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 Headline Release No.
Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital Raising 2024-141
SEC Charges Advisory Firm Macquarie Investment Management Business Trust with Fraud 2024-140
SEC Charges Advisory Firm Inspire Investing With Misleading Investors Regarding its Investment Strategy 2024-139
SEC Charges DeFi Platform Rari Capital and its Founders With Misleading Investors and Acting as Unregistered Brokers 2024-138
SEC Adopts Rules to Amend Minimum Pricing Increments and Access Fee Caps and to Enhance the Transparency of Better Priced Orders 2024-137
SEC Charges Broker-Dealer First Horizon With Regulation Best Interest Violations 2024-136
SEC Charges 11 Institutional Investment Managers with Failing to Report Certain Securities Holdings 2024-135
SEC Charges Multiple Individuals and Entities in Relationship Investment Scams 2024-134
Audit Firm Prager Metis Settles SEC Charges for Negligence in FTX Audits and for Violating Auditor Independence Requirements 2024-133
SEC Charges 12 Municipal Advisors With Recordkeeping Violations 2024-132
SEC Charges Former Chairman and CEO of Tech Co. Kubient With Fraud and Lying to Auditors 2024-131
SEC Charges Former Financial Consultant for Providing Father and Friends Inside Information Regarding Firm’s Client 2024-130
SEC Charges Zymergen Inc. With Misleading IPO Investors About Company’s Market Potential and Sales Prospects 2024-129
SEC Charges Three Former Executives of Pharmacy Startup Medly Health Inc. with Defrauding Investors 2024-128
SEC Files Settled Charges Against Three StraightPath Sales Agents for Unregistered Broker Activity 2024-127
SEC Investor Advisory Committee to Discuss Investment Advice and Key Topics from Securities Litigation at Sept. 19 Meeting 2024-126
eToro Reaches Settlement with SEC and Will Cease Trading Activity in Nearly All Crypto Assets 2024-125
SEC Charges John Deere With FCPA Violations for Subsidiary’s Role in Thai Bribery Scheme 2024-124
SEC Announces Six New Investor Advisory Committee Members 2024-123
SEC Charges Keurig with Making Inaccurate Statements Regarding Recyclability of K-Cup Beverage Pod 2024-122
SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Rule Violations 2024-121
SEC Publishes Small Business Educational Resources About Income Statements and Balance Sheets 2024-120
SEC Approves a New PCAOB Quality Control Standard 2024-119
SEC Charges Seven Public Companies with Violations of Whistleblower Protection Rule 2024-118
SEC Charges Esmark Inc. and Chairman James Bouchard with Announcing False Tender Offer to Purchase U.S. Steel Corp. 2024-117
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