Skip to Main Content

Press Releases

Press Releases

Subscribe RSS Email Subscription
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.
 
Date Title Release No.
March 2015
March 27, 2015 SEC Charges New York-Based Brokerage Firm With Faulty Underwriting of Public Offering by China-Based Company 2015-51
March 26, 2015 SEC Charges Nearly Two Dozen Unregistered Broker-Dealers 2015-50
March 25, 2015 SEC Adopts Rules to Facilitate Smaller Companies’ Access to Capital 2015-49
March 25, 2015 SEC Proposes Rule to Require Broker-Dealers Active in Off-Exchange Market to Become Members of National Securities Association 2015-48
March 13, 2015 Corporate Insiders Charged for Failing to Update Disclosures Involving “Going Private” Transactions 2015-47
March 4, 2015 SEC Charges Texas-Based Brokerage Firm With Violating Supervisory and Customer Protection Rules 2015-46
March 2, 2015 Former Company Officer Earns Half-Million Dollar Whistleblower Award for Reporting Fraud Case to SEC 2015-45
March 2, 2015 SEC Suspends Trading in 128 Dormant Shell Companies to Put Them Out of Reach of Microcap Fraudsters 2015-44
February 2015
Feb. 27, 2015 SEC Halts Ponzi-Like Scheme by Purported Venture Capital Fund Manager in Buffalo 2015-43
Feb. 27, 2015 Fee Rate Advisory #4 for Fiscal Year 2015 2015-42
Feb. 27, 2015 SEC Announces Agenda for March 4 Meeting of the Advisory Committee on Small and Emerging Companies 2015-41
Feb. 26, 2015 Readout of SEC Chair Mary Jo White’s Meeting with European Union Financial Services Commissioner Jonathan Hill 2015-40
Feb. 26, 2015 SEC Salt Lake Office Director Karen Martinez to Retire From Public Service 2015-39
Feb. 24, 2015 SEC Charges Goodyear With FCPA Violations 2015-38
Feb. 19, 2015 SEC Charges Brothers-in-Law in Louisiana With Insider Trading 2015-37
Feb. 19, 2015 SEC Charges New York-Based Brokerage Firm and CEO With Committing Fraud During CDO Liquidation Auctions 2015-36
Feb. 18, 2015 SEC Halts Colorado-Based Pyramid Scheme 2015-35
Feb. 13, 2015 SEC Announces Fraud Charges Against Purported Hedge Fund Manager 2015-34
Feb. 12, 2015 Pamela C. Dyson Named SEC Chief Information Officer 2015-33
Feb. 12, 2015 SEC Announces Agenda, Panelists for Proxy Voting Roundtable 2015-32
Feb. 12, 2015 SEC Charges Mutual Fund Adviser in Connection With Improper Handling of Fund Assets 2015-31
Feb. 11, 2015 Heather Seidel Named Chief Counsel in SEC’s Division of Trading and Markets 2015-30
Feb. 11, 2015 SEC Announces Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender Offer 2015-29
Feb. 10, 2015 SEC Announces Half-Million Dollar Clawback from CFOs of Silicon Valley Company That Committed Accounting Fraud 2015-28
Feb. 10, 2015 SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme 2015-27
Feb. 9, 2015 SEC Proposes Rules for Hedging Disclosure 2015-26
Feb. 6, 2015 SEC Imposes Sanctions Against China-Based Members of Big Four Accounting Networks for Refusing to Produce Documents 2015-25
Feb. 5, 2015 SEC Charges Chicago-Area Alternative Energy Company for Accounting and Disclosure Violations 2015-24
Feb. 5, 2015 SEC Charges Four in California Insider Trading Ring 2015-23
Feb. 4, 2015 SEC Approves 2015 PCAOB Budget and Accounting Support Fee 2015-22
Feb. 3, 2015 SEC Names David Grim as Acting Director of the Division of Investment Management 2015-21
Feb. 3, 2015 SEC Alerts Investors, Industry on Cybersecurity 2015-20
January 2015
Jan. 30, 2015 SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting 2015-19
Jan. 29, 2015 SEC Charges Stock-Based Lender With Selling Billions of Penny Stock Shares as Unregistered Broker-Dealer 2015-18
Jan. 29, 2015 Robert E. Rice, Chief Counsel to SEC Chair, to Leave SEC 2015-17
Jan. 28, 2015 SEC Names Erin Schneider as Associate Regional Director in San Francisco Office 2015-16
Jan. 27, 2015 SEC to Hold Roundtable on Proxy Voting 2015-15
Jan. 27, 2015 SEC Charges Oppenheimer With Securities Law Violations Related to Improper Penny Stock Sales 2015-14
Jan. 22, 2015 SEC Charges Former Executive at Tampa-Based Engineering Firm With FCPA Violations 2015-13
Jan. 21, 2015 SEC Charges Investment Adviser and Manager in South Florida-Based Fraud 2015-12
Jan. 21, 2015 Investment Management Director Norm Champ to Leave SEC 2015-11
Jan. 21, 2015 SEC Announces Charges Against Standard & Poor’s for Fraudulent Ratings Misconduct 2015-10
Jan. 15, 2015 SEC Announces Charges Against Attorneys and Auditors in Microcap Scheme Involving Purported Mining Companies 2015-9
Jan. 15, 2015 Fee Rate Advisory #3 for Fiscal Year 2015 2015-8
Jan. 15, 2015 SEC Charges UBS Subsidiary With Disclosure Violations and Other Regulatory Failures in Operating Dark Pool 2015-7
Jan. 14, 2015 SEC Adopts Rules to Increase Transparency in Security-Based Swap Market 2015-6
Jan. 13, 2015 SEC Announces Members of New Equity Market Structure Advisory Committee 2015-5
Jan. 13, 2015 SEC Charges Canadian Man With Conducting Fraudulent Trading Scheme 2015-4
Jan. 13, 2015 SEC Announces 2015 Examination Priorities 2015-3
Jan. 12, 2015 SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types 2015-2
Jan. 8, 2015 SEC Names Walter Jospin as Regional Director of Atlanta Office 2015-1
Subscribe RSS Email Subscription

Last Updated

Date: March 26, 2015

Title: SEC Charges Nearly Two Dozen Unregistered Broker-Dealers

Release No. 2015-50

Date: March 25, 2015

Title: SEC Adopts Rules to Facilitate Smaller Companies’ Access to Capital

Release No. 2015-49

Date: Feb. 27, 2015

Title: Fee Rate Advisory #4 for Fiscal Year 2015

Release No. 2015-42

Date: Feb. 24, 2015

Title: SEC Charges Goodyear With FCPA Violations

Release No. 2015-38

Date: Feb. 19, 2015

Title: SEC Charges Brothers-in-Law in Louisiana With Insider Trading

Release No. 2015-37

Date: Feb. 18, 2015

Title: SEC Halts Colorado-Based Pyramid Scheme

Release No. 2015-35

Date: Feb. 13, 2015

Title: SEC Announces Fraud Charges Against Purported Hedge Fund Manager

Release No. 2015-34

Date: Feb. 12, 2015

Title: Pamela C. Dyson Named SEC Chief Information Officer

Release No. 2015-33

Date: Feb. 12, 2015

Title: SEC Announces Agenda, Panelists for Proxy Voting Roundtable

Release No. 2015-32

Date: Feb. 10, 2015

Title: SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme

Release No. 2015-27

Date: Feb. 9, 2015

Title: SEC Proposes Rules for Hedging Disclosure

Release No. 2015-26

Date: Feb. 5, 2015

Title: SEC Charges Four in California Insider Trading Ring

Release No. 2015-23

Date: Feb. 4, 2015

Title: SEC Approves 2015 PCAOB Budget and Accounting Support Fee

Release No. 2015-22

Date: Feb. 3, 2015

Title: SEC Alerts Investors, Industry on Cybersecurity

Release No. 2015-20

Date: Jan. 29, 2015

Title: Robert E. Rice, Chief Counsel to SEC Chair, to Leave SEC

Release No. 2015-17

Date: Jan. 27, 2015

Title: SEC to Hold Roundtable on Proxy Voting

Release No. 2015-15

Date: Jan. 21, 2015

Title: Investment Management Director Norm Champ to Leave SEC

Release No. 2015-11

Date: Jan. 15, 2015

Title: Fee Rate Advisory #3 for Fiscal Year 2015

Release No. 2015-8

Date: Jan. 13, 2015

Title: SEC Charges Canadian Man With Conducting Fraudulent Trading Scheme

Release No. 2015-4

Date: Jan. 13, 2015

Title: SEC Announces 2015 Examination Priorities

Release No. 2015-3

Date: Jan. 8, 2015

Title: SEC Names Walter Jospin as Regional Director of Atlanta Office

Release No. 2015-1