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Press Releases

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.
July 31, 2015 SEC Charges Man With Microcap Fraud Involving Shares of Cynk Technology Corp. 2015-157
July 30, 2015 SEC Charges Operators of Fraud Based in Upstate New York 2015-156
July 29, 2015 Daniel M. Hawke, Chief of Market Abuse Unit, to Leave SEC After 16 Years of Service 2015-155
July 28, 2015 SEC Charges Mead Johnson Nutrition With FCPA Violations 2015-154
July 23, 2015 Former Oppenheimer Employees Settle Charges Involving Unregistered Sales of Penny Stocks 2015-153
July 21, 2015 SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes 2015-152
July 17, 2015 Michele Anderson Named Associate Director in the Division of Corporation Finance 2015-151
July 17, 2015 SEC Pays More Than $3 Million to Whistleblower 2015-150
July 16, 2015 SEC Charges Pennsylvania Attorney with Insider Trading in Advance of Merger Announcement 2015-149
July 16, 2015 SEC Charges Purported Investment Adviser in San Diego With Stealing Client Funds and Conducting a Ponzi Scheme 2015-148
July 15, 2015 SEC Chair White, Federal Agencies Join Forces for Military Consumer Protection Day 2015 2015-147
July 14, 2015 SEC Charges 34 Defendants in Microcap Market Manipulation Schemes 2015-146
July 14, 2015 OZ Management LP Admits Providing Inaccurate Data, Impacting Brokers’ Records and “Blue Sheets” 2015-145
July 13, 2015 Release of Joint Staff Report on October 15, 2014 2015-144
July 13, 2015 SEC Announces Settlement With Cooperator in Grand Central Post-It Notes Insider Trading Case 2015-143
July 8, 2015 SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting 2015-142
July 6, 2015 SEC Charges Oil Company and CEO in Scheme Targeting Chinese-Americans and EB-5 Investors 2015-141
July 2, 2015 SEC Reappoints Lewis H. Ferguson to Second Term on PCAOB 2015-140
July 2, 2015 SEC Halts Pyramid/Ponzi Scheme Targeting Spanish and Portuguese Communities 2015-139
July 1, 2015 SEC Solicits Public Comment on Audit Committee Disclosures 2015-138
July 1, 2015 SEC Charges Deloitte & Touche With Violating Auditor Independence Rules 2015-137
July 1, 2015 SEC Proposes Rules Requiring Companies to Adopt Clawback Policies on Executive Compensation 2015-136
July 1, 2015 SEC Charges Former Stockbroker With Conducting Ponzi Scheme 2015-135
July 1, 2015 SEC Charges Hedge Fund Advisory Firm With Conducting Fraudulent Fund Valuation Scheme 2015-134
June 30, 2015 SEC Charges Goldman Sachs With Violating Market Access Rule 2015-133
June 29, 2015 SEC Announces Cherry-Picking Charges Against Investment Manager 2015-132
June 29, 2015 SEC Charges KKR With Misallocating Broken Deal Expenses 2015-131
June 25, 2015 John Roeser Named Associate Director of the Office of Market Supervision 2015-130
June 23, 2015 SEC Charges Microcap Promoter With Illegally Selling Penny Stock Shares 2015-129
June 23, 2015 SEC Obtains Asset Freeze Against China-Based Trader for Suspicious Activity Last Week 2015-128
June 23, 2015 SEC Charges Unregistered Brokers in EB-5 Immigrant Investor Program 2015-127
June 18, 2015 SEC Charges Microcap Oil Company, CEO, and Stock Promoter With Defrauding Investors 2015-126
June 18, 2015 SEC Charges 36 Firms for Fraudulent Municipal Bond Offerings 2015-125
June 17, 2015 SEC Charges Investment Adviser and Mutual Fund Board Members With Failures in Advisory Contract Approval Process 2015-124
June 17, 2015 SEC Announces Enforcement Action for Illegal Offering of Security-Based Swaps 2015-123
June 17, 2015 SEC Charges Investment Adviser With Fraudulently Funneling Client Assets to Companies in Owner’s Interest 2015-122
June 16, 2015 SEC Announces Charges Against Retirement Plan Custodian in Connection With Ponzi Scheme 2015-121
June 15, 2015 Investment Advisory Firm’s Former President Charged With Stealing Client Funds 2015-120
June 15, 2015 Swiss Trader to Pay $2.8 Million to Settle Insider Trading Charges 2015-119
June 12, 2015 SEC Publishes Request for Public Comment on Exchange-Traded Products 2015-118
June 10, 2015 SEC Charges Phony Hedge Fund Manager With Theft of Money Invested by Small Businesses 2015-117
June 9, 2015 SEC Charges Biotech Employee, Two Stockbrokers With Insider Trading on Nonpublic Information About Pharmaceutical Trials and Merger 2015-116
June 9, 2015 Trader to Pay $1 Million for Short Selling Violations 2015-115
June 9, 2015 Agencies Issue Final Standards for Assessing Diversity Policies and Practices of Regulated Entities 2015-114
June 8, 2015 SEC Names Richard R. Best as Regional Director of Salt Lake Office 2015-113
June 5, 2015 Daniel Gregus Named Associate Director for Broker-Dealer Exam Program in Chicago 2015-112
June 5, 2015 SEC Charges CSC and Former Executives With Accounting Fraud 2015-111
June 4, 2015 SEC Freezes Profits From Scheme to Manipulate Avon Stock 2015-110
June 4, 2015 SEC Staff Provides Additional Analysis Related to Proposed Pay Ratio Disclosure Rules 2015-109
June 3, 2015 SEC Warns of Purported Financial Professionals Using False Credentials to Attract Investors 2015-108
June 3, 2015 SEC Charges Four With Insider Trading Ahead of Secondary Offerings 2015-107
June 1, 2015 SEC Charges Investment Adviser With Defrauding Retired Teachers 2015-106
June 1, 2015 Merrill Lynch Admits Using Inaccurate Data for Short Sale Orders, Agrees to $11 Million Settlement 2015-105
May 28, 2015 SEC Charges Two Stock Promoters With Conducting Market Manipulation Schemes 2015-104
May 28, 2015 SEC Names Andrew J. Donohue as Chief of Staff 2015-103
May 28, 2015 SEC Announces Charges Against Compliance Director Accused of Defrauding Investors and Stealing Brokerage Firm Assets 2015-102
May 28, 2015 SEC Announces Agenda for June 3 Meeting of the Advisory Committee on Small and Emerging Companies 2015-101
May 26, 2015 SEC Charges New York Lawyer and Two Promoters With Market Manipulation 2015-100
May 26, 2015 SEC Charges Deutsche Bank With Misstating Financial Reports During Financial Crisis 2015-99
May 21, 2015 SEC Announces Charges Against Investment Firm and Two Executives Accused of Defrauding Police and Firefighter Pension Funds 2015-98
May 20, 2015 SEC Names Rebecca Olsen Deputy Director of Municipal Securities Office 2015-97
May 20, 2015 SEC Names Jessica Kane Director of Municipal Securities Office 2015-96
May 20, 2015 SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers 2015-95
May 20, 2015 SEC Charges Brokerage Firm Co-Owners With Defrauding Investors 2015-94
May 20, 2015 SEC Charges BHP Billiton With Violating FCPA at Olympic Games 2015-93
May 19, 2015 SEC Chief of Staff Lona Nallengara to Leave Agency 2015-92
May 18, 2015 Peter J. Curley, Associate Director in the Division of Trading and Markets, to Leave SEC 2015-91
May 14, 2015 SEC Charges Father and Son in $1.1 Million Insider Trading Scheme 2015-90
May 14, 2015 SEC Charges Nationwide Life Insurance Company With Pricing Violations 2015-89
May 14, 2015 SEC Names Wesley R. Bricker as Deputy Chief Accountant 2015-88
May 14, 2015 Deputy Chief Accountant Dan Murdock to Leave SEC 2015-87
May 12, 2015 SEC Announces Fraud Charges Against ITT Educational Services 2015-86
May 11, 2015 SEC Sues Retirement Planners for Making False Claims to Investors 2015-85
May 8, 2015 SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers 2015-84
May 8, 2015 David Grim Named as Director of the Division of Investment Management 2015-83
May 6, 2015 SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies 2015-82
May 6, 2015 SEC Charges Four Former Officers of Delaware Bank Holding Company With Disclosure Fraud 2015-81
May 5, 2015 SEC Announces Outreach Programs to Help Firms Comply With Regulation Systems Compliance and Integrity 2015-80
April 30, 2015 SEC Announces Compliance Outreach Program Seminars for Investment Adviser and Investment Company Senior Officers 2015-79
April 29, 2015 SEC Proposes Rules to Require Companies to Disclose the Relationship Between Executive Pay and a Company’s Financial Performance 2015-78
April 29, 2015 SEC Proposes Cross-Border Security-Based Swap Rules Regarding Activity in the U.S. 2015-77
April 29, 2015 SEC Charges Santa Barbara-Based Hedge Fund Firm, Executives, and Auditor for Improper Expense Allocations 2015-76
April 28, 2015 SEC Announces Award to Whistleblower in First Retaliation Case 2015-75
April 22, 2015 SEC Charges Issuer for Failing to Make Public Filings 2015-74
April 22, 2015 SEC Announces Million-Dollar Whistleblower Award to Compliance Officer 2015-73
April 20, 2015 Fort Worth Regional Director David Woodcock to Leave SEC 2015-72
April 20, 2015 SEC Charges BlackRock Advisors With Failing to Disclose Conflict of Interest to Clients and Fund Boards 2015-71
April 17, 2015 SEC Announces Agenda for May 13 Meeting of the Equity Market Structure Advisory Committee 2015-70
April 16, 2015 SEC Charges 10 Individuals in Scheme to Sell Stock in Blank Check Companies Secretly Bound for Reverse Mergers 2015-69
April 16, 2015 SEC Charges New York-Based Financial Advisor With Stealing $20 Million From Customers 2015-68
April 15, 2015 SEC Staff and FINRA Issue Report on National Senior Investor Initiative 2015-67
April 14, 2015 SEC Halts Investment Scheme Targeting Military Personnel 2015-66
April 9, 2015 SEC Announces Fraud Charges Against Former Accounting Executive at Japanese Subsidiary 2015-65
April 9, 2015 SEC Names Marc Wyatt as Acting Director of the Office of Compliance Inspections and Examinations 2015-64
April 9, 2015 SEC Halts Microcap Scheme in South Florida 2015-63
April 8, 2015 SEC Charges Oregon-Based Defense Contractor With FCPA Violations 2015-62
April 8, 2015 Gregg E. Berman, Associate Director in the Division of Trading and Markets, to Leave SEC 2015-61
April 7, 2015 SEC Charges L.A.-Based Pacific West Capital Group With Fraud in Sale of Life Settlement Investments 2015-60
April 7, 2015 OCIE Director Andrew Bowden to Leave SEC 2015-59
April 7, 2015 SEC Obtains Asset Freeze in Ponzi Scheme Involving Loans to Professional Athletes 2015-58
Currently only the first 100 results are displayed. To view more results please select a filter.
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Date: July 30, 2015

Title: SEC Charges Operators of Fraud Based in Upstate New York

Release No. 2015-156

Date: July 28, 2015

Title: SEC Charges Mead Johnson Nutrition With FCPA Violations

Release No. 2015-154

Date: July 21, 2015

Title: SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes

Release No. 2015-152

Date: July 17, 2015

Title: SEC Pays More Than $3 Million to Whistleblower

Release No. 2015-150

Date: July 14, 2015

Title: SEC Charges 34 Defendants in Microcap Market Manipulation Schemes

Release No. 2015-146

Date: July 13, 2015

Title: Release of Joint Staff Report on October 15, 2014

Release No. 2015-144

Date: July 2, 2015

Title: SEC Reappoints Lewis H. Ferguson to Second Term on PCAOB

Release No. 2015-140

Date: July 1, 2015

Title: SEC Solicits Public Comment on Audit Committee Disclosures

Release No. 2015-138

Date: July 1, 2015

Title: SEC Charges Deloitte & Touche With Violating Auditor Independence Rules

Release No. 2015-137

Date: July 1, 2015

Title: SEC Charges Former Stockbroker With Conducting Ponzi Scheme

Release No. 2015-135

Date: June 30, 2015

Title: SEC Charges Goldman Sachs With Violating Market Access Rule

Release No. 2015-133

Date: June 29, 2015

Title: SEC Announces Cherry-Picking Charges Against Investment Manager

Release No. 2015-132

Date: June 29, 2015

Title: SEC Charges KKR With Misallocating Broken Deal Expenses

Release No. 2015-131

Date: June 25, 2015

Title: John Roeser Named Associate Director of the Office of Market Supervision

Release No. 2015-130

Date: June 23, 2015

Title: SEC Charges Microcap Promoter With Illegally Selling Penny Stock Shares

Release No. 2015-129

Date: June 23, 2015

Title: SEC Charges Unregistered Brokers in EB-5 Immigrant Investor Program

Release No. 2015-127

Date: June 18, 2015

Title: SEC Charges 36 Firms for Fraudulent Municipal Bond Offerings

Release No. 2015-125

Date: June 15, 2015

Title: Swiss Trader to Pay $2.8 Million to Settle Insider Trading Charges

Release No. 2015-119

Date: June 12, 2015

Title: SEC Publishes Request for Public Comment on Exchange-Traded Products

Release No. 2015-118

Date: June 9, 2015

Title: Trader to Pay $1 Million for Short Selling Violations

Release No. 2015-115

Date: June 8, 2015

Title: SEC Names Richard R. Best as Regional Director of Salt Lake Office

Release No. 2015-113

Date: June 5, 2015

Title: SEC Charges CSC and Former Executives With Accounting Fraud

Release No. 2015-111

Date: June 4, 2015

Title: SEC Freezes Profits From Scheme to Manipulate Avon Stock

Release No. 2015-110

Date: June 3, 2015

Title: SEC Charges Four With Insider Trading Ahead of Secondary Offerings

Release No. 2015-107

Date: June 1, 2015

Title: SEC Charges Investment Adviser With Defrauding Retired Teachers

Release No. 2015-106

Date: May 28, 2015

Title: SEC Names Andrew J. Donohue as Chief of Staff

Release No. 2015-103

Date: May 26, 2015

Title: SEC Charges New York Lawyer and Two Promoters With Market Manipulation

Release No. 2015-100

Date: May 20, 2015

Title: SEC Names Rebecca Olsen Deputy Director of Municipal Securities Office

Release No. 2015-97

Date: May 20, 2015

Title: SEC Names Jessica Kane Director of Municipal Securities Office

Release No. 2015-96

Date: May 20, 2015

Title: SEC Charges Brokerage Firm Co-Owners With Defrauding Investors

Release No. 2015-94

Date: May 20, 2015

Title: SEC Charges BHP Billiton With Violating FCPA at Olympic Games

Release No. 2015-93

Date: May 19, 2015

Title: SEC Chief of Staff Lona Nallengara to Leave Agency

Release No. 2015-92

Date: May 14, 2015

Title: SEC Charges Father and Son in $1.1 Million Insider Trading Scheme

Release No. 2015-90

Date: May 14, 2015

Title: SEC Charges Nationwide Life Insurance Company With Pricing Violations

Release No. 2015-89

Date: May 14, 2015

Title: SEC Names Wesley R. Bricker as Deputy Chief Accountant

Release No. 2015-88

Date: May 14, 2015

Title: Deputy Chief Accountant Dan Murdock to Leave SEC

Release No. 2015-87

Date: May 12, 2015

Title: SEC Announces Fraud Charges Against ITT Educational Services

Release No. 2015-86

Date: May 11, 2015

Title: SEC Sues Retirement Planners for Making False Claims to Investors

Release No. 2015-85

Date: May 8, 2015

Title: David Grim Named as Director of the Division of Investment Management

Release No. 2015-83

Date: May 6, 2015

Title: SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies

Release No. 2015-82

Date: April 28, 2015

Title: SEC Announces Award to Whistleblower in First Retaliation Case

Release No. 2015-75

Date: April 22, 2015

Title: SEC Charges Issuer for Failing to Make Public Filings

Release No. 2015-74

Date: April 22, 2015

Title: SEC Announces Million-Dollar Whistleblower Award to Compliance Officer

Release No. 2015-73

Date: April 20, 2015

Title: Fort Worth Regional Director David Woodcock to Leave SEC

Release No. 2015-72

Date: April 15, 2015

Title: SEC Staff and FINRA Issue Report on National Senior Investor Initiative

Release No. 2015-67

Date: April 14, 2015

Title: SEC Halts Investment Scheme Targeting Military Personnel

Release No. 2015-66

Date: April 9, 2015

Title: SEC Halts Microcap Scheme in South Florida

Release No. 2015-63

Date: April 8, 2015

Title: SEC Charges Oregon-Based Defense Contractor With FCPA Violations

Release No. 2015-62

Date: April 7, 2015

Title: OCIE Director Andrew Bowden to Leave SEC

Release No. 2015-59

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