settles Charges in Case of Flight Route to Benefit Public Official

Release No. 2016-253

Date: Dec. 1, 2016

Title: PIMCO Settles Charges of Misleading Investors About ETF Performance

Release No. 2016-252

Date: Dec. 1, 2016

Title: SEC Charges Asset Management Fund and Manager

Release No. 2016-250

Date: Nov. 29, 2016

Title: SEC Votes to Renew Equity Market Structure Advisory Committee

Release No. 2016-249

Date: Nov. 22, 2016

Title: SEC Names Wesley R. Bricker as Chief Accountant

Release No. 2016-247

Date: Nov. 22, 2016

Title: Chief Accountant James Schnurr to Leave SEC

Release No. 2016-246

Date: Nov. 21, 2016

Title: Trading and Markets Director Stephen Luparello to Leave SEC

Release No. 2016-245

Date: Nov. 21, 2016

Title: Chief Litigation Counsel Matthew C. Solomon to Leave SEC

Release No. 2016-244

Date: Nov. 21, 2016

Title: SEC Announces Agenda for December 8 Investor Advisory Committee Meeting

Release No. 2016-243

Date: Nov. 17, 2016

Title: JPMorgan Chase Paying $264 Million to Settle FCPA Charges

Release No. 2016-241

Date: Nov. 15, 2016

Title: SEC Approves Plan to Create Consolidated Audit Trail

Release No. 2016-240

Date: Nov. 14, 2016

Title: SEC Chair Mary Jo White Announces Departure Plans

Release No. 2016-238

Date: Nov. 14, 2016

Title: SEC Issues $20 Million Whistleblower Award

Release No. 2016-237

Date: Nov. 10, 2016

Title: Firm Charged With Misleading Investors About Binary Options Profitability

Release No. 2016-236

Date: Nov. 9, 2016

Title: Movie Producer Charged With Defrauding Hedge Fund Investors

Release No. 2016-235

Date: Nov. 3, 2016

Title: SEC Announces Agenda, Panelists for Nov. 14 Fintech Forum

Release No. 2016-234

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