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:July 2018 Date: Title: SEC Charges Investment Adviser and CEO With Misleading Retail Investors Release No.:2018-137
Published date grouping:July 2018 Date: Title: SEC Adopts Rules to Enhance Transparency and Oversight of Alternative Trading Systems Release No.:2018-136
Published date grouping:July 2018 Date: Title: SEC Adopts Final Rules and Solicits Public Comment on Ways to Modernize Offerings Pursuant to Compensatory Arrangements Release No.:2018-135
Published date grouping:July 2018 Date: Title: SEC Charges BGC Financial for Failure to Preserve Documents and Maintain Accurate Books and Records Release No.:2018-134
Published date grouping:July 2018 Date: Title: SEC Charges Oil Company CEO, Board Member With Hiding Personal Loans Release No.:2018-133
Published date grouping:July 2018 Date: Title: SEC Files Charges in Busted Microcap Schemes Release No.:2018-132
Published date grouping:July 2018 Date: Title: SEC Issues Agenda for July 16 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2018-131
Published date grouping:July 2018 Date: Title: SEC Files Additional Charges in Fitbit Stock Manipulation Scheme Release No.:2018-130
Published date grouping:July 2018 Date: Title: Former CEO and CFO of ITT Barred and Ordered to Pay Penalties Release No.:2018-129
Published date grouping:July 2018 Date: Title: SEC Charges Credit Suisse With FCPA Violations Release No.:2018-128
Published date grouping:July 2018 Date: Title: SEC Charges KBR for Inflating Key Performance Metric and Accounting Controls Deficiencies Release No.:2018-127
Published date grouping:July 2018 Date: Title: SEC Charges Attorney and Law Firm Business Manager With Illegal Sales of UBI Blockchain Internet Stock Release No.:2018-126
Published date grouping:June 2018 Date: Title: SEC Chairman Clayton Invites Main Street Investors to ‘Tell Us’ About Their Investor Experience Release No.:2018-125
Published date grouping:June 2018 Date: Title: SEC Charges Morgan Stanley in Connection With Failure to Detect or Prevent Misappropriation of Client Funds Release No.:2018-124
Published date grouping:June 2018 Date: Title: SEC Charges New York-Based Firm and Supervisors for Failing to Supervise Brokers Who Defrauded Customers Release No.:2018-123
Published date grouping:June 2018 Date: Title: SEC Celebrates Lesbian, Gay, Bisexual and Transgender Pride Month Release No.:2018-122
Published date grouping:June 2018 Date: Title: SEC Approves Final and Proposed Rules in Latest Open Meeting Release No.:2018-121
Published date grouping:June 2018 Date: Title: SEC Proposes Whistleblower Rule Amendments Release No.:2018-120
Published date grouping:June 2018 Date: Title: SEC Adopts Targeted Changes to Public Liquidity Risk Management Disclosure Release No.:2018-119
Published date grouping:June 2018 Date: Title: SEC Proposes New Approval Process for Certain Exchange-Traded Funds Release No.:2018-118
Published date grouping:June 2018 Date: Title: SEC Adopts Inline XBRL for Tagged Data Release No.:2018-117
Published date grouping:June 2018 Date: Title: SEC Expands the Scope of Smaller Public Companies that Qualify for Scaled Disclosures Release No.:2018-116
Published date grouping:June 2018 Date: Title: Former Equifax Manager Charged With Insider Trading Release No.:2018-115
Published date grouping:June 2018 Date: Title: SEC and CFTC Announce Approval of New MOU Release No.:2018-114
Published date grouping:June 2018 Date: Title: SEC Charges Credit Ratings Analyst and Two Friends with Insider Trading Release No.:2018-113
Published date grouping:June 2018 Date: Title: Wells Fargo Advisors Settles SEC Charges for Improper Sales of Complex Financial Products Release No.:2018-112
Published date grouping:June 2018 Date: Title: Paul G. Cellupica Named Deputy Director—Chief Counsel of the Division of Investment Management Release No.:2018-111
Published date grouping:June 2018 Date: Title: SEC Shuts Down $102 Million Ponzi Scheme Release No.:2018-110
Published date grouping:June 2018 Date: Title: Investors, Innovation, and Performance Top SEC's Draft Strategic Plan Release No.:2018-109
Published date grouping:June 2018 Date: Title: Merrill Lynch Admits to Misleading Customers about Trading Venues Release No.:2018-108
Published date grouping:June 2018 Date: Title: Daniel J. Wadley Named as Regional Director of Salt Lake Office Release No.:2018-107
Published date grouping:June 2018 Date: Title: Maurya C. Keating Named an Associate Regional Director for Examinations in New York Regional Office Release No.:2018-106
Published date grouping:June 2018 Date: Title: SEC Charges Merrill Lynch for Failure to Supervise RMBS Traders Release No.:2018-105
Published date grouping:June 2018 Date: Title: SEC Names Sarah ten Siethoff Associate Director in the Division of Investment Management’s Rulemaking Office Release No.:2018-104
Published date grouping:June 2018 Date: Title: SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure Release No.:2018-103
Published date grouping:June 2018 Date: Title: SEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation Release No.:2018-102
Published date grouping:June 2018 Date: Title: SEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients Release No.:2018-101
Published date grouping:June 2018 Date: Title: SEC Charges 13 Private Fund Advisers for Repeated Filing Failures Release No.:2018-100
Published date grouping:May 2018 Date: Title: Chyhe Becker Named Acting Chief Economist and Acting Director of the Division of Economic and Risk Analysis Release No.:2018-99
Published date grouping:May 2018 Date: Title: SEC Names Julie A. Erhardt Acting Chief Risk Officer Release No.:2018-98
Published date grouping:May 2018 Date: Title: SEC Charges Investment Banker in Insider Trading Scheme Release No.:2018-97
Published date grouping:May 2018 Date: Title: SEC Charges Long Island Investment Professional in $8 Million Scam Targeting Long-Standing Brokerage Customers Release No.:2018-96
Published date grouping:May 2018 Date: Title: SEC Announces Agenda for June 14 Investor Advisory Committee Meeting in Atlanta Release No.:2018-95
Published date grouping:May 2018 Date: Title: SEC Obtains Emergency Order Halting Fraudulent Coin Offering Scheme Release No.:2018-94
Published date grouping:May 2018 Date: Title: Jeffrey Harris, Chief Economist and Director of the SEC’s Division of Economic and Risk Analysis, to Leave the Agency Release No.:2018-93
Published date grouping:May 2018 Date: Title: SEC Proposes FAIR Act Rules to Promote Research Reports on Investment Funds Release No.:2018-92
Published date grouping:May 2018 Date: Title: Investing in America: SEC Commissioners are Heading to Atlanta to Interact with Investors Release No.:2018-91
Published date grouping:May 2018 Date: Title: SEC Charges Three Former Healthcare Executives With Fraud Release No.:2018-90
Published date grouping:May 2018 Date: Title: SEC Charges Owner of Alternative Investment Firm in Belize Airport Financing Scam Release No.:2018-89
Published date grouping:May 2018 Date: Title: The SEC Has an Opportunity You Won’t Want to Miss: Act Now! Release No.:2018-88
Published date grouping:May 2018 Date: Title: SEC Charges Brokerage Firms and AML Officer With Anti-Money Laundering Violations Release No.:2018-87
Published date grouping:May 2018 Date: Title: SEC Names James Reese Chief Risk and Strategy Officer of the Office of Compliance Inspections and Examinations Release No.:2018-86
Published date grouping:May 2018 Date: Title: SEC Files Charges in International Manipulation Scheme Release No.:2018-85
Published date grouping:May 2018 Date: Title: SEC Names Caryn E. Kauffman as Chief Financial Officer Release No.:2018-84
Published date grouping:May 2018 Date: Title: SEC Charges Hedge Fund Adviser With Deceiving Investors by Inflating Fund Performance Release No.:2018-83
Published date grouping:May 2018 Date: Title: SEC Levies Fraud Charges Against Texas-Based Municipal Advisor, Owner for Lying to School District Release No.:2018-82
Published date grouping:May 2018 Date: Title: Hedge Fund Firm Charged for Asset Mismarking and Insider Trading Release No.:2018-81
Published date grouping:May 2018 Date: Title: SEC Names Jessica Kane Director of Office of Credit Ratings Release No.:2018-80
Published date grouping:May 2018 Date: Title: Diane Blizzard, Associate Director of Rulemaking for the SEC’s Division of Investment Management, to Leave the Agency After 18 Years of Service Release No.:2018-79
Published date grouping:May 2018 Date: Title: SEC Launches Additional Investor Protection Search Tool Release No.:2018-78
Published date grouping:May 2018 Date: Title: SEC Shuts Down $85 Million Ponzi Scheme and Obtains Asset Freeze Release No.:2018-77
Published date grouping:May 2018 Date: Title: SEC Names Raquel Fox Director of the Office of International Affairs Release No.:2018-76
Published date grouping:May 2018 Date: Title: SEC Enforcement Division Issues FAQs for Share Class Selection Disclosure Initiative Release No.:2018-75
Published date grouping:April 2018 Date: Title: Office of International Affairs Director Paul A. Leder to Leave SEC Release No.:2018-74
Published date grouping:April 2018 Date: Title: Panasonic Charged With FCPA and Accounting Fraud Violations Release No.:2018-73
Published date grouping:April 2018 Date: Title: Eric R. Werner Named Associate Regional Director for Enforcement in Fort Worth Office Release No.:2018-72
Published date grouping:April 2018 Date: Title: Altaba, Formerly Known as Yahoo!, Charged With Failing to Disclose Massive Cybersecurity Breach; Agrees To Pay $35 Million Release No.:2018-71
Published date grouping:April 2018 Date: Title: SEC Charges Additional Defendant in Fraudulent ICO Scheme Release No.:2018-70
Published date grouping:April 2018 Date: Title: Douglas Scheidt, Associate Director and Chief Counsel in the Division of Investment Management, to Leave Agency After 32 Years of Public Service Release No.:2018-69
Published date grouping:April 2018 Date: Title: SEC Proposes to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Investment Professionals Release No.:2018-68
Published date grouping:April 2018 Date: Title: Fee Rate Advisory #3 for Fiscal Year 2018 Release No.:2018-67
Published date grouping:April 2018 Date: Title: SEC Unveils Public Service Announcement to Promote Background Checks on Investor.gov Release No.:2018-66
Published date grouping:April 2018 Date: Title: SEC Staff to Host Roundtable on Market Structure for Thinly-Traded Securities Release No.:2018-65
Published date grouping:April 2018 Date: Title: SEC Awards Whistleblower More Than $2.1 Million Release No.:2018-64
Published date grouping:April 2018 Date: Title: SEC Charges Texas Company, Principals in Multimillion Dollar Ponzi Scheme Targeting Seniors Release No.:2018-63
Published date grouping:April 2018 Date: Title: SEC Orders Three Investment Advisers to Pay $12 Million to Harmed Clients Release No.:2018-62
Published date grouping:April 2018 Date: Title: SEC Obtains Emergency Freeze of $27 Million in Stock Sales of Purported Cryptocurrency Company Longfin Release No.:2018-61
Published date grouping:April 2018 Date: Title: SEC Issues Agenda for April 9 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2018-60
Published date grouping:April 2018 Date: Title: SEC Charges Medical Device Company The Eye Machine and Founder Pocklington With Fraud Release No.:2018-59
Published date grouping:April 2018 Date: Title: SEC Awards More Than $2.2 Million to Whistleblower Who First Reported Information to Another Federal Agency Before SEC Release No.:2018-58
Published date grouping:April 2018 Date: Title: Joel R. Levin Named Director of Chicago Regional Office Release No.:2018-57
Published date grouping:April 2018 Date: Title: SEC Names Peter Henry as Director of the Office of Equal Employment Opportunity Release No.:2018-56
Published date grouping:April 2018 Date: Title: SEC Warns of Government Impersonators Release No.:2018-55
Published date grouping:April 2018 Date: Title: SEC Promotes Investor Awareness During National Financial Capability Month Release No.:2018-54
Published date grouping:April 2018 Date: Title: SEC Halts Fraudulent Scheme Involving Unregistered ICO Release No.:2018-53
Published date grouping:April 2018 Date: Title: SEC Charges Fintech Company Founder With Scheme to Defraud Investors and Misappropriate Funds Release No.:2018-52
Published date grouping:March 2018 Date: Title: SEC Charges Prominent Pastor, Financial Planner in Scheme to Defraud Elderly Investors Release No.:2018-51
Published date grouping:March 2018 Date: Title: Broker-Dealer Admits It Failed to File SARs Release No.:2018-50
Published date grouping:March 2018 Date: Title: SEC Charges Recidivist Broker-Dealer in Employee’s Long-Running Pump-and-Dump Fraud Release No.:2018-49
Published date grouping:March 2018 Date: Title: SEC Charges Energy Storage Company, Former Executive in Fraudulent Scheme to Inflate Financial Results Release No.:2018-48
Published date grouping:March 2018 Date: Title: Kinross Gold Charged With FCPA Violations Release No.:2018-47
Published date grouping:March 2018 Date: Title: SEC Stops Ponzi-Schemer Targeting Retail Investors and Obtains Preliminary Injunction and Asset Freeze Release No.:2018-46
Published date grouping:March 2018 Date: Title: Broker Charged With Repeatedly Putting Customer Assets At Risk Release No.:2018-45
Published date grouping:March 2018 Date: Title: SEC Announces Its Largest-Ever Whistleblower Awards Release No.:2018-44
Published date grouping:March 2018 Date: Title: SEC Proposes Transaction Fee Pilot for NMS Stocks Release No.:2018-43
Published date grouping:March 2018 Date: Title: SEC Proposes Targeted Changes to Public Liquidity Risk Management Disclosure Release No.:2018-42
Published date grouping:March 2018 Date: Title: Theranos, CEO Holmes, and Former President Balwani Charged With Massive Fraud Release No.:2018-41
Published date grouping:March 2018 Date: Title: Former Equifax Executive Charged With Insider Trading Release No.:2018-40
Published date grouping:March 2018 Date: Title: Foreign Affiliates of KPMG, Deloitte, BDO Charged in Improper Audits Release No.:2018-39
Published date grouping:March 2018 Date: Title: SEC Charges Penny Stock “Mailman” With Scalping Investors In Gold Mining Stocks Release No.:2018-38
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