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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Press Releases Table

Published date grouping
Date
Headline
Release No.
Published date grouping:April 2024 Date: Headline: SEC Staff Publishes New Registered Fund Statistics Report Release No.:2024-49
Published date grouping:April 2024 Date: Headline: SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management Release No.:2024-48
Published date grouping:April 2024 Date: Headline: SEC Issues Second Fee Rate Advisory for Fiscal Year 2024 Release No.:2024-47
Published date grouping:April 2024 Date: Headline: SEC Charges Five Investment Advisers for Marketing Rule Violations Release No.:2024-46
Published date grouping:April 2024 Date: Headline: Register for the SEC’s 43rd Annual Small Business Forum April 16-18 Release No.:2024-45
Published date grouping:April 2024 Date: Headline: SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures Release No.:2024-44
Published date grouping:April 2024 Date: Headline: SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month Release No.:2024-43
Published date grouping:March 2024 Date: Headline: SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet Release No.:2024-42
Published date grouping:March 2024 Date: Headline: SEC Seeks Candidates for Investor Advisory Committee Release No.:2024-41
Published date grouping:March 2024 Date: Headline: SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading Release No.:2024-40
Published date grouping:March 2024 Date: Headline: SEC’s OMWI FY 2023 Annual Report Highlights the Agency’s Diversity, Equity, Inclusion and Accessibility Initiatives and Progress Release No.:2024-39
Published date grouping:March 2024 Date: Headline: SEC, NASAA, and Georgia Secretary of State to Host Investor Roundtables at University of North Georgia and Dalton State College Release No.:2024-38
Published date grouping:March 2024 Date: Headline: Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges Release No.:2024-37
Published date grouping:March 2024 Date: Headline: SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence Release No.:2024-36
Published date grouping:March 2024 Date: Headline: SEC Charges 17 Individuals in $300 Million Crypto Asset Ponzi Scheme Targeting the Latino Community Release No.:2024-35
Published date grouping:March 2024 Date: Headline: SEC Charges Tallgrass Energy’s Former Board Member Roy Cook and Four Others with Insider Trading in Advance of Blackstone Acquisition Release No.:2024-34
Published date grouping:March 2024 Date: Headline: SEC Charges Skechers with Making Undisclosed Payments to Executives’ Family Members Release No.:2024-33
Published date grouping:March 2024 Date: Headline: SEC Adopts Amendments to Enhance Disclosure of Order Execution Information Release No.:2024-32
Published date grouping:March 2024 Date: Headline: SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors Release No.:2024-31
Published date grouping:March 2024 Date: Headline: SEC Charges Advisory Firm HG Vora for Disclosure Failures Ahead of Ryder Acquisition Bid Release No.:2024-30
Published date grouping:February 2024 Date: Headline: SEC Charges Lordstown Motors with Misleading Investors about Company’s Flagship Electric Vehicle Release No.:2024-29
Published date grouping:February 2024 Date: Headline: SEC Investor Advisory Committee to Discuss Proposals to Improve Equity Market Structure and Examine the Use of Materiality as a Disclosure Standard Release No.:2024-28
Published date grouping:February 2024 Date: Headline: SEC Announces Departure of William Birdthistle; Natasha Vij Greiner Named Director of the Division of Investment Management Release No.:2024-27
Published date grouping:February 2024 Date: Headline: SEC Charges Former Alfi CEO Paul Pereira with Fraud for Making False Statements on Social Media Release No.:2024-26
Published date grouping:February 2024 Date: Headline: SEC Updates Ethics Rules Governing Securities Trading by Agency Personnel Release No.:2024-25
Published date grouping:February 2024 Date: Headline: SEC Charges Husband of Energy Company Manager with Insider Trading Release No.:2024-24
Published date grouping:February 2024 Date: Headline: SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the State of the IPO Market Release No.:2024-23
Published date grouping:February 2024 Date: Headline: SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers Release No.:2024-22
Published date grouping:February 2024 Date: Headline: SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations Release No.:2024-21
Published date grouping:February 2024 Date: Headline: SEC Charges Van Eck Associates for Failing to Disclose Influencer’s Role in Connection with ETF Launch Release No.:2024-20
Published date grouping:February 2024 Date: Headline: SEC Proposes Rule to Update Definition of Qualifying Venture Capital Funds Release No.:2024-19
Published date grouping:February 2024 Date: Headline: Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures Release No.:2024-18
Published date grouping:February 2024 Date: Headline: SEC Adopts Amendments to Enhance Private Fund Reporting Release No.:2024-17
Published date grouping:February 2024 Date: Headline: SEC Charges TradeStation Crypto for Unregistered Offer and Sale of Crypto Asset Lending Product Release No.:2024-16
Published date grouping:February 2024 Date: Headline: SEC Charges China-Based Tech Company Cloopen Group with Accounting Fraud Release No.:2024-15
Published date grouping:February 2024 Date: Headline: SEC Adopts Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers” Release No.:2024-14
Published date grouping:February 2024 Date: Headline: SEC Charges Founder of American Bitcoin Academy Online Crypto Course with Fraud Targeting Students Release No.:2024-13
Published date grouping:February 2024 Date: Headline: SEC to Host Law School Summit Highlighting Need for Investor Access to Legal Counsel Release No.:2024-12
Published date grouping:January 2024 Date: Headline: SEC Charges Founder of $1.7 Billion “HyperFund” Crypto Pyramid Scheme and Top Promoter with Fraud Release No.:2024-11
Published date grouping:January 2024 Date: Headline: SEC Charges Northern Star SPAC for Material Misrepresentations in its IPO-Related Disclosures Release No.:2024-10
Published date grouping:January 2024 Date: Headline: SEC Charges Chicago-based Aon Investments and Former Partner with Misleading Pennsylvania Public Employees’ Pension Fund Release No.:2024-9
Published date grouping:January 2024 Date: Headline: SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections Release No.:2024-8
Published date grouping:January 2024 Date: Headline: J.P. Morgan to Pay $18 Million for Violating Whistleblower Protection Rule Release No.:2024-7
Published date grouping:January 2024 Date: Headline: SEC Charges Morgan Stanley and Former Executive Pawan Passi with Fraud in Block Trading Business Release No.:2024-6
Published date grouping:January 2024 Date: Headline: SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures Release No.:2024-5
Published date grouping:January 2024 Date: Headline: SEC Charges Global Software Company SAP for FCPA Violations Release No.:2024-4
Published date grouping:January 2024 Date: Headline: SEC Appoints Stacey Bowers as Small Business Advocate Release No.:2024-3
Published date grouping:January 2024 Date: Headline: SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief Release No.:2024-2
Published date grouping:January 2024 Date: Headline: Mark Uyeda Sworn in for Second Term as SEC Commissioner Release No.:2024-1
Published date grouping:December 2023 Date: Headline: Dean C. Metry Named Chief Administrative Law Judge at SEC Release No.:2023-259
Published date grouping:December 2023 Date: Headline: BarnBridge DAO Agrees to Stop Unregistered Offer and Sale of Structured Finance Crypto Product Release No.:2023-258
Published date grouping:December 2023 Date: Headline: SEC Awards More Than $28 Million to Seven Whistleblowers Release No.:2023-257
Published date grouping:December 2023 Date: Headline: SEC Charges UAE-Based Brooge Energy and Former Executives with Fraud Release No.:2023-256
Published date grouping:December 2023 Date: Headline: SEC Charges Former CEO of Medical Device Startup Stimwave with $41 Million Fraud Release No.:2023-255
Published date grouping:December 2023 Date: Headline: SEC Charges Tingo Mobile Founder, Three Companies with Massive Fraud and Obtains Emergency Relief Release No.:2023-254
Published date grouping:December 2023 Date: Headline: SEC Issues Staff Report on Accredited Investor Definition Release No.:2023-253
Published date grouping:December 2023 Date: Headline: SEC Small Business Advocacy Office Delivers Report to Congress on Capital Raising from Startups to Small Public Companies Release No.:2023-252
Published date grouping:December 2023 Date: Headline: SEC Charges Titanium Capital and Founder Henry Abdo with Operating Ponzi Scheme Release No.:2023-251
Published date grouping:December 2023 Date: Headline: SEC Obtains Emergency Relief to Halt $191 Million Cattle Ponzi Scheme Release No.:2023-250
Published date grouping:December 2023 Date: Headline: Credit Suisse Entities to Pay $10 Million for Providing Prohibited Mutual Fund Services Release No.:2023-249
Published date grouping:December 2023 Date: Headline: SEC Approves 2024 PCAOB Budget and Accounting Support Fee Release No.:2023-248
Published date grouping:December 2023 Date: Headline: SEC Adopts Rules to Improve Risk Management in Clearance and Settlement and Facilitate Additional Central Clearing for the U.S. Treasury Market Release No.:2023-247
Published date grouping:December 2023 Date: Headline: Daniel R. Gregus, Director of the Chicago Regional Office, to Depart the SEC Release No.:2023-246
Published date grouping:December 2023 Date: Headline: SEC Charges Five Unregistered Brokers, Four Companies in Widespread Pre-IPO Fraud Scheme Release No.:2023-245
Published date grouping:December 2023 Date: Headline: SEC Office of the Investor Advocate Publishes Its Policy Recommendations on Mandatory Arbitration and Registered Index-Linked Annuities Research Release No.:2023-244
Published date grouping:November 2023 Date: Headline: SEC Investor Advisory Committee to Examine Use of Complex Investment Products and Strategies by Self-Directed Investors and Discuss Practical Applications for Enhancing Financial Literacy at December 7 Meeting Release No.:2023-243
Published date grouping:November 2023 Date: Headline: SEC Charges Phoenix-Area Real Estate Fund Adviser Jonathan Larmore with $35 Million Fraud Release No.:2023-242
Published date grouping:November 2023 Date: Headline: SEC Names Kate E. Zoladz as Regional Director of Los Angeles Office Release No.:2023-241
Published date grouping:November 2023 Date: Headline: SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations Release No.:2023-240
Published date grouping:November 2023 Date: Headline: SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the Role of Diversity in the Investment Process Release No.:2023-239
Published date grouping:November 2023 Date: Headline: SEC Charges New York Businessman with Fraud and Unregistered Sales of Securities to Investors Seeking Permanent Residency in the U.S. Release No.:2023-238
Published date grouping:November 2023 Date: Headline: SEC Charges Kraken for Operating as an Unregistered Securities Exchange, Broker, Dealer, and Clearing Agency Release No.:2023-237
Published date grouping:November 2023 Date: Headline: SEC Adopts Rules to Improve Clearing Agency Governance and Mitigate Conflicts of Interest Release No.:2023-236
Published date grouping:November 2023 Date: Headline: Charter Communications to Pay $25 Million Penalty for Stock Buyback Controls Violations Release No.:2023-235
Published date grouping:November 2023 Date: Headline: SEC Announces Enforcement Results for Fiscal Year 2023 Release No.:2023-234
Published date grouping:November 2023 Date: Headline: SEC Charges Former Co-CEOs of Tech Start-Up Bitwise Industries for Falsifying Documents While Raising $70 Million From Investors Release No.:2023-233
Published date grouping:November 2023 Date: Headline: SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations Release No.:2023-232
Published date grouping:November 2023 Date: Headline: SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud Release No.:2023-231
Published date grouping:November 2023 Date: Headline: SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities Release No.:2023-230
Published date grouping:November 2023 Date: Headline: SEC Charges Crypto Company SafeMoon and its Executive Team for Fraud and Unregistered Offering of Crypto Securities Release No.:2023-229
Published date grouping:October 2023 Date: Headline: SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme Release No.:2023-228
Published date grouping:October 2023 Date: Headline: SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures Release No.:2023-227
Published date grouping:October 2023 Date: Headline: SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised Release No.:2023-226
Published date grouping:October 2023 Date: Headline: SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks Release No.:2023-225
Published date grouping:October 2023 Date: Headline: Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution Release No.:2023-224
Published date grouping:October 2023 Date: Headline: SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community Release No.:2023-223
Published date grouping:October 2023 Date: Headline: SEC Division of Examinations Announces 2024 Priorities Release No.:2023-222
Published date grouping:October 2023 Date: Headline: SEC Adopts Rule to Increase Transparency Into Short Selling and Amendment to CAT NMS Plan for Purposes of Short Sale Data Collection Release No.:2023-221
Published date grouping:October 2023 Date: Headline: SEC Adopts Rule to Increase Transparency in the Securities Lending Market Release No.:2023-220
Published date grouping:October 2023 Date: Headline: SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting Release No.:2023-219
Published date grouping:October 2023 Date: Headline: SEC Names Stephanie Allen as Director of Media Relations and Speechwriting Release No.:2023-218
Published date grouping:October 2023 Date: Headline: SEC Spotlights Due Diligence During World Investor Week 2023 Release No.:2023-217
Published date grouping:September 2023 Date: Headline: SEC, MSRB, & FINRA to Hold Virtual Compliance Outreach Program Release No.:2023-216
Published date grouping:September 2023 Date: Headline: SEC Proposes Tailored Registration Form for Offerings of Registered Index-Linked Annuities Release No.:2023-215
Published date grouping:September 2023 Date: Headline: SEC Charges International Accounting Firm Prager Metis with Hundreds of Auditor Independence Violations Release No.:2023-214
Published date grouping:September 2023 Date: Headline: SEC Charges D. E. Shaw with Violating Whistleblower Protection Rule Release No.:2023-213
Published date grouping:September 2023 Date: Headline: SEC Charges 10 Firms with Widespread Recordkeeping Failures Release No.:2023-212
Published date grouping:September 2023 Date: Headline: SEC Charges Two Credit Rating Agencies, DBRS and KBRA, with Longstanding Recordkeeping Failures Release No.:2023-211
Published date grouping:September 2023 Date: Headline: SEC Charges Newell Brands and Former CEO for Misleading Investors About Sales Performance Release No.:2023-210
Published date grouping:September 2023 Date: Headline: Albemarle Corp. to Pay SEC More Than $103 Million to Settle FCPA Violations Release No.:2023-209
Published date grouping:September 2023 Date: Headline: SEC Charges Electric Vehicle Co. for Misleading Revenue Projections Ahead of SPAC Merger Release No.:2023-208
Published date grouping:September 2023 Date: Headline: SEC Charges Exelon, its Subsidiary Commonwealth Edison, and Subsidiary’s Former CEO Anne Pramaggiore with Fraud in Connection with Political Corruption Scheme Release No.:2023-207
Published date grouping:September 2023 Date: Headline: SEC Charges Clear Channel Outdoor with FCPA Violations Relating to China Subsidiary Release No.:2023-206
Published date grouping:September 2023 Date: Headline: SEC Charges Former Pareteum Executives with Accounting and Disclosure Fraud Release No.:2023-205
Published date grouping:September 2023 Date: Headline: SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading Release No.:2023-204
Published date grouping:September 2023 Date: Headline: SEC Charges Three Southern California Siblings with Insider Trading Release No.:2023-203
Published date grouping:September 2023 Date: Headline: SEC Appoints George Botic to the Public Company Accounting Oversight Board Release No.:2023-202
Published date grouping:September 2023 Date: Headline: SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings Release No.:2023-201
Published date grouping:September 2023 Date: Headline: SEC Charges Hydrogen Vehicle Co. Hyzon Motors and Two Former Executives for Misleading Investors Release No.:2023-200
Published date grouping:September 2023 Date: Headline: SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts Release No.:2023-199
Published date grouping:September 2023 Date: Headline: New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising Release No.:2023-198
Published date grouping:September 2023 Date: Headline: SEC Charges Advisory Firm Bruderman Asset Management and its Principal for Failing to Disclose Misuse of Investment Funds Release No.:2023-197
Published date grouping:September 2023 Date: Headline: SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme Release No.:2023-196
Published date grouping:September 2023 Date: Headline: SEC Charges GTT Communications for Disclosure Failures Release No.:2023-195
Published date grouping:September 2023 Date: Headline: Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations and Misstatements Regarding ESG Investments Release No.:2023-194
Published date grouping:September 2023 Date: Headline: SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties Release No.:2023-193
Published date grouping:September 2023 Date: Headline: SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations Release No.:2023-192
Published date grouping:September 2023 Date: Headline: Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data Release No.:2023-191
Published date grouping:September 2023 Date: Headline: SEC Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Investors Release No.:2023-190
Published date grouping:September 2023 Date: Headline: SEC Approves Revised Privacy Act Rule Release No.:2023-189
Published date grouping:September 2023 Date: Headline: SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names Release No.:2023-188
Published date grouping:September 2023 Date: Headline: SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community Release No.:2023-187
Published date grouping:September 2023 Date: Headline: SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Official Release No.:2023-186
Published date grouping:September 2023 Date: Headline: SEC Investor Advisory Committee to Discuss Exempt Offerings and Accredited Investors at September 21 Meeting Release No.:2023-185
Published date grouping:September 2023 Date: Headline: SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule Release No.:2023-184
Published date grouping:September 2023 Date: Headline: SEC Issues New Strategic Plan for Diversity, Equity, Inclusion, and Accessibility Release No.:2023-183
Published date grouping:September 2023 Date: Headline: SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction Release No.:2023-182
Published date grouping:September 2023 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2023-181
Published date grouping:September 2023 Date: Headline: SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking Release No.:2023-180
Published date grouping:September 2023 Date: Headline: SEC Proposes Improvements to EDGAR Filer Access and Account Management Release No.:2023-179
Published date grouping:September 2023 Date: Headline: SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs Release No.:2023-178
Published date grouping:September 2023 Date: Headline: SEC Small Business Advisory Committee to Discuss Funding for Early-Stage Companies and Alternative Funding for Small Businesses Release No.:2023-177
Published date grouping:September 2023 Date: Headline: SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers Release No.:2023-176
Published date grouping:September 2023 Date: Headline: SEC Charges Alternative Investment Platform YieldStreet for Misleading Investors Release No.:2023-175
Published date grouping:September 2023 Date: Headline: SEC Charges National Office Partner at Marcum for Causing Widespread Quality Control Deficiencies Release No.:2023-174
Published date grouping:September 2023 Date: Headline: SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers Release No.:2023-173
Published date grouping:September 2023 Date: Headline: SEC Charges Privately Held Monolith Resources for Using Separation Agreements that Violated Whistleblower Protection Rules Release No.:2023-172
Published date grouping:September 2023 Date: Headline: Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities Release No.:2023-171
Published date grouping:September 2023 Date: Headline: SEC Charges Fluor Corp. for Accounting Improprieties Release No.:2023-170
Published date grouping:September 2023 Date: Headline: SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail Release No.:2023-169
Published date grouping:September 2023 Date: Headline: SEC Charges Five Advisory Firms for Custody Rule Violations Release No.:2023-168
Published date grouping:September 2023 Date: Headline: SEC Charges Private Equity Firm Prime Group for Inadequate Disclosure of Fees Paid to Affiliate Release No.:2023-167
Published date grouping:September 2023 Date: Headline: SEC Directs Equity Exchanges and FINRA to Improve Governance of Market Data Plans Release No.:2023-166
Published date grouping:August 2023 Date: Headline: SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses Release No.:2023-165
Published date grouping:August 2023 Date: Headline: SEC Charges Archipelago Trading Services with Failing to File Suspicious Activity Reports Release No.:2023-164
Published date grouping:August 2023 Date: Headline: SEC Charges LA-Based Media and Entertainment Co. Impact Theory for Unregistered Offering of NFTs Release No.:2023-163
Published date grouping:August 2023 Date: Headline: SEC Announces First Fee Rate Advisory for Fiscal Year 2024 Release No.:2023-162
Published date grouping:August 2023 Date: Headline: SEC Awards Whistleblower More Than $18 Million Release No.:2023-161
Published date grouping:August 2023 Date: Headline: SEC Charges 3M with Foreign Corrupt Practices Act Violations Relating to China Subsidiary Release No.:2023-160
Published date grouping:August 2023 Date: Headline: Wells Fargo Settles with SEC for Charging Excessive Advisory Fees Release No.:2023-159
Published date grouping:August 2023 Date: Headline: SEC Charges Former Attorney at U.S.-Based Global Law Firm with Insider Trading Release No.:2023-158
Published date grouping:August 2023 Date: Headline: SEC Charges Former New Jersey Corrections Officer with Crypto Fraud Scheme Targeting Law Enforcement Personnel Release No.:2023-157
Published date grouping:August 2023 Date: Headline: SEC Reopens Comment Period for Enhanced Safeguarding Rule for Registered Investment Advisers Proposal Release No.:2023-156
Published date grouping:August 2023 Date: Headline: SEC Enhances the Regulation of Private Fund Advisers Release No.:2023-155
Published date grouping:August 2023 Date: Headline: SEC Adopts Amendments to Exemption From National Securities Association Membership Release No.:2023-154
Published date grouping:August 2023 Date: Headline: SEC Charges FinTech Investment Adviser Titan for Misrepresenting Hypothetical Performance of Investments and other Violations Release No.:2023-153
Published date grouping:August 2023 Date: Headline: SEC Charges UK Audit Firm, CEO, and Senior Auditor for Failures in Connection with De-SPAC Transaction Release No.:2023-152
Published date grouping:August 2023 Date: Headline: Colombian Conglomerate Grupo Aval and Its Bank Subsidiary to Pay $40 Million to Settle FCPA Violations Release No.:2023-151
Published date grouping:August 2023 Date: Headline: Crypto Asset Trading Platform Bittrex and Former CEO to Settle SEC Charges for Operating an Unregistered Exchange, Broker, and Clearing Agency Release No.:2023-150
Published date grouping:August 2023 Date: Headline: SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures Release No.:2023-149
Published date grouping:August 2023 Date: Headline: Fund Administrator Charged For Missing Red Flags Release No.:2023-148
Published date grouping:August 2023 Date: Headline: SEC Awards More Than $104 Million to Seven Whistleblowers Release No.:2023-147
Published date grouping:August 2023 Date: Headline: SEC Charges Florida Investment Adviser a Second Time for Insider Trading Release No.:2023-145
Published date grouping:August 2023 Date: Headline: SEC Charges New Jersey-Based ETF Manager for Fraudulent Conduct and Bars Founder Release No.:2023-144
Published date grouping:July 2023 Date: Headline: SEC Charges Hex Founder Richard Heart with Misappropriating Millions of Dollars of Investor Funds from Unregistered Crypto Asset Securities Offerings that Raised more than $1 Billion Release No.:2023-143
Published date grouping:July 2023 Date: Headline: SEC Charges Florida Resident with Operating $35 Million Ponzi Scheme that Targeted Church Members Release No.:2023-142
Published date grouping:July 2023 Date: Headline: SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet Release No.:2023-141
Published date grouping:July 2023 Date: Headline: SEC Proposes New Requirements to Address Risks to Investors From Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Release No.:2023-140
Published date grouping:July 2023 Date: Headline: SEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies Release No.:2023-139
Published date grouping:July 2023 Date: Headline: SEC Charges Investor Joseph C. Lewis and Associates with Insider Trading Release No.:2023-138
Published date grouping:July 2023 Date: Headline: SEC Names Natasha Vij Greiner and Keith E. Cassidy Interim Acting Co-Directors of the Division of Examinations Release No.:2023-137
Published date grouping:July 2023 Date: Headline: SEC, NASAA, and Wisconsin DFI to Host Investor Roundtable in Madison, Wisconsin on July 25 Release No.:2023-136
Published date grouping:July 2023 Date: Headline: SEC Charges Digital World SPAC for Material Misrepresentations to Investors Release No.:2023-135
Published date grouping:July 2023 Date: Headline: SEC Charges Twice-Convicted Fraudster Eliyahu Weinstein and Five Others with $38 Million Ponzi-Like Scheme to Defraud Investors Release No.:2023-134
Published date grouping:July 2023 Date: Headline: SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities Release No.:2023-133
Published date grouping:July 2023 Date: Headline: SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange Release No.:2023-132
Published date grouping:July 2023 Date: Headline: SEC Awards Whistleblower More Than $9 Million Release No.:2023-131
Published date grouping:July 2023 Date: Headline: SEC Proposes Rule Amendments to the Broker-Dealer Customer Protection Rule Release No.:2023-130
Published date grouping:July 2023 Date: Headline: SEC Adopts Money Market Fund Reforms and Amendments to Form PF Reporting Requirements for Large Liquidity Fund Advisers Release No.:2023-129
Published date grouping:July 2023 Date: Headline: SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports Release No.:2023-128
Published date grouping:July 2023 Date: Headline: SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members Release No.:2023-127
Published date grouping:July 2023 Date: Headline: SEC Charges “Smart” Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability Release No.:2023-126
Published date grouping:June 2023 Date: Headline: SEC Charges Two Oregon Residents and Their Related Entities with $10 Million Ponzi-Like Scheme Release No.:2023-125
Published date grouping:June 2023 Date: Headline: SEC Charges Stockbroker and Friend with Insider Trading Release No.:2023-124
Published date grouping:June 2023 Date: Headline: SEC Charges Former Pfizer Statistician with Insider Trading Ahead of COVID-19 Announcement Release No.:2022-123
Published date grouping:June 2023 Date: Headline: SEC Charges Police Chief, Four Others in Connection with Insider Trading Before Pharmaceutical Merger Release No.:2023-122
Published date grouping:June 2023 Date: Headline: SEC Charges Former DWAC Board Member and Others for Insider Trading in DWAC Securities Release No.:2023-121
Published date grouping:June 2023 Date: Headline: SEC Charges Former MusclePharm Executives with Accounting and Disclosure Fraud Release No.:2023-120
Published date grouping:June 2023 Date: Headline: SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer Release No.:2023-119
Published date grouping:June 2023 Date: Headline: SEC Charges Florida Resident for Operating $112 Million Ponzi Scheme that Targeted Haitian-American Community Release No.:2023-118
Published date grouping:June 2023 Date: Headline: SEC Charges Convicted Fraudster in Real Estate Ponzi Scheme Release No.:2023-117
Published date grouping:June 2023 Date: Headline: SEC Charges Investment Fund Founder William K. Ichioka with $25 Million Offering Fraud Release No.:2023-116
Published date grouping:June 2023 Date: Headline: SEC Investor Advisory Committee to Discuss Private Funds and Outbound Investments to Countries of Concern, Digital Engagement Practices, and Audit Committee Workloads at June 22nd Meeting Release No.:2023-115
Published date grouping:June 2023 Date: Headline: SEC Charges Audit Firm Marcum LLP for Widespread Quality Control Deficiencies Release No.:2023-114
Published date grouping:June 2023 Date: Headline: SEC Reopens Comment Period for Position Reporting of Large Security-Based Swap Positions Release No.:2023-113
Published date grouping:June 2023 Date: Headline: SEC Charges Private Equity Fund Adviser for Overcharging Fees and Failing To Disclose Fee Calculation Conflict Release No.:2023-112
Published date grouping:June 2023 Date: Headline: SEC Charges Stanley Black & Decker and Former Executive for Failures in Executive Perks Disclosure Release No.:2023-111
Published date grouping:June 2023 Date: Headline: SEC Secures Emergency Relief to Protect Binance.US Customers’ Assets Release No.:2023-110
Published date grouping:June 2023 Date: Headline: SEC Charges PIMCO for Disclosure and Policies and Procedures Failures Release No.:2023-109
Published date grouping:June 2023 Date: Headline: Michele Layne, Director of Los Angeles Regional Office, to Leave SEC Release No.:2023-108
Published date grouping:June 2023 Date: Headline: SEC Charges Investment Adviser and Principal in Abusive Naked Short Selling Scheme Release No.:2023-107
Published date grouping:June 2023 Date: Headline: SEC Unveils New Public Service Campaign Encouraging Older Investors to Never Stop Learning Release No.:2023-106
Published date grouping:June 2023 Date: Headline: SEC Adopts Amendments to Remove References to Credit Ratings From Regulation M Release No.:2023-105
Published date grouping:June 2023 Date: Headline: SEC Adopts Rules to Prevent Fraud in Connection with Security-Based Swaps Transactions and Prevent Undue Influence over CCOs Release No.:2023-104
Published date grouping:June 2023 Date: Headline: SEC Seeks Emergency Relief to Ensure Binance.US Customers’ Assets are Protected Release No.:2023-103
Published date grouping:June 2023 Date: Headline: SEC Charges Coinbase for Operating as an Unregistered Securities Exchange, Broker, and Clearing Agency Release No.:2023-102
Published date grouping:June 2023 Date: Headline: SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao Release No.:2023-101
Published date grouping:June 2023 Date: Headline: Small Business Advisory Committee June Meeting to Focus on Capital Raising and Reducing Funding Gaps for Underrepresented Founders Release No.:2023-100
Published date grouping:May 2023 Date: Headline: Former Wells Fargo Senior Executive Carrie Tolstedt Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric Release No.:2023-99
Published date grouping:May 2023 Date: Headline: Former Coinbase Manager and His Brother Agree to Settle Insider Trading Charges Relating to Crypto Asset Securities Release No.:2023-98
Published date grouping:May 2023 Date: Headline: SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraud Release No.:2023-97
Published date grouping:May 2023 Date: Headline: Mellissa Campbell Duru Named Division of Corporation Finance’s Deputy Director for Legal and Regulatory Policy Release No.:2023-96
Published date grouping:May 2023 Date: Headline: SEC Proposes Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies Release No.:2023-95
Published date grouping:May 2023 Date: Headline: SEC Charges 10 Microcap Companies with Securities Offering Registration Violations Release No.:2023-94
Published date grouping:May 2023 Date: Headline: SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts Release No.:2023-93
Published date grouping:May 2023 Date: Headline: Dutch Medical Supplier Philips to Pay More Than $62 Million to Settle FCPA Charges Release No.:2023-92
Published date grouping:May 2023 Date: Headline: SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures Release No.:2023-91
Published date grouping:May 2023 Date: Headline: SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations Release No.:2023-90
Published date grouping:May 2023 Date: Headline: SEC Issues Largest-Ever Whistleblower Award Release No.:2023-89
Published date grouping:May 2023 Date: Headline: SEC Charges Advisory Firm and Part-Owner for Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs Release No.:2023-88
Published date grouping:May 2023 Date: Headline: SEC Announces New Members of Small Business Capital Formation Advisory Committee Release No.:2023-87
Published date grouping:May 2023 Date: Headline: SEC Adopts Amendments to Enhance Private Fund Reporting Release No.:2023-86
Published date grouping:May 2023 Date: Headline: SEC Adopts Amendments to Modernize Share Repurchase Disclosure Release No.:2023-85
Published date grouping:May 2023 Date: Headline: SEC Alleges Son and Father-in-Law Touted Faith to Target Church Members in $20 Million Offering Fraud Release No.:2023-84
Published date grouping:April 2023 Date: Headline: SEC Reopens Comment Period for Proposed Rule Amendments to Modernize Beneficial Ownership Reporting Release No.:2023-83
Published date grouping:April 2023 Date: Headline: SEC’s Division of Investment Management to Host Inaugural Conference on Emerging Trends in Asset Management Release No.:2023-82
Published date grouping:April 2023 Date: Headline: Eric R. Werner Named Director of Fort Worth Regional Office Release No.:2023-81
Published date grouping:April 2023 Date: Headline: SEC Charges Investment Adviser Betterment for Misstatements Concerning Tax Loss Harvesting Service Release No.:2023-80
Published date grouping:April 2023 Date: Headline: SEC Appoints Deborah J. Jeffrey as Inspector General Release No.:2023-79
Published date grouping:April 2023 Date: Headline: SEC Charges Crypto Asset Trading Platform Bittrex and its Former CEO for Operating an Unregistered Exchange, Broker, and Clearing Agency Release No.:2023-78
Published date grouping:April 2023 Date: Headline: SEC Reopens Comment Period for Proposed Amendments to Exchange Act Rule 3b-16 and Provides Supplemental Information Release No.:2023-77
Published date grouping:April 2023 Date: Headline: Registration Opens for the SEC’s 42nd Annual Small Business Forum to Impact Capital Raising Policy Release No.:2023-76
Published date grouping:April 2023 Date: Headline: SEC’s OMWI FY 2022 Annual Report Highlights the Agency’s Diversity, Equity, and Inclusion Initiatives and Progress Release No.:2023-75
Published date grouping:April 2023 Date: Headline: SEC Charges Founder of Frank with Fraud in Connection with $175 Million Sale of Student Loan Assistance Company Release No.:2023-74
Published date grouping:April 2023 Date: Headline: SEC Charges Merrill Lynch for Failing to Disclose Foreign Exchange Fees to Clients Release No.:2023-73
Published date grouping:April 2023 Date: Headline: SEC Charges Chatham Asset Management and Founder Anthony Melchiorre for Improper Fixed Income Securities Trading Release No.:2023-72
Published date grouping:April 2023 Date: Headline: SEC to Highlight Free Investor Education Resources During Financial Capability Month Release No.:2023-71
Published date grouping:March 2023 Date: Headline: Mark Reinhold Named SEC Chief Human Capital Officer Release No.:2023-70
Published date grouping:March 2023 Date: Headline: SEC Charges Three Executives at U.S. Navy Shipbuilder Austal USA with Accounting Fraud Release No.:2023-69
Published date grouping:March 2023 Date: Headline: SEC Awards More Than $12 Million to Two Whistleblowers Release No.:2023-68
Published date grouping:March 2023 Date: Headline: SEC to Host Municipal Securities Disclosure Conference Release No.:2023-67
Published date grouping:March 2023 Date: Headline: SEC Charges Hedge Fund Trader and Broker-Dealer Partner in Multi-Million Dollar SPAC Insider Trading Scheme Release No.:2023-66
Published date grouping:March 2023 Date: Headline: SEC Charges Private Fund Auditor and Audit Engagement Partner with Improper Professional Conduct Release No.:2023-65
Published date grouping:March 2023 Date: Headline: SEC Charges Crypto Trading Platform Beaxy and its Executives for Operating an Unregistered Exchange, Broker, and Clearing Agency Release No.:2023-64
Published date grouping:March 2023 Date: Headline: Brazilian Mining Company to Pay $55.9 Million to Settle Charges Related to Misleading Disclosures Prior to Deadly Dam Collapse Release No.:2023-63
Published date grouping:March 2023 Date: Headline: SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraud Release No.:2023-62
Published date grouping:March 2023 Date: Headline: SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activity Release No.:2023-61
Published date grouping:March 2023 Date: Headline: SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players Release No.:2023-60
Published date grouping:March 2023 Date: Headline: SEC Charges Crypto Entrepreneur Justin Sun and His Companies for Fraud and Other Securities Law Violations Release No.:2023-59
Published date grouping:March 2023 Date: Headline: SEC Proposes to Modernize the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934 Release No.:2023-58
Published date grouping:March 2023 Date: Headline: SEC Virtual Outreach Event Highlights Students on the Frontlines of Investor Protection Release No.:2023-57
Published date grouping:March 2023 Date: Headline: SEC Office of Municipal Securities Issues FAQs for Registration of Municipal Advisors Release No.:2023-56
Published date grouping:March 2023 Date: Headline: SEC Charges Cannabis Company American Patriot Brands, CEO, and Others with Fraud Release No.:2023-55
Published date grouping:March 2023 Date: Headline: SEC Reopens Comment Period for Proposed Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds Release No.:2023-54
Published date grouping:March 2023 Date: Headline: SEC Proposes to Expand and Update Regulation SCI Release No.:2023-53
Published date grouping:March 2023 Date: Headline: SEC Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities Markets Release No.:2023-52
Published date grouping:March 2023 Date: Headline: SEC Proposes Changes to Reg S-P to Enhance Protection of Customer Information Release No.:2023-51
Published date grouping:March 2023 Date: Headline: SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme Release No.:2023-50
Published date grouping:March 2023 Date: Headline: SEC Charges IT Services Provider DXC Technology Co. for Misleading Non-GAAP Disclosures Release No.:2023-49
Published date grouping:March 2023 Date: Headline: SEC Charges Software Company Blackbaud Inc. for Misleading Disclosures About Ransomware Attack That Impacted Charitable Donors Release No.:2023-48
Published date grouping:March 2023 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2023-47
Published date grouping:March 2023 Date: Headline: SEC Charges Rio Tinto plc with Bribery Controls Failures Release No.:2023-46
Published date grouping:March 2023 Date: Headline: SEC Files Emergency Action Against Miami Investment Adviser BKCoin and Principal Kevin Kang for Orchestrating $100 Million Crypto Fraud Scheme Release No.:2023-45
Published date grouping:March 2023 Date: Headline: SEC Charges Silver Edge Financial and Equity Acquisition Company With Unregistered Broker-Dealer Activity Relating to Pre-IPO Funds Release No.:2023-44
Published date grouping:March 2023 Date: Headline: SEC Charges Global Transportation Company Greenbrier and Former CEO for Failing to Disclose Perks and Payments Release No.:2023-43
Published date grouping:March 2023 Date: Headline: SEC Charges Ontrak Chairman Terren Peizer With Insider Trading Release No.:2023-42
Published date grouping:March 2023 Date: Headline: Fee Rate Advisory #3 for Fiscal Year 2023 Release No.:2023-41
Published date grouping:February 2023 Date: Headline: SEC Charges Nishad Singh with Defrauding Investors in Crypto Asset Trading Platform FTX Release No.:2023-40
Published date grouping:February 2023 Date: Headline: SEC Investor Advisory Committee to Discuss the Growth of Private Markets, Oversight of Investment Advisers, and Open-End Fund Liquidity Risk Management at March 2nd Meeting Release No.:2023-39
Published date grouping:February 2023 Date: Headline: SEC Charges Cousins for Insider Trading in Kodak Stock Ahead of Company’s Planned Govt. Partnership to Assist in Response to COVID-19 Release No.:2023-38
Published date grouping:February 2023 Date: Headline: SEC Charges Ozy Media and its CEO Carlos Watson with Widespread Scheme to Defraud Investors Release No.:2023-37
Published date grouping:February 2023 Date: Headline: SEC Charges African Gold Acquisition Corp. with Internal Controls, Reporting, and Recordkeeping Failures Release No.:2023-36
Published date grouping:February 2023 Date: Headline: SEC Charges The Church of Jesus Christ of Latter-day Saints and Its Investment Management Company for Disclosure Failures and Misstated Filings Release No.:2023-35
Published date grouping:February 2023 Date: Headline: SEC Charges NBA Hall of Famer Paul Pierce for Unlawfully Touting and Making Misleading Statements about Crypto Security Release No.:2023-34
Published date grouping:February 2023 Date: Headline: SEC Charges Final Participant in Multi-Million Dollar Scheme to Spread and Trade on False Rumors about Public Companies Release No.:2023-33
Published date grouping:February 2023 Date: Headline: SEC Charges Terraform and CEO Do Kwon with Defrauding Investors in Crypto Schemes Release No.:2023-32
Published date grouping:February 2023 Date: Headline: SEC Charges Options Clearing Corporation with Rule Failures Release No.:2023-31
Published date grouping:February 2023 Date: Headline: SEC Proposes Enhanced Safeguarding Rule for Registered Investment Advisers Release No.:2023-30
Published date grouping:February 2023 Date: Headline: SEC Finalizes Rules to Reduce Risks in Clearance and Settlement Release No.:2023-29
Published date grouping:February 2023 Date: Headline: SEC Proposes Revision to Privacy Act Rule Release No.:2023-28
Published date grouping:February 2023 Date: Headline: Cicely LaMothe Named Deputy Director, Disclosure Operations, for the Division of Corporation Finance Release No.:2023-27
Published date grouping:February 2023 Date: Headline: SEC Charges Former CEO of Slync in $67 Million Offering Fraud Release No.:2023-26
Published date grouping:February 2023 Date: Headline: Kraken to Discontinue Unregistered Offer and Sale of Crypto Asset Staking-As-A-Service Program and Pay $30 Million to Settle SEC Charges Release No.:2023-25
Published date grouping:February 2023 Date: Headline: SEC Division of Examinations Announces 2023 Priorities Release No.:2023-24
Published date grouping:February 2023 Date: Headline: SEC Seeks Applicants for Public Company Accounting Oversight Board Seat Release No.:2023-23
Published date grouping:February 2023 Date: Headline: Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule Release No.:2023-22
Published date grouping:February 2023 Date: Headline: SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations Release No.:2023-21
Published date grouping:January 2023 Date: Headline: Small Business Advisory Committee to Host Meeting to Discuss Alternatives to Traditional Private Company Financing, Private Fund Reforms, and Public Company Investment Research Release No.:2023-20
Published date grouping:January 2023 Date: Headline: SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnel Release No.:2023-19
Published date grouping:January 2023 Date: Headline: Silvestre Fontes Named Director of Boston Regional Office Release No.:2023-18
Published date grouping:January 2023 Date: Headline: SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations Release No.:2023-17
Published date grouping:January 2023 Date: Headline: SEC Issues $28 Million Award to Joint Whistleblowers Release No.:2023-16
Published date grouping:January 2023 Date: Headline: Fee Rate Advisory #2 For Fiscal Year 2023 Release No.:2023-15
Published date grouping:January 2023 Date: Headline: Bloomberg to Pay $5 Million for Misleading Disclosures About Its Valuation Methodologies for Fixed Income Securities Release No.:2023-14
Published date grouping:January 2023 Date: Headline: SEC Charges Avraham Eisenberg with Manipulating Mango Markets’ “Governance Token” to Steal $116 Million of Crypto Assets Release No.:2023-13
Published date grouping:January 2023 Date: Headline: SEC Seeks Candidates for Small Business Capital Formation Advisory Committee Release No.:2023-12
Published date grouping:January 2023 Date: Headline: Nexo Agrees to Pay $45 Million in Penalties and Cease Unregistered Offering of Crypto Asset Lending Product Release No.:2023-11
Published date grouping:January 2023 Date: Headline: SEC Awards Approximately $18 Million to Three Whistleblowers Release No.:2023-10
Published date grouping:January 2023 Date: Headline: SEC Announces Departure of Renee Jones; Erik Gerding Named Director of Division of Corporation Finance Release No.:2023-9
Published date grouping:January 2023 Date: Headline: SEC Awards More Than $5 Million to Whistleblower Release No.:2023-8
Published date grouping:January 2023 Date: Headline: SEC Charges Genesis and Gemini for the Unregistered Offer and Sale of Crypto Asset Securities through the Gemini Earn Lending Program Release No.:2023-7
Published date grouping:January 2023 Date: Headline: Paul Munter Named Chief Accountant Release No.:2023-6
Published date grouping:January 2023 Date: Headline: SEC Announces Appointment of Cristina Martin Firvida as Investor Advocate Release No.:2023-5
Published date grouping:January 2023 Date: Headline: SEC Charges McDonald’s Former CEO for Misrepresentations About His Termination Release No.:2023-4
Published date grouping:January 2023 Date: Headline: SEC Charges Former BlackRock Portfolio Manager with Undisclosed Conflict of Interest Release No.:2023-3
Published date grouping:January 2023 Date: Headline: SEC Charges Creator of CoinDeal Crypto Scheme and Seven Others in Connection with $45 Million Fraud Release No.:2023-2
Published date grouping:January 2023 Date: Headline: SEC Charges Former SPAC CFO for Orchestrating $5 Million Fraud Scheme Release No.:2023-1
Published date grouping:December 2022 Date: Headline: Antonia Apps Named Director of New York Regional Office Release No.:2022-237
Published date grouping:December 2022 Date: Headline: SEC Approves the 2023 Public Company Accounting Oversight Board Budget and Accounting Support Fee Release No.:2022-236
Published date grouping:December 2022 Date: Headline: SEC Announces Departure of Dan Berkovitz; Megan Barbero Named General Counsel Release No.:2022-235
Published date grouping:December 2022 Date: Headline: SEC Charges Caroline Ellison and Gary Wang with Defrauding Investors in Crypto Asset Trading Platform FTX Release No.:2022-234
Published date grouping:December 2022 Date: Headline: Sarah ten Siethoff Named Deputy Director of the Division of Investment Management Release No.:2022-233
Published date grouping:December 2022 Date: Headline: SEC Charges Former CEO of Biotech Company CytoDyn with Fraud, Insider Trading Release No.:2022-232
Published date grouping:December 2022 Date: Headline: SEC Awards More Than $37 Million to Whistleblower Release No.:2022-231
Published date grouping:December 2022 Date: Headline: SEC Charges Honeywell with Bribery Schemes in Algeria and Brazil Release No.:2022-230
Published date grouping:December 2022 Date: Headline: SEC Small Business Advocacy Office Releases Annual Report on Capital Raising Release No.:2022-229
Published date grouping:December 2022 Date: Headline: SEC Charges Financial Services Professional and Associate in $47 Million Front-Running Scheme Release No.:2022-228
Published date grouping:December 2022 Date: Headline: SEC Charges Four Individuals in Crypto Pyramid Scheme that Targeted Spanish-Speaking Communities Release No.:2022-227
Published date grouping:December 2022 Date: Headline: SEC Proposes Regulation Best Execution Release No.:2022-226
Published date grouping:December 2022 Date: Headline: SEC Proposes Rule to Enhance Competition for Individual Investor Order Execution Release No.:2022-225
Published date grouping:December 2022 Date: Headline: SEC Proposes Rules to Amend Minimum Pricing Increments and Access Fee Caps and to Enhance the Transparency of Better Priced Orders Release No.:2022-224
Published date grouping:December 2022 Date: Headline: SEC Proposes Amendments to Enhance Disclosure of Order Execution Information Release No.:2022-223
Published date grouping:December 2022 Date: Headline: SEC Adopts Amendments to Modernize Rule 10b5-1 Insider Trading Plans and Related Disclosures Release No.:2022-222
Published date grouping:December 2022 Date: Headline: SEC Charges Eight Social Media Influencers in $100 Million Stock Manipulation Scheme Promoted on Discord and Twitter Release No.:2022-221
Published date grouping:December 2022 Date: Headline: SEC Charges Danske Bank with Fraud for Misleading Investors about Its Anti-Money Laundering Compliance Failures in Estonia Release No.:2022-220
Published date grouping:December 2022 Date: Headline: SEC Charges Samuel Bankman-Fried with Defrauding Investors in Crypto Asset Trading Platform FTX Release No.:2022-219
Published date grouping:December 2022 Date: Headline: SEC Awards More Than $20 Million to Whistleblower Release No.:2022-218
Published date grouping:December 2022 Date: Headline: SEC Charges Vika Ventures and its CEO in $6 Million Fraudulent Offering Release No.:2022-217
Published date grouping:December 2022 Date: Headline: SEC Reopens Comment Period for Proposed Rule on Share Repurchase Disclosure Modernization Release No.:2022-216
Published date grouping:December 2022 Date: Headline: AT&T Settles SEC Charge of Selectively Disclosing Material Information to Wall St. Analysts Release No.:2022-215
Published date grouping:December 2022 Date: Headline: ABB Settles SEC Charges That It Engaged in Bribery Scheme in South Africa Release No.:2022-214
Published date grouping:December 2022 Date: Headline: SEC Investor Advisory Committee to Discuss Investor Account Statements, Corporate Tax Transparency, and Single-Stock ETFs on Dec 8 Release No.:2022-213
Published date grouping:December 2022 Date: Headline: Fort Worth Regional Director David L. Peavler to Leave SEC Release No.:2022-212
Published date grouping:November 2022 Date: Headline: SEC Awards $20 Million to Whistleblower Release No.:2022-211
Published date grouping:November 2022 Date: Headline: SEC Publishes FY22-26 Strategic Plan Release No.:2022-210
Published date grouping:November 2022 Date: Headline: SEC Charges Goldman Sachs Asset Management for Failing to Follow its Policies and Procedures Involving ESG Investments Release No.:2022-209
Published date grouping:November 2022 Date: Headline: SEC Seeks to Stop the Registration of Misleading Crypto Asset Offerings Release No.:2022-208
Published date grouping:November 2022 Date: Headline: SEC Charges Unregistered Brokers That Facilitated More Than $1.2 Billion in Primarily Penny Stock Trades Release No.:2022-207
Published date grouping:November 2022 Date: Headline: SEC Announces Enforcement Results for FY22 Release No.:2022-206
Published date grouping:November 2022 Date: Headline: SEC Charges S&P Global Ratings with Conflict of Interest Violations Release No.:2022-205
Published date grouping:November 2022 Date: Headline: SEC Charges Pharmaceutical Co. Chief Information Officer in $8 Million Insider Trading Scheme Release No.:2022-204
Published date grouping:November 2022 Date: Headline: SEC Announces Departure of Chief of Staff Prashant Yerramalli and Appointment of Amanda Fischer to the Role Release No.:2022-203
Published date grouping:November 2022 Date: Headline: Keith E. Cassidy and Natasha Vij Greiner Appointed Deputy Directors of Division of Examinations Release No.:2022-202
Published date grouping:November 2022 Date: Headline: SEC Charges Creator of Global Crypto Ponzi Scheme and Three US Promoters in Connection with $295 Million Fraud Release No.:2022-201
Published date grouping:November 2022 Date: Headline: SEC Charges Halal Capital Founder with Multimillion Dollar Fraudulent Scheme That Targeted Muslim Community Release No.:2022-200
Published date grouping:November 2022 Date: Headline: SEC Proposes Enhancements to Open-End Fund Liquidity Framework Release No.:2022-199
Published date grouping:November 2022 Date: Headline: SEC Adopts Rules to Enhance Proxy Voting Disclosure by Registered Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers Release No.:2022-198
Published date grouping:October 2022 Date: Headline: SEC Charges Incarcerated Felon and Five Friends in $2 Million Fraud Scheme Release No.:2022-197
Published date grouping:October 2022 Date: Headline: SEC Awards More Than $10 Million to Whistleblower Release No.:2022-196
Published date grouping:October 2022 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2022-195
Published date grouping:October 2022 Date: Headline: SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers Release No.:2022-194
Published date grouping:October 2022 Date: Headline: SEC Adopts Amendments to Modernize Fund Shareholder Reports and Promote Transparent Fee- and Expense-Related Information in Fund Advertisements Release No.:2022-193
Published date grouping:October 2022 Date: Headline: SEC Adopts Compensation Recovery Listing Standards and Disclosure Rules Release No.:2022-192
Published date grouping:October 2022 Date: Headline: SEC Charges Canadian Cannabis Company and Former Senior Executive with Accounting Fraud Release No.:2022-191
Published date grouping:October 2022 Date: Headline: SEC Names Jason J. Burt as Regional Director of the Denver Office Release No.:2022-190
Published date grouping:October 2022 Date: Headline: SEC Charges Mattel with Financial Misstatements and Former PwC Audit Partner with Improper Professional Conduct Release No.:2022-189
Published date grouping:October 2022 Date: Headline: New Jersey Real Estate Development Firm and Four Executives Charged With $600 Million Ponzi-like Fraud Release No.:2022-188
Published date grouping:October 2022 Date: Headline: SEC Adopts Rule Amendments to Modernize How Broker-Dealers Preserve Electronic Records and Enhance the Electronic Recordkeeping Requirements for Security-Based Swap Entities Release No.:2022-187
Published date grouping:October 2022 Date: Headline: SEC Reopens Comment Periods for Several Rulemaking Releases Due to Technological Error in Receiving Certain Comments Release No.:2022-186
Published date grouping:October 2022 Date: Headline: Small Business Advisory Committee to Host Meeting to Discuss Entrepreneurship Hubs and the IPO Market Release No.:2022-185
Published date grouping:October 2022 Date: Headline: SEC to Spotlight Financial Planning and Resilience during World Investor Week 2022 Release No.:2022-184
Published date grouping:October 2022 Date: Headline: SEC Charges Kim Kardashian for Unlawfully Touting Crypto Security Release No.:2022-183
Published date grouping:September 2022 Date: Headline: SEC Charges Eight in Scheme to Fraudulently Promote Securities Offerings Release No.:2022-182
Published date grouping:September 2022 Date: Headline: SEC Charges Two Canadian Software Engineers with Insider Trading Release No.:2022-181
Published date grouping:September 2022 Date: Headline: SEC Charges Audit Firm RSM and Three Senior-Level Employees with Failure to Properly Conduct Client Audits Release No.:2022-180
Published date grouping:September 2022 Date: Headline: Barclays Agrees to a $361 Million Settlement to Resolve SEC Charges Relating to Over-Issuances of Securities Release No.:2022-179
Published date grouping:September 2022 Date: Headline: SEC Charges Man for Defrauding Investors out of Millions of Dollars by Posing as Hedge Fund Billionaire Release No.:2022-178
Published date grouping:September 2022 Date: Headline: SEC Monitoring Impact of Hurricanes Ian and Fiona on Capital Markets Release No.:2022-177
Published date grouping:September 2022 Date: Headline: Deloitte’s Chinese Affiliate to Pay $20 Million Penalty for Asking Audit Clients to Conduct Their Own Audit Work Release No.:2022-176
Published date grouping:September 2022 Date: Headline: SEC Charges The Hydrogen Technology Corp. and its Former CEO for Market Manipulation of Crypto Asset Securities Release No.:2022-175
Published date grouping:September 2022 Date: Headline: SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures Release No.:2022-174
Published date grouping:September 2022 Date: Headline: SEC Charges Oracle a Second Time for Violations of the Foreign Corrupt Practices Act Release No.:2022-173
Published date grouping:September 2022 Date: Headline: SEC Charges Father-Son Duo and Associate in Market Manipulation Schemes Resulting in a New Jersey Deli with a $100 Million Valuation Release No.:2022-172
Published date grouping:September 2022 Date: Headline: SEC Charges Compass Minerals for Misleading Investors about Its Operations at World’s Largest Underground Salt Mine Release No.:2022-171
Published date grouping:September 2022 Date: Headline: Boeing to Pay $200 Million to Settle SEC Charges that it Misled Investors about the 737 MAX Release No.:2022-170
Published date grouping:September 2022 Date: Headline: SEC Charges Cheetah Mobile’s CEO and its Former President with Insider Trading Release No.:2022-169
Published date grouping:September 2022 Date: Headline: Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers Release No.:2022-168
Published date grouping:September 2022 Date: Headline: Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering Release No.:2022-167
Published date grouping:September 2022 Date: Headline: SEC Investor Advisory Committee to Discuss Human Capital Labor Valuation, Security-Based Swaps, Beneficial Ownership, and ESG Disclosure on Sept. 21 Release No.:2022-166
Published date grouping:September 2022 Date: Headline: Office of the Investor Advocate Releases Research Study on Fund Performance Benchmarks Release No.:2022-165
Published date grouping:September 2022 Date: Headline: SEC Charges Gol Intelligent Airlines, Brazil’s Second Largest Airline, with FCPA Violations Release No.:2022-164
Published date grouping:September 2022 Date: Headline: SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule Release No.:2022-163
Published date grouping:September 2022 Date: Headline: SEC Proposes Rules to Improve Risk Management in Clearance and Settlement and to Facilitate Additional Central Clearing for the U.S. Treasury Market Release No.:2022-162
Published date grouping:September 2022 Date: Headline: SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law Release No.:2022-161
Published date grouping:September 2022 Date: Headline: SEC Charges VMware with Misleading Investors by Obscuring Financial Performance Release No.:2022-160
Published date grouping:September 2022 Date: Headline: SEC Charges Hudson Advisors and Lone Star Global for Failing to Disclose that Fund Fees Included More Than $50 Million of Owner’s Income Tax Liability Release No.:2022-159
Published date grouping:September 2022 Date: Headline: SEC Division of Corporation Finance to Add Industry Offices Focused on Crypto Assets and Industrial Applications and Services Release No.:2022-158
Published date grouping:September 2022 Date: Headline: SEC Adopts JOBS Act Inflation Adjustments Release No.:2022-157
Published date grouping:September 2022 Date: Headline: SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both Release No.:2022-156
Published date grouping:September 2022 Date: Headline: SEC Charges Perceptive Advisors for Failing to Disclose SPAC-Related Conflicts of Interest Release No.:2022-155
Published date grouping:September 2022 Date: Headline: SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees Release No.:2022-154
Published date grouping:August 2022 Date: Headline: SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients out of More Than $75 Million Release No.:2022-153
Published date grouping:August 2022 Date: Headline: SEC Issues First Fee Rate Advisory for Fiscal Year 2023 Release No.:2022-152
Published date grouping:August 2022 Date: Headline: SEC Amends Whistleblower Rules to Incentivize Whistleblower Tips Release No.:2022-151
Published date grouping:August 2022 Date: Headline: SEC Charges Infrastructure Company Granite Construction and Former Executive with Financial Reporting Fraud Release No.:2022-150
Published date grouping:August 2022 Date: Headline: SEC Adopts Pay Versus Performance Disclosure Rules Release No.:2022-149
Published date grouping:August 2022 Date: Headline: SEC Publishes Draft FY22-26 Strategic Plan for Public Comment Release No.:2022-148
Published date grouping:August 2022 Date: Headline: SEC Charges Barred Broker and His Company with Defrauding Older Americans Release No.:2022-147
Published date grouping:August 2022 Date: Headline: SEC Charges Eagle Bancorp and Former CEO with Failing to Disclose Related Party Loans Release No.:2022-146
Published date grouping:August 2022 Date: Headline: SEC Charges 18 Defendants in International Scheme to Manipulate Stocks Using Hacked US Brokerage Accounts Release No.:2022-145
Published date grouping:August 2022 Date: Headline: SEC Names Monique Winkler as Regional Director of San Francisco Office Release No.:2022-144
Published date grouping:August 2022 Date: Headline: SEC Names Nicholas Grippo as Regional Director of Philadelphia Office Release No.:2022-143
Published date grouping:August 2022 Date: Headline: Lori H. Price Named Director of Office of Credit Ratings Release No.:2022-142
Published date grouping:August 2022 Date: Headline: SEC Proposes to Enhance Private Fund Reporting Release No.:2022-141
Published date grouping:August 2022 Date: Headline: SEC Charges Angel Oak Capital Advisors with Misleading Investors in $90 Million Fix-and-Flip Securitization Release No.:2022-140
Published date grouping:August 2022 Date: Headline: SEC Awards More Than $16 Million to Two Whistleblowers Release No.:2022-139
Published date grouping:August 2022 Date: Headline: SEC Proposes Rules to Improve Clearing Agency Governance and to Mitigate Conflicts of Interest Release No.:2022-138
Published date grouping:August 2022 Date: Headline: SEC Charges Surgical Implant Manufacturer Surgalign and Former Senior Executives with Accounting and Disclosure Fraud Release No.:2022-137
Published date grouping:August 2022 Date: Headline: SEC Appoints Anthony C. Thompson to Second Term on PCAOB Release No.:2022-136
Published date grouping:August 2022 Date: Headline: SEC Charges Convertible Note Dealer and its Long Island-Based Owners for Failure to Register Release No.:2022-135
Published date grouping:August 2022 Date: Headline: SEC Charges Eleven Individuals in $300 Million Crypto Pyramid Scheme Release No.:2022-134
Published date grouping:July 2022 Date: Headline: SEC Re-Proposes Amendments to Exemption From National Securities Association Membership Release No.:2022-133
Published date grouping:July 2022 Date: Headline: New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising Release No.:2022-132
Published date grouping:July 2022 Date: Headline: SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft Release No.:2022-131
Published date grouping:July 2022 Date: Headline: SEC Small Business Advisory Committee to Discuss Liquidity Challenges for Investors in Small and Emerging Businesses Release No.:2022-130
Published date grouping:July 2022 Date: Headline: SEC Files Multiple Insider Trading Actions Originating from the Market Abuse Unit's Analysis and Detection Center Release No.:2022-129
Published date grouping:July 2022 Date: Headline: SEC Charges Former Indiana Congressman with Insider Trading Release No.:2022-128
Published date grouping:July 2022 Date: Headline: SEC Charges Former Coinbase Manager, Two Others in Crypto Asset Insider Trading Action Release No.:2022-127
Published date grouping:July 2022 Date: Headline: SEC Charges Tampa-Based Health Insurance Distributor and its Former CEO with Making False Statements to Investors Release No.:2022-126
Published date grouping:July 2022 Date: Headline: SEC Issues More than $17 Million Award to a Whistleblower Release No.:2022-125
Published date grouping:July 2022 Date: Headline: Equitable Financial To Pay $50 Million Penalty To Settle SEC Charges That It Provided Misleading Account Statements to Investors Release No.:2022-124
Published date grouping:July 2022 Date: Headline: Jaime Lizárraga Sworn In as SEC Commissioner Release No.:2022-123
Published date grouping:July 2022 Date: Headline: SEC Awards Whistleblowers More Than $6 Million Release No.:2022-122
Published date grouping:July 2022 Date: Headline: SEC Proposes Amendments to Shareholder Proposal Rule Release No.:2022-121
Published date grouping:July 2022 Date: Headline: SEC Adopts Amendments to Proxy Rules Governing Proxy Voting Advice Release No.:2022-120
Published date grouping:June 2022 Date: Headline: SEC Charges Empires Consulting Corp. with Fake Trading Scheme Release No.:2022-119
Published date grouping:June 2022 Date: Headline: Mark T. Uyeda Sworn In as SEC Commissioner Release No.:2022-118
Published date grouping:June 2022 Date: Headline: UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy Release No.:2022-117
Published date grouping:June 2022 Date: Headline: Denver Regional Director Kurt L. Gottschall to Leave SEC Release No.:2022-116
Published date grouping:June 2022 Date: Headline: Tracy S. Combs Named Director of SEC’s Salt Lake Regional Office Release No.:2022-115
Published date grouping:June 2022 Date: Headline: Ernst & Young to Pay $100 Million Penalty for Employees Cheating on CPA Ethics Exams and Misleading Investigation Release No.:2022-114
Published date grouping:June 2022 Date: Headline: SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers Release No.:2022-113
Published date grouping:June 2022 Date: Headline: SEC Announces Spring 2022 Regulatory Agenda Release No.:2022-112
Published date grouping:June 2022 Date: Headline: SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations Release No.:2022-111
Published date grouping:June 2022 Date: Headline: SEC Charges Firm and Five Brokers with Violations of Reg BI Release No.:2022-110
Published date grouping:June 2022 Date: Headline: SEC Requests Information and Comment on Advisers Act Regulatory Status of Index Providers, Model Portfolio Providers, and Pricing Services Release No.:2022-109
Published date grouping:June 2022 Date: Headline: SEC Charges Rochester, NY, and City’s Former Executives and Municipal Advisor with Misleading Investors Release No.:2022-108
Published date grouping:June 2022 Date: Headline: SEC Charges Private Equity Adviser for Failing to Disclose Disproportionate Expense Allocations to Fund Release No.:2022-107
Published date grouping:June 2022 Date: Headline: SEC Charges Weiss Asset Management with Short Selling Violations Release No.:2022-106
Published date grouping:June 2022 Date: Headline: SEC Charges Former Employee of Online Gambling Company with Insider Trading Release No.:2022-105
Published date grouping:June 2022 Date: Headline: Schwab Subsidiaries Misled Robo-Adviser Clients about Absence of Hidden Fees Release No.:2022-104
Published date grouping:June 2022 Date: Headline: SEC Reopens Comment Period for Proposed Rule on Recovery of Erroneously Awarded Compensation Release No.:2022-103
Published date grouping:June 2022 Date: Headline: SEC Charges CohnReznick LLP and Three Partners with Improper Professional Conduct Release No.:2022-102
Published date grouping:June 2022 Date: Headline: SEC Charges New Jersey Software Company and Senior Employees with Accounting-Related Misconduct Release No.:2022-101
Published date grouping:June 2022 Date: Headline: SEC Investor Advisory Committee to Discuss Non-Traditional Accounting and Climate Disclosure on June 9 Release No.:2022-100
Published date grouping:June 2022 Date: Headline: SEC Updates Electronic Filing Requirements Release No.:2022-99
Published date grouping:June 2022 Date: Headline: SEC Charges Global Steel Pipe Manufacturer with Violating Foreign Corrupt Practices Act Release No.:2022-98
Published date grouping:June 2022 Date: Headline: SEC Charges Louisiana Town and Former Mayor with Fraud in Two Municipal Bond Deals Release No.:2022-97
Published date grouping:June 2022 Date: Headline: SEC Announces Eight New Investor Advisory Committee Members Release No.:2022-96
Published date grouping:June 2022 Date: Headline: SEC Launches Game Show-Themed Public Service Campaign Release No.:2022-95
Published date grouping:May 2022 Date: Headline: SEC Charges Company and Former CEO with Misleading Investors about Sale of Covid-19 Test Kits Release No.:2022-94
Published date grouping:May 2022 Date: Headline: SEC Announces Departure of Investor Advocate Rick A. Fleming Release No.:2022-93
Published date grouping:May 2022 Date: Headline: SEC Proposes to Enhance Disclosures by Certain Investment Advisers and Investment Companies About ESG Investment Practices Release No.:2022-92
Published date grouping:May 2022 Date: Headline: SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names Release No.:2022-91
Published date grouping:May 2022 Date: Headline: SEC Halts Alleged Ongoing $39 Million Fraud by Hedge Fund Adviser Release No.:2022-90
Published date grouping:May 2022 Date: Headline: SEC Charges RiverSource Distributors with Improper Switching of Variable Annuities Release No.:2022-89
Published date grouping:May 2022 Date: Headline: SEC Charges TradeZero America and Co-Founder with Deceiving Customers about Meme Stock Trading Halts Release No.:2022-88
Published date grouping:May 2022 Date: Headline: Richard R. Best Named Director of Division of Examinations Release No.:2022-87
Published date grouping:May 2022 Date: Headline: SEC Charges BNY Mellon Investment Adviser for Misstatements and Omissions Concerning ESG Considerations Release No.:2022-86
Published date grouping:May 2022 Date: Headline: SEC Charges Wells Fargo Advisors With Anti-Money Laundering Related Violations Release No.:2022-85
Published date grouping:May 2022 Date: Headline: SEC Charges Allianz Global Investors and Three Former Senior Portfolio Managers with Multibillion Dollar Securities Fraud Release No.:2022-84
Published date grouping:May 2022 Date: Headline: SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer Release No.:2022-83
Published date grouping:May 2022 Date: Headline: SEC Extends Comment Period for Proposed Rules on Climate-Related Disclosures, Reopens Comment Periods for Proposed Rules Regarding Private Fund Advisers and Regulation ATS Release No.:2022-82
Published date grouping:May 2022 Date: Headline: SEC Halts Fraudulent Cryptomining and Trading Scheme Release No.:2022-81
Published date grouping:May 2022 Date: Headline: SEC Issues Nearly $3.5 Million Award to Four Whistleblowers Release No.:2022-80
Published date grouping:May 2022 Date: Headline: SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining Release No.:2022-79
Published date grouping:May 2022 Date: Headline: SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit Release No.:2022-78
Published date grouping:May 2022 Date: Headline: OMWI Reports Highlight Progress in Diversity, Equity and Inclusion Release No.:2022-77
Published date grouping:May 2022 Date: Headline: SEC Charges CEO and President of Synergy Settlement Services with Fraudulent Operation of Special Needs Pooled Trusts Release No.:2022-76
Published date grouping:April 2022 Date: Headline: SEC Commemorates Financial Capability Month with Robust Slate of Investor Education Events and Resources Release No.:2022-75
Published date grouping:April 2022 Date: Headline: Small Business Advisory Committee to Host Virtual Meeting to Discuss Proposed Rules on Climate Disclosures and SPACs Release No.:2022-74
Published date grouping:April 2022 Date: Headline: Medley Management and Former Co-CEOs to Pay $10 Million Penalty for Misleading Investors and Clients Release No.:2022-73
Published date grouping:April 2022 Date: Headline: SEC Charges Brazilian Mining Company with Misleading Investors about Safety Prior to Deadly Dam Collapse Release No.:2022-72
Published date grouping:April 2022 Date: Headline: Inspector General Carl W. Hoecker to Retire from SEC Release No.:2022-71
Published date grouping:April 2022 Date: Headline: SEC Charges Archegos and its Founder with Massive Market Manipulation Scheme Release No.:2022-70
Published date grouping:April 2022 Date: Headline: SEC Announces Older Investor Roundtable Event to Be Held April 28 Release No.:2022-69
Published date grouping:April 2022 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2022-68
Published date grouping:April 2022 Date: Headline: SEC Issues $6 Million Award to Five Whistleblowers Release No.:2022-67
Published date grouping:April 2022 Date: Headline: Former Domino’s Pizza Accountant to Pay Nearly $2 Million Penalty for Insider Trading Release No.:2022-66
Published date grouping:April 2022 Date: Headline: SEC Charges Stericycle with Bribery Schemes in Latin America Release No.:2022-65
Published date grouping:April 2022 Date: Headline: Atlanta-Based Pest Control Company, Former CFO Charged with Improper Earnings Management Release No.:2022-64
Published date grouping:April 2022 Date: Headline: SEC Charges Senior Executive of Brazilian Company with Fraud Release No.:2022-63
Published date grouping:April 2022 Date: Headline: SEC Uncovers $194 Million Penny Stock Schemes that Spanned Three Continents Release No.:2022-62
Published date grouping:April 2022 Date: Headline: SEC Obtains TRO and Asset Freeze against Alleged Perpetrators of nearly $450 Million Ponzi Scheme Release No.:2022-61
Published date grouping:April 2022 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2022 Release No.:2022-60
Published date grouping:April 2022 Date: Headline: SEC Proposes Rules for the Registration and Regulation of Security-Based Swap Execution Facilities Release No.:2022-59
Published date grouping:April 2022 Date: Headline: SEC: Takeover Bid of Fortune 500 Company was a Sham Release No.:2022-58
Published date grouping:March 2022 Date: Headline: SEC Division of Examinations Announces 2022 Examination Priorities Release No.:2022-57
Published date grouping:March 2022 Date: Headline: SEC Proposes Rules to Enhance Disclosure and Investor Protection Relating to Special Purpose Acquisition Companies, Shell Companies, and Projections Release No.:2022-56
Published date grouping:March 2022 Date: Headline: SEC Charges Seven California Residents in Insider Trading Ring Release No.:2022-55
Published date grouping:March 2022 Date: Headline: SEC Proposes Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers” Release No.:2022-54
Published date grouping:March 2022 Date: Headline: SEC to Host Free Virtual Outreach Event to Help Older Adults and Their Caregivers Avoid Financial Fraud Release No.:2022-53
Published date grouping:March 2022 Date: Headline: SEC Awards $1.25 Million to Whistleblower Release No.:2022-52
Published date grouping:March 2022 Date: Headline: San Francisco Regional Director Erin E. Schneider to Leave Agency Release No.:2022-51
Published date grouping:March 2022 Date: Headline: Women’s History Month Event: SEC to Host Free Virtual Financial Fraud Webinar Release No.:2022-50
Published date grouping:March 2022 Date: Headline: SEC Announces New Leadership in Examinations Division and New York Regional Office Release No.:2022-49
Published date grouping:March 2022 Date: Headline: Martha Legg Miller, Director of Small Business Advocate Office, to Leave SEC Release No.:2022-48
Published date grouping:March 2022 Date: Headline: SEC Proposes Amendments to Remove References to Credit Ratings from Regulation M Release No.:2022-47
Published date grouping:March 2022 Date: Headline: SEC Proposes Rules to Enhance and Standardize Climate-Related Disclosures for Investors Release No.:2022-46
Published date grouping:March 2022 Date: Headline: SEC Issues Awards Totaling Approximately $3 Million to Three Whistleblowers Release No.:2022-45
Published date grouping:March 2022 Date: Headline: Dave A. Sanchez to Lead Office of Municipal Securities Release No.:2022-44
Published date grouping:March 2022 Date: Headline: SEC Charges Texas School District and its Former CFO with Fraud in $20 Million Bond Sale Release No.:2022-43
Published date grouping:March 2022 Date: Headline: Register for the SEC’s 41st Annual Small Business Forum to Impact Capital Raising Policy Release No.:2022-42
Published date grouping:March 2022 Date: Headline: SEC Charges Call Center Operators in $58 Million Penny Stock Scheme Release No.:2022-41
Published date grouping:March 2022 Date: Headline: SEC Awards Approximately $14 Million to Whistleblower Release No.:2022-40
Published date grouping:March 2022 Date: Headline: SEC Proposes Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies Release No.:2022-39
Published date grouping:March 2022 Date: Headline: SEC Awards More Than $3.5 Million to Whistleblower Release No.:2022-38
Published date grouping:March 2022 Date: Headline: SEC Charges Siblings in $124 Million Crypto Fraud Operation that included Misleading Roadshows, YouTube Videos Release No.:2022-37
Published date grouping:March 2022 Date: Headline: SEC Investor Advisory Committee to Discuss Artificial Intelligence and Cybersecurity on March 10 Release No.:2022-36
Published date grouping:March 2022 Date: Headline: SEC Charges Previously-Barred Investment Adviser with Fraud Release No.:2022-35
Published date grouping:March 2022 Date: Headline: SEC Charges Venture Capital Fund Adviser with Misleading Investors Release No.:2022-34
Published date grouping:March 2022 Date: Headline: City National Rochdale to Pay More Than $30 Million for Undisclosed Conflicts of Interest Release No.:2022-33
Published date grouping:February 2022 Date: Headline: SEC Proposes Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments Release No.:2022-32
Published date grouping:February 2022 Date: Headline: SEC Charges Health Care Co. and Two Former Employees for Accounting Improprieties Release No.:2022-31
Published date grouping:February 2022 Date: Headline: Largest South Korean Telecommunications Co. Agrees to Pay the SEC to Settle FCPA Charges Release No.:2022-30
Published date grouping:February 2022 Date: Headline: SEC Charges Infinity Q Founder with Orchestrating Massive Valuation Fraud Release No.:2022-29
Published date grouping:February 2022 Date: Headline: Rita Sampson Named Director of Office of Equal Employment Opportunity Release No.:2022-28
Published date grouping:February 2022 Date: Headline: SEC Charges 12 Additional Financial Firms for Failure to Meet Form CRS Obligations Release No.:2022-27
Published date grouping:February 2022 Date: Headline: BlockFi Agrees to Pay $100 Million in Penalties and Pursue Registration of its Crypto Lending Product Release No.:2022-26
Published date grouping:February 2022 Date: Headline: Kelly L. Gibson, Director of the Philadelphia Regional Office, to Leave the SEC; Scott Thompson and Joy Thompson named Office Acting Co-Heads Release No.:2022-25
Published date grouping:February 2022 Date: Headline: SEC Charges Robo-Adviser with Misleading Clients Release No.:2022-24
Published date grouping:February 2022 Date: Headline: SEC Proposed Changes to Two Whistleblower Program Rules Release No.:2022-23
Published date grouping:February 2022 Date: Headline: SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting Release No.:2022-22
Published date grouping:February 2022 Date: Headline: SEC Issues Proposal to Reduce Risks in Clearance and Settlement Release No.:2022-21
Published date grouping:February 2022 Date: Headline: SEC Proposes Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds Release No.:2022-20
Published date grouping:February 2022 Date: Headline: SEC Proposes to Enhance Private Fund Investor Protection Release No.:2022-19
Published date grouping:February 2022 Date: Headline: SEC Advisory Committee Meeting to Explore Small Business Investment Issues Release No.:2022-18
Published date grouping:February 2022 Date: Headline: SEC Files Fraud Charges Alleging a Multimillion Dollar Scheme that Targeted Retirement Accounts Release No.:2022-17
Published date grouping:February 2022 Date: Headline: Lori H. Price Named Acting Director of the Office of Credit Ratings; Ahmed Abonamah to Leave SEC Release No.:2022-16
Published date grouping:January 2022 Date: Headline: SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations Release No.:2022-15
Published date grouping:January 2022 Date: Headline: Remediation Helps Tech Company Avoid Penalties Release No.:2022-14
Published date grouping:January 2022 Date: Headline: Kristin Snyder, Deputy Director of Division of Examinations, to Leave SEC Release No.:2022-13
Published date grouping:January 2022 Date: Headline: LizAnn Eisen Joins Division of Corporation Finance as Deputy Director, Disclosure Program Release No.:2022-12
Published date grouping:January 2022 Date: Headline: SEC Reopens Comment Period for Pay Versus Performance Release No.:2022-11
Published date grouping:January 2022 Date: Headline: SEC Proposes Amendments to Include Significant Treasury Markets Platforms Within Regulation ATS Release No.:2022-10
Published date grouping:January 2022 Date: Headline: SEC Proposes Amendments to Enhance Private Fund Reporting Release No.:2022-9
Published date grouping:January 2022 Date: Headline: Former Financial Advisor Charged with Stealing $5.8 Million from Client Release No.:2022-8
Published date grouping:January 2022 Date: Headline: SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers Release No.:2022-7
Published date grouping:January 2022 Date: Headline: SEC Seeks Candidates for Investor Advisory Committee Release No.:2022-6
Published date grouping:January 2022 Date: Headline: SEC Issues Awards Totaling More Than $4 Million to Whistleblowers Release No.:2022-5
Published date grouping:January 2022 Date: Headline: SEC Charges Three Florida Residents in Multi-Million Dollar Insider Trading Scheme Release No.:2022-4
Published date grouping:January 2022 Date: Headline: SEC Charges ICO Issuer and Founder with Defrauding Investors Release No.:2022-3
Published date grouping:January 2022 Date: Headline: SEC Awards Over $13 Million To Whistleblower Release No.:2022-2
Published date grouping:January 2022 Date: Headline: SEC Charges Additional Defendant in Phony Certificates of Deposit Scam Release No.:2022-1
Published date grouping:December 2021 Date: Headline: Chair Gensler Announces Additions to Executive Staff Release No.:2021-270
Published date grouping:December 2021 Date: Headline: SEC Charges Financial Company and Its President with Engaging in Fraudulent Schemes to Boost Stock Price Release No.:2021-269
Published date grouping:December 2021 Date: Headline: William Birdthistle Named Director of Division of Investment Management Release No.:2021-268
Published date grouping:December 2021 Date: Headline: Nikola Corporation to Pay $125 Million to Resolve Fraud Charges Release No.:2021-267
Published date grouping:December 2021 Date: Headline: SEC Charges Private Equity Fund Adviser with Fee and Expense Disclosure Failures Release No.:2021-266
Published date grouping:December 2021 Date: Headline: SEC Charges Five Russians in $80 Million Hacking and Trading Scheme Release No.:2021-265
Published date grouping:December 2021 Date: Headline: SEC Charges Clinical Drug Trial Investigator with Insider Trading Release No.:2021-264
Published date grouping:December 2021 Date: Headline: James E. Grimes Named Chief Administrative Law Judge at SEC Release No.:2021-263
Published date grouping:December 2021 Date: Headline: JPMorgan Admits to Widespread Recordkeeping Failures and Agrees to Pay $125 Million Penalty to Resolve SEC Charges Release No.:2021-262
Published date grouping:December 2021 Date: Headline: Wedbush Securities Charged with Unregistered Sales of Microcap Securities and Failing to Report Suspicious Transactions Release No.:2021-261
Published date grouping:December 2021 Date: Headline: SEC Approves 2022 PCAOB Budget and Accounting Support Fee Release No.:2021-260
Published date grouping:December 2021 Date: Headline: SEC Proposes Rules to Prevent Fraud in Connection With Security-Based Swaps Transactions, to Prevent Undue Influence over CCOs and to Require Reporting of Large Security-Based Swap Positions Release No.:2021-259
Published date grouping:December 2021 Date: Headline: SEC Proposes Amendments to Money Market Fund Rules Release No.:2021-258
Published date grouping:December 2021 Date: Headline: SEC Proposes New Share Repurchase Disclosure Rules Release No.:2021-257
Published date grouping:December 2021 Date: Headline: SEC Proposes Amendments Regarding Rule 10b5-1 Insider Trading Plans and Related Disclosures Release No.:2021-256
Published date grouping:December 2021 Date: Headline: SEC Charges Three Canadian Citizens in Fraudulent Penny Stock Scheme Release No.:2021-255
Published date grouping:December 2021 Date: Headline: Report From SEC Small Business Advocate Details Capital Raising During Past Year Release No.:2021-254
Published date grouping:December 2021 Date: Headline: SEC Issues Whistleblower Nearly $5 Million Award Release No.:2021-253
Published date grouping:December 2021 Date: Headline: SEC Charges Dialysis Provider and Three Former Senior Executives with Revenue Manipulation Scheme Release No.:2021-252
Published date grouping:December 2021 Date: Headline: Ernesto A. Lanza Named Acting Director of SEC Office of Municipal Securities Release No.:2021-251
Published date grouping:December 2021 Date: Headline: SEC Adopts Amendments to Finalize Rules Relating to the Holding Foreign Companies Accountable Act Release No.:2021-250
Published date grouping:December 2021 Date: Headline: SEC Charges Pharma CFO and Former Partner with Insider Trading Release No.:2021-249
Published date grouping:December 2021 Date: Headline: SEC Charges Latvian Citizen With Digital Asset Fraud Release No.:2021-248
Published date grouping:December 2021 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2021-247
Published date grouping:November 2021 Date: Headline: SEC Staff Issues Accounting Guidance on "Spring-Loaded" Compensation Awards to Executives Release No.:2021-246
Published date grouping:November 2021 Date: Headline: SEC Investor Advisory Committee to Meet Remotely on Dec. 2 Release No.:2021-245
Published date grouping:November 2021 Date: Headline: SEC Charges Oilfield Services Company and Former CEO With Failing to Disclose Executive Perks and Stock Pledges Release No.:2021-244
Published date grouping:November 2021 Date: Headline: SEC Issues Whistleblower Awards Totaling Approximately $10.4 Million Release No.:2021-243
Published date grouping:November 2021 Date: Headline: SEC Appoints Haoxiang Zhu Director of Division of Trading and Markets Release No.:2021-242
Published date grouping:November 2021 Date: Headline: McKinsey Affiliate to Pay $18 Million for Compliance Failures in Handling of Nonpublic Information Release No.:2021-241
Published date grouping:November 2021 Date: Headline: SEC Proposes Updates to Electronic Recordkeeping Requirements Release No.:2021-240
Published date grouping:November 2021 Date: Headline: SEC Proposes Rule to Provide Transparency in the Securities Lending Market Release No.:2021-239
Published date grouping:November 2021 Date: Headline: SEC Announces Enforcement Results for FY 2021 Release No.:2021-238
Published date grouping:November 2021 Date: Headline: SEC Charges Promoter with Conducting Cryptocurrency Investment Scams Release No.:2021-237
Published date grouping:November 2021 Date: Headline: SEC Proposes Rule Amendments to Proxy Rules Governing Proxy Voting Advice Release No.:2021-236
Published date grouping:November 2021 Date: Headline: SEC Adopts New Rules for Universal Proxy Cards in Contested Director Elections Release No.:2021-235
Published date grouping:November 2021 Date: Headline: Daniel R. Gregus Named Director of Chicago Office Release No.:2021-234
Published date grouping:November 2021 Date: Headline: Entrepreneurship in Rural and Under-Resourced Areas on Agenda for Small Business Capital Formation Advisory Committee Meeting Release No.:2021-233
Published date grouping:November 2021 Date: Headline: SEC Issues Awards Totaling More Than $15 Million to Two Whistleblowers Release No.:2021-232
Published date grouping:November 2021 Date: Headline: Registration of Two Digital Tokens Halted Release No.:2021-231
Published date grouping:November 2021 Date: Headline: SEC Charges Partner at Global Consulting Firm With Insider Trading Release No.:2021-230
Published date grouping:November 2021 Date: Headline: SEC Charges Exchange-Traded Product and Its General Partner With Disclosure Failures Release No.:2021-229
Published date grouping:November 2021 Date: Headline: SEC Appoints New Chairperson and Board Members to the Public Company Accounting Oversight Board Release No.:2021-228
Published date grouping:November 2021 Date: Headline: Ahmed Abonamah Named Director of Office of Credit Ratings Release No.:2021-227
Published date grouping:November 2021 Date: Headline: SEC Approves PCAOB Rule to Establish A Framework for Determinations Under the Holding Foreign Companies Accountable Act Release No.:2021-226
Published date grouping:November 2021 Date: Headline: Nicole Creola Kelly Named Chief of SEC Whistleblower Office Release No.:2021-225
Published date grouping:November 2021 Date: Headline: SEC Wins Jury Trial: Hedge Fund Adviser Found Liable for Securities Fraud Release No.:2021-224
Published date grouping:November 2021 Date: Headline: SEC Updates Electronic Filing Requirements Release No.:2021-223
Published date grouping:November 2021 Date: Headline: SEC Obtains Emergency Relief in Case Charging Claims Aggregator and Principals with Multi-Million Dollar Fraud Release No.:2021-222
Published date grouping:October 2021 Date: Headline: SEC Charges Newport Beach Company and its Principals with Operating a $13.5 Million Ponzi-Like Scheme Release No.:2021-221
Published date grouping:October 2021 Date: Headline: SEC Awards More Than $2 Million to Whistleblower for Successful Related Action Release No.:2021-220
Published date grouping:October 2021 Date: Headline: SEC Charges Fixed Income Clearing Corp. With Having Inadequate Risk Management Policies Release No.:2021-219
Published date grouping:October 2021 Date: Headline: Former Public Affairs Director John Nester to Retire from SEC Release No.:2021-218
Published date grouping:October 2021 Date: Headline: SEC Charges Financial Adviser With Stealing Investor Funds to Pay Off Credit Cards, Buy Gold Coins Release No.:2021-217
Published date grouping:October 2021 Date: Headline: Post-SPAC Music Streaming Company Reaches $38.8 Million Settlement in Ongoing Fraud Action Release No.:2021-216
Published date grouping:October 2021 Date: Headline: SEC Issues Agendas for October 28 and November 3 Meetings of the Asset Management Advisory Committee Release No.:2021-215
Published date grouping:October 2021 Date: Headline: SEC Obtains Asset Freeze and Other Relief in Halting Penny Stock Scheme on Twitter Release No.:2021-214
Published date grouping:October 2021 Date: Headline: Credit Suisse to Pay Nearly $475 Million to U.S. and U.K. Authorities to Resolve Charges in Connection with Mozambican Bond Offerings Release No.:2021-213
Published date grouping:October 2021 Date: Headline: SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021 Release No.:2021-212
Published date grouping:October 2021 Date: Headline: SEC Awards $40 Million to Two Whistleblowers Release No.:2021-211
Published date grouping:October 2021 Date: Headline: SEC Reopens Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation Release No.:2021-210
Published date grouping:October 2021 Date: Headline: SEC Modernizes Filing Fee Disclosure and Payment Methods Release No.:2021-209
Published date grouping:October 2021 Date: Headline: SEC Charges Hemp Company and Co-Founders With Fraud Release No.:2021-208
Published date grouping:October 2021 Date: Headline: SEC Highlights Investor Protection for World Investor Week 2021 Release No.:2021-207
Published date grouping:October 2021 Date: Headline: SEC Charges Webcast Host for Role in Market Manipulation Scheme Release No.:2021-206
Published date grouping:September 2021 Date: Headline: SEC Charges Rogue Trader Who Bankrupted His Firm Release No.:2021-205
Published date grouping:September 2021 Date: Headline: SEC Charges Former Executives of Registered Investment Adviser with Fraud Release No.:2021-204
Published date grouping:September 2021 Date: Headline: SEC Charges Investment Bank Compliance Analyst with Insider Trading in Parents’ Accounts and Obtains Asset Freeze Release No.:2021-203
Published date grouping:September 2021 Date: Headline: SEC Proposes to Enhance Proxy Voting Disclosure by Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers Release No.:2021-202
Published date grouping:September 2021 Date: Headline: SEC Atlanta Regional Office to Co-Host "Money and Markets: Trends and Risks for Retail Investors" Release No.:2021-201
Published date grouping:September 2021 Date: Headline: SEC Obtains Emergency Relief Against New York Real Estate Developer Charged with EB-5 Securities Fraud Release No.:2021-200
Published date grouping:September 2021 Date: Headline: SEC Bars Two Individuals from Whistleblower Award Program Release No.:2021-199
Published date grouping:September 2021 Date: Headline: Dan Berkovitz Named SEC General Counsel; John Coates to Leave SEC Release No.:2021-198
Published date grouping:September 2021 Date: Headline: Erik Gerding joins Division of Corporation Finance as Deputy Director, Legal and Regulatory Policy Release No.:2021-197
Published date grouping:September 2021 Date: Headline: SEC Charges Florida Payday Lender and CEO with Affinity Fraud Targeting the Venezuelan-American Community Release No.:2021-196
Published date grouping:September 2021 Date: Headline: SEC Charges Two Individuals for Wash Trading Scheme Involving Options of "Meme Stocks" Release No.:2021-195
Published date grouping:September 2021 Date: Headline: SEC Delivers Report to Congress with Recommendations from the 40th Annual Small Business Forum Release No.:2021-194
Published date grouping:September 2021 Date: Headline: SEC Charges Two Companies and Their Principals with Misleading Investors in More Than a Dozen Oil and Gas Securities Offerings Release No.:2021-193
Published date grouping:September 2021 Date: Headline: SEC Awards Approximately $36 Million to Whistleblower Release No.:2021-192
Published date grouping:September 2021 Date: Headline: SEC Charges World's Largest Advertising Group with FCPA Violations Release No.:2021-191
Published date grouping:September 2021 Date: Headline: SEC Issues Agenda for Sept. 27 Meeting of the Asset Management Advisory Committee Release No.:2021-190
Published date grouping:September 2021 Date: Headline: SEC Charges Principals of Subprime Automobile Finance Company with Fraud Release No.:2021-189
Published date grouping:September 2021 Date: Headline: SEC Charges Firm and Two Principals in First-Ever Actions Enforcing Rule on Duties of Municipal Advisors Release No.:2021-188
Published date grouping:September 2021 Date: Headline: SEC Charges U.K.-Based Father and Son, and Two Others in Transatlantic Microcap Fraud Scheme Release No.:2021-187
Published date grouping:September 2021 Date: Headline: SEC Charges Quant Analyst in Multimillion Dollar Front-Running Scheme Release No.:2021-186
Published date grouping:September 2021 Date: Headline: SEC Charges Puerto Rican Company and Managing Members with Fraud Release No.:2021-185
Published date grouping:September 2021 Date: Headline: Changing Dynamics Pre-IPO and Going Public on the Agenda for the SEC’s Small Business Capital Formation Advisory Committee Release No.:2021-184
Published date grouping:September 2021 Date: Headline: SEC Charges Crowdfunding Portal, Issuer, and Related Individuals for Fraudulent Offerings Release No.:2021-182
Published date grouping:September 2021 Date: Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors Release No.:2021-183
Published date grouping:September 2021 Date: Headline: SEC Charges Former Pharmaceutical Global IT Manager in $8 Million Insider Trading Scheme Release No.:2021-181
Published date grouping:September 2021 Date: Headline: SEC Awards $11.5 Million to Two Whistleblowers Release No.:2021-180
Published date grouping:September 2021 Date: Headline: RBC Charged With Failing to Give Priority to Retail and Institutional Investors in Municipal Offerings Release No.:2021-179
Published date grouping:September 2021 Date: Headline: SEC Charges School District and Former Executive with Misleading Investors in Bond Offering Release No.:2021-178
Published date grouping:September 2021 Date: Headline: SEC Surpasses $1 Billion in Awards to Whistleblowers with Two Awards Totaling $114 Million Release No.:2021-177
Published date grouping:September 2021 Date: Headline: SEC Charges App Annie and its Founder with Securities Fraud Release No.:2021-176
Published date grouping:September 2021 Date: Headline: SEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets Release No.:2021-175
Published date grouping:September 2021 Date: Headline: SEC Charges The Kraft Heinz Company and Two Former Executives for Engaging in Years-Long Accounting Scheme Release No.:2021-174
Published date grouping:September 2021 Date: Headline: SEC Investor Advisory Committee to Meet Remotely on Sept. 9 Release No.:2021-173
Published date grouping:September 2021 Date: Headline: SEC Charges Global Crypto Lending Platform and Top Executives in $2 Billion Fraud Release No.:2021-172
Published date grouping:August 2021 Date: Headline: SEC Monitoring Impact of Hurricane Ida on Capital Markets Release No.:2021-171
Published date grouping:August 2021 Date: Headline: SEC Obtains Emergency Relief, Charges Couple Who Operated $18 Million Ponzi scheme Release No.:2021-170
Published date grouping:August 2021 Date: Headline: SEC Announces Three Actions Charging Deficient Cybersecurity Procedures Release No.:2021-169
Published date grouping:August 2021 Date: Headline: SEC Issues Whistleblower Awards Totaling $2.6 Million Release No.:2021-168
Published date grouping:August 2021 Date: Headline: SEC Requests Information and Comment on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology Release No.:2021-167
Published date grouping:August 2021 Date: Headline: SEC Charges Underwriter and Its Former CEO With Misconduct In Muni Bond Tender Offer Release No.:2021-166
Published date grouping:August 2021 Date: Headline: Chair Gensler Announces Addition of Barbara Roper to Senior Staff Release No.:2021-165
Published date grouping:August 2021 Date: Headline: SEC Charges Former CEO of Technology Company With $80 Million Fraud Release No.:2021-164
Published date grouping:August 2021 Date: Headline: SEC Obtains Emergency Relief, Charges Investment Adviser and Its Principal with Operating $110 Million Ponzi Scheme Release No.:2021-163
Published date grouping:August 2021 Date: Headline: SEC Charges Healthcare Services Company and CFO for Failing to Accurately Report Loss Contingencies as part of Continuing EPS Initiative Release No.:2021-162
Published date grouping:August 2021 Date: Headline: SEC Enforcement Chief Counsel Joe Brenner Retires Release No.:2021-161
Published date grouping:August 2021 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2022 Release No.:2021-160
Published date grouping:August 2021 Date: Headline: SEC Enhances Access to Financial Disclosure Data Release No.:2021-159
Published date grouping:August 2021 Date: Headline: SEC Charges Netflix Insider Trading Ring Release No.:2021-158
Published date grouping:August 2021 Date: Headline: Sanjay Wadhwa Named Deputy Director of Enforcement Division Release No.:2021-157
Published date grouping:August 2021 Date: Headline: SEC Charges Investment Adviser and Associated Individuals with Causing Violations of Regulation SHO Release No.:2021-156
Published date grouping:August 2021 Date: Headline: SEC Charges Biopharmaceutical Company Employee with Insider Trading Release No.:2021-155
Published date grouping:August 2021 Date: Headline: SEC Charges Pearson plc for Misleading Investors About Cyber Breach Release No.:2021-154
Published date grouping:August 2021 Date: Headline: SEC Charges Penny Stock Company, CEO and Others with Multi-Million Dollar Fraud Release No.:2021-153
Published date grouping:August 2021 Date: Headline: U.S. Securities and Exchange Commission and the European Central Bank Sign Memorandum of Understanding Regarding Cooperation with Respect to Security-Based Swap Entities Release No.:2021-152
Published date grouping:August 2021 Date: Headline: SEC Obtains Emergency Relief, Charges Two Florida Companies and their Principal Officer with Operating a Ponzi Scheme Release No.:2021-151
Published date grouping:August 2021 Date: Headline: SEC Obtains Court Order to Stop Investment Adviser's Alleged Ongoing Offering Fraud Release No.:2021-150
Published date grouping:August 2021 Date: Headline: SEC Issues Nearly $6 Million in Whistleblower Awards Release No.:2021-149
Published date grouping:August 2021 Date: Headline: SEC Charges International Microcap Fraud Scheme Participants Release No.:2021-148
Published date grouping:August 2021 Date: Headline: SEC Charges Poloniex for Operating Unregistered Digital Asset Exchange Release No.:2021-147
Published date grouping:August 2021 Date: Headline: SEC Awards $3.5 Million to Whistleblowers in Two Enforcement Actions Release No.:2021-146
Published date grouping:August 2021 Date: Headline: SEC Charges Decentralized Finance Lender and Top Executives for Raising $30 Million Through Fraudulent Offerings Release No.:2021-145
Published date grouping:August 2021 Date: Headline: SEC Charges Ernst & Young, Three Audit Partners, and Former Public Company CAO with Audit Independence Misconduct Release No.:2021-144
Published date grouping:August 2021 Date: Headline: SEC Issues Whistleblower Awards Totaling More Than $4 Million Release No.:2021-143
Published date grouping:July 2021 Date: Headline: SEC Charges Real Estate CEO With Defrauding Investors Release No.:2021-142
Published date grouping:July 2021 Date: Headline: SEC Charges Founder of Nikola Corp. With Fraud Release No.:2021-141
Published date grouping:July 2021 Date: Headline: SEC Charges Unlicensed Broker With Defrauding Investors Release No.:2021-140
Published date grouping:July 2021 Date: Headline: SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures Release No.:2021-139
Published date grouping:July 2021 Date: Headline: SEC Issues Substituted Compliance Determination for France Release No.:2021-138
Published date grouping:July 2021 Date: Headline: YJ Fischer to Join SEC as Director of the Office of International Affairs Release No.:2021-137
Published date grouping:July 2021 Date: Headline: SEC Halts Alleged Ongoing Offering Fraud Involving Cycling Companies Release No.:2021-136
Published date grouping:July 2021 Date: Headline: SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investors Release No.:2021-135
Published date grouping:July 2021 Date: Headline: SEC Awards Nearly $3 Million to Whistleblower Release No.:2021-134
Published date grouping:July 2021 Date: Headline: SEC Charges Retailer and Former CEO for Accounting, Reporting, and Control Failures Release No.:2021-133
Published date grouping:July 2021 Date: Headline: SEC Files Charges in Multi-Million Dollar Fraud Involving Two Companies Release No.:2021-132
Published date grouping:July 2021 Date: Headline: SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer Release No.:2021-131
Published date grouping:July 2021 Date: Headline: UBS Settles Charges Related to Investments in Complex Exchange-Traded Product Release No.:2021-130
Published date grouping:July 2021 Date: Headline: Chair Gensler Announces Composition of Policy Team Release No.:2021-129
Published date grouping:July 2021 Date: Headline: SEC Awards More Than $1 Million to Whistleblower Release No.:2021-128
Published date grouping:July 2021 Date: Headline: SEC Charges Executives of Network Infrastructure Company With Accounting Fraud Release No.:2021-127
Published date grouping:July 2021 Date: Headline: Daniel S. Kahl Appointed Acting Director of the Division of Examinations; Peter B. Driscoll to Depart Agency Release No.:2021-126
Published date grouping:July 2021 Date: Headline: ICO “Listing” Website Charged With Unlawfully Touting Digital Asset Securities Release No.:2021-125
Published date grouping:July 2021 Date: Headline: SEC Charges SPAC, Sponsor, Merger Target, and CEOs for Misleading Disclosures Ahead of Proposed Business Combination Release No.:2021-124
Published date grouping:July 2021 Date: Headline: SEC Announces $97 Million Enforcement Action Against TIAA Subsidiary for Violations in Retirement Rollover Recommendations Release No.:2021-123
Published date grouping:July 2021 Date: Headline: SEC Charges TheBull with Selling "Insider Trading Tips" on the Dark Web Release No.:2021-122
Published date grouping:July 2021 Date: Headline: SEC Charges Three Individuals with Insider Trading Release No.:2021-121
Published date grouping:July 2021 Date: Headline: SEC Charges Company and Two Executives for Misleading COVID-19 Disclosures Release No.:2021-120
Published date grouping:July 2021 Date: Headline: SEC Issues Agenda for July 7 Meeting of Asset Management Advisory Committee Release No.:2021-119
Published date grouping:July 2021 Date: Headline: SEC Charges Hedge Fund Trader in Lucrative Front-Running Scheme Release No.:2021-118
Published date grouping:June 2021 Date: Headline: SEC Charges San Francisco Bay Area Finance Employee and Friend With Insider Trading Release No.:2021-117
Published date grouping:June 2021 Date: Headline: SEC Engages with Students for Their Perspectives on Emerging Issues Release No.:2021-116
Published date grouping:June 2021 Date: Headline: SEC Charges Self-Proclaimed Real Estate “Dealmaker” With Multiple Offering Frauds and Misappropriation of Investor Funds Release No.:2021-115
Published date grouping:June 2021 Date: Headline: SEC Appoints New Jersey Attorney General Gurbir S. Grewal as Director of Enforcement Release No.:2021-114
Published date grouping:June 2021 Date: Headline: SEC Charges Electronic Trading Platform for Operating As An Unregistered Broker-Dealer Release No.:2021-113
Published date grouping:June 2021 Date: Headline: SEC Charges Amec Foster Wheeler Limited With FCPA Violations Related To Brazilian Bribery Scheme Release No.:2021-112
Published date grouping:June 2021 Date: Headline: Joint Readout of Principals Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution Release No.:2021-111
Published date grouping:June 2021 Date: Headline: SEC Awards More Than $1 Million to Whistleblower Release No.:2021-110
Published date grouping:June 2021 Date: Headline: New SEC Public Service Campaign: Investing Regularly Really Adds Up Release No.:2021-109
Published date grouping:June 2021 Date: Headline: SEC Charges ICO Issuer and CEO With Fraud and Unregistered Securities Offering Release No.:2021-108
Published date grouping:June 2021 Date: Headline: SEC Obtains Asset Freeze Against Offshore Fund and Its Operators Release No.:2021-107
Published date grouping:June 2021 Date: Headline: SEC Issues Whistleblower Awards Totaling Nearly $5.3 Million Release No.:2021-106
Published date grouping:June 2021 Date: Headline: SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze Release No.:2021-105
Published date grouping:June 2021 Date: Headline: SEC, NASAA, and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors Release No.:2021-104
Published date grouping:June 2021 Date: Headline: Six Charged in Silicon Valley Insider Trading Ring Release No.:2021-103
Published date grouping:June 2021 Date: Headline: SEC Charges Issuer With Cybersecurity Disclosure Controls Failures Release No.:2021-102
Published date grouping:June 2021 Date: Headline: Renee Jones to Join SEC as Director of Corporation Finance; John Coates Named SEC General Counsel Release No.:2021-101
Published date grouping:June 2021 Date: Headline: SEC Awards Approximately $3 Million to Two Whistleblowers Release No.:2021-100
Published date grouping:June 2021 Date: Headline: SEC Announces Annual Regulatory Agenda Release No.:2021-99
Published date grouping:June 2021 Date: Headline: SEC Charges Dentist-Turned-Investment Adviser for Three Separate Frauds Release No.:2021-98
Published date grouping:June 2021 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2021-97
Published date grouping:June 2021 Date: Headline: Gary Gensler Announces Additions to Executive Staff Release No.:2021-96
Published date grouping:June 2021 Date: Headline: SEC Investor Advisory Committee to Meet Remotely On June 10 Release No.:2021-95
Published date grouping:June 2021 Date: Headline: SEC Charges Couple With Insider Trading on Confidential Clinical Trial Data Release No.:2021-94
Published date grouping:June 2021 Date: Headline: SEC Announces Removal of William D. Duhnke III from the Public Company Accounting Oversight Board; Duane M. DesParte to Serve as Acting Chair Release No.:2021-93
Published date grouping:June 2021 Date: Headline: David Saltiel Named SEC Acting Director of Trading and Markets; Christian Sabella Departs the Agency Release No.:2021-92
Published date grouping:June 2021 Date: Headline: SEC Awards More Than $23 Million to Whistleblowers Release No.:2021-91
Published date grouping:May 2021 Date: Headline: SEC Charges U.S. Promoters of $2 Billion Global Crypto Lending Securities Offering Release No.:2021-90
Published date grouping:May 2021 Date: Headline: SEC Charges Mutual Fund Executives with Misleading Investors Regarding Investment Risks in Funds that Suffered $1 Billion Trading Loss Release No.:2021-89
Published date grouping:May 2021 Date: Headline: SEC Awards More Than $4 Million to Whistleblower Release No.:2021-88
Published date grouping:May 2021 Date: Headline: SEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud Release No.:2021-87
Published date grouping:May 2021 Date: Headline: SEC Awards More Than $28 Million to Whistleblower Who Aided SEC and Other Agency Actions Release No.:2021-86
Published date grouping:May 2021 Date: Headline: SEC Awards More Than $31 Million to Whistleblowers in Two Enforcement Actions Release No.:2021-85
Published date grouping:May 2021 Date: Headline: SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index Release No.:2021-84
Published date grouping:May 2021 Date: Headline: SEC Awards Approximately $3.6 Million to Whistleblower Release No.:2021-83
Published date grouping:May 2021 Date: Headline: SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports Release No.:2021-82
Published date grouping:May 2021 Date: Headline: SEC Awards $22 Million to Two Whistleblowers Release No.:2021-81
Published date grouping:May 2021 Date: Headline: SEC Approves Registration of First Security-Based Swap Data Repository; Sets the First Compliance Date for Regulation SBSR Release No.:2021-80
Published date grouping:May 2021 Date: Headline: Register for the SEC's 40th Annual Small Business Forum, Featuring Inclusive Conversations on Capital Formation from Startup to Small Cap Release No.:2021-79
Published date grouping:May 2021 Date: Headline: SEC Charges Under Armour Inc. With Disclosure Failures Release No.:2021-78
Published date grouping:May 2021 Date: Headline: Jessica Wachter Named SEC Chief Economist and Director of the Division of Economic and Risk Analysis Release No.:2021-77
Published date grouping:April 2021 Date: Headline: SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT Release No.:2021-76
Published date grouping:April 2021 Date: Headline: Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement Release No.:2021-75
Published date grouping:April 2021 Date: Headline: SEC Obtains Emergency Relief, Charges Florida Company and CEO with Misappropriating Investor Money and Operating a Ponzi Scheme Release No.:2021-74
Published date grouping:April 2021 Date: Headline: Increasing Opportunities for Underrepresented Founders and Investors on the Agenda for the SEC Small Business Capital Formation Advisory Committee Meeting on April 30 Release No.:2021-73
Published date grouping:April 2021 Date: Headline: SEC Names Keo Chea as Director of Public Engagement and Aisha Johnson as Director of Media Relations Release No.:2021-72
Published date grouping:April 2021 Date: Headline: SEC Charges Fund Manager and Former Race Car Team Owner with Multimillion Dollar Fraud Release No.:2021-71
Published date grouping:April 2021 Date: Headline: SEC Awards More Than $3 Million to Whistleblowers in Two Enforcement Actions Release No.:2021-70
Published date grouping:April 2021 Date: Headline: Alex Oh Named SEC Director of Enforcement Release No.:2021-69
Published date grouping:April 2021 Date: Headline: Gary Gensler Names Initial Senior Staff Members Release No.:2021-68
Published date grouping:April 2021 Date: Headline: SEC's New York and San Francisco Regional Offices to Co-Host a Webcast Exploring the Experiences of Tech Entrepreneurs of Color When Capital Raising Release No.:2021-67
Published date grouping:April 2021 Date: Headline: SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud Release No.:2021-66
Published date grouping:April 2021 Date: Headline: Gary Gensler Sworn in as Member of the SEC Release No.:2021-65
Published date grouping:April 2021 Date: Headline: SEC Reopens Comment Period for Universal Proxy Release No.:2021-64
Published date grouping:April 2021 Date: Headline: Joel R. Levin, Director of Chicago Regional Office, to Leave SEC Release No.:2021-63
Published date grouping:April 2021 Date: Headline: SEC Awards Over $50 Million to Joint Whistleblowers Release No.:2021-62
Published date grouping:April 2021 Date: Headline: SEC Charges Felon and Six Others in Oil-and-Gas Offering Fraud Release No.:2021-61
Published date grouping:April 2021 Date: Headline: SEC Awards Approximately $2.5 Million to Whistleblower Release No.:2021-60
Published date grouping:April 2021 Date: Headline: Jane Norberg, Chief of the SEC's Office of the Whistleblower, to Leave Agency Release No.:2021-59
Published date grouping:April 2021 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges Actor with Operating a $690 Million Ponzi Scheme Release No.:2021-58
Published date grouping:April 2021 Date: Headline: SEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Reopens Comment Period for Notice and Proposed Substituted Compliance Order for France Release No.:2021-57
Published date grouping:April 2021 Date: Headline: Auditor Charged for Failure to Register with PCAOB and Multiple Audit Failures Release No.:2021-56
Published date grouping:April 2021 Date: Headline: SEC Promotes Investor Awareness During National Financial Capability Month Release No.:2021-55
Published date grouping:March 2021 Date: Headline: SEC Awards Over $500,000 to Whistleblower Under "Safe Harbor" for Internal Reporting and Surpasses Record for Individual Awards Release No.:2021-54
Published date grouping:March 2021 Date: Headline: SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act Release No.:2021-53
Published date grouping:March 2021 Date: Headline: SEC Responds to Investor Demand by Bringing Together Agency Information About Climate and ESG Issues Release No.:2021-52
Published date grouping:March 2021 Date: Headline: SEC Charges California-Based Fraudster With Selling “Insider Tips” on the Dark Web Release No.:2021-51
Published date grouping:March 2021 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges Colorado Resident with Fraud Involving Sham Bottling Company Release No.:2021-50
Published date grouping:March 2021 Date: Headline: SEC Charges Co-Founders of San Francisco Biotech Company With $60 Million Fraud Release No.:2021-49
Published date grouping:March 2021 Date: Headline: SEC Charges Owner of Real Estate Investment Company with Defrauding Investors Release No.:2021-48
Published date grouping:March 2021 Date: Headline: SEC Issues Agenda for March 19 Meeting of the Asset Management Advisory Committee Release No.:2021-47
Published date grouping:March 2021 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets Release No.:2021-46
Published date grouping:March 2021 Date: Headline: SEC Charges Unregistered Investment Adviser with Defrauding Investors in Decade-Long Scheme Release No.:2021-45
Published date grouping:March 2021 Date: Headline: SEC Awards Approximately $1.5 Million to Whistleblower Release No.:2021-44
Published date grouping:March 2021 Date: Headline: SEC Charges AT&T and Three Executives with Selectively Providing Information to Wall Street Analysts Release No.:2021-43
Published date grouping:March 2021 Date: Headline: SEC Announces Enforcement Task Force Focused on Climate and ESG Issues Release No.:2021-42
Published date grouping:March 2021 Date: Headline: SEC Issues Over $5 Million to Joint Whistleblowers Located Abroad Release No.:2021-41
Published date grouping:March 2021 Date: Headline: SEC Investor Advisory Committee to Meet Remotely On March 11 Release No.:2021-40
Published date grouping:March 2021 Date: Headline: SEC Division of Examinations Announces 2021 Examination Priorities Release No.:2021-39
Published date grouping:March 2021 Date: Headline: SEC Charges Seven Individuals for $45 Million Fraudulent Scheme Release No.:2021-38
Published date grouping:March 2021 Date: Headline: SEC Awards Over $500,000 to Two Whistleblowers Release No.:2021-37
Published date grouping:February 2021 Date: Headline: Fee Rate Advisory #3 for Fiscal Year 2021 Release No.:2021-36
Published date grouping:February 2021 Date: Headline: SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity Release No.:2021-35
Published date grouping:February 2021 Date: Headline: SEC Issues Whistleblower Awards Totaling Over $1.7 Million Release No.:2021-34
Published date grouping:February 2021 Date: Headline: SEC Charges Gas Exploration and Production Company and Former CEO with Failing to Disclose Executive Perks Release No.:2021-33
Published date grouping:February 2021 Date: Headline: SEC Charges Two Former KPMG Auditors for Improper Professional Conduct During Audit of Not-for-Profit College Release No.:2021-32
Published date grouping:February 2021 Date: Headline: SEC Awards More Than $9.2 Million to Whistleblower for Successful Related Actions, Including Agreement With DOJ Release No.:2021-31
Published date grouping:February 2021 Date: Headline: SEC Awards Almost $3 Million Total in Separate Whistleblower Awards Release No.:2021-30
Published date grouping:February 2021 Date: Headline: SEC Charges Ratings Agency With Disclosure And Internal Controls Failures Relating To Undisclosed Model Adjustments Release No.:2021-29
Published date grouping:February 2021 Date: Headline: SEC Suspends Trading in Inactive Issuer Touted on Social Media Release No.:2021-28
Published date grouping:February 2021 Date: Headline: Kelly L. Gibson Named Acting Deputy Director of Division of Enforcement Release No.:2021-27
Published date grouping:February 2021 Date: Headline: Katherine K. Martin, Associate Director in the Office of International Affairs, to leave SEC Release No.:2021-26
Published date grouping:February 2021 Date: Headline: SEC Requests Comment on Potential Money Market Fund Reform Options Highlighted in President’s Working Group Report Release No.:2021-25
Published date grouping:February 2021 Date: Headline: SEC Charges Investment Adviser and Others With Defrauding Over 17,000 Retail Investors Release No.:2021-24
Published date grouping:February 2021 Date: Headline: SEC Charges Former Executives of San Francisco Bay Area Company With Accounting Violations Release No.:2021-23
Published date grouping:February 2021 Date: Headline: SEC Charges Three Individuals in Digital Asset Frauds Release No.:2021-22
Published date grouping:February 2021 Date: Headline: Acting Chair Allison Herren Lee Announces Executive Staff Release No.:2021-21
Published date grouping:February 2021 Date: Headline: Satyam Khanna Named Senior Policy Advisor for Climate and ESG Release No.:2021-20
Published date grouping:February 2021 Date: Headline: John Coates Named Acting Director of the Division of Corporation Finance Release No.:2021-19
Published date grouping:January 2021 Date: Headline: SEC Charges Vuuzle Media Corp. and Affiliated Individuals in Connection With $14 Million Offering Fraud Release No.:2021-18
Published date grouping:January 2021 Date: Headline: Manisha Kimmel to Conclude Tenure as Senior Policy Advisor to the Chair on the Consolidated Audit Trail Release No.:2021-17
Published date grouping:January 2021 Date: Headline: Paul Munter Named the SEC’s Acting Chief Accountant Release No.:2021-16
Published date grouping:January 2021 Date: Headline: Melissa Hodgman Named Acting Director of Division of Enforcement Release No.:2021-15
Published date grouping:January 2021 Date: Headline: Small Business Capital Formation Advisory Committee Jan. 29 Meeting to Focus on Smaller Public Company Markets Release No.:2021-14
Published date grouping:January 2021 Date: Headline: Allison Herren Lee Named Acting Chair of the SEC Release No.:2021-13
Published date grouping:January 2021 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2021-12
Published date grouping:January 2021 Date: Headline: Kimberly Hamm, Chief Counsel to SEC Chairman, to Conclude Tenure Release No.:2021-11
Published date grouping:January 2021 Date: Headline: Shelley E. Parratt, Acting Director of the Division of Corporation Finance, to Conclude SEC Career After 35 Years of Service Release No.:2021-10
Published date grouping:January 2021 Date: Headline: What's Happening from Start-Up to Small Cap: SEC's Small Business Advocate to Host Capital Call Feb. 4 Release No.:2021-9
Published date grouping:January 2021 Date: Headline: Fee Rate Advisory #2 for Fiscal Year 2021 Release No.:2021-8
Published date grouping:January 2021 Date: Headline: SEC Awards Nearly $600,000 to Whistleblower Release No.:2021-7
Published date grouping:January 2021 Date: Headline: Sagar Teotia to Conclude Tenure as SEC Chief Accountant Release No.:2021-6
Published date grouping:January 2021 Date: Headline: Acting Enforcement Director Marc P. Berger to Depart the Commission Release No.:2021-5
Published date grouping:January 2021 Date: Headline: SEC Charges Real Estate Fund Manager With Misappropriating Over $7 Million From Retail Investors Release No.:2021-4
Published date grouping:January 2021 Date: Headline: SEC Charges Deutsche Bank With FCPA Violations Related to Third-Party Intermediaries Release No.:2021-3
Published date grouping:January 2021 Date: Headline: SEC Issues Over $1.1 Million to Multiple Whistleblowers Release No.:2021-2
Published date grouping:January 2021 Date: Headline: Paul G. Cellupica, Division of Investment Management Deputy Director and Chief Counsel to Conclude Tenure at SEC Release No.:2021-1
Published date grouping:December 2020 Date: Headline: Jed Hickman Named SEC’s EDGAR Business Office Director Release No.:2020-344
Published date grouping:December 2020 Date: Headline: SEC Charges Jewelry Wholesaler with Fraudulent Securities Offering Targeting Current and Retired Police Officers and Firefighters Release No.:2020-343
Published date grouping:December 2020 Date: Headline: Elad Roisman Named Acting Chairman of the SEC Release No.:2020-342
Published date grouping:December 2020 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges Crypto Fund Manager with Fraud Release No.:2020-341
Published date grouping:December 2020 Date: Headline: SEC Issues Statement and Requests Comment Regarding the Custody of Digital Asset Securities by Special Purpose Broker-Dealers Release No.:2020-340
Published date grouping:December 2020 Date: Headline: SEC Chief of Staff Sean Memon Announces Plans to Conclude Tenure Release No.:2020-339
Published date grouping:December 2020 Date: Headline: SEC Charges Ripple and Two Executives with Conducting $1.3 Billion Unregistered Securities Offering Release No.:2020-338
Published date grouping:December 2020 Date: Headline: Charles Koretke Named Managing Executive of Division of Examinations Release No.:2020-337
Published date grouping:December 2020 Date: Headline: SEC Proposes Amendments to Rule 144 and Form 144 Release No.:2020-336
Published date grouping:December 2020 Date: Headline: Dalia Blass to Conclude Tenure as Director of the Division of Investment Management Release No.:2020-335
Published date grouping:December 2020 Date: Headline: SEC Adopts Modernized Marketing Rule for Investment Advisers Release No.:2020-334
Published date grouping:December 2020 Date: Headline: SEC Awards Over $1.6 Million to Whistleblower Release No.:2020-333
Published date grouping:December 2020 Date: Headline: SEC Issues Substituted Compliance Order for Germany and Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for France Release No.:2020-332
Published date grouping:December 2020 Date: Headline: SEC and CONSOB Sign New Supervisory Cooperation Arrangement Release No.:2020-331
Published date grouping:December 2020 Date: Headline: SEC Names John Moses as Deputy Director of Office of Investor Education and Advocacy Release No.:2020-330
Published date grouping:December 2020 Date: Headline: SEC Charges Company and CEO for $119 Million Securities Fraud Targeting Members of the South Asian American Community Release No.:2020-329
Published date grouping:December 2020 Date: Headline: S.P. Kothari to Conclude Tenure As SEC Chief Economist and Division of Economic and Risk Analysis Director Release No.:2020-328
Published date grouping:December 2020 Date: Headline: SEC Charges Biotech Company and CEO With Fraud Concerning COVID-19 Blood Testing Device Release No.:2020-327
Published date grouping:December 2020 Date: Headline: SEC Releases 2020 Office of Credit Rating Reports Release No.:2020-326
Published date grouping:December 2020 Date: Headline: SEC Issues Multiple Whistleblower Awards Totaling Over $3.6 Million Release No.:2020-325
Published date grouping:December 2020 Date: Headline: Small Business Advocate Releases Annual Report for Fiscal Year 2020 Release No.:2020-324
Published date grouping:December 2020 Date: Headline: SEC Announces the Creation of the Security-Based Swaps Joint Venture, Led by Division of Examinations and Division of Trading and Markets Release No.:2020-323
Published date grouping:December 2020 Date: Headline: SEC Approves 2021 PCAOB Budget and Accounting Support Fee Release No.:2020-322
Published date grouping:December 2020 Date: Headline: SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution Release No.:2020-321
Published date grouping:December 2020 Date: Headline: SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation Release No.:2020-320
Published date grouping:December 2020 Date: Headline: Luckin Coffee Agrees to Pay $180 Million Penalty to Settle Accounting Fraud Charges Release No.:2020-319
Published date grouping:December 2020 Date: Headline: SEC Adopts Final Rules for the Disclosure of Payments by Resource Extraction Issuers Release No.:2020-318
Published date grouping:December 2020 Date: Headline: Brett W. Redfearn to Conclude Transformative Tenure as SEC Trading and Markets Director Release No.:2020-317
Published date grouping:December 2020 Date: Headline: SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities Release No.:2020-316
Published date grouping:December 2020 Date: Headline: SEC Charges Sequential Brands Group Inc. with Deceiving Investors by Failing to Timely Impair Goodwill Release No.:2020-315
Published date grouping:December 2020 Date: Headline: Enforcement Director Stephanie Avakian To Conclude Tenure After Four Years Leading the Division Release No.:2020-314
Published date grouping:December 2020 Date: Headline: SEC Staff Supplements Quarterly Private Funds Statistics Release No.:2020-313
Published date grouping:December 2020 Date: Headline: General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations Release No.:2020-312
Published date grouping:December 2020 Date: Headline: SEC Adopts Rules to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Equity Market Data Release No.:2020-311
Published date grouping:December 2020 Date: Headline: Global Securities Pricing Service to Pay $8 Million for Compliance Failures Release No.:2020-310
Published date grouping:December 2020 Date: Headline: Robert Stebbins to Conclude Tenure as SEC General Counsel Release No.:2020-309
Published date grouping:December 2020 Date: Headline: SEC Orders BlueCrest to Pay $170 Million to Harmed Fund Investors Release No.:2020-308
Published date grouping:December 2020 Date: Headline: SEC Issues Multiple Whistleblower Awards Totaling Nearly $3 Million Release No.:2020-307
Published date grouping:December 2020 Date: Headline: SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures Release No.:2020-306
Published date grouping:December 2020 Date: Headline: SEC Announces New Investor Advisory Committee Members Release No.:2020-305
Published date grouping:December 2020 Date: Headline: Nekia Hackworth Jones Named Director of Atlanta Regional Office Release No.:2020-304
Published date grouping:December 2020 Date: Headline: SEC Announces Office Focused on Innovation and Financial Technology Release No.:2020-303
Published date grouping:December 2020 Date: Headline: SEC Modernizes Framework for Fund Valuation Practices Release No.:2020-302
Published date grouping:December 2020 Date: Headline: Energy Companies Agree to Settle Fraud Charges Stemming From Failed Nuclear Power Plant Expansion Release No.:2020-301
Published date grouping:December 2020 Date: Headline: SEC Charges Disbarred New York Attorney and Florida Attorney with Scheme to Create False Opinion Letters Release No.:2020-300
Published date grouping:December 2020 Date: Headline: SEC Charges Unregistered Investment Adviser with Defrauding Puerto Rico Municipality Release No.:2020-299
Published date grouping:December 2020 Date: Headline: SEC Charges Boiler Rooms Operator with Defrauding Retail Investors Release No.:2020-298
Published date grouping:December 2020 Date: Headline: SEC Awards Over $6 Million to Joint Whistleblowers Release No.:2020-297
Published date grouping:November 2020 Date: Headline: SEC Issues Agenda for Dec. 1 Meeting of the Asset Management Advisory Committee Release No.:2020-296
Published date grouping:November 2020 Date: Headline: SEC Investor Advisory Committee to Meet Remotely on Dec. 3 Release No.:2020-295
Published date grouping:November 2020 Date: Headline: SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to Workers Release No.:2020-294
Published date grouping:November 2020 Date: Headline: SEC Proposes Temporary Rules to Facilitate Measured Participation by Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8 Release No.:2020-293
Published date grouping:November 2020 Date: Headline: SEC Issues Statement on European Central Counterparties Seeking to Register or Request Exemptions From the SEC Release No.:2020-292
Published date grouping:November 2020 Date: Headline: SEC Charges E-Commerce Startup and CEO With Defrauding Investors Release No.:2020-291
Published date grouping:November 2020 Date: Headline: SEC Adopts Amendments to Modernize and Enhance Management’s Discussion and Analysis and other Financial Disclosures Release No.:2020-290
Published date grouping:November 2020 Date: Headline: Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the SEC's New York Regional Office Release No.:2020-289
Published date grouping:November 2020 Date: Headline: SEC Awards Whistleblower Over $900,000 Release No.:2020-288
Published date grouping:November 2020 Date: Headline: Marie-Louise Huth Named as Associate General Counsel for Legal Policy Release No.:2020-287
Published date grouping:November 2020 Date: Headline: SEC Adopts Rules to Facilitate Electronic Submission of Documents to the Agency Release No.:2020-286
Published date grouping:November 2020 Date: Headline: OECD Working Group on Bribery Issues Report Commending United States for Maintaining Leading Role in the Fight Against Transnational Corruption Release No.:2020-285
Published date grouping:November 2020 Date: Headline: SEC Chairman Jay Clayton Confirms Plans to Conclude Tenure at Year End Release No.:2020-284
Published date grouping:November 2020 Date: Headline: SEC Awards Over $1.1 Million to Whistleblower for Independent Analysis Release No.:2020-283
Published date grouping:November 2020 Date: Headline: SEC Charges Investment Advisory Firms and Broker-Dealers in Connection with Sales of Complex Exchange-Traded Products Release No.:2020-282
Published date grouping:November 2020 Date: Headline: SEC Charges Former Wells Fargo Executives for Misleading Investors About Key Performance Metric Release No.:2020-281
Published date grouping:November 2020 Date: Headline: Mike Willis Named Associate Director in Division of Economic and Risk Analysis Release No.:2020-280
Published date grouping:November 2020 Date: Headline: SEC Publishes Notice of German Substituted Compliance Application and Proposed Order Release No.:2020-279
Published date grouping:November 2020 Date: Headline: SEC Awards More Than $3.6 Million and $750,000 in Separate Whistleblower Awards Release No.:2020-278
Published date grouping:November 2020 Date: Headline: SEC Announces New Asset Management Advisory Committee Member Release No.:2020-277
Published date grouping:November 2020 Date: Headline: SEC Issues Agenda for Nov. 9 Meeting of the Small Business Capital Formation Advisory Committee Release No.:2020-276
Published date grouping:November 2020 Date: Headline: SEC Awards Over $28 Million to Whistleblower Release No.:2020-275
Published date grouping:November 2020 Date: Headline: SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020 Release No.:2020-274
Published date grouping:November 2020 Date: Headline: SEC Harmonizes and Improves “Patchwork” Exempt Offering Framework Release No.:2020-273
Published date grouping:October 2020 Date: Headline: SEC Issues Agenda for Nov. 5 Special Meeting of the Asset Management Advisory Committee Release No.:2020-272
Published date grouping:October 2020 Date: Headline: Raquel Fox, Director of the Office of International Affairs, to Depart SEC Release No.:2020-271
Published date grouping:October 2020 Date: Headline: SEC Awards Over $10 Million to Whistleblower Release No.:2020-270
Published date grouping:October 2020 Date: Headline: SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies Release No.:2020-269
Published date grouping:October 2020 Date: Headline: Division of Corporation Finance Director Bill Hinman Announces Intention to Conclude His Tenure Later This Year Release No.:2020-268
Published date grouping:October 2020 Date: Headline: SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions Release No.:2020-267
Published date grouping:October 2020 Date: Headline: SEC Issues Record $114 Million Whistleblower Award Release No.:2020-266
Published date grouping:October 2020 Date: Headline: SEC Charges Goldman Sachs With FCPA Violations Release No.:2020-265
Published date grouping:October 2020 Date: Headline: At Joint Open Meeting, SEC and CFTC Approve Final Rule on Security Futures Margin and Request for Comment on Portfolio Margining Release No.:2020-264
Published date grouping:October 2020 Date: Headline: SEC to Host Panel with Women Entrepreneurs of Color on Oct. 28 Release No.:2020-263
Published date grouping:October 2020 Date: Headline: SEC Obtains Final Judgment Against Kik Interactive For Unregistered Offering Release No.:2020-262
Published date grouping:October 2020 Date: Headline: SEC Updates Auditor Independence Rules Release No.:2020-261
Published date grouping:October 2020 Date: Headline: SEC Releases Agenda for October 26 Roundtable on Regulation Best Interest and Form CRS Release No.:2020-260
Published date grouping:October 2020 Date: Headline: SEC and CFTC to Hold a Joint Open Meeting on October 22 Release No.:2020-259
Published date grouping:October 2020 Date: Headline: SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan Release No.:2020-258
Published date grouping:October 2020 Date: Headline: Board Member James G. Kaiser to Retire From the PCAOB; Contributed Substantially to PCAOB Strategic Plan and the Use of Technology to Enhance Audit Quality Release No.:2020-257
Published date grouping:October 2020 Date: Headline: SEC Appoints PCAOB Chief Auditor Megan Zietsman to PCAOB Board Release No.:2020-256
Published date grouping:October 2020 Date: Headline: SEC Awards $800,000 to Whistleblower Release No.:2020-255
Published date grouping:October 2020 Date: Headline: SEC Charges Brazilian Meat Producers With FCPA Violations Release No.:2020-254
Published date grouping:October 2020 Date: Headline: Tamara Brightwell Named Deputy Director of Division of Corporation Finance’s Disclosure Review Program Release No.:2020-253
Published date grouping:October 2020 Date: Headline: Jessica Kane Named Director of Division of Corporation Finance’s Disclosure Review Program Release No.:2020-252
Published date grouping:October 2020 Date: Headline: SEC Charges Seismic Data Company, Former Executives With $100 Million Accounting Fraud Release No.:2020-251
Published date grouping:October 2020 Date: Headline: SEC Names Nichola L. Timmons Chief of New Office of Bankruptcy, Collections, Distributions, and Receiverships Release No.:2020-250
Published date grouping:October 2020 Date: Headline: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Virtually Release No.:2020-249
Published date grouping:October 2020 Date: Headline: SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising Release No.:2020-248
Published date grouping:October 2020 Date: Headline: SEC Updates Regulatory Framework for Fund of Funds Arrangements Release No.:2020-247
Published date grouping:October 2020 Date: Headline: SEC Charges John McAfee With Fraudulently Touting ICOs Release No.:2020-246
Published date grouping:October 2020 Date: Headline: SEC Staff Releases Report on U.S. Credit Market Interconnectedness and the Effects of the COVID-19 Economic Shock Release No.:2020-245
Published date grouping:October 2020 Date: Headline: SEC’s Messages for World Investor Week 2020 Release No.:2020-244
Published date grouping:October 2020 Date: Headline: SEC Issues Agenda for Oct. 5 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2020-243
Published date grouping:September 2020 Date: Headline: SEC Charges Hospitality Company for Failing to Disclose Executive Perks Release No.:2020-242
Published date grouping:September 2020 Date: Headline: SEC Charges HP Inc. With Disclosure Violations and Control Failures Release No.:2020-241
Published date grouping:September 2020 Date: Headline: SEC Whistleblower Program Ends Record-Setting Fiscal Year With Four Additional Awards Release No.:2020-240
Published date grouping:September 2020 Date: Headline: SEC Awards Almost $30 Million to Two Insider Whistleblowers Release No.:2020-239
Published date grouping:September 2020 Date: Headline: Morgan Stanley Agrees to Pay $5 Million for Reg SHO Violations in Prime Brokerage Swaps Business Release No.:2020-238
Published date grouping:September 2020 Date: Headline: SEC Charges Manitex International and Three Former Senior Executives With Accounting Fraud Release No.:2020-237
Published date grouping:September 2020 Date: Headline: SEC Charges Former Real Estate Executive With Misappropriating $26 Million in Ponzi Scheme Release No.:2020-236
Published date grouping:September 2020 Date: Headline: SEC Charges Ratings Agency With Internal Controls Failures in Connection With Ratings of CMBS and CLO Combo Notes Release No.:2020-235
Published date grouping:September 2020 Date: Headline: SEC Charges Unregistered Brokers in Penny Stock Scheme Targeting Seniors Release No.:2020-234
Published date grouping:September 2020 Date: Headline: J.P. Morgan Securities Admits to Manipulative Trading in U.S. Treasuries Release No.:2020-233
Published date grouping:September 2020 Date: Headline: SEC Charges Swedish National with Global Scheme Defrauding Retail Investors, Including Deaf Community Members Release No.:2020-232
Published date grouping:September 2020 Date: Headline: SEC Issues $1.8 Million Whistleblower Award to a Company Outsider Release No.:2020-231
Published date grouping:September 2020 Date: Headline: Fiat Chrysler Agrees to Pay $9.5 Million Penalty for Disclosure Violations Release No.:2020-230
Published date grouping:September 2020 Date: Headline: SEC Staff to Host October 26 Roundtable on Regulation Best Interest and Form CRS Release No.:2020-229
Published date grouping:September 2020 Date: Headline: SEC Charges Amazon Finance Manager and Family With Insider Trading Release No.:2020-228
Published date grouping:September 2020 Date: Headline: SEC Proposes Rules to Extend Regulations ATS and SCI to Treasuries and Other Government Securities Markets Release No.:2020-227
Published date grouping:September 2020 Date: Headline: SEC Charges Companies, Former Executives as Part of Risk-Based Initiative Release No.:2020-226
Published date grouping:September 2020 Date: Headline: SEC Issues Two Whistleblower Awards for High-Quality Information Regarding Overseas Conduct Release No.:2020-225
Published date grouping:September 2020 Date: Headline: SEC Charges Top Executive of California Microcap Company for Misleading Claims Concerning COVID-19 Test and Financial Statements Release No.:2020-224
Published date grouping:September 2020 Date: Headline: SEC Charges BMW for Disclosing Inaccurate and Misleading Retail Sales Information to Bond Investors Release No.:2020-223
Published date grouping:September 2020 Date: Headline: Engine Manufacturing Company to Pay Penalty, Take Remedial Measures to Settle Charges of Accounting Fraud Release No.:2020-222
Published date grouping:September 2020 Date: Headline: SEC Charges Lighting Products Company and Four Executives With Accounting Violations Release No.:2020-221
Published date grouping:September 2020 Date: Headline: SEC Adopts Amendments to Modernize Shareholder Proposal Rule Release No.:2020-220
Published date grouping:September 2020 Date: Headline: SEC Adds Clarity, Efficiency and Transparency to Its Successful Whistleblower Award Program Release No.:2020-219
Published date grouping:September 2020 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges Ring of Microcap Stock Manipulators Targeting Retail Investors Release No.:2020-218
Published date grouping:September 2020 Date: Headline: SEC Charges Index Manager and Friend With Insider Trading Release No.:2020-217
Published date grouping:September 2020 Date: Headline: SEC Charges Ponzi Scheme Targeting U.S. Military Service Members Release No.:2020-216
Published date grouping:September 2020 Date: Headline: SEC Issues $2.4 Million Whistleblower Award Release No.:2020-215
Published date grouping:September 2020 Date: Headline: SEC Awards Almost $250,000 to Joint Whistleblowers Release No.:2020-214
Published date grouping:September 2020 Date: Headline: SEC Charges Former CEO of Technology Company With Raising $123 Million in Fraudulent Offerings Release No.:2020-213
Published date grouping:September 2020 Date: Headline: SEC Adopts Amendments to Enhance Retail Investor Protections and Modernize the Rule Governing Quotations for Over-the-Counter Securities Release No.:2020-212
Published date grouping:September 2020 Date: Headline: Unregistered ICO Issuer Agrees to Disable Tokens and Pay Penalty for Distribution to Harmed Investors Release No.:2020-211
Published date grouping:September 2020 Date: Headline: SEC Releases Report and Recommendations on the 39th Annual Small Business Forum Release No.:2020-210
Published date grouping:September 2020 Date: Headline: SEC Awards More Than $10 Million to Whistleblower Release No.:2020-209
Published date grouping:September 2020 Date: Headline: SEC Charges Charter School Operator and its Former President With Fraudulent Municipal Bond Offering Release No.:2020-208
Published date grouping:September 2020 Date: Headline: SEC Charges Film Producer, Rapper, and Others for Participation in Two Fraudulent ICOs Release No.:2020-207
Published date grouping:September 2020 Date: Headline: SEC Issues Agenda for September 16 Meeting of the Asset Management Advisory Committee Release No.:2020-206
Published date grouping:September 2020 Date: Headline: SEC Modernizes Disclosures for Banking Registrants Release No.:2020-205
Published date grouping:September 2020 Date: Headline: SEC Announces Final Distribution in WG Trading Investment Fraud, Totaling Over $1 Billion Returned to Harmed Investors Release No.:2020-204
Published date grouping:September 2020 Date: Headline: SEC Charges Fund Manager for Fraud in Securities Offering in Neiman Marcus Bankruptcy Release No.:2020-203
Published date grouping:September 2020 Date: Headline: SEC Investor Advisory Committee to Meet Virtually on September 24 Release No.:2020-202
Published date grouping:September 2020 Date: Headline: SEC Awards Over $2.5 Million to Joint Whistleblowers for Detailed Analysis That Led to Multiple Successful Actions Release No.:2020-201
Published date grouping:August 2020 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2020-200
Published date grouping:August 2020 Date: Headline: SEC Awards Over $1.25 Million to Whistleblower Release No.:2020-199
Published date grouping:August 2020 Date: Headline: SEC Charges Ponzi Scheme Targeting African Immigrants Release No.:2020-198
Published date grouping:August 2020 Date: Headline: SEC Charges Herbalife With FCPA Violations Release No.:2020-197
Published date grouping:August 2020 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2021 Release No.:2020-196
Published date grouping:August 2020 Date: Headline: SEC Charges BorgWarner for Materially Misstating its Financial Statements Release No.:2020-195
Published date grouping:August 2020 Date: Headline: SEC Monitoring Impact of Hurricane Laura on Capital Markets Release No.:2020-194
Published date grouping:August 2020 Date: Headline: SEC Halts Fraudulent Offering by Florida Investment Adviser Release No.:2020-193
Published date grouping:August 2020 Date: Headline: SEC Adopts Rule Amendments to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K Release No.:2020-192
Published date grouping:August 2020 Date: Headline: SEC Modernizes the Accredited Investor Definition Release No.:2020-191
Published date grouping:August 2020 Date: Headline: SEC Charges Super Micro and Former CFO in Connection with Widespread Accounting Violations Release No.:2020-190
Published date grouping:August 2020 Date: Headline: SEC Proposes Data Security Enhancements to the CAT NMS Plan Release No.:2020-189
Published date grouping:August 2020 Date: Headline: SEC Adopts Requirements to Ensure Public Notice, Comment, and Approval Prior to Effectiveness of NMS Plan Fees Release No.:2020-188
Published date grouping:August 2020 Date: Headline: Richard R. Best Named Director of SEC's New York Regional Office Release No.:2020-187
Published date grouping:August 2020 Date: Headline: SEC Names Marc P. Berger as Deputy Director of Enforcement Release No.:2020-186
Published date grouping:August 2020 Date: Headline: SEC Names Diana Stoltzfus as Deputy Chief Accountant Release No.:2020-185
Published date grouping:August 2020 Date: Headline: Caroline A. Crenshaw and Hester M. Peirce Sworn-In As SEC Commissioners Release No.:2020-184
Published date grouping:August 2020 Date: Headline: SEC Charges Hertz’s Former CEO With Aiding and Abetting Company’s Financial Reporting and Disclosure Violations Release No.:2020-183
Published date grouping:August 2020 Date: Headline: Advisory Firm Settles Charges of Defrauding Investors, Agrees to Refund Allegedly Ill-Gotten Gains to Harmed Clients Release No.:2020-182
Published date grouping:August 2020 Date: Headline: SEC Charges Issuer and CEO With Misrepresenting Platform Technology in Fraudulent ICO Release No.:2020-181
Published date grouping:August 2020 Date: Headline: Deputy Chief Accountant Marc Panucci to Leave SEC Release No.:2020-180
Published date grouping:August 2020 Date: Headline: Sebastian Gomez Abero Named Deputy Director of SEC's Small Business Advocacy Office Release No.:2020-179
Published date grouping:August 2020 Date: Headline: SEC Charges Interactive Brokers With Repeatedly Failing to File Suspicious Activity Reports Release No.:2020-178
Published date grouping:August 2020 Date: Headline: SEC Charges Consumer Loan Company With FCPA Violations Release No.:2020-177
Published date grouping:August 2020 Date: Headline: Lindsay McCord Named Chief Accountant in Division of Corporation Finance Release No.:2020-176
Published date grouping:August 2020 Date: Headline: SEC Charges Affiliated Advisers for Misrepresentations About Payment for Order Flow Arrangements Release No.:2020-175
Published date grouping:August 2020 Date: Headline: Enforcement Co-Director Steven Peikin to Depart Release No.:2020-174
Published date grouping:August 2020 Date: Headline: SEC Provides Transparency to the Process of Nominating Candidates to the Investor Advisory Committee Release No.:2020-173
Published date grouping:August 2020 Date: Headline: SEC Proposes to Improve the Retail Investor Experience through Modernized Fund Shareholder Reports and Disclosures Release No.:2020-172
Published date grouping:August 2020 Date: Headline: SEC Announces New Small Business Capital Formation Advisory Committee Members Release No.:2020-171
Published date grouping:August 2020 Date: Headline: Scott A. Thompson Named Associate Regional Director in Philadelphia Office Release No.:2020-170
Published date grouping:July 2020 Date: Headline: Pharmaceutical Company and Former Executives Charged With Misleading Financial Disclosures Release No.:2020-169
Published date grouping:July 2020 Date: Headline: SEC Charges Former Georgia State Legislator With Defrauding Investors in Ponzi Scheme Release No.:2020-168
Published date grouping:July 2020 Date: Headline: SEC Charges CEO and Company With Defrauding First Responders and Others Out of Millions Release No.:2020-167
Published date grouping:July 2020 Date: Headline: Small Business Capital Formation Advisory Committee Aug. 4 Meeting to Focus on How Capital Markets Are Serving Underrepresented Founders Release No.:2020-166
Published date grouping:July 2020 Date: Headline: SEC Announces Creation of the Event and Emerging Risk Examination Team in the Office of Compliance Inspections and Examinations and the Appointment of Adam D. Storch as Associate Director Release No.:2020-165
Published date grouping:July 2020 Date: Headline: SEC Charges VALIC Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators Release No.:2020-164
Published date grouping:July 2020 Date: Headline: Agencies Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers under Title II of the Dodd-Frank Act Release No.:2020-163
Published date grouping:July 2020 Date: Headline: SEC Charges Trustify Inc. and Founder in $18.5 Million Offering Fraud Release No.:2020-162
Published date grouping:July 2020 Date: Headline: SEC Adopts Rule Amendments to Provide Investors Using Proxy Voting Advice More Transparent, Accurate and Complete Information Release No.:2020-161
Published date grouping:July 2020 Date: Headline: SEC Charges Silicon Valley Start-Up and CEO With Defrauding Investors Release No.:2020-160
Published date grouping:July 2020 Date: Headline: UBS to Pay $10 Million for Violating Rules Which Give Priority To Retail Investors in Municipal Offerings Release No.:2020-159
Published date grouping:July 2020 Date: Headline: SEC Charges Financial Advisor with Fraud for Stealing Millions from Investors Release No.:2020-158
Published date grouping:July 2020 Date: Headline: SEC Files Fraud Charges Against Co-Founder of IIG Release No.:2020-157
Published date grouping:July 2020 Date: Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors Release No.:2020-156
Published date grouping:July 2020 Date: Headline: SEC Issues $3.8 Million Whistleblower Award Release No.:2020-155
Published date grouping:July 2020 Date: Headline: SEC Charges Wind Turbine Company and Individuals With Defrauding Investors Release No.:2020-154
Published date grouping:July 2020 Date: Headline: SEC Charges App Developer for Unregistered Security-Based Swap Transactions Release No.:2020-153
Published date grouping:July 2020 Date: Headline: SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today’s Equities Markets Release No.:2020-152
Published date grouping:July 2020 Date: Headline: SEC Issues Agenda for July 16 Special Meeting of the Asset Management Advisory Committee Release No.:2020-151
Published date grouping:July 2020 Date: Headline: SEC Adopts Amendments to Exemptive Applications Procedures Release No.:2020-150
Published date grouping:July 2020 Date: Headline: SEC Charges Alexion Pharmaceuticals With FCPA Violations Release No.:2020-149
Published date grouping:July 2020 Date: Headline: SEC Announces Agenda, Panelists for Staff Roundtable on Emerging Markets Release No.:2020-148
Published date grouping:June 2020 Date: Headline: SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers Release No.:2020-147
Published date grouping:June 2020 Date: Headline: Telegram to Return $1.2 Billion to Investors and Pay $18.5 Million Penalty to Settle SEC Charges Release No.:2020-146
Published date grouping:June 2020 Date: Headline: SEC Charges Issuer, CEO, and Lobbyist With Defrauding Investors in AML BitCoin Release No.:2020-145
Published date grouping:June 2020 Date: Headline: SEC Charges Novartis AG with FCPA Violations Release No.:2020-144
Published date grouping:June 2020 Date: Headline: Financial Regulators Modify Volcker Rule Release No.:2020-143
Published date grouping:June 2020 Date: Headline: SG Americas to Pay $3.1 Million to Settle Charges of Providing Deficient Blue Sheet Data Release No.:2020-142
Published date grouping:June 2020 Date: Headline: SEC Awards $125,000 to Whistleblower Release No.:2020-141
Published date grouping:June 2020 Date: Headline: Securities and Exchange Commission and Justice Department’s Antitrust Division Sign Historic Memorandum of Understanding Release No.:2020-140
Published date grouping:June 2020 Date: Headline: SEC Extends Relief for Virtual Meetings of Fund Boards Release No.:2020-139
Published date grouping:June 2020 Date: Headline: SEC Awards Almost $700,000 to Whistleblower Release No.:2020-138
Published date grouping:June 2020 Date: Headline: SEC Emergency Action Halts Brothers’ Cryptocurrency Offering Fraud Release No.:2020-137
Published date grouping:June 2020 Date: Headline: Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years Release No.:2020-136
Published date grouping:June 2020 Date: Headline: Insurance Company and Former CFO Charged With Faulty Loss Reserves Disclosures Release No.:2020-135
Published date grouping:June 2020 Date: Headline: SEC Names Jennifer S. Leete as Associate Director in Enforcement Division Release No.:2020-134
Published date grouping:June 2020 Date: Headline: SEC Announces Speakers for June 18 Small Business Forum: “Access to Capital: More Critical Now than Ever” Release No.:2020-133
Published date grouping:June 2020 Date: Headline: SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million Release No.:2020-132
Published date grouping:June 2020 Date: Headline: SEC Charges Microcap Fraud Scheme Participants Attempting to Capitalize on the COVID-19 Pandemic Release No.:2020-131
Published date grouping:June 2020 Date: Headline: FinHub to Host Virtual Meet-Ups Release No.:2020-130
Published date grouping:June 2020 Date: Headline: New York Regional Office to Host Educational Call for Investors on Avoiding COVID-Related Fraud Release No.:2020-129
Published date grouping:June 2020 Date: Headline: SEC Charges California Trader Engaged in Manipulative Trading Scheme Involving COVID-19 Claims Release No.:2020-128
Published date grouping:June 2020 Date: Headline: Insurance Company Settles SEC Charges for Failing to Disclose Executive Perks Release No.:2020-127
Published date grouping:June 2020 Date: Headline: SEC Awards Record Payout of Nearly $50 Million to Whistleblower Release No.:2020-126
Published date grouping:May 2020 Date: Headline: SEC Issues Agenda for June 1 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2020-125
Published date grouping:May 2020 Date: Headline: Unregistered $25.5 Million ICO Issuer to Return Money for Distribution to Investors Release No.:2020-124
Published date grouping:May 2020 Date: Headline: Private Equity Firm Ares Management LLC Charged With Compliance Failures Release No.:2020-123
Published date grouping:May 2020 Date: Headline: SEC Charges Owner of Film Distribution Company with Defrauding Publicly Traded Fund Release No.:2020-122
Published date grouping:May 2020 Date: Headline: SEC Announces Virtual Conference on Municipal Securities Disclosure Release No.:2020-121
Published date grouping:May 2020 Date: Headline: SEC Shuts Down Fraudulent Investment Adviser Targeting Senior Citizens Release No.:2020-120
Published date grouping:May 2020 Date: Headline: SEC Issues Agenda for May 27 Meeting of the Asset Management Advisory Committee Release No.:2020-119
Published date grouping:May 2020 Date: Headline: SEC Adopts Amendments to Improve Financial Disclosures about Acquisitions and Dispositions of Businesses Release No.:2020-118
Published date grouping:May 2020 Date: Headline: SEC Announces 2020 Small Business Forum, to Be Held Virtually Release No.:2020-117
Published date grouping:May 2020 Date: Headline: SEC Staff to Host July 9 Roundtable on Emerging Markets Release No.:2020-116
Published date grouping:May 2020 Date: Headline: SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct Release No.:2020-115
Published date grouping:May 2020 Date: Headline: SEC Adopts Amendments to the CAT NMS Plan to Improve Transparency and Financial Accountability Release No.:2020-114
Published date grouping:May 2020 Date: Headline: SEC Announces New Investor Advisory Committee Members Release No.:2020-113
Published date grouping:May 2020 Date: Headline: SEC Orders Credit Rating Agency to Pay $3.5 Million for Conflicts of Interest Violations Release No.:2020-112
Published date grouping:May 2020 Date: Headline: SEC Charges Companies and CEO for Misleading COVID-19 Claims Release No.:2020-111
Published date grouping:May 2020 Date: Headline: SEC Obtains Receiver Over Florida Investment Adviser Charged With Fraud Release No.:2020-110
Published date grouping:May 2020 Date: Headline: SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients Release No.:2020-109
Published date grouping:May 2020 Date: Headline: Chairman Jay Clayton Announces Additions to Executive Staff Release No.:2020-108
Published date grouping:May 2020 Date: Headline: SEC Names John Moses Managing Executive in Chairman’s Office Release No.:2020-107
Published date grouping:May 2020 Date: Headline: Peter Uhlmann, Managing Executive in the Office of the Chairman, to Assume New Role at the Agency Release No.:2020-106
Published date grouping:May 2020 Date: Headline: SEC Investor Advisory Committee to Meet Virtually on May 21 Release No.:2020-105
Published date grouping:May 2020 Date: Headline: SEC Charges Bloomberg Tradebook for Order Routing Misrepresentations Release No.:2020-104
Published date grouping:May 2020 Date: Headline: SEC Directs Equity Exchanges and Financial Industry Regulatory Authority to Improve Governance of Market Data Plans Release No.:2020-103
Published date grouping:May 2020 Date: Headline: SEC Commemorates Teacher Appreciation Week, Highlights Ongoing Commitment to Serving Teachers Release No.:2020-102
Published date grouping:May 2020 Date: Headline: SEC Provides Temporary, Conditional Relief to Allow Small Businesses to Pursue Expedited Crowdfunding Offerings Release No.:2020-101
Published date grouping:May 2020 Date: Headline: SEC Awards Almost $2 Million to Whistleblower Release No.:2020-100
Published date grouping:April 2020 Date: Headline: Small Business Capital Formation Advisory Committee to Discuss the SEC’s Capital Formation Proposal on May 8 Release No.:2020-99
Published date grouping:April 2020 Date: Headline: SEC Awards Over $18 Million to Whistleblower Release No.:2020-98
Published date grouping:April 2020 Date: Headline: SEC Charges Company and CEO for COVID-19 Scam Release No.:2020-97
Published date grouping:April 2020 Date: Headline: SEC Announces Investor Advisory Committee Meeting Focusing on COVID-19 Release No.:2020-96
Published date grouping:April 2020 Date: Headline: SEC Forms Cross-Divisional COVID-19 Market Monitoring Group Release No.:2020-95
Published date grouping:April 2020 Date: Headline: Louis Gracia and Vanessa Horton Named Associate Directors of Investment Adviser/Investment Company Examination Program in Chicago Regional Office Release No.:2020-94
Published date grouping:April 2020 Date: Headline: SEC Proposes to Modernize Framework for Fund Valuation Practices Release No.:2020-93
Published date grouping:April 2020 Date: Headline: SEC Provides for Phased CAT Broker-Dealer Reporting Timelines with Conditional Exemption for Impacts of COVID-19 Release No.:2020-92
Published date grouping:April 2020 Date: Headline: SEC Issues $5 Million Whistleblower Award Release No.:2020-91
Published date grouping:April 2020 Date: Headline: SEC Orders Three Self-Reporting Advisory Firms to Reimburse Investors Release No.:2020-90
Published date grouping:April 2020 Date: Headline: SEC Awards Over $27 Million to Whistleblower Release No.:2020-89
Published date grouping:April 2020 Date: Headline: SEC Charges Former Financial Services Executive With FCPA Violations Release No.:2020-88
Published date grouping:April 2020 Date: Headline: Natasha Guinan Named Chief Counsel, Office of the Chief Accountant Release No.:2020-87
Published date grouping:April 2020 Date: Headline: SEC Enhances Standards for Critical Market Infrastructure Release No.:2020-86
Published date grouping:April 2020 Date: Headline: Foreign National and American Trader Settle Fraud Charges in EDGAR Hacking Case Release No.:2020-85
Published date grouping:April 2020 Date: Headline: SEC Provides Temporary, Conditional Relief for Business Development Companies Making Investments in Small and Medium-sized Businesses Release No.:2020-84
Published date grouping:April 2020 Date: Headline: In Response to Self-Executing Congressional Mandates, SEC Adopts Offering Reforms for Business Development Companies and Registered Closed-End Funds Release No.:2020-83
Published date grouping:April 2020 Date: Headline: SEC Office of Compliance Inspections and Examinations Publishes Risk Alerts Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS Release No.:2020-82
Published date grouping:April 2020 Date: Headline: Cantor Fitzgerald Agrees to Pay $3.2 Million to Settle Charges for Providing Deficient Blue Sheet Data Release No.:2020-81
Published date grouping:April 2020 Date: Headline: SEC Awards Approximately $2 Million to Whistleblower Release No.:2020-80
Published date grouping:April 2020 Date: Headline: Agencies Will Consider Comments on Volcker Rule Modifications Following Expiration of Comment Period Release No.:2020-79
Published date grouping:April 2020 Date: Headline: SEC Obtains Judgment Against Promoter Who Fraudulently Raised $3 Million for Christian Concerts Release No.:2020-78
Published date grouping:March 2020 Date: Headline: SEC Small Business Advocate to Host Virtual Coffee Breaks Discussing Small Business Capital Raising Release No.:2020-77
Published date grouping:March 2020 Date: Headline: SEC Announces Ad Hoc Meeting of Small Business Capital Formation Advisory Committee in Response to COVID-19 Challenges Faced By Small Businesses Release No.:2020-76
Published date grouping:March 2020 Date: Headline: SEC Awards $450,000 to Whistleblower Release No.:2020-75
Published date grouping:March 2020 Date: Headline: SEC Provides Additional Temporary Regulatory Relief and Assistance to Market Participants Affected by COVID-19 Release No.:2020-74
Published date grouping:March 2020 Date: Headline: SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements for Public Companies, Funds, and Investment Advisers Affected By Coronavirus Disease 2019 (COVID-19) Release No.:2020-73
Published date grouping:March 2020 Date: Headline: SEC Charges Unregistered Penny Stock Dealer Release No.:2020-72
Published date grouping:March 2020 Date: Headline: SEC Awards Over $570,000 to Two Whistleblowers Release No.:2020-71
Published date grouping:March 2020 Date: Headline: SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus Release No.:2020-70
Published date grouping:March 2020 Date: Headline: SEC Awards Over $1.6 Million to Whistleblower Release No.:2020-69
Published date grouping:March 2020 Date: Headline: SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by the Coronavirus Disease 2019 (COVID-19) Release No.:2020-68
Published date grouping:March 2020 Date: Headline: SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate NYSE Electronic Auctions in Light of Temporary Closure of Physical Trading Floor Release No.:2020-67
Published date grouping:March 2020 Date: Headline: SEC Emergency Action Stops Digital Asset Scam Release No.:2020-66
Published date grouping:March 2020 Date: Headline: Jury Finds Investment Adviser and its Owner Liable for Fraud Release No.:2020-65
Published date grouping:March 2020 Date: Headline: Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading – SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate Continued Operations in Light of Temporary Suspension of Cboe Physical Trading Floor Release No.:2020-64
Published date grouping:March 2020 Date: Headline: SEC Takes Targeted Action to Assist Funds and Advisers, Permits Virtual Board Meetings and Provides Conditional Relief from Certain Filing Procedures Release No.:2020-63
Published date grouping:March 2020 Date: Headline: SEC Staff Provides Guidance to Promote Continued Shareholder Engagement, Including at Virtual Annual Meetings, for Companies and Funds Affected by the Coronavirus Disease 2019 (COVID-19) Release No.:2020-62
Published date grouping:March 2020 Date: Headline: SEC Charges Russian National for Defrauding Older Investors of Over $26 Million in Phony Certificates of Deposit Scam Release No.:2020-61
Published date grouping:March 2020 Date: Headline: SEC Wins Jury Trial Against Microcap Fraudsters Release No.:2020-60
Published date grouping:March 2020 Date: Headline: Division of Corporation Finance Chief Accountant and Disclosure Review Program Director Kyle Moffatt to Leave SEC Release No.:2020-59
Published date grouping:March 2020 Date: Headline: SEC Adopts Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer Definitions Release No.:2020-58
Published date grouping:March 2020 Date: Headline: SEC Adopts Investor Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts Release No.:2020-57
Published date grouping:March 2020 Date: Headline: SEC Halts Fraudulent Offering By Florida Investment Adviser Release No.:2020-56
Published date grouping:March 2020 Date: Headline: EVENT POSTPONED: SEC Announces Conference on Municipal Securities Disclosure Release No.:2020-17
Published date grouping:March 2020 Date: Headline: SEC Proposes Rule Changes to Harmonize, Simplify and Improve the Exempt Offering Framework Release No.:2020-55
Published date grouping:March 2020 Date: Headline: SEC Names Kathleen M. Hutchinson as Deputy Director of International Affairs Release No.:2020-54
Published date grouping:March 2020 Date: Headline: SEC Provides Conditional Regulatory Relief and Assistance for Companies Affected by the Coronavirus Disease 2019 (COVID-19) Release No.:2020-53
Published date grouping:March 2020 Date: Headline: SEC Amends Rules to Improve Disclosure and Encourage Issuers to Conduct Debt Offerings on a Registered Basis Release No.:2020-52
Published date grouping:March 2020 Date: Headline: SEC Amends Exemptions from Investment Adviser Registration for Advisers to Rural Business Investment Companies Release No.:2020-51
Published date grouping:March 2020 Date: Headline: SEC Requests Comment on Fund Names Rule; Seeks to Eliminate Misleading Fund Names Release No.:2020-50
Published date grouping:February 2020 Date: Headline: Fee Rate Advisory #3 For Fiscal Year 2020 Release No.:2020-49
Published date grouping:February 2020 Date: Headline: SEC Charges Cardinal Health With FCPA Violations Release No.:2020-48
Published date grouping:February 2020 Date: Headline: Antonia Chion, Associate Director of SEC's Enforcement Division, to Retire After 32 Years of Service Release No.:2020-47
Published date grouping:February 2020 Date: Headline: SEC Awards More Than $7 Million to Whistleblower Release No.:2020-46
Published date grouping:February 2020 Date: Headline: Kelly L. Gibson Named Director of SEC's Philadelphia Office Release No.:2020-45
Published date grouping:February 2020 Date: Headline: SEC Charges South Carolina Energy Companies, Former Executives With Defrauding Investors Release No.:2020-44
Published date grouping:February 2020 Date: Headline: SEC Charges Wells Fargo In Connection With Investment Recommendation Practices Release No.:2020-43
Published date grouping:February 2020 Date: Headline: Actor Steven Seagal Charged With Unlawfully Touting Digital Asset Offering Release No.:2020-42
Published date grouping:February 2020 Date: Headline: G. Jeffrey Boujoukos, Director of the Philadelphia Regional Office to Leave the SEC Release No.:2020-41
Published date grouping:February 2020 Date: Headline: EVENT POSTPONED: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Release No.:2020-40
Published date grouping:February 2020 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2020-39
Published date grouping:February 2020 Date: Headline: Wells Fargo to Pay $500 Million for Misleading Investors About the Success of Its Largest Business Unit Release No.:2020-38
Published date grouping:February 2020 Date: Headline: ICO Issuer Settles SEC Registration Charges, Agrees to Return Funds and Register Tokens As Securities Release No.:2020-37
Published date grouping:February 2020 Date: Headline: SEC Charges Global Alcohol Producer with Disclosure Failures Release No.:2020-36
Published date grouping:February 2020 Date: Headline: SEC Charges Real Estate Company and Executives With Defrauding Retail Investors, Obtains Emergency Relief Release No.:2020-35
Published date grouping:February 2020 Date: Headline: SEC Proposes to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Securities Market Data Release No.:2020-34
Published date grouping:February 2020 Date: Headline: SEC Announces Nancy Sumption as Senior Advisor to the Chairman for Cybersecurity Policy Release No.:2020-33
Published date grouping:February 2020 Date: Headline: SEC Charges Orchestrator of Cryptocurrency Scheme Ensnaring Physicians Release No.:2020-32
Published date grouping:February 2020 Date: Headline: Paul A. Montoya Named Associate Regional Director in Chicago Office Release No.:2020-31
Published date grouping:February 2020 Date: Headline: SEC Investor Advisory Committee to Meet on Feb. 27 Release No.:2020-30
Published date grouping:February 2020 Date: Headline: ABN AMRO Clearing Chicago Charged With Improper Handling of ADRs Release No.:2020-29
Published date grouping:February 2020 Date: Headline: SEC Issues Agenda for February 10 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2020-28
Published date grouping:February 2020 Date: Headline: SEC Wins Jury Trial Against Massachusetts Man Charged in Multi-Year Insider Trading Scheme Release No.:2020-27
Published date grouping:January 2020 Date: Headline: SEC Brings Charges Against Fraud Targeting Amish and Mennonite Investors Release No.:2020-26
Published date grouping:January 2020 Date: Headline: SEC Proposes Amendments to Modernize and Enhance Financial Disclosures Release No.:2020-25
Published date grouping:January 2020 Date: Headline: Agencies Propose Changes to Modify “Covered Funds” Restrictions of Volcker Rule Release No.:2020-24
Published date grouping:January 2020 Date: Headline: SEC Issues Agenda for February 4 Meeting of Small Business Capital Formation Advisory Committee Release No.:2020-23
Published date grouping:January 2020 Date: Headline: SEC Names Ray McInerney as Freedom of Information Act Officer Release No.:2020-22
Published date grouping:January 2020 Date: Headline: SEC Charges Portfolio Manager and Advisory Firm with Misrepresenting Risk in Mutual Fund Release No.:2020-21
Published date grouping:January 2020 Date: Headline: SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity and Resiliency Practices Release No.:2020-20
Published date grouping:January 2020 Date: Headline: SEC Publishes Annual Reports on Credit Rating Agencies Release No.:2020-19
Published date grouping:January 2020 Date: Headline: SEC Charges Husband and Wife with Nearly $1 Billion Ponzi Scheme Release No.:2020-18
Published date grouping:January 2020 Date: Headline: Over $63 Million to Be Returned to Investors in Alleged Real Estate Investment Fraud Release No.:2020-16
Published date grouping:January 2020 Date: Headline: SEC Awards Whistleblowers Whose Information Helped Stop Fraud Release No.:2020-15
Published date grouping:January 2020 Date: Headline: SEC Files Charges Against Scheme to Sell Fictitious Interests in Marijuana Company Release No.:2020-14
Published date grouping:January 2020 Date: Headline: SEC to Report on State of Small Business Capital Formation in the U.S. Release No.:2020-13
Published date grouping:January 2020 Date: Headline: SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Fake Identity Release No.:2020-12
Published date grouping:January 2020 Date: Headline: Austin Gerig Named as SEC’s Chief Data Officer Release No.:2020-11
Published date grouping:January 2020 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges Businessman With Operating a Ponzi-Like Scheme Release No.:2020-10
Published date grouping:January 2020 Date: Headline: SEC Names Allen Blume as Deputy Chief Financial Officer Release No.:2020-9
Published date grouping:January 2020 Date: Headline: SEC Names Mark D. Reinhold as Deputy Chief Human Capital Officer in the Office of Human Resources Release No.:2020-8
Published date grouping:January 2020 Date: Headline: Fee Rate Advisory #2 for Fiscal Year 2020 Release No.:2020-7
Published date grouping:January 2020 Date: Headline: SEC Issues Agenda for Inaugural Meeting of the Asset Management Advisory Committee Release No.:2020-6
Published date grouping:January 2020 Date: Headline: SEC Proposes Improvements to Governance of Market Data Plans Release No.:2020-5
Published date grouping:January 2020 Date: Headline: SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities Release No.:2020-4
Published date grouping:January 2020 Date: Headline: SEC Investor Advisory Committee to Hold Jan. 24 Telephone Meeting Release No.:2020-3
Published date grouping:January 2020 Date: Headline: Longfin CEO Settles Fraud Action Release No.:2020-2
Published date grouping:January 2020 Date: Headline: SEC Charges Six Individuals in International Microcap Fraud Schemes Release No.:2020-1
Published date grouping:December 2019 Date: Headline: SEC Proposes to Codify Certain Consultations and Modernize Auditor Independence Rules Release No.:2019-276
Published date grouping:December 2019 Date: Headline: Susan Nash, Associate Director in Division of Investment Management, to Leave SEC After 30 Years of Public Service Release No.:2019-275
Published date grouping:December 2019 Date: Headline: SEC Charges Recidivist Investment Adviser With Defrauding Retirees Release No.:2019-274
Published date grouping:December 2019 Date: Headline: SEC Announces Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion Release No.:2019-273
Published date grouping:December 2019 Date: Headline: Small Business Advocate Releases First Annual Report Release No.:2019-272
Published date grouping:December 2019 Date: Headline: SEC Files Charges in Ponzi Scheme Targeting Hispanic Community Release No.:2019-271
Published date grouping:December 2019 Date: Headline: SEC Names David Bottom as Chief Information Officer Release No.:2019-270
Published date grouping:December 2019 Date: Headline: MetLife to Pay $10 Million for Longstanding Internal Control Failures Release No.:2019-269
Published date grouping:December 2019 Date: Headline: SEC Charges Broker-Dealers With Illicitly Profiting in Partial Tender Offer Release No.:2019-268
Published date grouping:December 2019 Date: Headline: Issuer Settles Unregistered ICO Charges, Agrees to Return Funds and Register Tokens Release No.:2019-267
Published date grouping:December 2019 Date: Headline: SEC Approves 2020 PCAOB Budget and Accounting Support Fee Release No.:2019-266
Published date grouping:December 2019 Date: Headline: SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments Release No.:2019-265
Published date grouping:December 2019 Date: Headline: SEC Proposes Rules to Implement the Statutory Mandate to Adopt Resource Extraction Disclosure Rules Release No.:2019-264
Published date grouping:December 2019 Date: Headline: SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime Release No.:2019-263
Published date grouping:December 2019 Date: Headline: SEC Adopts Risk Mitigation Techniques for Uncleared Security-Based Swaps Release No.:2019-262
Published date grouping:December 2019 Date: Headline: Silicon Valley IT Administrator and Friends Charged in Multimillion Dollar Insider Trading Ring Release No.:2019-261
Published date grouping:December 2019 Date: Headline: SEC Charges Former Goldman Sachs Executive With FCPA Violations Release No.:2019-260
Published date grouping:December 2019 Date: Headline: SEC Charges Founder, Digital-Asset Issuer With Fraudulent ICO Release No.:2019-259
Published date grouping:December 2019 Date: Headline: SEC Obtains Asset Freeze to Halt Alleged Offering Fraud Release No.:2019-258
Published date grouping:December 2019 Date: Headline: Former Congressman and Two Others Settle Insider Trading Charges Release No.:2019-257
Published date grouping:December 2019 Date: Headline: Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs Release No.:2019-256
Published date grouping:December 2019 Date: Headline: SEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock Promoter Release No.:2019-255
Published date grouping:December 2019 Date: Headline: SEC Charges Multinational Telecommunications Company With FCPA Violations Release No.:2019-254
Published date grouping:December 2019 Date: Headline: SEC Charges Trucking Executives With Accounting Fraud Release No.:2019-253
Published date grouping:December 2019 Date: Headline: SEC Releases Report on 38th Annual Small Business Forum Release No.:2019-252
Published date grouping:December 2019 Date: Headline: SEC Charges Iconix Brand Group and Former Top Executives With Accounting Fraud Release No.:2019-251
Published date grouping:December 2019 Date: Headline: SEC Issues Agenda for Dec. 11 Meeting of Small Business Capital Formation Advisory Committee Release No.:2019-250
Published date grouping:December 2019 Date: Headline: SEC Names Paul Munter as Deputy Chief Accountant Release No.:2019-249
Published date grouping:December 2019 Date: Headline: SEC Names John Vanosdall as Deputy Chief Accountant Release No.:2019-248
Published date grouping:December 2019 Date: Headline: Kristina Littman Named Chief of the Cyber Unit Release No.:2019-247
Published date grouping:November 2019 Date: Headline: Chief Administrative Law Judge Brenda Murray to Retire Release No.:2019-246
Published date grouping:November 2019 Date: Headline: SEC Halts Penny Stock Scheme Targeting Seniors Release No.:2019-245
Published date grouping:November 2019 Date: Headline: SEC Revokes Registration of Adviser Engaged in $60 Million Fraud Release No.:2019-244
Published date grouping:November 2019 Date: Headline: SEC Charges Biotech Company and Executives With Accounting Fraud Release No.:2019-243
Published date grouping:November 2019 Date: Headline: SEC Proposes to Modernize Regulation of the Use of Derivatives by Registered Funds and Business Development Companies Release No.:2019-242
Published date grouping:November 2019 Date: Headline: SEC Charges Former Top Executives of Healthcare Advertising Company With $487 Million Fraud Release No.:2019-241
Published date grouping:November 2019 Date: Headline: SEC Announces Conference on Macroeconomic and Structural Trends and Dynamics Affecting the Capital Markets Release No.:2019-240
Published date grouping:November 2019 Date: Headline: SEC Halts Ponzi scheme Targeting Seniors and Small Business Owners Release No.:2019-239
Published date grouping:November 2019 Date: Headline: SEC Awards Over $260,000 to Whistleblowers for Their Help in Spotting Securities Fraud Release No.:2019-238
Published date grouping:November 2019 Date: Headline: Marie-Louise Huth Named Chief Counsel in Division of Economic and Risk Analysis Release No.:2019-237
Published date grouping:November 2019 Date: Headline: SEC Wins Jury Trial in Layering, Manipulative Trading Case Release No.:2019-236
Published date grouping:November 2019 Date: Headline: SEC Issues Agenda for Nov. 12 Meeting of Small Business Capital Formation Advisory Committee Release No.:2019-235
Published date grouping:November 2019 Date: Headline: SEC Charges Adviser for Running Ponzi Scheme Targeting Haitian Community Release No.:2019-234
Published date grouping:November 2019 Date: Headline: SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019 Release No.:2019-233
Published date grouping:November 2019 Date: Headline: SEC Proposes Amendments to Modernize Shareholder Proposal Rule Release No.:2019-232
Published date grouping:November 2019 Date: Headline: SEC Proposes Rule Amendments to Improve Accuracy and Transparency of Proxy Voting Advice Release No.:2019-231
Published date grouping:November 2019 Date: Headline: SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers Release No.:2019-230
Published date grouping:November 2019 Date: Headline: SEC Announces Extension of Temporary Measure to Facilitate Cross-Border Implementation of the European Union's MiFID II's Research Provisions Release No.:2019-229
Published date grouping:November 2019 Date: Headline: SEC Chairman Clayton, PCAOB Chairman Duhnke, and Members of SEC Staff Meet With Auditing Firm Representatives to Discuss Audit Quality in Emerging Economies and Markets Release No.:2019-228
Published date grouping:November 2019 Date: Headline: SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints Release No.:2019-227
Published date grouping:October 2019 Date: Headline: SEC Charges International Dealer That Sold Security-Based Swaps to U.S. Investors Release No.:2019-226
Published date grouping:October 2019 Date: Headline: SEC Issues Agenda for Nov. 4 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2019-225
Published date grouping:October 2019 Date: Headline: SEC to Host Veterans Day Program for Active Duty Service Members and Veterans Release No.:2019-224
Published date grouping:October 2019 Date: Headline: Natasha Vij Greiner Named Associate Director in SEC’s Investment Adviser/Investment Company Examination Program Release No.:2019-223
Published date grouping:October 2019 Date: Headline: SEC and Fordham University School of Law to Host Conference on Combating Community-Based Financial Fraud Release No.:2019-222
Published date grouping:October 2019 Date: Headline: U.S. Financial Regulatory Agencies Join the Global Financial Innovation Network Release No.:2019-221
Published date grouping:October 2019 Date: Headline: SEC Investor Advisory Committee to Meet on Nov. 7 Release No.:2019-220
Published date grouping:October 2019 Date: Headline: SEC Proposes Amendments to Exemptive Applications Procedures Release No.:2019-219
Published date grouping:October 2019 Date: Headline: SEC and Morehouse College Announce Atlanta Event for Minority Entrepreneurs Release No.:2019-218
Published date grouping:October 2019 Date: Headline: SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities Release No.:2019-217
Published date grouping:October 2019 Date: Headline: SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme Release No.:2019-216
Published date grouping:October 2019 Date: Headline: SEC Promotes Teacher Investment Outreach Release No.:2019-215
Published date grouping:October 2019 Date: Headline: Supervisor Charged for Role in Brokerage Firm’s Improper Handling of ADRs Release No.:2019-214
Published date grouping:October 2019 Date: Headline: Robert Burson, Associate Regional Director of Chicago Office, to Retire From the SEC After 29 Years of Service Release No.:2019-213
Published date grouping:October 2019 Date: Headline: SEC Halts Alleged $1.7 Billion Unregistered Digital Token Offering Release No.:2019-212
Published date grouping:October 2019 Date: Headline: SEC Appoints Rebekah Goshorn Jurata to PCAOB; Announces Commissioner Hester Peirce to Lead Commission’s Coordination Efforts With PCAOB Release No.:2019-211
Published date grouping:October 2019 Date: Headline: PCAOB Board Member Kathleen Hamm to Complete Term Release No.:2019-210
Published date grouping:October 2019 Date: Headline: SEC Educational Videos Aim to Help Investors Spot and Avoid Fraud Release No.:2019-209
Published date grouping:October 2019 Date: Headline: SEC Announces the Formation of Asset Management Advisory Committee Release No.:2019-208
Published date grouping:October 2019 Date: Headline: Agencies Finalize Changes to Simplify Volcker Rule Release No.:2019-207
Published date grouping:October 2019 Date: Headline: SEC Names Katharine E. Zoladz as Associate Regional Director in Los Angeles Office Release No.:2019-206
Published date grouping:October 2019 Date: Headline: SEC Obtains Final Judgments Against Lek Securities and CEO in Layering, Manipulation Case Release No.:2019-205
Published date grouping:October 2019 Date: Headline: SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment, and Approval Procedure Release No.:2019-204
Published date grouping:October 2019 Date: Headline: SEC’s Message for 2019 World Investor Week: Start Early Release No.:2019-203
Published date grouping:September 2019 Date: Headline: SEC Orders Blockchain Company to Pay $24 Million Penalty for Unregistered ICO Release No.:2019-202
Published date grouping:September 2019 Date: Headline: SEC Charges Hedge Fund Adviser and Top Executives With Fraud Release No.:2019-201
Published date grouping:September 2019 Date: Headline: SEC Orders an Additional 16 Self-Reporting Advisory Firms to Pay Nearly $10 Million to Investors Release No.:2019-200
Published date grouping:September 2019 Date: Headline: Two BMO Advisory Firms Pay Over $37 Million to Harmed Clients for Failing to Disclose Conflicts of Interest Release No.:2019-199
Published date grouping:September 2019 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2019-198
Published date grouping:September 2019 Date: Headline: SEC Charges Canadian Clean Fuel Technology Company and Former CEO with FCPA Violations Release No.:2019-197
Published date grouping:September 2019 Date: Headline: Automaker to Pay $40 Million for Misleading Investors Release No.:2019-196
Published date grouping:September 2019 Date: Headline: Herbalife to Pay $20 Million for Misleading Investors Release No.:2019-195
Published date grouping:September 2019 Date: Headline: Mylan to Pay $30 Million for Disclosure and Accounting Failure Relating to EpiPen Release No.:2019-194
Published date grouping:September 2019 Date: Headline: SEC Charges Marketing and Printing Services Provider with FCPA Violations Release No.:2019-193
Published date grouping:September 2019 Date: Headline: SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud Release No.:2019-192
Published date grouping:September 2019 Date: Headline: SEC Charges Three Individuals with Deceiving Main Street Investors Through the Sale of Binary Options Release No.:2019-191
Published date grouping:September 2019 Date: Headline: SEC Adopts New Rule to Modernize Regulation of Exchange-Traded Funds Release No.:2019-190
Published date grouping:September 2019 Date: Headline: SEC Proposes Amendments to Enhance Retail Investor Protections Release No.:2019-189
Published date grouping:September 2019 Date: Headline: SEC Adopts New Rule to Allow All Issuers to “Test-the-Waters” Release No.:2019-188
Published date grouping:September 2019 Date: Headline: SEC Charges TMC Bonds With Failing to Protect Confidential Subscriber Information Release No.:2019-187
Published date grouping:September 2019 Date: Headline: SEC Charges Comscore Inc. and Former CEO with Accounting and Disclosure Fraud Release No.:2019-186
Published date grouping:September 2019 Date: Headline: SEC Brings New Charges in Multimillion Dollar Boiler Room Schemes Release No.:2019-185
Published date grouping:September 2019 Date: Headline: SEC Charges PwC LLP With Violating Auditor Independence Rules and Engaging in Improper Professional Conduct Release No.:2019-184
Published date grouping:September 2019 Date: Headline: SEC Charges Nissan, Former CEO, and Former Director with Fraudulently Concealing from Investors More than $140 Million of Compensation and Retirement Benefits Release No.:2019-183
Published date grouping:September 2019 Date: Headline: SEC Adopts New Rules and Amendments under Title VII of Dodd-Frank Release No.:2019-182
Published date grouping:September 2019 Date: Headline: SEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity Release No.:2019-181
Published date grouping:September 2019 Date: Headline: SEC Halts Alleged $125 Million Offering Fraud Release No.:2019-180
Published date grouping:September 2019 Date: Headline: SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants Release No.:2019-179
Published date grouping:September 2019 Date: Headline: Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors Release No.:2019-178
Published date grouping:September 2019 Date: Headline: Two Broker-Dealers to Pay $4.65 Million in Penalties for Providing Deficient Blue Sheet Data Release No.:2019-177
Published date grouping:September 2019 Date: Headline: SEC Charges Prudential Subsidiaries For Misleading Funds They Advised, Generating Tens of Millions in Tax Benefits for Prudential Release No.:2019-176
Published date grouping:September 2019 Date: Headline: SEC Charges Silicon Valley-Based Issuer With Misleading Disclosure Violations Release No.:2019-175
Published date grouping:September 2019 Date: Headline: James M. Daly, Division of Corporation Finance Associate Director, to Retire from the SEC After More Than 38 Years of Service Release No.:2019-174
Published date grouping:September 2019 Date: Headline: SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan Release No.:2019-173
Published date grouping:September 2019 Date: Headline: Chandler Smith Costello Named Deputy Director for Public Affairs Release No.:2019-172
Published date grouping:September 2019 Date: Headline: SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies Release No.:2019-171
Published date grouping:September 2019 Date: Headline: SEC Names Monique Winkler as Associate Regional Director in San Francisco Office Release No.:2019-170
Published date grouping:August 2019 Date: Headline: SEC Monitoring Impact of Hurricane Dorian on Capital Markets Release No.:2019-169
Published date grouping:August 2019 Date: Headline: SEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal Release No.:2019-168
Published date grouping:August 2019 Date: Headline: SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players Release No.:2019-167
Published date grouping:August 2019 Date: Headline: SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme Release No.:2019-166
Published date grouping:August 2019 Date: Headline: SEC Awards More Than $1.8 Million to Whistleblower Release No.:2019-165
Published date grouping:August 2019 Date: Headline: SEC Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange Release No.:2019-164
Published date grouping:August 2019 Date: Headline: SEC Investor Advisory Committee to Meet on Sept. 19 Release No.:2019-163
Published date grouping:August 2019 Date: Headline: SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud Release No.:2019-162
Published date grouping:August 2019 Date: Headline: RSM US LLP Charged With Violating Auditor Independence Rules Release No.:2019-161
Published date grouping:August 2019 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2020 Release No.:2019-160
Published date grouping:August 2019 Date: Headline: SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme Release No.:2019-159
Published date grouping:August 2019 Date: Headline: SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice Release No.:2019-158
Published date grouping:August 2019 Date: Headline: SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets Release No.:2019-157
Published date grouping:August 2019 Date: Headline: SEC Charges TherapeuticsMD With Regulation FD Violations Release No.:2019-156
Published date grouping:August 2019 Date: Headline: Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs Release No.:2019-155
Published date grouping:August 2019 Date: Headline: SEC Charges Former CFO of Cash Advance Company With Defrauding Retail Investors Release No.:2019-154
Published date grouping:August 2019 Date: Headline: SEC Releases Videos for Investors on Choosing and Working with a Financial Professional Release No.:2019-153
Published date grouping:August 2019 Date: Headline: SEC Wins Jury Trial Against Broker Charged with Insider Trading Release No.:2019-152
Published date grouping:August 2019 Date: Headline: SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors Release No.:2019-151
Published date grouping:August 2019 Date: Headline: SEC Obtains Freeze of $8 Million in Assets in Alleged Fraudulent Token Offering and Manipulation Scheme Release No.:2019-150
Published date grouping:August 2019 Date: Headline: SEC Charges Investment Banking Analyst with Insider Trading Release No.:2019-149
Published date grouping:August 2019 Date: Headline: SEC Proposes to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K Release No.:2019-148
Published date grouping:August 2019 Date: Headline: SEC Investor Advisory Committee to Hold Telephone Meeting on Sept. 5 Release No.:2019-147
Published date grouping:August 2019 Date: Headline: SEC Announces Agenda and Panelists for 2019 Small Business Forum in Omaha Release No.:2019-146
Published date grouping:August 2019 Date: Headline: SEC Adopts Amendments to Codify Exemption to Credit Rating Agency Rule Release No.:2019-145
Published date grouping:August 2019 Date: Headline: SEC Chairman Clayton Announces Event for Main Street Investors in Chicago Release No.:2019-144
Published date grouping:August 2019 Date: Headline: SEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud Release No.:2019-143
Published date grouping:July 2019 Date: Headline: Robert A. Cohen, Cyber Unit Chief, to Leave SEC After 15 Years of Service Release No.:2019-142
Published date grouping:July 2019 Date: Headline: SEC Issues Agenda for July 29 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2019-141
Published date grouping:July 2019 Date: Headline: Facebook to Pay $100 Million for Misleading Investors About the Risks It Faced From Misuse of User Data Release No.:2019-140
Published date grouping:July 2019 Date: Headline: Emily Westerberg Russell Named Chief Counsel of Division of Trading and Markets Release No.:2019-139
Published date grouping:July 2019 Date: Headline: SEC Awards Half-Million Dollars to Overseas Whistleblower Release No.:2019-138
Published date grouping:July 2019 Date: Headline: SEC Charges Engine Manufacturing Company Executives With Accounting Fraud Release No.:2019-137
Published date grouping:July 2019 Date: Headline: SEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors Release No.:2019-136
Published date grouping:July 2019 Date: Headline: SEC Charges Portfolio Manager with Mispricing Fund Investments Release No.:2019-135
Published date grouping:July 2019 Date: Headline: SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud Release No.:2019-134
Published date grouping:July 2019 Date: Headline: Former REIT Manager and Executives to Settle SEC Charges for More Than $60 Million Release No.:2019-133
Published date grouping:July 2019 Date: Headline: SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments Release No.:2019-132
Published date grouping:July 2019 Date: Headline: Nomura to Pay Misled Bond Customers $25 Million to Settle SEC Charges Release No.:2019-131
Published date grouping:July 2019 Date: Headline: SEC Charges Securities Lawyer and Microcap Agent with Fraud Release No.:2019-130
Published date grouping:July 2019 Date: Headline: SEC Staff Publishes Statement Highlighting Risks for Market Participants to Consider As They Transition Away from LIBOR Release No.:2019-129
Published date grouping:July 2019 Date: Headline: SEC Monitoring Impact of Tropical Storm Barry on Capital Markets Release No.:2019-128
Published date grouping:July 2019 Date: Headline: SEC Investor Advisory Committee to Meet on July 25 Release No.:2019-127
Published date grouping:July 2019 Date: Headline: SEC Charges Accountant and Friend in $6.2 Million Insider Trading Scheme Release No.:2019-126
Published date grouping:July 2019 Date: Headline: CFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products Release No.:2019-125
Published date grouping:July 2019 Date: Headline: Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule Release No.:2019-124
Published date grouping:July 2019 Date: Headline: SEC Announces August 13 Meeting of Small Business Capital Formation Advisory Committee Release No.:2019-123
Published date grouping:July 2019 Date: Headline: Julie A. Erhardt, Deputy Chief Accountant, to Leave the SEC Release No.:2019-122
Published date grouping:July 2019 Date: Headline: Allison Herren Lee Sworn In As SEC Commissioner Release No.:2019-121
Published date grouping:July 2019 Date: Headline: SEC Proposes to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products Release No.:2019-120
Published date grouping:July 2019 Date: Headline: John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency Release No.:2019-119
Published date grouping:July 2019 Date: Headline: SEC Names Sagar Teotia As Chief Accountant Release No.:2019-118
Published date grouping:July 2019 Date: Headline: SEC Staff to Host July 18 Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements Release No.:2019-117
Published date grouping:July 2019 Date: Headline: SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month Release No.:2019-116
Published date grouping:July 2019 Date: Headline: SEC Charges Investment Adviser With Fraud Release No.:2019-115
Published date grouping:June 2019 Date: Headline: State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses Release No.:2019-114
Published date grouping:June 2019 Date: Headline: SEC Charges New Defendant in $43 Million Tribal Bonds Scheme Release No.:2019-113
Published date grouping:June 2019 Date: Headline: Chairman Clayton Highlights New Members of Executive Staff Release No.:2019-112
Published date grouping:June 2019 Date: Headline: SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs Release No.:2019-111
Published date grouping:June 2019 Date: Headline: SEC Names Bryan Wood as Deputy Chief of Staff Release No.:2019-110
Published date grouping:June 2019 Date: Headline: SEC Names Sean Memon as Chief of Staff Release No.:2019-109
Published date grouping:June 2019 Date: Headline: SEC Chief of Staff Lucas Moskowitz to Leave the Agency Release No.:2019-108
Published date grouping:June 2019 Date: Headline: SEC Names Vanessa Countryman to Lead the Office of the Secretary Release No.:2019-107
Published date grouping:June 2019 Date: Headline: Joint Statement on Opportunistic Strategies in the Credit Derivatives Market Release No.:2019-106
Published date grouping:June 2019 Date: Headline: SEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers Release No.:2019-105
Published date grouping:June 2019 Date: Headline: SEC Wins Jury Trial Against Broker Charged With Defrauding Customers Release No.:2019-104
Published date grouping:June 2019 Date: Headline: SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors Release No.:2019-103
Published date grouping:June 2019 Date: Headline: Walmart Charged With FCPA Violations Release No.:2019-102
Published date grouping:June 2019 Date: Headline: SEC Freezes Assets in International Manipulative Trading Scheme Release No.:2019-101
Published date grouping:June 2019 Date: Headline: SEC Chairman Clayton Announces Events for Main Street Investors in Boston Release No.:2019-100
Published date grouping:June 2019 Date: Headline: Wedbush to Pay More Than $8.1 Million for Improper Handling of ADRs Release No.:2019-99
Published date grouping:June 2019 Date: Headline: SEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision Release No.:2019-98
Published date grouping:June 2019 Date: Headline: SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions Release No.:2019-97
Published date grouping:June 2019 Date: Headline: SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management Release No.:2019-96
Published date grouping:June 2019 Date: Headline: KPMG Paying $50 Million Penalty for Illicit Use of PCAOB Data and Cheating on Training Exams Release No.:2019-95
Published date grouping:June 2019 Date: Headline: Industrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs Release No.:2019-94
Published date grouping:June 2019 Date: Headline: SEC Announces 2019 Government-Business Forum to Be Held in Omaha Release No.:2019-93
Published date grouping:June 2019 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2019-92
Published date grouping:June 2019 Date: Headline: David Peavler Named Director of Fort Worth Office Release No.:2019-91
Published date grouping:June 2019 Date: Headline: SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant Release No.:2019-90
Published date grouping:June 2019 Date: Headline: SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals Release No.:2019-89
Published date grouping:June 2019 Date: Headline: Marshall Gandy Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program Release No.:2019-88
Published date grouping:June 2019 Date: Headline: SEC Charges Issuer With Conducting $100 Million Unregistered ICO Release No.:2019-87
Published date grouping:June 2019 Date: Headline: Hedge Fund Adviser to Pay $5 Million for Compliance Failures Related to Valuation of Fund Assets Release No.:2019-86
Published date grouping:June 2019 Date: Headline: SEC Announces Enforcement and Investor Education Initiatives to Protect Teachers and Military Service Members Release No.:2019-85
Published date grouping:June 2019 Date: Headline: SEC Seeks Emergency Relief to Halt Ponzi Scheme Run From College Fraternity House Release No.:2019-84
Published date grouping:June 2019 Date: Headline: Ahmed Abonamah Named Deputy Director of the Office of Municipal Securities Release No.:2019-83
Published date grouping:June 2019 Date: Headline: SEC Announces Kevin Zerrusen as Senior Advisor to the Chairman for Cybersecurity Policy Release No.:2019-82
Published date grouping:June 2019 Date: Headline: SEC Awards $3 Million to Joint Whistleblowers Release No.:2019-81
Published date grouping:May 2019 Date: Headline: Sagar Teotia Named the SEC's Acting Chief Accountant Release No.:2019-80
Published date grouping:May 2019 Date: Headline: Wesley R. Bricker, Chief Accountant, to Leave SEC Release No.:2019-79
Published date grouping:May 2019 Date: Headline: Erin Schneider Named Director of San Francisco Office Release No.:2019-78
Published date grouping:May 2019 Date: Headline: SEC Charges Investment Adviser With Fraud Release No.:2019-77
Published date grouping:May 2019 Date: Headline: SEC Awards $4.5 Million to Whistleblower Whose Internal Reporting Led to Successful SEC Case and Related Action Release No.:2019-76
Published date grouping:May 2019 Date: Headline: SEC, NASAA, and FINRA Issue Senior Safe Act Fact Sheet to Help promote Greater Reporting of Suspected Senior Financial Exploitation Release No.:2019-75
Published date grouping:May 2019 Date: Headline: SEC Sues Alleged Perpetrator of Fraudulent Pyramid Scheme Promising Investors Cryptocurrency Riches Release No.:2019-74
Published date grouping:May 2019 Date: Headline: SEC Seeks Emergency Relief to Halt Prominent New York Developer’s Ponzi-Like Real Estate Investment Scheme Release No.:2019-73
Published date grouping:May 2019 Date: Headline: SEC Obtains Emergency Order Halting Alleged Diamond-Related ICO Scheme Targeting Hundreds of Investors Release No.:2019-72
Published date grouping:May 2019 Date: Headline: SEC and CFTC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral Memorandum of Understanding Concerning Cross-Border Enforcement Release No.:2019-71
Published date grouping:May 2019 Date: Headline: Jury Rules in SEC’s Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud Release No.:2019-70
Published date grouping:May 2019 Date: Headline: SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements Release No.:2019-69
Published date grouping:May 2019 Date: Headline: SEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions Release No.:2019-68
Published date grouping:May 2019 Date: Headline: SEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend Release No.:2019-67
Published date grouping:May 2019 Date: Headline: SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud Release No.:2019-66
Published date grouping:May 2019 Date: Headline: SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses Release No.:2019-65
Published date grouping:May 2019 Date: Headline: Adam S. Aderton Named Co-Chief of the Asset Management Unit Release No.:2019-64
Published date grouping:April 2019 Date: Headline: SEC’s Office of the Advocate for Small Business Capital Formation to Host Roundtable to Kick Off National Small Business Week Release No.:2019-63
Published date grouping:April 2019 Date: Headline: SEC Announces Fraud Charges in Ticket Resale Investment Scam Release No.:2019-62
Published date grouping:April 2019 Date: Headline: SEC Announces Members of Small Business Capital Formation Advisory Committee Release No.:2019-61
Published date grouping:April 2019 Date: Headline: SEC Charges Truckload Freight Company With Accounting Fraud Release No.:2019-60
Published date grouping:April 2019 Date: Headline: SEC Staff Announces Agenda for May 31 FinTech Forum Release No.:2019-59
Published date grouping:April 2019 Date: Headline: Silicon Valley Company Settles Fraud Charge for Misstating Returns to Investors Release No.:2019-58
Published date grouping:April 2019 Date: Headline: SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019 Release No.:2019-57
Published date grouping:April 2019 Date: Headline: Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management Release No.:2019-56
Published date grouping:April 2019 Date: Headline: SEC Charges Former Woodbridge Directors of Investment With Fraud Release No.:2019-55
Published date grouping:April 2019 Date: Headline: SEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2019-54
Published date grouping:April 2019 Date: Headline: SEC Charges Former SeaWorld Associate General Counsel With Insider Trading Release No.:2019-53
Published date grouping:April 2019 Date: Headline: New SEC Campaign Educates Investors on Where and How to Get Answers Release No.:2019-52
Published date grouping:April 2019 Date: Headline: SEC Charges Transportation Company Executives With Accounting Fraud Release No.:2019-51
Published date grouping:April 2019 Date: Headline: SEC Charges Former CEO of Silicon Valley Startup With Defrauding Investors Release No.:2019-50
Published date grouping:April 2019 Date: Headline: Are You Prepared for Your Financial Future? Use the SEC’s Investor Preparedness Checklist to Find Out Release No.:2019-49
Published date grouping:March 2019 Date: Headline: SEC Charges Medical Device Company With FCPA Violations Release No.:2019-48
Published date grouping:March 2019 Date: Headline: The Securities and Exchange Commission and the UK Financial Conduct Authority Sign Updated Supervisory Cooperation Arrangements Release No.:2019-47
Published date grouping:March 2019 Date: Headline: SEC Charges College Official for Fraudulently Concealing Financial Troubles From Municipal Bond Investors Release No.:2019-46
Published date grouping:March 2019 Date: Headline: Investment Adviser Charged With Stealing Millions From Private Fund Release No.:2019-45
Published date grouping:March 2019 Date: Headline: SEC Charges New Jersey Man With Fraudulently Causing Advisory Firm to Overbill Clients Release No.:2019-44
Published date grouping:March 2019 Date: Headline: SEC Names Danae M. Serrano as Ethics Counsel Release No.:2019-43
Published date grouping:March 2019 Date: Headline: SEC Awards $50 Million to Two Whistleblowers Release No.:2019-42
Published date grouping:March 2019 Date: Headline: SEC Names Jeffrey Dinwoodie Senior Counsel and Policy Advisor for Market and Activities-Based Risk Release No.:2019-41
Published date grouping:March 2019 Date: Headline: Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs Release No.:2019-40
Published date grouping:March 2019 Date: Headline: SEC Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds Release No.:2019-39
Published date grouping:March 2019 Date: Headline: SEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure Release No.:2019-38
Published date grouping:March 2019 Date: Headline: Justin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office Release No.:2019-37
Published date grouping:March 2019 Date: Headline: SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client Release No.:2019-36
Published date grouping:March 2019 Date: Headline: SEC Staff to Hold Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets Release No.:2019-35
Published date grouping:March 2019 Date: Headline: SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During "Clean Diesel" Emissions Fraud Release No.:2019-34
Published date grouping:March 2019 Date: Headline: Jason J. Burt Named Associate Regional Director for Enforcement in SEC's Denver Office Release No.:2019-33
Published date grouping:March 2019 Date: Headline: Wedbush Settles Failure to Supervise Charge Release No.:2019-32
Published date grouping:March 2019 Date: Headline: SEC Announces March 28 Meeting of Investor Advisory Committee Release No.:2019-31
Published date grouping:March 2019 Date: Headline: Fee Rate Advisory #2 for Fiscal Year 2019 Release No.:2019-30
Published date grouping:March 2019 Date: Headline: SEC Charges Lumber Liquidators With Fraud Release No.:2019-29
Published date grouping:March 2019 Date: Headline: SEC Share Class Initiative Returning More Than $125 Million to Investors Release No.:2019-28
Published date grouping:March 2019 Date: Headline: Mobile TeleSystems Settles FCPA Violations Release No.:2019-27
Published date grouping:March 2019 Date: Headline: BB&T to Return More Than $5 Million to Retail Investors and Pay Penalty Relating to Directed Brokerage Arrangements Release No.:2019-26
Published date grouping:March 2019 Date: Headline: SEC Celebrates African American History Month with Presentation by Award-Winning Filmmaker Release No.:2019-25
Published date grouping:February 2019 Date: Headline: SEC Names Gabriel Benincasa As Its First Chief Risk Officer Release No.:2019-24
Published date grouping:February 2019 Date: Headline: SEC Modifies Timing for Filing Non-Public Form N-PORT Data to Align With Its Approach to Data Management and Cybersecurity Release No.:2019-23
Published date grouping:February 2019 Date: Headline: SEC Names Vanessa Countryman Acting Secretary Release No.:2019-22
Published date grouping:February 2019 Date: Headline: Brent J. Fields Named Associate Director in the Division of Investment Management Release No.:2019-21
Published date grouping:February 2019 Date: Headline: SEC Names S.P. Kothari as Chief Economist and Director of the Division of Economic and Risk Analysis Release No.:2019-20
Published date grouping:February 2019 Date: Headline: SEC Halts South Florida Alternative Investments Scheme Targeting Retail Investors Release No.:2019-19
Published date grouping:February 2019 Date: Headline: Giles Cohen Named Acting Chief Counsel, Office of the Chief Accountant Release No.:2019-18
Published date grouping:February 2019 Date: Headline: SEC Names James P. McNamara as Chief Human Capital Officer Release No.:2019-17
Published date grouping:February 2019 Date: Headline: SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud Release No.:2019-16
Published date grouping:February 2019 Date: Headline: Company Settles Unregistered ICO Charges After Self-Reporting to SEC Release No.:2019-15
Published date grouping:February 2019 Date: Headline: SEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers Release No.:2019-14
Published date grouping:February 2019 Date: Headline: SEC Files Charges in Elaborate Microcap Stock Fraud Release No.:2019-13
Published date grouping:February 2019 Date: Headline: SEC Charges Cognizant and Two Former Executives With FCPA Violations Release No.:2019-12
Published date grouping:February 2019 Date: Headline: SEC Extends Comment Period for Rulemaking Proposal Regarding Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts Release No.:2019-11
Published date grouping:February 2019 Date: Headline: SEC Charges Former Senior Attorney at Apple With Insider Trading Release No.:2019-10
Published date grouping:February 2019 Date: Headline: Deloitte Japan Charged With Violating Auditor Independence Rules Release No.:2019-9
Published date grouping:February 2019 Date: Headline: SEC Charges Founder of Online Gaming Company With Defrauding Investors Release No.:2019-8
Published date grouping:February 2019 Date: Headline: Elizabeth McFadden Named Deputy General Counsel Release No.:2019-7
Published date grouping:January 2019 Date: Headline: SEC Charges Four Public Companies With Longstanding ICFR Failures Release No.:2019-6
Published date grouping:January 2019 Date: Headline: SEC Names Manisha Kimmel as Senior Policy Advisor to the Chairman on the Consolidated Audit Trail Release No.:2019-5
Published date grouping:January 2019 Date: Headline: Shamoil T. Shipchandler, Regional Director of the SEC’s Fort Worth Regional Office, Has Left the Agency Release No.:2019-4
Published date grouping:January 2019 Date: Headline: Court Orders $1 Billion Judgment Against Operators of Woodbridge Ponzi Scheme Targeting Retail Investors Release No.:2019-3
Published date grouping:January 2019 Date: Headline: SEC Emergency Action Charges Texas Real Estate Developer for Multi-Million Dollar Offering Fraud Release No.:2019-2
Published date grouping:January 2019 Date: Headline: SEC Brings Charges in EDGAR Hacking Case Release No.:2019-1
Published date grouping:December 2018 Date: Headline: JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs Release No.:2018-306
Published date grouping:December 2018 Date: Headline: Agencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule Release No.:2018-305
Published date grouping:December 2018 Date: Headline: Martha Miller Named Advocate for Small Business Capital Formation Release No.:2018-304
Published date grouping:December 2018 Date: Headline: Two Advisory Firms, CEO Charged With Mutual Fund Share Class Disclosure Violations Release No.:2018-303
Published date grouping:December 2018 Date: Headline: SEC Charges Audit Firm and Suspends Accountants for Deficient Audits Release No.:2018-302
Published date grouping:December 2018 Date: Headline: SEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions Release No.:2018-301
Published date grouping:December 2018 Date: Headline: SEC Charges Two Robo-Advisers With False Disclosures Release No.:2018-300
Published date grouping:December 2018 Date: Headline: SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities Release No.:2018-299
Published date grouping:December 2018 Date: Headline: SEC Adopts Transaction Fee Pilot for NMS Stocks Release No.:2018-298
Published date grouping:December 2018 Date: Headline: SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A Release No.:2018-297
Published date grouping:December 2018 Date: Headline: SEC Charges Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors Release No.:2018-296
Published date grouping:December 2018 Date: Headline: SEC Proposes Rule Changes for Fund of Funds Arrangements Release No.:2018-295
Published date grouping:December 2018 Date: Headline: SEC Proposes Risk Mitigation Techniques for Uncleared Security-Based Swaps Release No.:2018-294
Published date grouping:December 2018 Date: Headline: SEC Adopts Rule of Practice 194 Release No.:2018-293
Published date grouping:December 2018 Date: Headline: SEC Approves 2019 PCAOB Budget and Accounting Support Fee Release No.:2018-292
Published date grouping:December 2018 Date: Headline: SEC Adopts Final Rules for Disclosure of Hedging Policies Release No.:2018-291
Published date grouping:December 2018 Date: Headline: SEC Charges Former Panasonic Executives Release No.:2018-290
Published date grouping:December 2018 Date: Headline: SEC Publishes Two Reports on Credit Rating Agencies Showing Continued Focus on Compliance and Competition Release No.:2018-289
Published date grouping:December 2018 Date: Headline: Daniel Kahl Named Deputy Director of the Office of Compliance Inspections and Examinations Release No.:2018-288
Published date grouping:December 2018 Date: Headline: SEC Solicits Public Comment on Earnings Releases and Quarterly Reports Release No.:2018-287
Published date grouping:December 2018 Date: Headline: Scott W. Bauguess, Deputy Director of the Division of Economic and Risk Analysis, to Leave the Agency After a Decade of Service Release No.:2018-286
Published date grouping:December 2018 Date: Headline: BNY Mellon to Pay More Than $54 Million for Improper Handling of ADRs Release No.:2018-285
Published date grouping:December 2018 Date: Headline: Jeffrey S. Mooney Named Associate Director in the Office of Clearance and Settlement Release No.:2018-284
Published date grouping:December 2018 Date: Headline: SEC Charges Former New York Investment Advisor and Daughter With Conducting a Ponzi Scheme Release No.:2018-283
Published date grouping:December 2018 Date: Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors Release No.:2018-282
Published date grouping:December 2018 Date: Headline: Jeffrey Minton, Office of the Chief Accountant Chief Counsel, to Retire from the SEC After 20 Years of Service Release No.:2018-281
Published date grouping:December 2018 Date: Headline: Executives Settle ICO Scam Charges Release No.:2018-280
Published date grouping:December 2018 Date: Headline: Three Developers Settle Charges of Fraudulent EB-5 Offering Release No.:2018-279
Published date grouping:December 2018 Date: Headline: SEC Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official Release No.:2018-278
Published date grouping:December 2018 Date: Headline: SEC Charges The Hain Celestial Group with Internal Controls Failures Release No.:2018-277
Published date grouping:December 2018 Date: Headline: SEC Charges Agria Corporation and Executive Chairman With Fraud Release No.:2018-276
Published date grouping:December 2018 Date: Headline: Three Broker-Dealers to Pay More Than $6 Million in Penalties for Providing Deficient Blue Sheet Data Release No.:2018-275
Published date grouping:December 2018 Date: Headline: SEC Announces Agenda and Panelists for the 37th Annual Small Business Forum Release No.:2018-274
Published date grouping:December 2018 Date: Headline: SEC Halts Alleged Insider Trading Ring Spanning Three Countries Release No.:2018-273
Published date grouping:December 2018 Date: Headline: SEC Investor Advisory Committee to Meet on December 13 Release No.:2018-272
Published date grouping:December 2018 Date: Headline: Shira Pavis Minton, Ethics Counsel, to Retire From SEC After 20 Years of Federal Service Release No.:2018-271
Published date grouping:December 2018 Date: Headline: Aaron Lipson, Associate Regional Director of Atlanta Office, to Leave Agency After 14 Years of Service Release No.:2018-270
Published date grouping:November 2018 Date: Headline: SEC Adopts FAIR Act Rules Promoting Research Reports on Investment Funds Release No.:2018-269
Published date grouping:November 2018 Date: Headline: Two Celebrities Charged With Unlawfully Touting Coin Offerings Release No.:2018-268
Published date grouping:November 2018 Date: Headline: Jina L. Choi, Regional Director of the SEC’s San Francisco Office, to Leave the Agency After Over 16 Years of Service Release No.:2018-267
Published date grouping:November 2018 Date: Headline: SEC Charges Self-Described Promoter With Microcap Market Manipulation Scheme Release No.:2018-266
Published date grouping:November 2018 Date: Headline: Kurt Gottschall Named Director of Denver Office Release No.:2018-265
Published date grouping:November 2018 Date: Headline: Two ICO Issuers Settle SEC Registration Charges, Agree to Register Tokens as Securities Release No.:2018-264
Published date grouping:November 2018 Date: Headline: SEC Charges Giga Entertainment Media, Former Officers and Directors With Fraud in Pay-For-Download Campaign Release No.:2018-263
Published date grouping:November 2018 Date: Headline: SEC Brings Additional Charges in New York Boiler Room Scheme Targeting Seniors Release No.:2018-262
Published date grouping:November 2018 Date: Headline: SEC Settles Insider Trading Claims Against Former Chairman and CEO of Advanced Medical Optics Release No.:2018-261
Published date grouping:November 2018 Date: Headline: SEC Announces Agenda, Panelists for Staff Roundtable on the Proxy Process Release No.:2018-260
Published date grouping:November 2018 Date: Headline: Stock Research Firm and Co-Founders Charged With Deceiving Investors in Supposedly Unbiased Reports Release No.:2018-259
Published date grouping:November 2018 Date: Headline: SEC Charges EtherDelta Founder With Operating an Unregistered Exchange Release No.:2018-258
Published date grouping:November 2018 Date: Headline: Investor Testing of the Proposed Relationship Summary for Investment Advisers and Broker-Dealers Release No.:2018-257
Published date grouping:November 2018 Date: Headline: SEC Charges ITG With Misleading Dark Pool Subscribers Release No.:2018-256
Published date grouping:November 2018 Date: Headline: Citibank to Pay More Than $38 Million for Improper Handling of ADRs Release No.:2018-255
Published date grouping:November 2018 Date: Headline: Anthony S. Kelly, Co-Chief of Asset Management Unit, to Leave SEC After 18 Years of Service Release No.:2018-254
Published date grouping:November 2018 Date: Headline: SEC Adopts Rules That Increase Information Brokers Must Provide to Investors on Order Handling Release No.:2018-253
Published date grouping:November 2018 Date: Headline: SEC Charges Investment Adviser With Running $3.9 Million Fraud Release No.:2018-252
Published date grouping:November 2018 Date: Headline: SEC Charges Family Friend of Former Investment Banker With Insider Trading Release No.:2018-251
Published date grouping:November 2018 Date: Headline: SEC Enforcement Division Issues Report on FY 2018 Results Release No.:2018-250
Published date grouping:October 2018 Date: Headline: SEC Issues Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2018-249
Published date grouping:October 2018 Date: Headline: SEC Adopts Rules to Modernize Property Disclosures Required for Mining Registrants Release No.:2018-248
Published date grouping:October 2018 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2018-247
Published date grouping:October 2018 Date: Headline: SEC Proposes Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts Release No.:2018-246
Published date grouping:October 2018 Date: Headline: SEC Investor Advisory Committee to Hold Nov. 7 Telephone Meeting Release No.:2018-245
Published date grouping:October 2018 Date: Headline: SEC Issues Agenda for October 29 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2018-244
Published date grouping:October 2018 Date: Headline: SEC Announces $25 Million Settlement With Self-Proclaimed “Frack Master” Release No.:2018-243
Published date grouping:October 2018 Date: Headline: SEC Suspends Trading in Company for Making False Cryptocurrency-Related Claims about SEC Regulation and Registration Release No.:2018-242
Published date grouping:October 2018 Date: Headline: SEC Charges Lawyer and Her Husband in EB-5 Fraud Release No.:2018-241
Published date grouping:October 2018 Date: Headline: SEC Launches New Strategic Hub for Innovation and Financial Technology Release No.:2018-240
Published date grouping:October 2018 Date: Headline: SEC Announces 2018 Government-Business Forum to Be Held at The Ohio State University Release No.:2018-239
Published date grouping:October 2018 Date: Headline: SEC Charges Investment Adviser With Stealing From Friends, Community Members Release No.:2018-238
Published date grouping:October 2018 Date: Headline: SEC Provides Regulatory Relief and Assistance for Hurricane Victims Release No.:2018-237
Published date grouping:October 2018 Date: Headline: SEC Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting Controls Release No.:2018-236
Published date grouping:October 2018 Date: Headline: SEC Suspends Former BDO Accountants for Improperly “Predating” Audit Work Papers Release No.:2018-235
Published date grouping:October 2018 Date: Headline: SEC’s New Strategic Plan Puts Investors, Innovation, and Performance at Top Release No.:2018-234
Published date grouping:October 2018 Date: Headline: SEC Reopens Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2018-233
Published date grouping:October 2018 Date: Headline: SEC Stops Fraudulent ICO That Falsely Claimed SEC Approval Release No.:2018-232
Published date grouping:October 2018 Date: Headline: Gary Goldsholle, Former Deputy Director, Current Senior Policy Adviser in the Division of Trading and Markets, to Leave the SEC Release No.:2018-231
Published date grouping:October 2018 Date: Headline: SEC Monitoring Impact of Hurricane Michael on Capital Markets Release No.:2018-230
Published date grouping:October 2018 Date: Headline: SEC Charges Real Estate Developer With Fraud in Project Tied to New Commuter Rail Station Release No.:2018-229
Published date grouping:October 2018 Date: Headline: SEC Halts Microcap Fraud Scheme Orchestrated Through International Accounts Release No.:2018-228
Published date grouping:October 2018 Date: Headline: SEC to Focus on Empowering Main Street Investors for 2018 World Investor Week Release No.:2018-227
Published date grouping:September 2018 Date: Headline: Elon Musk Settles SEC Fraud Charges; Tesla Charged With and Resolves Securities Law Charge Release No.:2018-226
Published date grouping:September 2018 Date: Headline: Brokerage Firm to Exit Penny Stock Deposit Business and Pay Penalty for Repeatedly Failing to Report Suspicious Trading Release No.:2018-225
Published date grouping:September 2018 Date: Headline: Credit Suisse Agrees to Pay $10 Million to Settle Charges Related to Handling of Retail Customer Orders Release No.:2018-224
Published date grouping:September 2018 Date: Headline: SEC Charges LendingClub Asset Management and Former Executives With Misleading Investors and Breaching Fiduciary Duty Release No.:2018-223
Published date grouping:September 2018 Date: Headline: SEC Charges Stryker A Second Time for FCPA Violations Release No.:2018-222
Published date grouping:September 2018 Date: Headline: SEC Charges Salix Pharmaceuticals and Former CFO With Lying About Distribution Channel Release No.:2018-221
Published date grouping:September 2018 Date: Headline: SEC Charges Walgreens and Two Former Executives With Misleading Investors About Forecasted Earnings Goal Release No.:2018-220
Published date grouping:September 2018 Date: Headline: Elon Musk Charged With Securities Fraud for Misleading Tweets Release No.:2018-219
Published date grouping:September 2018 Date: Headline: SEC Charges Bitcoin-Funded Securities Dealer and CEO Release No.:2018-218
Published date grouping:September 2018 Date: Headline: Lacey Dingman, Chief Human Capital Officer and Director of Human Resources, to Leave SEC Release No.:2018-217
Published date grouping:September 2018 Date: Headline: Online Marketers Charged With Conning Main Street Investors Through Rags-to-Riches Infomercials Release No.:2018-216
Published date grouping:September 2018 Date: Headline: Petrobras Reaches Settlement With SEC for Misleading Investors Release No.:2018-215
Published date grouping:September 2018 Date: Headline: SEC Proposes Amendments to Codify Exemption to Credit Rating Agency Rule Release No.:2018-214
Published date grouping:September 2018 Date: Headline: SEC Charges Firm With Deficient Cybersecurity Procedures Release No.:2018-213
Published date grouping:September 2018 Date: Headline: SEC Charges Former CEO of Chilean-Based Chemical and Mining Company With FCPA Violations Release No.:2018-212
Published date grouping:September 2018 Date: Headline: SG Americas Securities Charged for Improper Handling of ADRs Release No.:2018-211
Published date grouping:September 2018 Date: Headline: SEC Staff to Host Roundtable on Market Data and Market Access Release No.:2018-210
Published date grouping:September 2018 Date: Headline: SEC Awards Almost $4 Million to Overseas Whistleblower Release No.:2018-209
Published date grouping:September 2018 Date: Headline: SEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program Release No.:2018-208
Published date grouping:September 2018 Date: Headline: Public Companies Charged With Failing to Comply With Quarterly Reporting Obligations Release No.:2018-207
Published date grouping:September 2018 Date: Headline: SEC Staff to Host Nov. 15 Roundtable on the Proxy Process Release No.:2018-206
Published date grouping:September 2018 Date: Headline: Business Services Company and Former CFO Charged With Accounting Fraud Release No.:2018-205
Published date grouping:September 2018 Date: Headline: Pamela C. Dyson, Chief Information Officer, to Leave SEC Release No.:2018-204
Published date grouping:September 2018 Date: Headline: Christopher Hetner, Senior Advisor to the Chairman for Cybersecurity Policy, to Leave the Agency Release No.:2018-203
Published date grouping:September 2018 Date: Headline: SEC Provides Regulatory Relief and Assistance for Hurricane Victims Release No.:2018-202
Published date grouping:September 2018 Date: Headline: SEC Shuts Down $345 Million Fraud and Obtains Asset Freeze Release No.:2018-201
Published date grouping:September 2018 Date: Headline: SEC Staff to Host Roundtable on Regulatory Approaches to Combating Retail Investor Fraud Release No.:2018-200
Published date grouping:September 2018 Date: Headline: Biopharmaceutical Company, Executives Charged With Misleading Investors About Cancer Drug Release No.:2018-199
Published date grouping:September 2018 Date: Headline: SeaWorld and Former CEO to Pay More Than $5 Million to Settle Fraud Charges Release No.:2018-198
Published date grouping:September 2018 Date: Headline: SEC and NYU to Host Sept. 21 Forum on High-Frequency Trading and Liquidity Resiliency Release No.:2018-197
Published date grouping:September 2018 Date: Headline: Mark Wolfe Named Associate Director in Office of Derivatives Policy and Trading Practices Release No.:2018-196
Published date grouping:September 2018 Date: Headline: SEC Charges Investment Advisers With Defrauding Retail Advisory Clients Release No.:2018-195
Published date grouping:September 2018 Date: Headline: Whistleblower Receives Award of Approximately $1.5 Million Release No.:2018-194
Published date grouping:September 2018 Date: Headline: SEC Charges Citigroup for Dark Pool Misrepresentations Release No.:2018-193
Published date grouping:September 2018 Date: Headline: SEC Monitoring Impact of Hurricane Florence on Capital Markets Release No.:2018-192
Published date grouping:September 2018 Date: Headline: Broker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data Release No.:2018-191
Published date grouping:September 2018 Date: Headline: SEC Charges Hedge Fund Adviser With Short-and-Distort Scheme Release No.:2018-190
Published date grouping:September 2018 Date: Headline: SEC Uses Data Analysis to Detect Cherry-Picking By Broker Release No.:2018-189
Published date grouping:September 2018 Date: Headline: United Technologies Charged With Violating FCPA Release No.:2018-188
Published date grouping:September 2018 Date: Headline: Elad Roisman Sworn In As SEC Commissioner Release No.:2018-187
Published date grouping:September 2018 Date: Headline: SEC Charges Digital Asset Hedge Fund Manager With Misrepresentations and Registration Failures Release No.:2018-186
Published date grouping:September 2018 Date: Headline: SEC Charges ICO Superstore and Owners With Operating As Unregistered Broker-Dealers Release No.:2018-185
Published date grouping:September 2018 Date: Headline: SEC Obtains Relief to Fully Reimburse Retail Investors Sold Unsuitable Product Release No.:2018-184
Published date grouping:September 2018 Date: Headline: SEC Charges Two Brokers With Defrauding Customers Release No.:2018-183
Published date grouping:September 2018 Date: Headline: SEC Charges Microcap Fraudsters for Roles in Lucrative Market Manipulation Schemes Release No.:2018-182
Published date grouping:September 2018 Date: Headline: SEC Charges Real Estate Broker With FCPA Violations Release No.:2018-181
Published date grouping:September 2018 Date: Headline: SEC Names Anita Bandy and Carolyn Welshhans as Associate Directors in Enforcement Division Release No.:2018-180
Published date grouping:September 2018 Date: Headline: SEC Awards More Than $54 Million to Two Whistleblowers Release No.:2018-179
Published date grouping:September 2018 Date: Headline: SEC Charges Two Men With Fraud in Fake Trading Accounts Scheme Release No.:2018-178
Published date grouping:September 2018 Date: Headline: SEC Charges Cannabis Investment Fund and Founder in Fraudulent Scheme Release No.:2018-177
Published date grouping:September 2018 Date: Headline: SEC Names Rebecca J. Olsen as Director of the Office of Municipal Securities Release No.:2018-176
Published date grouping:September 2018 Date: Headline: SEC Charges Telecommunications Expense Management Company With Accounting Fraud Release No.:2018-175
Published date grouping:September 2018 Date: Headline: Sanofi Charged With FCPA Violations Release No.:2018-174
Published date grouping:September 2018 Date: Headline: Agencies Extend Comment Period for Proposed Rule Simplifying and Tailoring the “Volcker Rule” Release No.:2018-173
Published date grouping:August 2018 Date: Headline: SEC Charges Buffalo Advisory Firm and Principal With Fraud Relating to Association With Barred Adviser Release No.:2018-172
Published date grouping:August 2018 Date: Headline: SEC Charges Florida Cash Advance Company, Former CEO With Defrauding Retail Investors Release No.:2018-171
Published date grouping:August 2018 Date: Headline: SEC Charges NFL Player and Former Investment Banker With Insider Trading Release No.:2018-170
Published date grouping:August 2018 Date: Headline: SEC Charges Moody’s With Internal Controls Failures and Ratings Symbols Deficiencies Release No.:2018-169
Published date grouping:August 2018 Date: Headline: Legg Mason Charged With Violating the FCPA Release No.:2018-168
Published date grouping:August 2018 Date: Headline: Transamerica Entities to Pay $97 Million to Investors Relating to Errors in Quantitative Investment Models Release No.:2018-167
Published date grouping:August 2018 Date: Headline: SEC Announces Agenda for Sept. 13 Investor Advisory Committee Meeting Release No.:2018-166
Published date grouping:August 2018 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2019 Release No.:2018-165
Published date grouping:August 2018 Date: Headline: SEC Names Matthew S. Jacques as Chief Accountant in Enforcement Division Release No.:2018-164
Published date grouping:August 2018 Date: Headline: Barry Miller, Associate Director in Division of Investment Management, to Leave SEC After More Than 40 Years of Public Service Release No.:2018-163
Published date grouping:August 2018 Date: Headline: SEC Chairman Clayton Announces Additional Investor Roundtable in Baltimore for Main Street Investors to ‘Tell Us’ About Their Investor Experience Release No.:2018-162
Published date grouping:August 2018 Date: Headline: SEC Charges Former Online Marketing Company Executives With Inflating Operating Metrics Release No.:2018-161
Published date grouping:August 2018 Date: Headline: SEC Charges Technology Fund Adviser, Founder in Fraudulent Scheme Release No.:2018-160
Published date grouping:August 2018 Date: Headline: Merrill Lynch Settles SEC Charges of Undisclosed Conflict in Advisory Decision Release No.:2018-159
Published date grouping:August 2018 Date: Headline: SEC Adopts Rule Amendments to Improve Municipal Securities Disclosure Release No.:2018-158
Published date grouping:August 2018 Date: Headline: SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors Release No.:2018-157
Published date grouping:August 2018 Date: Headline: SEC Adopts Amendments to Simplify and Update Disclosure Requirements Release No.:2018-156
Published date grouping:August 2018 Date: Headline: Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls Release No.:2018-155
Published date grouping:August 2018 Date: Headline: SEC Charges Ameriprise Financial Services for Failing to Safeguard Client Assets Release No.:2018-154
Published date grouping:August 2018 Date: Headline: SEC Files Charges in Municipal Bond “Flipping” and Kickback Schemes Release No.:2018-153
Published date grouping:August 2018 Date: Headline: SEC Bars Perpetrator of Initial Coin Offering Fraud Release No.:2018-152
Published date grouping:August 2018 Date: Headline: SEC Charges U.S. Congressman and Others With Insider Trading Release No.:2018-151
Published date grouping:August 2018 Date: Headline: SEC Charges Cloud Communications Company and Two Senior Executives With Misleading Revenue Projections Release No.:2018-150
Published date grouping:August 2018 Date: Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2018-149
Published date grouping:July 2018 Date: Headline: SEC Charges Recidivist in Stock Manipulation Scheme Release No.:2018-148
Published date grouping:July 2018 Date: Headline: Daniel Gregus Named National Associate Director of Clearance and Settlement Examination Program Release No.:2018-147
Published date grouping:July 2018 Date: Headline: Kristin Snyder Named Deputy Director of OCIE Release No.:2018-146
Published date grouping:July 2018 Date: Headline: Jane Jarcho, Deputy Director of OCIE, to Retire From SEC Release No.:2018-145
Published date grouping:July 2018 Date: Headline: Elizabeth Baird and Christian Sabella Named Deputy Directors of the Division of Trading and Markets Release No.:2018-144
Published date grouping:July 2018 Date: Headline: SEC Proposes Rules to Simplify and Streamline Disclosures in Certain Registered Debt Offerings Release No.:2018-143
Published date grouping:July 2018 Date: Headline: SEC Detects Silicon Valley Executive’s Insider Trading Release No.:2018-142
Published date grouping:July 2018 Date: Headline: SEC Charges Failed Fyre Festival Founder and Others With $27.4 Million Offering Fraud Release No.:2018-141
Published date grouping:July 2018 Date: Headline: SEC Charges Mizuho Securities for Failure to Safeguard Customer Information Release No.:2018-140
Published date grouping:July 2018 Date: Headline: Julie Lutz, Regional Director of the Denver Regional Office, to Leave SEC After More Than 40 Years Serving Investors Release No.:2018-139
Published date grouping:July 2018 Date: Headline: Deutsche Bank to Pay Nearly $75 Million for Improper Handling of ADRs Release No.:2018-138
Published date grouping:July 2018 Date: Headline: SEC Charges Investment Adviser and CEO With Misleading Retail Investors Release No.:2018-137
Published date grouping:July 2018 Date: Headline: SEC Adopts Rules to Enhance Transparency and Oversight of Alternative Trading Systems Release No.:2018-136
Published date grouping:July 2018 Date: Headline: 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: Headline: 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: Headline: SEC Charges Oil Company CEO, Board Member With Hiding Personal Loans Release No.:2018-133
Published date grouping:July 2018 Date: Headline: SEC Files Charges in Busted Microcap Schemes Release No.:2018-132
Published date grouping:July 2018 Date: Headline: 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: Headline: SEC Files Additional Charges in Fitbit Stock Manipulation Scheme Release No.:2018-130
Published date grouping:July 2018 Date: Headline: Former CEO and CFO of ITT Barred and Ordered to Pay Penalties Release No.:2018-129
Published date grouping:July 2018 Date: Headline: SEC Charges Credit Suisse With FCPA Violations Release No.:2018-128
Published date grouping:July 2018 Date: Headline: SEC Charges KBR for Inflating Key Performance Metric and Accounting Controls Deficiencies Release No.:2018-127
Published date grouping:July 2018 Date: Headline: 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: Headline: SEC Chairman Clayton Invites Main Street Investors to ‘Tell Us’ About Their Investor Experience Release No.:2018-125
Published date grouping:June 2018 Date: Headline: 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: Headline: 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: Headline: SEC Celebrates Lesbian, Gay, Bisexual and Transgender Pride Month Release No.:2018-122
Published date grouping:June 2018 Date: Headline: SEC Approves Final and Proposed Rules in Latest Open Meeting Release No.:2018-121
Published date grouping:June 2018 Date: Headline: SEC Proposes Whistleblower Rule Amendments Release No.:2018-120
Published date grouping:June 2018 Date: Headline: SEC Adopts Targeted Changes to Public Liquidity Risk Management Disclosure Release No.:2018-119
Published date grouping:June 2018 Date: Headline: SEC Proposes New Approval Process for Certain Exchange-Traded Funds Release No.:2018-118
Published date grouping:June 2018 Date: Headline: SEC Adopts Inline XBRL for Tagged Data Release No.:2018-117
Published date grouping:June 2018 Date: Headline: SEC Expands the Scope of Smaller Public Companies that Qualify for Scaled Disclosures Release No.:2018-116
Published date grouping:June 2018 Date: Headline: Former Equifax Manager Charged With Insider Trading Release No.:2018-115
Published date grouping:June 2018 Date: Headline: SEC and CFTC Announce Approval of New MOU Release No.:2018-114
Published date grouping:June 2018 Date: Headline: SEC Charges Credit Ratings Analyst and Two Friends With Insider Trading Release No.:2018-113
Published date grouping:June 2018 Date: Headline: Wells Fargo Advisors Settles SEC Charges for Improper Sales of Complex Financial Products Release No.:2018-112
Published date grouping:June 2018 Date: Headline: Paul G. Cellupica Named Deputy Director—Chief Counsel of the Division of Investment Management Release No.:2018-111
Published date grouping:June 2018 Date: Headline: SEC Shuts Down $102 Million Ponzi Scheme Release No.:2018-110
Published date grouping:June 2018 Date: Headline: Investors, Innovation, and Performance Top SEC's Draft Strategic Plan Release No.:2018-109
Published date grouping:June 2018 Date: Headline: Merrill Lynch Admits to Misleading Customers about Trading Venues Release No.:2018-108
Published date grouping:June 2018 Date: Headline: Daniel J. Wadley Named as Regional Director of Salt Lake Office Release No.:2018-107
Published date grouping:June 2018 Date: Headline: 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: Headline: SEC Charges Merrill Lynch for Failure to Supervise RMBS Traders Release No.:2018-105
Published date grouping:June 2018 Date: Headline: 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: Headline: 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: Headline: SEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation Release No.:2018-102
Published date grouping:June 2018 Date: Headline: SEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients Release No.:2018-101
Published date grouping:June 2018 Date: Headline: SEC Charges 13 Private Fund Advisers for Repeated Filing Failures Release No.:2018-100
Published date grouping:May 2018 Date: Headline: 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: Headline: SEC Names Julie A. Erhardt Acting Chief Risk Officer Release No.:2018-98
Published date grouping:May 2018 Date: Headline: SEC Charges Investment Banker in Insider Trading Scheme Release No.:2018-97
Published date grouping:May 2018 Date: Headline: 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: Headline: SEC Announces Agenda for June 14 Investor Advisory Committee Meeting in Atlanta Release No.:2018-95
Published date grouping:May 2018 Date: Headline: SEC Obtains Emergency Order Halting Fraudulent Coin Offering Scheme Release No.:2018-94
Published date grouping:May 2018 Date: Headline: 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: Headline: SEC Proposes FAIR Act Rules to Promote Research Reports on Investment Funds Release No.:2018-92
Published date grouping:May 2018 Date: Headline: Investing in America: SEC Commissioners are Heading to Atlanta to Interact with Investors Release No.:2018-91
Published date grouping:May 2018 Date: Headline: SEC Charges Three Former Healthcare Executives With Fraud Release No.:2018-90
Published date grouping:May 2018 Date: Headline: SEC Charges Owner of Alternative Investment Firm in Belize Airport Financing Scam Release No.:2018-89
Published date grouping:May 2018 Date: Headline: The SEC Has an Opportunity You Won’t Want to Miss: Act Now! Release No.:2018-88
Published date grouping:May 2018 Date: Headline: SEC Charges Brokerage Firms and AML Officer With Anti-Money Laundering Violations Release No.:2018-87
Published date grouping:May 2018 Date: Headline: 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: Headline: SEC Files Charges in International Manipulation Scheme Release No.:2018-85
Published date grouping:May 2018 Date: Headline: SEC Names Caryn E. Kauffman as Chief Financial Officer Release No.:2018-84
Published date grouping:May 2018 Date: Headline: SEC Charges Hedge Fund Adviser With Deceiving Investors by Inflating Fund Performance Release No.:2018-83
Published date grouping:May 2018 Date: Headline: 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: Headline: Hedge Fund Firm Charged for Asset Mismarking and Insider Trading Release No.:2018-81
Published date grouping:May 2018 Date: Headline: SEC Names Jessica Kane Director of Office of Credit Ratings Release No.:2018-80
Published date grouping:May 2018 Date: Headline: 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: Headline: SEC Launches Additional Investor Protection Search Tool Release No.:2018-78
Published date grouping:May 2018 Date: Headline: SEC Shuts Down $85 Million Ponzi Scheme and Obtains Asset Freeze Release No.:2018-77
Published date grouping:May 2018 Date: Headline: SEC Names Raquel Fox Director of the Office of International Affairs Release No.:2018-76
Published date grouping:May 2018 Date: Headline: SEC Enforcement Division Issues FAQs for Share Class Selection Disclosure Initiative Release No.:2018-75
Published date grouping:April 2018 Date: Headline: Office of International Affairs Director Paul A. Leder to Leave SEC Release No.:2018-74
Published date grouping:April 2018 Date: Headline: Panasonic Charged With FCPA and Accounting Fraud Violations Release No.:2018-73
Published date grouping:April 2018 Date: Headline: Eric R. Werner Named Associate Regional Director for Enforcement in Fort Worth Office Release No.:2018-72
Published date grouping:April 2018 Date: Headline: 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: Headline: SEC Charges Additional Defendant in Fraudulent ICO Scheme Release No.:2018-70
Published date grouping:April 2018 Date: Headline: 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: Headline: 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: Headline: Fee Rate Advisory #3 for Fiscal Year 2018 Release No.:2018-67
Published date grouping:April 2018 Date: Headline: SEC Unveils Public Service Announcement to Promote Background Checks on Investor.gov Release No.:2018-66
Published date grouping:April 2018 Date: Headline: SEC Staff to Host Roundtable on Market Structure for Thinly-Traded Securities Release No.:2018-65
Published date grouping:April 2018 Date: Headline: SEC Awards Whistleblower More Than $2.1 Million Release No.:2018-64
Published date grouping:April 2018 Date: Headline: SEC Charges Texas Company, Principals in Multimillion Dollar Ponzi Scheme Targeting Seniors Release No.:2018-63
Published date grouping:April 2018 Date: Headline: SEC Orders Three Investment Advisers to Pay $12 Million to Harmed Clients Release No.:2018-62
Published date grouping:April 2018 Date: Headline: 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: Headline: 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: Headline: SEC Charges Medical Device Company The Eye Machine and Founder Pocklington With Fraud Release No.:2018-59
Published date grouping:April 2018 Date: Headline: 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: Headline: Joel R. Levin Named Director of Chicago Regional Office Release No.:2018-57
Published date grouping:April 2018 Date: Headline: SEC Names Peter Henry as Director of the Office of Equal Employment Opportunity Release No.:2018-56
Published date grouping:April 2018 Date: Headline: SEC Warns of Government Impersonators Release No.:2018-55
Published date grouping:April 2018 Date: Headline: SEC Promotes Investor Awareness During National Financial Capability Month Release No.:2018-54
Published date grouping:April 2018 Date: Headline: SEC Halts Fraudulent Scheme Involving Unregistered ICO Release No.:2018-53
Published date grouping:April 2018 Date: Headline: SEC Charges Fintech Company Founder With Scheme to Defraud Investors and Misappropriate Funds Release No.:2018-52
Published date grouping:March 2018 Date: Headline: SEC Charges Prominent Pastor, Financial Planner in Scheme to Defraud Elderly Investors Release No.:2018-51
Published date grouping:March 2018 Date: Headline: Broker-Dealer Admits It Failed to File SARs Release No.:2018-50
Published date grouping:March 2018 Date: Headline: SEC Charges Recidivist Broker-Dealer in Employee’s Long-Running Pump-and-Dump Fraud Release No.:2018-49
Published date grouping:March 2018 Date: Headline: SEC Charges Energy Storage Company, Former Executive in Fraudulent Scheme to Inflate Financial Results Release No.:2018-48
Published date grouping:March 2018 Date: Headline: Kinross Gold Charged With FCPA Violations Release No.:2018-47
Published date grouping:March 2018 Date: Headline: SEC Stops Ponzi-Schemer Targeting Retail Investors and Obtains Preliminary Injunction and Asset Freeze Release No.:2018-46
Published date grouping:March 2018 Date: Headline: Broker Charged With Repeatedly Putting Customer Assets At Risk Release No.:2018-45
Published date grouping:March 2018 Date: Headline: SEC Announces Its Largest-Ever Whistleblower Awards Release No.:2018-44
Published date grouping:March 2018 Date: Headline: SEC Proposes Transaction Fee Pilot for NMS Stocks Release No.:2018-43
Published date grouping:March 2018 Date: Headline: SEC Proposes Targeted Changes to Public Liquidity Risk Management Disclosure Release No.:2018-42
Published date grouping:March 2018 Date: Headline: Theranos, CEO Holmes, and Former President Balwani Charged With Massive Fraud Release No.:2018-41
Published date grouping:March 2018 Date: Headline: Former Equifax Executive Charged With Insider Trading Release No.:2018-40
Published date grouping:March 2018 Date: Headline: Foreign Affiliates of KPMG, Deloitte, BDO Charged in Improper Audits Release No.:2018-39
Published date grouping:March 2018 Date: Headline: SEC Charges Penny Stock “Mailman” With Scalping Investors In Gold Mining Stocks Release No.:2018-38
Published date grouping:March 2018 Date: Headline: SEC Foils Penny Stock Executive’s Plan to Pump Stock and Exploit Investors Release No.:2018-37
Published date grouping:March 2018 Date: Headline: Investment Adviser Settles Charges for Cheating Clients in Fraudulent Cherry-Picking Scheme Release No.:2018-36
Published date grouping:March 2018 Date: Headline: Voya Advisers Agree to Repay Clients and Settle Charges That They Failed to Disclose Securities Lending Conflict Release No.:2018-35
Published date grouping:March 2018 Date: Headline: SEC Obtains Partial Asset Freeze of Proceeds in Alleged Fraudulent Touting Scheme Release No.:2018-34
Published date grouping:March 2018 Date: Headline: SEC Charges Company and Executives in Oil-and-Gas Offering Fraud Release No.:2018-33
Published date grouping:March 2018 Date: Headline: Merrill Lynch Charged With Gatekeeping Failures in the Unregistered Sales of Securities Release No.:2018-32
Published date grouping:March 2018 Date: Headline: NYSE to Pay $14 Million Penalty for Multiple Violations Release No.:2018-31
Published date grouping:March 2018 Date: Headline: SEC Charges Unregistered Broker for Illegally Brokering Sales of EB-5 Securities Release No.:2018-30
Published date grouping:March 2018 Date: Headline: SEC Celebrates African American History Month Release No.:2018-29
Published date grouping:March 2018 Date: Headline: SEC Charges U.K. Brokerage Firm, Investment Manager, CEO, and Others for Manipulative Trading in U.S. Microcap Stocks Release No.:2018-28
Published date grouping:February 2018 Date: Headline: SEC Files Charges Seeking to Halt Recidivist and Associates in Scheme to Defraud Small Businesses Release No.:2018-27
Published date grouping:February 2018 Date: Headline: SEC Charges Ameriprise With Overcharging Retirement Account Customers for Mutual Fund Shares Release No.:2018-26
Published date grouping:February 2018 Date: Headline: SEC Announces Agenda for March 8 Investor Advisory Committee Meeting Release No.:2018-25
Published date grouping:February 2018 Date: Headline: SEC Votes to Modify Compliance Date for Open-End Fund Liquidity Classification Release No.:2018-24
Published date grouping:February 2018 Date: Headline: SEC Charges Former Bitcoin-Denominated Exchange and Operator With Fraud Release No.:2018-23
Published date grouping:February 2018 Date: Headline: SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures Release No.:2018-22
Published date grouping:February 2018 Date: Headline: SEC Obtains Bars and Suspensions Against Individuals and Accounting Firm in Shell Factory Scheme Release No.:2018-21
Published date grouping:February 2018 Date: Headline: SEC Suspends Trading in Three Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology Release No.:2018-20
Published date grouping:February 2018 Date: Headline: Kyle Moffatt Named Chief Accountant in Division of Corporation Finance Release No.:2018-19
Published date grouping:February 2018 Date: Headline: Karen Garnett, Associate Director of Division of Corporation Finance, to Leave Agency After 23 Years of Service Release No.:2018-18
Published date grouping:February 2018 Date: Headline: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Release No.:2018-17
Published date grouping:February 2018 Date: Headline: Alberto Arevalo, Associate Director in the Office of International Affairs, to Retire From SEC Release No.:2018-16
Published date grouping:February 2018 Date: Headline: SEC Launches Share Class Selection Disclosure Initiative to Encourage Self-Reporting and the Prompt Return of Funds to Investors Release No.:2018-15
Published date grouping:February 2018 Date: Headline: Investor Protection, Capital Formation and Market Integrity Are Top Priorities in SEC Budget Request Release No.:2018-14
Published date grouping:February 2018 Date: Headline: Deutsche Bank to Repay Misled Customers Release No.:2018-13
Published date grouping:February 2018 Date: Headline: SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities Release No.:2018-12
Published date grouping:February 2018 Date: Headline: SEC Halts Ongoing Fraud by Purported Hedge Fund Manager Release No.:2018-11
Published date grouping:February 2018 Date: Headline: Alleged Perpetrator of Ski Slope Investment Scheme Agrees to Pay Back Investor Money, Surrender Properties Release No.:2018-10
Published date grouping:January 2018 Date: Headline: Michael Maloney, Enforcement’s Chief Accountant, to Leave SEC Release No.:2018-9
Published date grouping:January 2018 Date: Headline: SEC Halts Alleged Initial Coin Offering Scam Release No.:2018-8
Published date grouping:January 2018 Date: Headline: SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices Release No.:2018-7
Published date grouping:January 2018 Date: Headline: Six Accountants Charged with Using Leaked Confidential PCAOB Data in Quest to Improve Inspection Results for KPMG Release No.:2018-6
Published date grouping:January 2018 Date: Headline: Robert Jackson and Hester Peirce Sworn In as SEC Commissioners Release No.:2018-5
Published date grouping:January 2018 Date: Headline: Dr. Timothy Timura Named Deputy Chief Economist Release No.:2018-4
Published date grouping:January 2018 Date: Headline: SEC and NYU to Host Jan. 19 Forum on Relationship Between Companies and Shareholders Release No.:2018-3
Published date grouping:January 2018 Date: Headline: SEC Names Richard Best As Regional Director of Atlanta Office Release No.:2018-2
Published date grouping:January 2018 Date: Headline: SEC Issues Agenda for Inaugural Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2018-1
Published date grouping:December 2017 Date: Headline: Annual Staff Reports on Credit Rating Agencies Show Improvements Release No.:2017-238
Published date grouping:December 2017 Date: Headline: Commission Staff Provides Regulatory Guidance for Accounting Impacts of the Tax Cuts and Jobs Act Release No.:2017-237
Published date grouping:December 2017 Date: Headline: Gerald Hodgkins, Associate Director of the SEC's Enforcement Division, to Leave the Agency After 20 Years of Service Release No.:2017-236
Published date grouping:December 2017 Date: Headline: SEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street Investors Release No.:2017-235
Published date grouping:December 2017 Date: Headline: Broker Charged With Giving Special Access to IPOs for Cash Kickbacks Release No.:2017-234
Published date grouping:December 2017 Date: Headline: Marc P. Berger Named Director of New York Regional Office Release No.:2017-233
Published date grouping:December 2017 Date: Headline: SEC Names Kenneth A. Johnson as Chief Operating Officer Release No.:2017-232
Published date grouping:December 2017 Date: Headline: Division of Trading and Markets Deputy Director Gary Barnett to Retire Release No.:2017-231
Published date grouping:December 2017 Date: Headline: SEC Appoints New Chairman and Board Members to PCAOB Release No.:2017-230
Published date grouping:December 2017 Date: Headline: SEC Charges Biopharmaceutical Company With Failing to Properly Disclose Perks for Executives Release No.:2017-229
Published date grouping:December 2017 Date: Headline: Stock Trader Charged in Insider Trading Ring Release No.:2017-228
Published date grouping:December 2017 Date: Headline: Company Halts ICO After SEC Raises Registration Concerns Release No.:2017-227
Published date grouping:December 2017 Date: Headline: SEC Modifies Approach to Form N-PORT Filing Requirements Release No.:2017-226
Published date grouping:December 2017 Date: Headline: Daniel Michael Named Chief of Enforcement Division’s Complex Financial Instruments Unit Release No.:2017-225
Published date grouping:December 2017 Date: Headline: Broker Charged With Defrauding Investors Release No.:2017-224
Published date grouping:December 2017 Date: Headline: SEC Continues Crackdown on Brokers Defrauding Customers Release No.:2017-223
Published date grouping:December 2017 Date: Headline: Former Company Insider Earns More Than $4.1 Million for Whistleblower Tip Release No.:2017-222
Published date grouping:December 2017 Date: Headline: Digital Display Advertising Firm, Executives Charged With Bilking Investors Release No.:2017-221
Published date grouping:December 2017 Date: Headline: Audit Firm Charged With Fraud Relating to Auditing of Penny Stock Companies Release No.:2017-220
Published date grouping:December 2017 Date: Headline: SEC Emergency Action Halts ICO Scam Release No.:2017-219
Published date grouping:November 2017 Date: Headline: SEC Charges Florida Penny Stock Operators With Defrauding Elderly Investors in Push to Crack Down on Repeat Offenders Release No.:2017-218
Published date grouping:November 2017 Date: Headline: Division of Corporation Finance Chief Accountant Mark Kronforst to Leave SEC Release No.:2017-217
Published date grouping:November 2017 Date: Headline: More Than $16 Million Awarded to Two Whistleblowers Release No.:2017-216
Published date grouping:November 2017 Date: Headline: SEC Ratifies Appointment of Administrative Law Judges Release No.:2017-215
Published date grouping:November 2017 Date: Headline: SEC Announces Agenda for December 7 Investor Advisory Committee Meeting Release No.:2017-214
Published date grouping:November 2017 Date: Headline: Long Island Town and Former Top Official Charged With Defrauding Municipal Investors Release No.:2017-213
Published date grouping:November 2017 Date: Headline: SEC Names Paul G. Cellupica as Deputy Director of the Division of Investment Management Release No.:2017-212
Published date grouping:November 2017 Date: Headline: SEC Announces Agenda and Panelists for the 36th Annual Small Business Forum Release No.:2017-211
Published date grouping:November 2017 Date: Headline: SEC Enforcement Division Issues Report on Priorities and FY 2017 Results Release No.:2017-210
Published date grouping:November 2017 Date: Headline: SEC Announces the Formation and First Members of Fixed Income Market Structure Advisory Committee Release No.:2017-209
Published date grouping:November 2017 Date: Headline: SEC Warns Investors About Paid-to-Click Scams Release No.:2017-208
Published date grouping:November 2017 Date: Headline: SEC Charges Biotech Company, Executives With Accounting Fraud Release No.:2017-207
Published date grouping:November 2017 Date: Headline: Charles Cain Named Chief of Foreign Corrupt Practices Unit Release No.:2017-206
Published date grouping:November 2017 Date: Headline: David Glockner, Regional Director of Chicago Office, to Leave SEC Release No.:2017-205
Published date grouping:November 2017 Date: Headline: Petroleum Engineer Settles Charges of Insider Trading Ahead of Oil Discovery Announcement Release No.:2017-204
Published date grouping:October 2017 Date: Headline: Millennium Settles Charges of Illegal Short Selling in Advance of Stock Offerings Release No.:2017-203
Published date grouping:October 2017 Date: Headline: Day Trader Charged in Brokerage Account Takeover Scheme Release No.:2017-202
Published date grouping:October 2017 Date: Headline: SEC Names Peter B. Driscoll as Director of the Office of Compliance Inspections and Examinations Release No.:2017-201
Published date grouping:October 2017 Date: Headline: SEC Announces Measures to Facilitate Cross-Border Implementation of the European Union's MiFID II's Research Provisions Release No.:2017-200
Published date grouping:October 2017 Date: Headline: Former Private Equity Firm Partner Charged With Secretly Billing Clients for His Vacations and Salon Visits Release No.:2017-199
Published date grouping:October 2017 Date: Headline: SEC Names Brett Redfearn as Director of the Division of Trading and Markets Release No.:2017-198
Published date grouping:October 2017 Date: Headline: SEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin Release No.:2017-197
Published date grouping:October 2017 Date: Headline: Rio Tinto, Former Top Executives Charged With Fraud Release No.:2017-196
Published date grouping:October 2017 Date: Headline: SEC Announces Whistleblower Award of More Than a Million Dollars Release No.:2017-195
Published date grouping:October 2017 Date: Headline: Lawyers Charged With Assisting a Microcap Fraud Scheme Release No.:2017-194
Published date grouping:October 2017 Date: Headline: SEC Files Charges in Snack Company Investment Scam Release No.:2017-193
Published date grouping:October 2017 Date: Headline: SEC Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure Release No.:2017-192
Published date grouping:October 2017 Date: Headline: Walter Jospin, Regional Director of the SEC’s Atlanta Office, to Leave the Agency Release No.:2017-191
Published date grouping:October 2017 Date: Headline: Robert Evans III Named Chief of the Office of International Corporate Finance in SEC’s Division of Corporation Finance Release No.:2017-190
Published date grouping:October 2017 Date: Headline: Investment Adviser Charged in Multi-Million Dollar Options Trading Scheme Release No.:2017-189
Published date grouping:October 2017 Date: Headline: SEC Charges Penny-Stock Operators in Push to Crack Down on Repeat Offenders Release No.:2017-188
Published date grouping:October 2017 Date: Headline: World Investor Week Brings Together Securities Regulators on Six Continents to Promote Investor Education and Protection Release No.:2017-187
Published date grouping:October 2017 Date: Headline: Chairman Clayton Provides Update on Review of 2016 Cyber Intrusion Involving EDGAR System Release No.:2017-186
Published date grouping:September 2017 Date: Headline: SEC Exposes Two Initial Coin Offerings Purportedly Backed by Real Estate and Diamonds Release No.:2017-185
Published date grouping:September 2017 Date: Headline: Former Corporate Insider, Middleman Tipper, and Six Traders Charged With Insider Trading Release No.:2017-184
Published date grouping:September 2017 Date: Headline: Fee Rate Advisory #2 for Fiscal Year 2018 Release No.:2017-183
Published date grouping:September 2017 Date: Headline: Barred Broker Charged in Real Estate Investment Scheme Release No.:2017-182
Published date grouping:September 2017 Date: Headline: SEC Provides Regulatory Relief and Assistance for Hurricane Victims Release No.:2017-181
Published date grouping:September 2017 Date: Headline: SEC Detects Brokers Defrauding Customers Release No.:2017-180
Published date grouping:September 2017 Date: Headline: Andrew Calamari, Regional Director of the SEC’s New York Office, to Leave the Agency After 17 Years of Service Release No.:2017-179
Published date grouping:September 2017 Date: Headline: Medical Manufacturer Settles Accounting Fraud Charges Release No.:2017-178
Published date grouping:September 2017 Date: Headline: Stock Market Analyst Barred for Illegally Cashing In On His Research Reports Release No.:2017-177
Published date grouping:September 2017 Date: Headline: SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors Release No.:2017-176
Published date grouping:September 2017 Date: Headline: Pharmaceutical Company Paying Penalty for Misleading Investors About Sales Metric Release No.:2017-175
Published date grouping:September 2017 Date: Headline: SEC Announces Agenda for October 12 Investor Advisory Committee Meeting Release No.:2017-174
Published date grouping:September 2017 Date: Headline: SEC Suspends Trading in Company Purporting Involvement in Hurricane Harvey Relief Efforts Release No.:2017-173
Published date grouping:September 2017 Date: Headline: SEC Adopts Interpretive Guidance on Pay Ratio Rule Release No.:2017-172
Published date grouping:September 2017 Date: Headline: Telecommunications Company Paying $965 Million For FCPA Violations Release No.:2017-171
Published date grouping:September 2017 Date: Headline: SEC Chairman Clayton Issues Statement on Cybersecurity Release No.:2017-170
Published date grouping:September 2017 Date: Headline: Thomas J. Butler Named an Associate Regional Director for Examinations in New York Regional Office Release No.:2017-169
Published date grouping:September 2017 Date: Headline: CEO Charged With Using Secret Accounts for Insider Trading in Company Stock Release No.:2017-168
Published date grouping:September 2017 Date: Headline: Catherine McGuire to Retire After More Than 40 Years at the SEC Release No.:2017-167
Published date grouping:September 2017 Date: Headline: Ken C. Joseph, Head of Investment Adviser/Investment Company Examination Program in SEC's New York Regional Office, to Leave SEC After 21 Years of Service Release No.:2017-166
Published date grouping:September 2017 Date: Headline: SunTrust Charged With Improperly Recommending Higher-Fee Mutual Funds Release No.:2017-165
Published date grouping:September 2017 Date: Headline: SEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of Hurricane Harvey Release No.:2017-164
Published date grouping:September 2017 Date: Headline: Commission Statement on T+2 Implementation Release No.:2017-163
Published date grouping:September 2017 Date: Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors Release No.:2017-162
Published date grouping:September 2017 Date: Headline: Bridget Fitzpatrick Named Chief Litigation Counsel Release No.:2017-161
Published date grouping:September 2017 Date: Headline: Former Amazon Employee and College Friend Charged With Insider Trading Release No.:2017-160
Published date grouping:September 2017 Date: Headline: State Street Paying Penalties to Settle Fraud Charges and Disclosure Failures Release No.:2017-159
Published date grouping:September 2017 Date: Headline: SEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2017-158
Published date grouping:September 2017 Date: Headline: Radio Host Charged With Concert Ticket Investment Scam Release No.:2017-157
Published date grouping:September 2017 Date: Headline: Adviser Charged With Stealing Investor Funds Release No.:2017-156
Published date grouping:August 2017 Date: Headline: Chairman Clayton Names Executive Staff Release No.:2017-155
Published date grouping:August 2017 Date: Headline: SEC Names Jeffrey Harris as Director of the Division of Economic and Risk Analysis Release No.:2017-154
Published date grouping:August 2017 Date: Headline: SEC Names Dalia Blass as Director of the Division of Investment Management Release No.:2017-153
Published date grouping:August 2017 Date: Headline: SEC and NYU to Host Forum on Exchange-Traded Products Release No.:2017-152
Published date grouping:August 2017 Date: Headline: Former Pharma Company Accountant, Three Others Charged With Insider Trading Release No.:2017-151
Published date grouping:August 2017 Date: Headline: SEC Monitoring Market Impact of Hurricane Harvey Release No.:2017-150
Published date grouping:August 2017 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2018 Release No.:2017-149
Published date grouping:August 2017 Date: Headline: Muni Bond Issuer and Underwriter Charged With Disclosure Failures Release No.:2017-148
Published date grouping:August 2017 Date: Headline: SEC Charges Investment Adviser With Defrauding Professional Athlete and His Wife Release No.:2017-147
Published date grouping:August 2017 Date: Headline: Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading Release No.:2017-146
Published date grouping:August 2017 Date: Headline: Commission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition Release No.:2017-145
Published date grouping:August 2017 Date: Headline: Banca IMI Securities to Pay $35 Million for Improper Handling of ADRs in Continuing SEC Crackdown Release No.:2017-144
Published date grouping:August 2017 Date: Headline: SEC Uncovers Wide-Reaching Insider Trading Scheme Release No.:2017-143
Published date grouping:August 2017 Date: Headline: SEC Charges KPMG with Audit Failures Release No.:2017-142
Published date grouping:August 2017 Date: Headline: SEC Files Charges in Oil Drilling Investment Scheme Release No.:2017-141
Published date grouping:August 2017 Date: Headline: SEC Staff Publishes Report on Access to Capital and Market Liquidity Release No.:2017-140
Published date grouping:August 2017 Date: Headline: Investment Management Director David W. Grim to Leave SEC Release No.:2017-139
Published date grouping:August 2017 Date: Headline: Donna Esau Named Associate Regional Director for Examinations in Atlanta Regional Office Release No.:2017-138
Published date grouping:August 2017 Date: Headline: Overseas Stock Manipulator Settles SEC Charges Release No.:2017-137
Published date grouping:July 2017 Date: Headline: SEC Files Charges to Stop Fraudulent Misuse of Cancer-Fighting Investments to Fund Restaurant Businesses Release No.:2017-136
Published date grouping:July 2017 Date: Headline: SEC Files Fraud Charges Against Former Brokers Targeting Federal Retirees Release No.:2017-135
Published date grouping:July 2017 Date: Headline: SEC Announces Whistleblower Award of More Than $1.7 Million Release No.:2017-134
Published date grouping:July 2017 Date: Headline: Halliburton Paying $29.2 Million to Settle FCPA Violations Release No.:2017-133
Published date grouping:July 2017 Date: Headline: Jessica Magee Named Associate Regional Director for Enforcement in Fort Worth Office Release No.:2017-132
Published date grouping:July 2017 Date: Headline: SEC Issues Investigative Report Concluding DAO Tokens, a Digital Asset, Were Securities Release No.:2017-131
Published date grouping:July 2017 Date: Headline: SEC Announces $2.5 Million Whistleblower Award Release No.:2017-130
Published date grouping:July 2017 Date: Headline: SEC Names Bryan Wood as Director of the Office of Legislative and Intergovernmental Affairs Release No.:2017-129
Published date grouping:July 2017 Date: Headline: Federal Regulatory Agencies Announce Coordination of Reviews for Certain Foreign Funds Under Volcker Rule Release No.:2017-128
Published date grouping:July 2017 Date: Headline: SEC Bars Lawyer Who Committed Fraud Release No.:2017-127
Published date grouping:July 2017 Date: Headline: SEC Announces Christopher Hetner as Senior Advisor to the Chairman for Cybersecurity Policy Release No.:2017-126
Published date grouping:July 2017 Date: Headline: SEC Files Insider Trading Charges Against Research Scientist Aiming to Avoid SEC Detection Release No.:2017-125
Published date grouping:July 2017 Date: Headline: SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors Release No.:2017-124
Published date grouping:June 2017 Date: Headline: SEC Files Fraud Charges in Bitcoin and Office Space Investment Schemes Release No.:2017-123
Published date grouping:June 2017 Date: Headline: SEC Charges Information Technology Company and Former Executives With Accounting Fraud Release No.:2017-122
Published date grouping:June 2017 Date: Headline: SEC's Division of Corporation Finance Expands Popular JOBS Act Benefit to All Companies Release No.:2017-121
Published date grouping:June 2017 Date: Headline: SEC Charges Oil and Gas Company and Top Finance Executives with Accounting Fraud Release No.:2017-120
Published date grouping:June 2017 Date: Headline: Additional Charges Announced in Case Involving Pre-Released ADRs Release No.:2017-119
Published date grouping:June 2017 Date: Headline: Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance Release No.:2017-118
Published date grouping:June 2017 Date: Headline: Kelly L. Gibson Named as Associate Regional Director for Enforcement in the SEC’s Philadelphia Office Release No.:2017-117
Published date grouping:June 2017 Date: Headline: Kathryn A. Pyszka Named as Associate Regional Director for Enforcement in the SEC’s Chicago Office Release No.:2017-116
Published date grouping:June 2017 Date: Headline: Keith Cassidy Named Associate Director of Technology Controls Program in OCIE Release No.:2017-115
Published date grouping:June 2017 Date: Headline: SEC Announces Agenda for June 22 Investor Advisory Committee Meeting Release No.:2017-114
Published date grouping:June 2017 Date: Headline: SEC Names Stephanie Avakian and Steven Peikin as Co-Directors of Enforcement Release No.:2017-113
Published date grouping:June 2017 Date: Headline: SEC Charges Brokerage Firm With Failing to Comply With Anti-Money Laundering Laws Release No.:2017-112
Published date grouping:May 2017 Date: Headline: Fee Rate Advisory #3 for Fiscal Year 2017 Release No.:2017-111
Published date grouping:May 2017 Date: Headline: SEC Names Peter Uhlmann Managing Executive in Chairman's Office Release No.:2017-110
Published date grouping:May 2017 Date: Headline: SEC Files Charges in Trading Scheme Involving Confidential Government Information Release No.:2017-109
Published date grouping:May 2017 Date: Headline: SEC and MSRB to Hold Webinar on Series 50 Exam for Municipal Advisors Release No.:2017-108
Published date grouping:May 2017 Date: Headline: SEC Charges Fake Filer With Manipulating Fitbit Stock Release No.:2017-107
Published date grouping:May 2017 Date: Headline: David Peavler, Associate Director of Enforcement in Fort Worth Office, to Leave SEC Release No.:2017-106
Published date grouping:May 2017 Date: Headline: SEC Names Robert B. Stebbins as General Counsel Release No.:2017-105
Published date grouping:May 2017 Date: Headline: SEC Names Jaime Klima Chief Counsel Release No.:2017-104
Published date grouping:May 2017 Date: Headline: SEC Names Sean Memon Deputy Chief of Staff Release No.:2017-103
Published date grouping:May 2017 Date: Headline: SEC Charges Former Head Traders at Nomura With Fraud Release No.:2017-102
Published date grouping:May 2017 Date: Headline: SEC Names Lucas Moskowitz Chief of Staff Release No.:2017-101
Published date grouping:May 2017 Date: Headline: Law Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme Release No.:2017-100
Published date grouping:May 2017 Date: Headline: SEC Charges CEO With Failing to Disclose Perks to Shareholders Release No.:2017-99
Published date grouping:May 2017 Date: Headline: Barclays to Pay $97 Million for Overcharging Clients Release No.:2017-98
Published date grouping:May 2017 Date: Headline: William Hinman Named Director of Division of Corporation Finance Release No.:2017-97
Published date grouping:May 2017 Date: Headline: SEC Charges Former Staffer With Securities Fraud Violations Release No.:2017-96
Published date grouping:May 2017 Date: Headline: SEC Announces Agenda for May 10 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2017-95
Published date grouping:May 2017 Date: Headline: Jay Clayton Sworn in as Chairman of SEC Release No.:2017-94
Published date grouping:May 2017 Date: Headline: Firm, CEO Settle Charges in Ponzi-Like Scheme Involving Life Settlements Release No.:2017-93
Published date grouping:May 2017 Date: Headline: SEC Staff Supplements Quarterly Private Funds Statistics Release No.:2017-92
Published date grouping:May 2017 Date: Headline: SEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers Release No.:2017-91
Published date grouping:May 2017 Date: Headline: Whistleblower Award of More Than Half-Million Dollars for Company Insider Release No.:2017-90
Published date grouping:May 2017 Date: Headline: SEC and NYU to Host Forum on Reviving IPO Market to Help Drive Economy, Create Jobs Release No.:2017-89
Published date grouping:May 2017 Date: Headline: Semiconductor Company and Former CFO Settle Accounting Fraud Charges Release No.:2017-88
Published date grouping:April 2017 Date: Headline: SEC Charges EB-5 Operator With Securities Fraud Release No.:2017-87
Published date grouping:April 2017 Date: Headline: Executives Charged in Connection With Accounting Failures at Government Contractor Release No.:2017-86
Published date grouping:April 2017 Date: Headline: Broker Charged With Defrauding Customers Release No.:2017-85
Published date grouping:April 2017 Date: Headline: SEC Awards Nearly $4 Million to Whistleblower Release No.:2017-84
Published date grouping:April 2017 Date: Headline: Investment Bank VP Charged With Insider Trading Release No.:2017-83
Published date grouping:April 2017 Date: Headline: Portfolio Manager Charged With Diverting Nearly $2 Million to Personal Account Release No.:2017-82
Published date grouping:April 2017 Date: Headline: Telecom Executives Agree to Pay Penalties for FCPA Violations Release No.:2017-81
Published date grouping:April 2017 Date: Headline: SEC Freezes Brokerage Accounts Behind Alleged Insider Trading Release No.:2017-80
Published date grouping:April 2017 Date: Headline: SEC: Payments for Bullish Articles on Stocks Must Be Disclosed to Investors Release No.:2017-79
Published date grouping:April 2017 Date: Headline: SEC Adopts JOBS Act Amendments to Help Entrepreneurs and Investors Release No.:2017-78
Published date grouping:April 2017 Date: Headline: SEC Charges Muni Bond Underwriter With Gatekeeper Failures Release No.:2017-77
Published date grouping:April 2017 Date: Headline: Kara Novaco Brockmeyer, Chief of FCPA Unit, to Leave SEC After 17 Years of Service Release No.:2017-76
Published date grouping:March 2017 Date: Headline: SEC Announces Agenda for April 5 Meeting of the Equity Market Structure Advisory Committee Release No.:2017-75
Published date grouping:March 2017 Date: Headline: SEC Charges Pastor With Defrauding Retirees Release No.:2017-74
Published date grouping:March 2017 Date: Headline: SEC Names Sagar S. Teotia as Deputy Chief Accountant Release No.:2017-73
Published date grouping:March 2017 Date: Headline: SEC Halts Fraud Targeting Seniors Release No.:2017-72
Published date grouping:March 2017 Date: Headline: SEC Halts Boiler Room Scheme Involving State Lottery Tickets Release No.:2017-71
Published date grouping:March 2017 Date: Headline: Overseas Traders Paying Back All Profits Plus Penalties in Insider Trading Case Release No.:2017-70
Published date grouping:March 2017 Date: Headline: SEC Announces 2017 Compliance Outreach Program Seminars for Investment Companies and Investment Advisers Release No.:2017-69
Published date grouping:March 2017 Date: Headline: SEC Adopts T+2 Settlement Cycle for Securities Transactions Release No.:2017-68
Published date grouping:March 2017 Date: Headline: SEC, National Bank of Belgium Agree to Enhanced Cooperation and Information Sharing Regarding Euroclear Release No.:2017-67
Published date grouping:March 2017 Date: Headline: Auditor Charged With Insider Trading on Client’s Nonpublic Information Release No.:2017-66
Published date grouping:March 2017 Date: Headline: SEC FOIA Office Receives Award for Exceptional Service Release No.:2017-65
Published date grouping:March 2017 Date: Headline: Executives Charged With Manipulating Company's Accounting Systems to Steal Money Release No.:2017-64
Published date grouping:March 2017 Date: Headline: SEC Charges Firms Involved in Layering, Manipulation Schemes Release No.:2017-63
Published date grouping:March 2017 Date: Headline: SEC Charges Marijuana-Related Company and Executives With Touting Bogus Revenues Release No.:2017-62
Published date grouping:March 2017 Date: Headline: SEC Economist Receives Award for Academic Work on Market Insights Release No.:2017-61
Published date grouping:March 2017 Date: Headline: SEC Charges Mexico-Based Homebuilder in $3.3 Billion Accounting Fraud Release No.:2017-60
Published date grouping:March 2017 Date: Headline: SEC’s Office of the Investor Advocate to Hold Evidence Summit, Launch Investor Research Initiative Release No.:2017-59
Published date grouping:March 2017 Date: Headline: SEC Proposes Rule Amendments to Improve Municipal Securities Disclosures Release No.:2017-57
Published date grouping:March 2017 Date: Headline: SEC Proposes Inline XBRL Filing of Tagged Data Release No.:2017-56
Published date grouping:March 2017 Date: Headline: SEC Approves Rules to Ease Investor Access to Exhibits in Company Filings Release No.:2017-55
Published date grouping:March 2017 Date: Headline: SEC Votes to Seek Public Input on Possible Change to Industry Guide 3 Release No.:2017-54
Published date grouping:February 2017 Date: Headline: SEC Announces Agenda for March 9 Investor Advisory Committee Meeting Release No.:2017-53
Published date grouping:February 2017 Date: Headline: SEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers Release No.:2017-52
Published date grouping:February 2017 Date: Headline: SEC to Host Crowdfunding Dialogue February 28 Release No.:2017-51
Published date grouping:February 2017 Date: Headline: SEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings Release No.:2017-50
Published date grouping:February 2017 Date: Headline: SEC Charges Fuel Cell Company and Officers With Defrauding Investors Release No.:2017-49
Published date grouping:February 2017 Date: Headline: SEC Announces Cases Related to Disclosures During Battles for Corporate Control Release No.:2017-48
Published date grouping:February 2017 Date: Headline: Purported Real Estate Investment Manager Settles Fraud Charges Release No.:2017-47
Published date grouping:February 2017 Date: Headline: Morgan Stanley Settles Charges Related to ETF Investments Release No.:2017-46
Published date grouping:February 2017 Date: Headline: Brokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures Release No.:2017-45
Published date grouping:February 2017 Date: Headline: SEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition Release No.:2017-44
Published date grouping:February 2017 Date: Headline: SEC Announces Agenda for February 15 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2017-43
Published date grouping:February 2017 Date: Headline: Private Equity Adviser Barred From Industry for Improper Withdrawal From Funds Release No.:2017-42
Published date grouping:February 2017 Date: Headline: SEC Charges Financial Adviser With Stealing From Client Accounts Release No.:2017-41
Published date grouping:February 2017 Date: Headline: SEC Charges Investment Adviser With Stealing Investor Funds Release No.:2017-40
Published date grouping:January 2017 Date: Headline: Wenchi Hu, Associate Director in the Division of Trading and Markets, to Leave SEC Release No.:2017-39
Published date grouping:January 2017 Date: Headline: OCIE Director Marc Wyatt to Leave SEC Release No.:2017-38
Published date grouping:January 2017 Date: Headline: SEC Announces Charges in Hamilton Ticket Resale Ponzi Scheme Release No.:2017-37
Published date grouping:January 2017 Date: Headline: Chief Operating Officer Jeffery Heslop to Leave SEC Release No.:2017-36
Published date grouping:January 2017 Date: Headline: Citigroup Paying $18 Million for Overbilling Clients Release No.:2017-35
Published date grouping:January 2017 Date: Headline: SEC Charges Two Former Och-Ziff Executives With FCPA Violations Release No.:2017-34
Published date grouping:January 2017 Date: Headline: Brokerage Firm Charged With Gatekeeper Failures Related to Pump-and-Dump Scheme Release No.:2017-33
Published date grouping:January 2017 Date: Headline: SEC Uncovers Cherry-Picking Scheme, Charges Investment Adviser Behind It Release No.:2017-32
Published date grouping:January 2017 Date: Headline: Timothy L. Warren, Associate Director of Enforcement in Chicago Office, to Retire After 30 Years of Service Release No.:2017-31
Published date grouping:January 2017 Date: Headline: Morgan Stanley, Citigroup Charged With Misleading Investors About Forex Trading Program Release No.:2017-30
Published date grouping:January 2017 Date: Headline: Shipping Conglomerate and Former CFO Charged With Failure to Recognize Hundreds of Millions in Tax Liabilities Release No.:2017-29
Published date grouping:January 2017 Date: Headline: SEC Announces Fraud Charges, Asset Freeze in Alleged Nursing Home Investment Scheme Release No.:2017-28
Published date grouping:January 2017 Date: Headline: SEC Announces $7 Million Whistleblower Award Release No.:2017-27
Published date grouping:January 2017 Date: Headline: SEC Establishes Supervisory Cooperation Arrangement With Hong Kong SFC Release No.:2017-26
Published date grouping:January 2017 Date: Headline: Jennifer Diamantis Named Chief of Office of Market Intelligence Release No.:2017-25
Published date grouping:January 2017 Date: Headline: Financial Company Charged With Improper Accounting and Impeding Whistleblowers Release No.:2017-24
Published date grouping:January 2017 Date: Headline: SEC Chief of Staff Andrew J. Donohue to Leave Agency Release No.:2017-23
Published date grouping:January 2017 Date: Headline: General Counsel Anne K. Small to Leave SEC Release No.:2017-22
Published date grouping:January 2017 Date: Headline: Company Settles Charges Over Undisclosed Perks and Improper Use of Non-GAAP Measures Release No.:2017-21
Published date grouping:January 2017 Date: Headline: SEC Deputy Chief of Staff Nathaniel Stankard to Leave Agency Release No.:2017-20
Published date grouping:January 2017 Date: Headline: General Motors Charged With Accounting Control Failures Release No.:2017-19
Published date grouping:January 2017 Date: Headline: Medical Device Company Charged With Accounting Failures and FCPA Violations Release No.:2017-18
Published date grouping:January 2017 Date: Headline: SEC Charges Businessman With Misusing EB-5 Investments Release No.:2017-17
Published date grouping:January 2017 Date: Headline: Allergan Paying $15 Million Penalty for Disclosure Failures During Merger Talks Release No.:2017-16
Published date grouping:January 2017 Date: Headline: 10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions Release No.:2017-15
Published date grouping:January 2017 Date: Headline: BlackRock Charged With Removing Whistleblower Incentives in Separation Agreements Release No.:2017-14
Published date grouping:January 2017 Date: Headline: Chemical and Mining Company in Chile Paying $30 Million to Resolve FCPA Cases Release No.:2017-13
Published date grouping:January 2017 Date: Headline: Morgan Stanley Paying $13 Million Penalty for Overbilling Clients and Violating Custody Rule Release No.:2017-12
Published date grouping:January 2017 Date: Headline: Citadel Securities Paying $22 Million for Misleading Clients About Pricing Trades Release No.:2017-11
Published date grouping:January 2017 Date: Headline: Michael J. Osnato Jr., Chief of Enforcement Division’s Complex Financial Instruments Unit, to Leave SEC Release No.:2017-10
Published date grouping:January 2017 Date: Headline: BNY Mellon Settles Charges Stemming From Miscalculations of Regulatory Capital Figures Release No.:2017-9
Published date grouping:January 2017 Date: Headline: Biomet Charged With Repeating FCPA Violations Release No.:2017-8
Published date grouping:January 2017 Date: Headline: SEC Announces 2017 Examination Priorities Release No.:2017-7
Published date grouping:January 2017 Date: Headline: ITG Paying $24 Million for Improper Handling of ADRs Release No.:2017-6
Published date grouping:January 2017 Date: Headline: SEC Charges Government Contractor With Inadequate Controls and Books and Records Violations Release No.:2017-5
Published date grouping:January 2017 Date: Headline: SEC: Port Authority Omitted Risks to Investors in Roadway Projects Release No.:2017-4
Published date grouping:January 2017 Date: Headline: Investment Adviser, Lawyer Settle Charges in Secret Referral Fee Scheme Release No.:2017-3
Published date grouping:January 2017 Date: Headline: SEC Charges Two Brokers With Defrauding Customers Release No.:2017-2
Published date grouping:January 2017 Date: Headline: SEC Awards $5.5 Million to Whistleblower Release No.:2017-1
Published date grouping:December 2016 Date: Headline: Wire and Cable Manufacturer Settles FCPA and Accounting Charges Release No.:2016-283
Published date grouping:December 2016 Date: Headline: Businessman Settles Charges of Fraudulent EB-5 Offering Release No.:2016-282
Published date grouping:December 2016 Date: Headline: SEC Charges Lawyer With Stealing Investor Money in EB-5 Offerings Release No.:2016-281
Published date grouping:December 2016 Date: Headline: Chinese Traders Charged With Trading on Hacked Nonpublic Information Stolen From Two Law Firms Release No.:2016-280
Published date grouping:December 2016 Date: Headline: SEC Names Timothy Husson Associate Director in the Division of Investment Management’s Risk and Examinations Office Release No.:2016-279
Published date grouping:December 2016 Date: Headline: SEC Names Sara P. Crovitz Deputy Chief Counsel in the Division of Investment Management’s Chief Counsel’s Office Release No.:2016-278
Published date grouping:December 2016 Date: Headline: Teva Pharmaceutical Paying $519 Million to Settle FCPA Charges Release No.:2016-277
Published date grouping:December 2016 Date: Headline: SEC Issues Annual Staff Reports on Credit Rating Agencies Release No.:2016-276
Published date grouping:December 2016 Date: Headline: G. Jeffrey Boujoukos Named Director of Philadelphia Regional Office Release No.:2016-275
Published date grouping:December 2016 Date: Headline: Sharon Binger, Director of Philadelphia Regional Office, to Leave SEC Release No.:2016-274
Published date grouping:December 2016 Date: Headline: SEC Charges Operators of Fake Day-Trading Firm With Defrauding Inexperienced Investors Release No.:2016-273
Published date grouping:December 2016 Date: Headline: SEC Charges Former New York Pension Official and Two Brokers in Pay-to-Play Scheme Release No.:2016-272
Published date grouping:December 2016 Date: Headline: Petrochemical Manufacturer Braskem S.A. to Pay $957 Million to Settle FCPA Charges Release No.:2016-271
Published date grouping:December 2016 Date: Headline: Company Settles Charges in Whistleblower Retaliation Case Release No.:2016-270
Published date grouping:December 2016 Date: Headline: SEC Charges Morgan Stanley With Customer Protection Rule Violations Release No.:2016-269
Published date grouping:December 2016 Date: Headline: Company Violated Rule Aimed at Protecting Potential Whistleblowers Release No.:2016-268
Published date grouping:December 2016 Date: Headline: SEC Charges Platinum Funds and Founder With Defrauding Investors Release No.:2016-267
Published date grouping:December 2016 Date: Headline: SEC Charges Three Individuals and Broker-Dealer With Violating Market Structure Rules Release No.:2016-266
Published date grouping:December 2016 Date: Headline: SEC Charges Gatekeepers in Microcap Frauds Release No.:2016-265
Published date grouping:December 2016 Date: Headline: Deutsche Bank Settles Charges of Misleading Clients About Order Router Release No.:2016-264
Published date grouping:December 2016 Date: Headline: SEC Approves 2017 PCAOB Budget and Accounting Support Fee Release No.:2016-263
Published date grouping:December 2016 Date: Headline: SEC Names Dr. Narahari Phatak Associate Director for Policy in the Division of Economic and Risk Analysis Release No.:2016-262
Published date grouping:December 2016 Date: Headline: SEC Files Charges in $26 Million Stock Manipulation Scheme Release No.:2016-261
Published date grouping:December 2016 Date: Headline: SEC Awards Nearly $1 Million to Whistleblower Release No.:2016-260
Published date grouping:December 2016 Date: Headline: Enforcement Director Andrew J. Ceresney to Leave SEC Release No.:2016-259
Published date grouping:December 2016 Date: Headline: Division of Corporation Finance Director Keith Higgins to Leave SEC Release No.:2016-258
Published date grouping:December 2016 Date: Headline: Firm Settles Charges for Selling Unregistered Swaps Involving Pre-IPO Companies Release No.:2016-257
Published date grouping:December 2016 Date: Headline: IT Specialist Settles Charges of Insider Trading on Hacked Nonpublic Information Release No.:2016-256
Published date grouping:December 2016 Date: Headline: SEC Awards $3.5 Million to Whistleblower Release No.:2016-255
Published date grouping:December 2016 Date: Headline: Chief Economist and Division of Economic and Risk Analysis Director Mark Flannery to Leave SEC Release No.:2016-254
Published date grouping:December 2016 Date: Headline: United Settles Charges in Case of Flight Route to Benefit Public Official Release No.:2016-253
Published date grouping:December 2016 Date: Headline: PIMCO Settles Charges of Misleading Investors About ETF Performance Release No.:2016-252
Published date grouping:December 2016 Date: Headline: SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting on December 7 Release No.:2016-251
Published date grouping:December 2016 Date: Headline: SEC Charges Asset Management Fund and Manager Release No.:2016-250
Published date grouping:November 2016 Date: Headline: SEC Votes to Renew Equity Market Structure Advisory Committee Release No.:2016-249
Published date grouping:November 2016 Date: Headline: SEC Announces Agenda for Nov. 29 Meeting of the Equity Market Structure Advisory Committee Release No.:2016-248
Published date grouping:November 2016 Date: Headline: SEC Names Wesley R. Bricker as Chief Accountant Release No.:2016-247
Published date grouping:November 2016 Date: Headline: Chief Accountant James Schnurr to Leave SEC Release No.:2016-246
Published date grouping:November 2016 Date: Headline: Trading and Markets Director Stephen Luparello to Leave SEC Release No.:2016-245
Published date grouping:November 2016 Date: Headline: Chief Litigation Counsel Matthew C. Solomon to Leave SEC Release No.:2016-244
Published date grouping:November 2016 Date: Headline: SEC Announces Agenda for December 8 Investor Advisory Committee Meeting Release No.:2016-243
Published date grouping:November 2016 Date: Headline: SEC Charges Renewable Energy Company, CEO, and Others With Defrauding Investors Release No.:2016-242
Published date grouping:November 2016 Date: Headline: JPMorgan Chase Paying $264 Million to Settle FCPA Charges Release No.:2016-241
Published date grouping:November 2016 Date: Headline: SEC Approves Plan to Create Consolidated Audit Trail Release No.:2016-240
Published date grouping:November 2016 Date: Headline: SEC Announces Agenda and Panelists for the 35th Annual Small Business Forum Release No.:2016-239
Published date grouping:November 2016 Date: Headline: SEC Chair Mary Jo White Announces Departure Plans Release No.:2016-238
Published date grouping:November 2016 Date: Headline: SEC Issues $20 Million Whistleblower Award Release No.:2016-237
Published date grouping:November 2016 Date: Headline: Firm Charged With Misleading Investors About Binary Options Profitability Release No.:2016-236
Published date grouping:November 2016 Date: Headline: Movie Producer Charged With Defrauding Hedge Fund Investors Release No.:2016-235
Published date grouping:November 2016 Date: Headline: SEC Announces Agenda, Panelists for Nov. 14 Fintech Forum Release No.:2016-234
Published date grouping:November 2016 Date: Headline: SEC Names Marc A. Panucci as Deputy Chief Accountant Release No.:2016-233
Published date grouping:November 2016 Date: Headline: SEC Staff Provides Additional Economic Analysis on Proposed Derivatives Rule Release No.:2016-232
Published date grouping:October 2016 Date: Headline: Company Co-Founder Charged in Manipulation Scheme Release No.:2016-231
Published date grouping:October 2016 Date: Headline: Audit Partner Charged in Failed Audits of Venture Capital Fund Release No.:2016-230
Published date grouping:October 2016 Date: Headline: Firm and Partner Charged With Issuing Fraudulent Audit Reports Release No.:2016-229
Published date grouping:October 2016 Date: Headline: SEC: Investment Adviser Fraudulently Overbilled Clients, Stole Assets for Personal Expenses Release No.:2016-228
Published date grouping:October 2016 Date: Headline: SEC to Hold Annual Government-Business Forum on Small Business Capital Formation on November 17 Release No.:2016-227
Published date grouping:October 2016 Date: Headline: SEC Adopts Final Rules to Facilitate Intrastate and Regional Securities Offerings Release No.:2016-226
Published date grouping:October 2016 Date: Headline: SEC Proposes Amendments to Require Use of Universal Proxy Cards Release No.:2016-225
Published date grouping:October 2016 Date: Headline: Embraer Paying $205 Million to Settle FCPA Charges Release No.:2016-224
Published date grouping:October 2016 Date: Headline: John W. Berry Named Associate Regional Director for Enforcement in Los Angeles Office Release No.:2016-223
Published date grouping:October 2016 Date: Headline: SEC Charges Board Member With Insider Trading During and After Board Meeting Release No.:2016-222
Published date grouping:October 2016 Date: Headline: Company and Former Executives Paying Penalties for Accounting Violations Release No.:2016-221
Published date grouping:October 2016 Date: Headline: SEC Charges Bank Leumi With Conducting Unregistered U.S. Cross-Border Business Release No.:2016-220
Published date grouping:October 2016 Date: Headline: Ernst & Young to Pay $11.8 Million for Audit Failures Release No.:2016-219
Published date grouping:October 2016 Date: Headline: SEC Charges Energy Services Company and Executives With Accounting Fraud Release No.:2016-218
Published date grouping:October 2016 Date: Headline: Melissa Hodgman Named Associate Director in SEC Enforcement Division Release No.:2016-217
Published date grouping:October 2016 Date: Headline: Company to Pay Penalty for Stock Picking Game That Was An Unregistered Swap Release No.:2016-216
Published date grouping:October 2016 Date: Headline: SEC Adopts Rules to Modernize Information Reported by Funds, Require Liquidity Risk Management Programs, and Permit Swing Pricing Release No.:2016-215
Published date grouping:October 2016 Date: Headline: Hedge Fund Firm and Supervisor Charged With Failing to Prevent Insider Trading Release No.:2016-214
Published date grouping:October 2016 Date: Headline: SEC: Deutsche Bank Failed to Properly Safeguard Research Information Release No.:2016-213
Published date grouping:October 2016 Date: Headline: SEC Announces Enforcement Results for FY 2016 Release No.:2016-212
Published date grouping:October 2016 Date: Headline: David Saltiel Named to Head Office of Analytics and Research in the Division of Trading and Markets Release No.:2016-211
Published date grouping:October 2016 Date: Headline: Credit Suisse Paying $90 Million Penalty for Misrepresenting Performance Metric Release No.:2016-210
Published date grouping:October 2016 Date: Headline: Investment Adviser Charged With Cherry-Picking and Misleading Clients Release No.:2016-209
Published date grouping:October 2016 Date: Headline: SEC, FINRA and MSRB to Hold Compliance Outreach Program for Municipal Advisors Release No.:2016-208
Published date grouping:September 2016 Date: Headline: Aaron W. Lipson Named as Associate Regional Director for Enforcement in the SEC’s Atlanta Regional Office Release No.:2016-207
Published date grouping:September 2016 Date: Headline: Fee Rate Advisory #2 for Fiscal Year 2017 Release No.:2016-206
Published date grouping:September 2016 Date: Headline: Biotech Employee Charged With Insider Trading Ahead of Company’s Announcements About Breast Cancer Drug Release No.:2016-205
Published date grouping:September 2016 Date: Headline: SEC: Casino-Gaming Company Retaliated Against Whistleblower Release No.:2016-204
Published date grouping:September 2016 Date: Headline: Och-Ziff Hedge Fund Settles FCPA Charges Release No.:2016-203
Published date grouping:September 2016 Date: Headline: SEC Announces Agenda for October 5 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2016-202
Published date grouping:September 2016 Date: Headline: Jane Norberg Named Chief of SEC Whistleblower Office Release No.:2016-201
Published date grouping:September 2016 Date: Headline: SEC Proposes Rule Amendment to Expedite Process for Settling Securities Transactions Release No.:2016-200
Published date grouping:September 2016 Date: Headline: SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies Release No.:2016-199
Published date grouping:September 2016 Date: Headline: SEC Files Insider Trading Charges Against Peruvian Traders Using Overseas Accounts Release No.:2016-198
Published date grouping:September 2016 Date: Headline: SEC Charges UBS With Supervisory Failures in Sale of Complex Products to Retail Investors Release No.:2016-197
Published date grouping:September 2016 Date: Headline: SEC Charges Anheuser-Busch InBev With Violating FCPA and Whistleblower Protection Laws Release No.:2016-196
Published date grouping:September 2016 Date: Headline: SEC to Hold Forum to Discuss Fintech Innovation in the Financial Services Industry Release No.:2016-195
Published date grouping:September 2016 Date: Headline: Oil Services Company Paying $140 Million Penalty for Accounting Fraud Release No.:2016-194
Published date grouping:September 2016 Date: Headline: SEC Charges CEO and Boiler Room Operator With Fraud Release No.:2016-193
Published date grouping:September 2016 Date: Headline: Merrill Lynch Charged With Trading Controls Failures That Led to Mini-Flash Crashes Release No.:2016-192
Published date grouping:September 2016 Date: Headline: ''Movie Studio'' Executives Charged With Microcap Fraud Release No.:2016-191
Published date grouping:September 2016 Date: Headline: Blank Check Company Manufacturer Charged With Fraud Release No.:2016-190
Published date grouping:September 2016 Date: Headline: SEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading Release No.:2016-189
Published date grouping:September 2016 Date: Headline: SEC Issues $4 Million Whistleblower Award Release No.:2016-188
Published date grouping:September 2016 Date: Headline: Ernst & Young, Former Partners Charged With Violating Auditor Independence Rules Release No.:2016-187
Published date grouping:September 2016 Date: Headline: Marijuana-Related Company Charged with Scheming Investors Release No.:2016-186
Published date grouping:September 2016 Date: Headline: Jennifer Marietta-Westberg, Deputy Director and Deputy Chief Economist of the Division of Economic and Risk Analysis, to Leave SEC after Ten Years of Service Release No.:2016-185
Published date grouping:September 2016 Date: Headline: “Stock Trading Whiz Kid” to Pay $1.5 Million to Settle Stock Newsletter Fraud Charges Release No.:2016-184
Published date grouping:September 2016 Date: Headline: SEC: Company Failed to Disclose Credit Risk in Investments Release No.:2016-183
Published date grouping:September 2016 Date: Headline: BOK Financial, Senior Executive Charged With Turning Blind Eye to Investment Scheme Release No.:2016-182
Published date grouping:September 2016 Date: Headline: Two Firms Charged With Compliance Failures in Wrap Fee Programs Release No.:2016-181
Published date grouping:September 2016 Date: Headline: Executives Charged With Inflating Performance of Real Estate Investment Trust Release No.:2016-180
Published date grouping:September 2016 Date: Headline: SEC Names Sarah G. ten Siethoff Deputy Associate Director in the Division of Investment Management’s Rulemaking Office Release No.:2016-179
Published date grouping:September 2016 Date: Headline: SEC Charges CEO and Paid Promoter With Fraudulently Promoting Stock of Las Vegas Health Products Company Release No.:2016-178
Published date grouping:September 2016 Date: Headline: SEC Charges Alabama Attorney and His Companies in Purported Waste-To-Energy Ventures Release No.:2016-177
Published date grouping:August 2016 Date: Headline: SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings Release No.:2016-176
Published date grouping:August 2016 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2017 Release No.:2016-175
Published date grouping:August 2016 Date: Headline: RBC to Pay $2.5 Million for Proxy Statement Disclosure Violations Release No.:2016-174
Published date grouping:August 2016 Date: Headline: SEC Whistleblower Program Surpasses $100 Million in Awards Release No.:2016-173
Published date grouping:August 2016 Date: Headline: $22 Million Whistleblower Award for Company Insider Who Helped Uncover Fraud Release No.:2016-172
Published date grouping:August 2016 Date: Headline: SEC Adopts Amendments Providing Authorities Access to Data Obtained by Security-Based Swap Data Repositories Release No.:2016-171
Published date grouping:August 2016 Date: Headline: SEC: Purported Green Technology Company Defrauding Investors Release No.:2016-170
Published date grouping:August 2016 Date: Headline: SEC Seeks Public Comment on Disclosure Requirements Relating to Management, Security Holders and Corporate Governance Matters Release No.:2016-169
Published date grouping:August 2016 Date: Headline: SEC Adopts Rules to Enhance Information Reported by Investment Advisers Release No.:2016-168
Published date grouping:August 2016 Date: Headline: Investment Advisers Paying Penalties for Advertising False Performance Claims Release No.:2016-167
Published date grouping:August 2016 Date: Headline: SEC Charges 71 Municipal Issuers in Muni Bond Disclosure Initiative Release No.:2016-166
Published date grouping:August 2016 Date: Headline: Apollo Charged With Disclosure and Supervisory Failures Release No.:2016-165
Published date grouping:August 2016 Date: Headline: Company Punished for Severance Agreements That Removed Financial Incentives for Whistleblowing Release No.:2016-164
Published date grouping:August 2016 Date: Headline: Former Goldman Sachs Trader Settles Fraud Charges Release No.:2016-163
Published date grouping:August 2016 Date: Headline: Hedge Fund Manager Charged in Scheme Involving Terminally Ill Release No.:2016-162
Published date grouping:August 2016 Date: Headline: SEC: Investment Adviser Boasted Phony Assets and Track Record, Stole From Client Release No.:2016-161
Published date grouping:August 2016 Date: Headline: SEC Charges Stockbroker and Friend With Insider Trading Release No.:2016-160
Published date grouping:August 2016 Date: Headline: SEC Charges Former Professional Football Player With Running $10 Million Fraud Release No.:2016-159
Published date grouping:August 2016 Date: Headline: Kristin Snyder Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program Release No.:2016-158
Published date grouping:August 2016 Date: Headline: Company Paying Penalty for Violating Key Whistleblower Protection Rule Release No.:2016-157
Published date grouping:August 2016 Date: Headline: SEC Charges Cardiologist With Insider Trading on Confidential Drug Trial Developments Release No.:2016-156
Published date grouping:August 2016 Date: Headline: Statement Regarding Progress on the Review of the U.S. Treasury Market Structure since the July 2015 Joint Staff Report Release No.:2016-155
Published date grouping:July 2016 Date: Headline: SEC Announces Agenda for August 2 Meeting of the Equity Market Structure Advisory Committee Release No.:2016-154
Published date grouping:July 2016 Date: Headline: SEC Obtains Asset Freeze in Case of Investor Funds Stolen for Shopping Sprees Release No.:2016-153
Published date grouping:July 2016 Date: Headline: SEC: State Street Misled Custody Clients About Prices for Foreign Currency Exchange Trades Release No.:2016-152
Published date grouping:July 2016 Date: Headline: LAN Airlines Settles FCPA Charges Release No.:2016-151
Published date grouping:July 2016 Date: Headline: Vincente L. Martinez, Chief of Office of Market Intelligence, to Leave SEC Release No.:2016-150
Published date grouping:July 2016 Date: Headline: Deputy Chief Accountant Brian T. Croteau to Leave SEC Release No.:2016-149
Published date grouping:July 2016 Date: Headline: SEC Halts Ongoing Fraudulent Stock Scheme Release No.:2016-148
Published date grouping:July 2016 Date: Headline: Accountant Suspended for Failing to Spot Fraud in Company Audit Release No.:2016-147
Published date grouping:July 2016 Date: Headline: Wesley R. Bricker Named Interim Chief Accountant Release No.:2016-146
Published date grouping:July 2016 Date: Headline: Kurt Gottschall Named Associate Regional Director in the SEC's Denver Regional Office Release No.:2016-145
Published date grouping:July 2016 Date: Headline: SEC Announces Agenda for July 19 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2016-144
Published date grouping:July 2016 Date: Headline: SEC Charges Investment Adviser With Failing to Clearly Disclose Additional Costs to Investors Release No.:2016-143
Published date grouping:July 2016 Date: Headline: SEC Adopts Amendments to Rules of Practice for Administrative Proceedings Release No.:2016-142
Published date grouping:July 2016 Date: Headline: SEC Proposes Amendments to Update and Simplify Disclosure Requirements As Part of Overall Disclosure Effectiveness Review Release No.:2016-141
Published date grouping:July 2016 Date: Headline: SEC Proposes Rules to Enhance Order Handling Information Available to Investors Release No.:2016-140
Published date grouping:July 2016 Date: Headline: SEC Adopts Additional Rules Related to Security-Based Swap Transaction Reporting Release No.:2016-139
Published date grouping:July 2016 Date: Headline: SEC: Citigroup Provided Incomplete Blue Sheet Data for 15 Years Release No.:2016-138
Published date grouping:July 2016 Date: Headline: SEC Announces New Investor Advisory Committee Members Release No.:2016-137
Published date grouping:July 2016 Date: Headline: Sean McKessy, Chief of Whistleblower Office, to Leave SEC Release No.:2016-136
Published date grouping:June 2016 Date: Headline: Paul Dudek, Chief of Office of International Corporate Finance, to Leave Agency Release No.:2016-135
Published date grouping:June 2016 Date: Headline: C. Dabney O’Riordan Named as Co-Chief of the Asset Management Unit Release No.:2016-134
Published date grouping:June 2016 Date: Headline: SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans Release No.:2016-133
Published date grouping:June 2016 Date: Headline: SEC Adopts Rules for Resource Extraction Issuers Under Dodd-Frank Act Release No.:2016-132
Published date grouping:June 2016 Date: Headline: SEC Proposes Amendments to Smaller Reporting Company Definition Release No.:2016-131
Published date grouping:June 2016 Date: Headline: SEC Charges “Frack Master” With Running an $80 Million Oil and Gas Fraud Release No.:2016-130
Published date grouping:June 2016 Date: Headline: Merrill Lynch Paying $10 Million Penalty for Misleading Investors in Structured Notes Release No.:2016-129
Published date grouping:June 2016 Date: Headline: Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk Release No.:2016-128
Published date grouping:June 2016 Date: Headline: SEC Sues UK-Based Trader for Account Intrusion Scheme Release No.:2016-127
Published date grouping:June 2016 Date: Headline: SEC Charges Medical Device Manufacturer With FCPA Violations Release No.:2016-126
Published date grouping:June 2016 Date: Headline: Former CEO of Chicago Charter School Operator Settles Muni-Bond Fraud Charges Release No.:2016-125
Published date grouping:June 2016 Date: Headline: SEC Halts Scheme Defrauding Pro Athletes Release No.:2016-124
Published date grouping:June 2016 Date: Headline: SEC Approves IEX Proposal to Launch National Exchange, Issues Interpretation on Automated Securities Prices Release No.:2016-123
Published date grouping:June 2016 Date: Headline: SEC Proposes Rules to Modernize Property Disclosures for Mining Registrants Release No.:2016-122
Published date grouping:June 2016 Date: Headline: Software Executive and Three Friends Charged With Insider Trading Release No.:2016-121
Published date grouping:June 2016 Date: Headline: Private Fund Administrator Charged With Gatekeeper Failures Release No.:2016-120
Published date grouping:June 2016 Date: Headline: Hedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme Release No.:2016-119
Published date grouping:June 2016 Date: Headline: SEC: Muni Advisors Acted Deceptively With California School Districts Release No.:2016-118
Published date grouping:June 2016 Date: Headline: SEC to Permit Voluntary Filing Using Inline XBRL Release No.:2016-117
Published date grouping:June 2016 Date: Headline: Investment Fraud Victims Include Online Daters Release No.:2016-116
Published date grouping:June 2016 Date: Headline: Consultant to Chinese Private Equity Firms Settles Insider Trading Charges Release No.:2016-115
Published date grouping:June 2016 Date: Headline: SEC Issues $17 Million Whistleblower Award Release No.:2016-114
Published date grouping:June 2016 Date: Headline: SEC: Ethiopia’s Electric Utility Sold Unregistered Bonds in U.S. Release No.:2016-113
Published date grouping:June 2016 Date: Headline: SEC: Morgan Stanley Failed to Safeguard Customer Data Release No.:2016-112
Published date grouping:June 2016 Date: Headline: SEC Adopts Trade Acknowledgment and Verification Rules for Security-Based Swap Transactions Release No.:2016-111
Published date grouping:June 2016 Date: Headline: SEC Bars Corporate VP and Controller for False Accounting Release No.:2016-110
Published date grouping:June 2016 Date: Headline: SEC Announces Two Non-Prosecution Agreements in FCPA Cases Release No.:2016-109
Published date grouping:June 2016 Date: Headline: Childhood Friends Charged With Insider Trading in Pharmaceutical Stocks Release No.:2016-108
Published date grouping:June 2016 Date: Headline: Stephen L. Cohen, Associate Director of Enforcement, to Leave SEC After Nearly 12 Years of Service Release No.:2016-107
Published date grouping:June 2016 Date: Headline: SEC: Forex Trader Misrepresented Track Record and Hid Massive Losses Release No.:2016-106
Published date grouping:June 2016 Date: Headline: SEC Halts EB-5 Scheme Stealing Investments in Cancer Center Release No.:2016-105
Published date grouping:June 2016 Date: Headline: SEC: Adviser Steered Investor Money to His Own Companies Release No.:2016-104
Published date grouping:June 2016 Date: Headline: SEC Names Christopher Hetner as Senior Advisor to the Chair for Cybersecurity Policy Release No.:2016-103
Published date grouping:June 2016 Date: Headline: Brokerage Firm Charged With Anti-Money Laundering Failures Release No.:2016-102
Published date grouping:June 2016 Date: Headline: SEC Adopts Amendment to Form 10-K Implementing FAST Act Provision Release No.:2016-101
Published date grouping:June 2016 Date: Headline: SEC: Private Equity Fund Adviser Acted As Unregistered Broker Release No.:2016-100
Published date grouping:May 2016 Date: Headline: SEC Halts Ponzi Scheme Aimed at Middle Class Release No.:2016-99
Published date grouping:May 2016 Date: Headline: SEC: Nashville Firm Schemed to Collect Extra Fees From Hedge Funds Release No.:2016-98
Published date grouping:May 2016 Date: Headline: Mortgage Company and Executives Settle Fraud Charges Release No.:2016-97
Published date grouping:May 2016 Date: Headline: Investment Banker and Plumber Charged With Insider Trading Release No.:2016-96
Published date grouping:May 2016 Date: Headline: SEC Prevents Trader’s Profits From False Filing Release No.:2016-95
Published date grouping:May 2016 Date: Headline: Two Individuals Share Whistleblower Award of More Than $450,000 Release No.:2016-94
Published date grouping:May 2016 Date: Headline: Mayor in Illinois Settles Muni Bond Fraud Charges Release No.:2016-93
Published date grouping:May 2016 Date: Headline: SEC Announces Insider Trading Charges in Case Involving Sports Gambler and Board Member Release No.:2016-92
Published date grouping:May 2016 Date: Headline: SEC Awards More Than $5 Million to Whistleblower Release No.:2016-91
Published date grouping:May 2016 Date: Headline: Statement on Trade Reporting in the U.S. Treasury Market Release No.:2016-90
Published date grouping:May 2016 Date: Headline: Agencies Invite Comment on Proposed Rule to Prohibit Incentive-Based Pay that Encourages Inappropriate Risk-Taking in Financial Institutions Release No.:2016-89
Published date grouping:May 2016 Date: Headline: Whistleblower Earns $3.5 Million Award for Bolstering Ongoing Investigation Release No.:2016-88
Published date grouping:May 2016 Date: Headline: SEC Charges Two Attorneys With Defrauding Escrow Clients Release No.:2016-87
Published date grouping:May 2016 Date: Headline: SEC Charges Shell Factory Operators With Fraud Release No.:2016-86
Published date grouping:May 2016 Date: Headline: SEC Charges Father, Son, Others in Tribal Bonds Scheme Release No.:2016-85
Published date grouping:May 2016 Date: Headline: SEC Announces Agenda for May 18 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2016-84
Published date grouping:May 2016 Date: Headline: SEC: Financial Adviser Defrauded Pro Athletes and Lied to SEC Examiners Release No.:2016-83
Published date grouping:May 2016 Date: Headline: SEC Charges Unregistered Brokers with Pocketing Investor Money Release No.:2016-82
Published date grouping:May 2016 Date: Headline: SEC Adopts Amendments to Implement JOBS Act and FAST Act Changes for Exchange Act Registration Requirements Release No.:2016-81
Published date grouping:May 2016 Date: Headline: SEC and Law Enforcement Partners Crack Stock Promotion and Kickback Schemes Release No.:2016-80
Published date grouping:May 2016 Date: Headline: Silicon Valley Executive Settles Insider Trading Charges Release No.:2016-79
Published date grouping:April 2016 Date: Headline: SEC: Accounting Firm, Partner Conducted Deficient Surprise Exams Release No.:2016-78
Published date grouping:April 2016 Date: Headline: SEC Seeks Public Comment on Plan to Create A Consolidated Audit Trail Release No.:2016-77
Published date grouping:April 2016 Date: Headline: SEC Announces Agenda for April 26 Meeting of the Equity Market Structure Advisory Committee Release No.:2016-76
Published date grouping:April 2016 Date: Headline: SEC Issues Order Modifying and Extending the Pilot Period for the National Market System Plan to Address Extraordinary Market Volatility Release No.:2016-75
Published date grouping:April 2016 Date: Headline: SEC Announces Financial Fraud Cases Release No.:2016-74
Published date grouping:April 2016 Date: Headline: SEC Offers Online Tool to Help Companies Estimate Registration Fees Release No.:2016-73
Published date grouping:April 2016 Date: Headline: SEC Charges Litigation Marketing Company With Bilking Retirees Release No.:2016-72
Published date grouping:April 2016 Date: Headline: SEC Adopts Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2016-71
Published date grouping:April 2016 Date: Headline: SEC Solicits Public Comment on Business and Financial Disclosure Requirements in Regulation S-K Release No.:2016-70
Published date grouping:April 2016 Date: Headline: SEC Case Freezes Assets of Ski Resort Steeped in Fraudulent EB-5 Offerings Release No.:2016-69
Published date grouping:April 2016 Date: Headline: SEC: Town Officials in New York Hid Financial Troubles From Bond Investors Release No.:2016-68
Published date grouping:April 2016 Date: Headline: SEC: Research Analyst Is Insider Trading in Mother’s Brokerage Account Release No.:2016-67
Published date grouping:April 2016 Date: Headline: Marshall Sprung, Co-Chief of Asset Management Unit, to Leave SEC After 13 Years of Service Release No.:2016-66
Published date grouping:April 2016 Date: Headline: SEC: Company Misled Investors About Energy-Efficient Technology Release No.:2016-65
Published date grouping:April 2016 Date: Headline: Las Vegas Sands Paying Penalty for FCPA Violations Release No.:2016-64
Published date grouping:April 2016 Date: Headline: SEC Charges Four in Fraudulent “Free Dinner” Scheme Release No.:2016-63
Published date grouping:March 2016 Date: Headline: SEC: Navistar International and Former CEO Misled Investors About Advanced Technology Engine Release No.:2016-62
Published date grouping:March 2016 Date: Headline: SEC: Biotech Venture Capitalist Stole Investor Funds for Personal Use Release No.:2016-61
Published date grouping:March 2016 Date: Headline: Former TV Commentator Settles Penny Stock Fraud Charges Release No.:2016-60
Published date grouping:March 2016 Date: Headline: SEC: Biotech Company Misled Investors About New Drug's Status With FDA Release No.:2016-59
Published date grouping:March 2016 Date: Headline: Securities Professional Charged With Defrauding Institutional Investors Release No.:2016-58
Published date grouping:March 2016 Date: Headline: SEC Halts Fraud by Manager of Investments in Pre-IPO Companies Release No.:2016-57
Published date grouping:March 2016 Date: Headline: Keith E. Cassidy Named Director of Legislative and Intergovernmental Affairs Office Release No.:2016-56
Published date grouping:March 2016 Date: Headline: SEC Charges Operator of Ponzi Scheme That Claimed to Offer “Bridge Loans” to Jamaican Businesses Release No.:2016-55
Published date grouping:March 2016 Date: Headline: Municipal Advisor Charged for Failing to Disclose Conflict Release No.:2016-54
Published date grouping:March 2016 Date: Headline: SEC Charges Microcap Company CEO for Touting Bogus “Clean Energy” Contracts With Foreign Governments Release No.:2016-53
Published date grouping:March 2016 Date: Headline: AIG Affiliates Charged With Mutual Fund Shares Conflicts Release No.:2016-52
Published date grouping:March 2016 Date: Headline: SEC Approves 2016 PCAOB Budget and Accounting Support Fee Release No.:2016-51
Published date grouping:March 2016 Date: Headline: SEC: California Businessman Attempted Cover Up of Stolen Investor Funds Release No.:2016-50
Published date grouping:March 2016 Date: Headline: SEC Charges Oregon-Based Investment Group and Executives With Defrauding Investors Release No.:2016-49
Published date grouping:March 2016 Date: Headline: SEC Charges Company and Executives for Faulty Evaluations of Internal Controls Release No.:2016-48
Published date grouping:March 2016 Date: Headline: Anthony Kelly Named Co-Chief of Asset Management Unit Release No.:2016-47
Published date grouping:March 2016 Date: Headline: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Release No.:2016-46
Published date grouping:March 2016 Date: Headline: SEC: Tech Company Misled Investors About Key Product Release No.:2016-45
Published date grouping:March 2016 Date: Headline: Insider Traders Returning Illegal Profits and Kickbacks Release No.:2016-44
Published date grouping:March 2016 Date: Headline: California Water District to Pay Penalty for Misleading Investors Release No.:2016-43
Published date grouping:March 2016 Date: Headline: Money Returning to Investors Harmed by Unregistered Broker Release No.:2016-42
Published date grouping:March 2016 Date: Headline: SEC Awarding Nearly $2 Million to Three Whistleblowers Release No.:2016-41
Published date grouping:March 2016 Date: Headline: SEC Announces Charges Against Unregistered Fund Manager Accused of Hiding Criminal Past Release No.:2016-40
Published date grouping:March 2016 Date: Headline: Robert M. Fisher Named Managing Executive of the Office of Compliance Inspections and Examinations Release No.:2016-39
Published date grouping:March 2016 Date: Headline: SEC Announces Creation of Office of Risk and Strategy for its National Exam Program Release No.:2016-38
Published date grouping:March 2016 Date: Headline: SEC Charges Rhode Island Agency and Wells Fargo With Fraud in 38 Studios Bond Offering Release No.:2016-37
Published date grouping:March 2016 Date: Headline: SEC: Qualcomm Hired Relatives of Chinese Officials to Obtain Business Release No.:2016-36
Published date grouping:February 2016 Date: Headline: Fee Rate Advisory #4 for Fiscal Year 2016 Release No.:2016-35
Published date grouping:February 2016 Date: Headline: VimpelCom to Pay $795 Million in Global Settlement for FCPA Violations Release No.:2016-34
Published date grouping:February 2016 Date: Headline: Daniel Kahl Named as Chief Counsel of National Exam Program Release No.:2016-33
Published date grouping:February 2016 Date: Headline: SEC Charges Biopesticide Company and Former Executive With Accounting Fraud Release No.:2016-32
Published date grouping:February 2016 Date: Headline: SEC Announces Agenda for February 25 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2016-31
Published date grouping:February 2016 Date: Headline: SEC: Deutsche Bank Analyst Issued Stock Rating Inconsistent With Personal View Release No.:2016-30
Published date grouping:February 2016 Date: Headline: SEC: Tech Company Bribed Chinese Officials Release No.:2016-29
Published date grouping:February 2016 Date: Headline: SEC: California Man Sold Investors Phony Stock to Pay Gambling Debts Release No.:2016-28
Published date grouping:February 2016 Date: Headline: SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S. Release No.:2016-27
Published date grouping:February 2016 Date: Headline: SEC Names C. Dabney O’Riordan and Alka Patel as Associate Regional Directors in Los Angeles Office Release No.:2016-26
Published date grouping:February 2016 Date: Headline: Monsanto Paying $80 Million Penalty for Accounting Violations Release No.:2016-25
Published date grouping:February 2016 Date: Headline: SEC Charges Company Executive With Insider Trading Release No.:2016-24
Published date grouping:February 2016 Date: Headline: SEC: Miami Firm Broke Anti-Money Laundering Protocols Release No.:2016-23
Published date grouping:February 2016 Date: Headline: SEC Announces Advisory Committee on Small and Emerging Companies Members Release No.:2016-22
Published date grouping:February 2016 Date: Headline: SEC Charges Lending Company and Brokerage Firm With Fraud Release No.:2016-21
Published date grouping:February 2016 Date: Headline: SEC Names Jane Jarcho as Deputy Director of National Exam Program Release No.:2016-20
Published date grouping:February 2016 Date: Headline: SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers Release No.:2016-19
Published date grouping:February 2016 Date: Headline: SEC Completes Muni-Underwriter Enforcement Sweep Release No.:2016-18
Published date grouping:February 2016 Date: Headline: SEC Charges Software Company With FCPA Violations Release No.:2016-17
Published date grouping:January 2016 Date: Headline: Barclays, Credit Suisse Charged With Dark Pool Violations Release No.:2016-16
Published date grouping:January 2016 Date: Headline: SEC Announces Agenda for February 2 Meeting of the Equity Market Structure Advisory Committee Release No.:2016-15
Published date grouping:January 2016 Date: Headline: Hedge Fund Manager Agrees to Reimburse Investor Losses Release No.:2016-14
Published date grouping:January 2016 Date: Headline: Ocwen Paying Penalty for Misstated Financial Results Release No.:2016-13
Published date grouping:January 2016 Date: Headline: Susan Nash, Associate Director in Division of Investment Management, to Leave SEC After 26 Years of Service Release No.:2016-12
Published date grouping:January 2016 Date: Headline: SEC: Alternative Fund Manager Overcharged Fees, Misled Investors Release No.:2016-11
Published date grouping:January 2016 Date: Headline: SEC Awards Whistleblower More Than $700,000 for Detailed Analysis Release No.:2016-10
Published date grouping:January 2016 Date: Headline: SEC Charges Goldman Sachs With Improper Securities Lending Practices Release No.:2016-9
Published date grouping:January 2016 Date: Headline: SEC Charges State Street for Pay-to-Play Scheme Release No.:2016-8
Published date grouping:January 2016 Date: Headline: SEC Charges 11 Bank Officers and Directors With Fraud Release No.:2016-7
Published date grouping:January 2016 Date: Headline: SEC Adopts Rules Implementing FAST Act Provisions Release No.:2016-6
Published date grouping:January 2016 Date: Headline: Julie M. Riewe, Co-Chief of Asset Management Unit, to Leave SEC After 10 Years of Service Release No.:2016-5
Published date grouping:January 2016 Date: Headline: SEC Announces 2016 Examination Priorities Release No.:2016-4
Published date grouping:January 2016 Date: Headline: Steven A. Cohen Barred From Supervisory Hedge Fund Role Release No.:2016-3
Published date grouping:January 2016 Date: Headline: Fee Rate Advisory #3 for Fiscal Year 2016 Release No.:2016-2
Published date grouping:January 2016 Date: Headline: SEC: J.P. Morgan Misled Customers on Broker Compensation Release No.:2016-1
Published date grouping:December 2015 Date: Headline: Traders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case Release No.:2015-290
Published date grouping:December 2015 Date: Headline: SEC Issues Annual Staff Reports on Credit Rating Agencies Release No.:2015-289
Published date grouping:December 2015 Date: Headline: SEC Seeks Public Comment on Transfer Agent Rules Release No.:2015-288
Published date grouping:December 2015 Date: Headline: Morgan Stanley Settles Charges in “Parking” Scheme Release No.:2015-287
Published date grouping:December 2015 Date: Headline: SEC Charges Financial Advisor in Market Manipulation Case Release No.:2015-286
Published date grouping:December 2015 Date: Headline: Convicted Fraudster Using Aliases Charged Again for Defrauding Investors Release No.:2015-285
Published date grouping:December 2015 Date: Headline: SEC Issues Staff Report on Accredited Investor Definition Release No.:2015-284
Published date grouping:December 2015 Date: Headline: J.P. Morgan to Pay $267 Million for Disclosure Failures Release No.:2015-283
Published date grouping:December 2015 Date: Headline: SEC Charges Martin Shkreli With Fraud Release No.:2015-282
Published date grouping:December 2015 Date: Headline: SEC: Hedge Fund Adviser Lied to Investors Release No.:2015-281
Published date grouping:December 2015 Date: Headline: SEC Announces Fraud Charges Against Investment Adviser Release No.:2015-280
Published date grouping:December 2015 Date: Headline: SEC Files Charges in Multi-Million Dollar Market Manipulation Release No.:2015-279
Published date grouping:December 2015 Date: Headline: SEC: Sports Team Offering Is A Penny Stock Fraud Release No.:2015-278
Published date grouping:December 2015 Date: Headline: SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act Release No.:2015-277
Published date grouping:December 2015 Date: Headline: SEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies Release No.:2015-276
Published date grouping:December 2015 Date: Headline: SEC Suspends Public Accountants for Bad Auditing Release No.:2015-275
Published date grouping:December 2015 Date: Headline: SEC: Lawyers Offered EB-5 Investments as Unregistered Brokers Release No.:2015-274
Published date grouping:December 2015 Date: Headline: SEC Announces Charges for Spoofing and Order Mismarking Release No.:2015-273
Published date grouping:December 2015 Date: Headline: SEC: Grant Thornton Ignored Red Flags in Audits Release No.:2015-272
Published date grouping:December 2015 Date: Headline: SEC Charges Bitcoin Mining Companies Release No.:2015-271
Published date grouping:December 2015 Date: Headline: SEC, FINRA, MSRB to Hold Compliance Outreach Program for Municipal Advisors Release No.:2015-270
Published date grouping:November 2015 Date: Headline: SEC Names Katherine Martin as Associate Director in the Office of International Affairs Release No.:2015-269
Published date grouping:November 2015 Date: Headline: Standard Bank to Pay $4.2 Million to Settle SEC Charges Release No.:2015-268
Published date grouping:November 2015 Date: Headline: Former Goldman Employee Charged With Insider Trading Before Mergers Release No.:2015-267
Published date grouping:November 2015 Date: Headline: SEC Charges Political Intelligence Firm Release No.:2015-266
Published date grouping:November 2015 Date: Headline: SEC: Stockbroker Stole Investor Money for Home Renovations Release No.:2015-265
Published date grouping:November 2015 Date: Headline: Atlanta Businessman Charged in Nursing Home Investment Scheme Release No.:2015-264
Published date grouping:November 2015 Date: Headline: Assets Frozen in Alleged Immigration Scam Release No.:2015-263
Published date grouping:November 2015 Date: Headline: Custody Rule Violators Settle Charges Release No.:2015-262
Published date grouping:November 2015 Date: Headline: SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems Release No.:2015-261
Published date grouping:November 2015 Date: Headline: SEC Announces Agenda and Panelists for Small Business Forum Release No.:2015-260
Published date grouping:November 2015 Date: Headline: SEC Charges Pump-and-Dump in Marley Coffee Stock Release No.:2015-259
Published date grouping:November 2015 Date: Headline: Mutual Fund Adviser Advertised False Performance Claims Release No.:2015-258
Published date grouping:November 2015 Date: Headline: Sanket Bulsara Named Deputy General Counsel for Appellate Litigation and Adjudication Release No.:2015-257
Published date grouping:November 2015 Date: Headline: Marc Wyatt Named Director of the Office of Compliance Inspections and Examinations Release No.:2015-256
Published date grouping:November 2015 Date: Headline: Olivier Girod Named SEC Deputy Director of Office of Support Operations Release No.:2015-255
Published date grouping:November 2015 Date: Headline: SEC Charges: False Tweets Sent Two Stocks Reeling in Market Manipulation Release No.:2015-254
Published date grouping:November 2015 Date: Headline: Bryan Bennett Named to Head Exam Program in Los Angeles Office Release No.:2015-253
Published date grouping:November 2015 Date: Headline: SEC Announces Whistleblower Award of More Than $325,000 Release No.:2015-252
Published date grouping:November 2015 Date: Headline: SEC Identifies More Alleged Corrupt Brokers in Stock Manipulation Case Release No.:2015-251
Published date grouping:November 2015 Date: Headline: SEC Charges Private Equity Firm and Four Executives With Failing to Disclose Conflicts of Interest Release No.:2015-250
Published date grouping:October 2015 Date: Headline: SEC Adopts Rules to Permit Crowdfunding Release No.:2015-249
Published date grouping:October 2015 Date: Headline: SEC Bars Brokers Who Played Favorites to Double Their Commissions Release No.:2015-248
Published date grouping:October 2015 Date: Headline: Developer, Former Top Execs Charged for Improper Accounting of Real Estate Assets During Financial Crisis Release No.:2015-247
Published date grouping:October 2015 Date: Headline: SEC Charges Credit Rating Agency With Misrepresenting Surveillance Methodology Release No.:2015-246
Published date grouping:October 2015 Date: Headline: SEC Announces Enforcement Results For FY 2015 Release No.:2015-245
Published date grouping:October 2015 Date: Headline: SEC to Hold Annual Government-Business Forum on Small Business Capital Formation on November 19 Release No.:2015-244
Published date grouping:October 2015 Date: Headline: Wenchi Hu, Christian Sabella Named Associate Directors in the Division of Trading and Markets Release No.:2015-243
Published date grouping:October 2015 Date: Headline: Former Head of Coastal Investment Advisors Settles Charges, Admits He Stole Money From Investors Release No.:2015-242
Published date grouping:October 2015 Date: Headline: Two UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment Strategy Release No.:2015-241
Published date grouping:October 2015 Date: Headline: SEC Staff Publishes Private Funds Statistics Report Release No.:2015-240
Published date grouping:October 2015 Date: Headline: SEC Charges Six Firms for Short Selling Violations in Advance of Stock Offerings Release No.:2015-239
Published date grouping:October 2015 Date: Headline: UBS to Pay $19.5 Million Settlement Involving Notes Linked to Currency Index Release No.:2015-238
Published date grouping:October 2015 Date: Headline: Wolverine Affiliates Charged With Failing to Maintain Policies to Prevent Misuse of Material Nonpublic Information Release No.:2015-237
Published date grouping:October 2015 Date: Headline: SEC Charges Firm and Owner With Manipulative Trading Release No.:2015-236
Published date grouping:October 2015 Date: Headline: Blackstone Charged With Disclosure Failures Release No.:2015-235
Published date grouping:October 2015 Date: Headline: SEC Charges Former Executives With Accounting Fraud and Other Accounting Failures Release No.:2015-234
Published date grouping:October 2015 Date: Headline: Michael Liftik Named SEC Deputy Chief of Staff Release No.:2015-233
Published date grouping:October 2015 Date: Headline: SEC Deputy Chief of Staff Erica Williams to Leave Agency Release No.:2015-232
Published date grouping:October 2015 Date: Headline: SEC Charges Florida Investment Adviser and His Company With Defrauding Investors Release No.:2015-231
Published date grouping:October 2015 Date: Headline: SEC Charges Home Loan Servicing Solutions for Misstatements and Inadequate Internal Controls Release No.:2015-230
Published date grouping:October 2015 Date: Headline: SEC Charges Bristol-Myers Squibb With FCPA Violations Release No.:2015-229
Published date grouping:October 2015 Date: Headline: Chyhe Becker Named as Associate Director in the Division of Economic and Risk Analysis Release No.:2015-228
Published date grouping:October 2015 Date: Headline: SEC Halts $32 Million Scheme That Promised Riches From Amber Mining Release No.:2015-227
Published date grouping:October 2015 Date: Headline: SEC Charges New Jersey Fund Manager With Securities Fraud Release No.:2015-226
Published date grouping:October 2015 Date: Headline: SEC Charges Two Grant Thornton Firms With Violating Auditor Independence Rules Release No.:2015-225
Published date grouping:September 2015 Date: Headline: SEC Charges Executives for Defrauding Investors in Financial Fraud Scheme Release No.:2015-224
Published date grouping:September 2015 Date: Headline: China-Based Company and CEO To Pay $55.6 Million for Inaccurate Disclosures Release No.:2015-223
Published date grouping:September 2015 Date: Headline: Fee Rate Advisory #2 for Fiscal Year 2016 Release No.:2015-222
Published date grouping:September 2015 Date: Headline: Latour Trading Charged With Market Structure Rule Violations Release No.:2015-221
Published date grouping:September 2015 Date: Headline: SEC Sanctions 22 Underwriting Firms for Fraudulent Municipal Bond Offerings Release No.:2015-220
Published date grouping:September 2015 Date: Headline: SEC Names William Royer to Lead Exam Program in Atlanta Office Release No.:2015-219
Published date grouping:September 2015 Date: Headline: SEC Charges Investment Adviser With Fraud Release No.:2015-218
Published date grouping:September 2015 Date: Headline: SEC Charges UBS Puerto Rico and Two Individuals in Actions Relating to Former Broker’s Fraud Release No.:2015-217
Published date grouping:September 2015 Date: Headline: SEC to Hold Equity Market Structure Advisory Committee Meeting on October 27 Release No.:2015-216
Published date grouping:September 2015 Date: Headline: SEC Charges Trinity Capital Corporation and Former Bank Executives With Accounting Fraud Release No.:2015-215
Published date grouping:September 2015 Date: Headline: Credit Suisse to Pay $4.25 Million and Admits to Providing Deficient “Blue Sheet” Trading Data Release No.:2015-214
Published date grouping:September 2015 Date: Headline: SEC Charges Five With Insider Trading, Including Two Attorneys and an Accountant Release No.:2015-213
Published date grouping:September 2015 Date: Headline: SEC Charges Hitachi With FCPA Violations Release No.:2015-212
Published date grouping:September 2015 Date: Headline: SEC Publishes Request for Comment on Regulation S-X Release No.:2015-211
Published date grouping:September 2015 Date: Headline: SEC Charges Former Officers of SMF Energy With Fraud Release No.:2015-210
Published date grouping:September 2015 Date: Headline: SEC Proposes to Amend Rules Governing Administrative Proceedings Release No.:2015-209
Published date grouping:September 2015 Date: Headline: SEC Charges Six in Stock Fraud Scheme Release No.:2015-208
Published date grouping:September 2015 Date: Headline: SEC Charges Individual and Firm for Manipulative Press Release Announcing Takeover Bid Release No.:2015-207
Published date grouping:September 2015 Date: Headline: SEC Approves Renewal of Advisory Committee on Small and Emerging Companies Release No.:2015-206
Published date grouping:September 2015 Date: Headline: SEC Charges Consultant and Friend With Insider Trading in Advance of P.F. Chang’s Merger Release No.:2015-205
Published date grouping:September 2015 Date: Headline: SEC Charges Two Philadelphia Area Men For Defrauding Friends And Family In Private Equity Fund Release No.:2015-204
Published date grouping:September 2015 Date: Headline: Lara Shalov Mehraban Named Associate Director for Enforcement in SEC’s New York Regional Office Release No.:2015-203
Published date grouping:September 2015 Date: Headline: SEC Charges Investment Adviser With Failing to Adopt Proper Cybersecurity Policies and Procedures Prior To Breach Release No.:2015-202
Published date grouping:September 2015 Date: Headline: SEC Proposes Liquidity Management Rules For Mutual Funds And ETFs Release No.:2015-201
Published date grouping:September 2015 Date: Headline: SEC Charges Retailer for Improper Valuation and Inadequate Internal Accounting Controls Release No.:2015-200
Published date grouping:September 2015 Date: Headline: SEC Charges Two Men in Stock Manipulation Scheme Release No.:2015-199
Published date grouping:September 2015 Date: Headline: SEC Charges Investment Adviser With Improperly Using Mutual Fund Assets to Pay Distribution Fees Release No.:2015-198
Published date grouping:September 2015 Date: Headline: SEC Announces Agenda for September 23 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2015-197
Published date grouping:September 2015 Date: Headline: Attorney and Auditors Settle Charges in Microcap Scheme Involving Purported Mining Companies Release No.:2015-196
Published date grouping:September 2015 Date: Headline: SEC Charges Florida-Based CPA with Fraud for Issuing Bogus Audit Opinions Release No.:2015-195
Published date grouping:September 2015 Date: Headline: SEC Charges Clearing Firm Officials for Improper Margin Loans, Accounting and Disclosure Failures Release No.:2015-194
Published date grouping:September 2015 Date: Headline: SEC Removes References to Credit Ratings in Money Market Fund Rule and Form Release No.:2015-193
Published date grouping:September 2015 Date: Headline: SEC Charges Medical Diagnostics Company Chairman and Two Others Behind Scheme to Manipulate Company Stock Release No.:2015-192
Published date grouping:September 2015 Date: Headline: SEC Obtains $30 Million From Traders Who Profited on Hacked News Releases Release No.:2015-191
Published date grouping:September 2015 Date: Headline: SEC Charges Five Arizona Residents With Stealing Millions From Investors to Fund Travel and Entertainment Sprees Release No.:2015-190
Published date grouping:September 2015 Date: Headline: SEC Announces Fraud Charges in Cross-Border Scheme to Secretly Control and Manipulate Stock of Chinese Companies After Reverse Mergers Release No.:2015-189
Published date grouping:September 2015 Date: Headline: Robert Cohen and Joseph Sansone Named Market Abuse Unit Co-Chiefs Release No.:2015-188
Published date grouping:September 2015 Date: Headline: SEC Halts Scheme by Trio Accused of Stealing Investor Money While Promising “Indestructible Wealth” Release No.:2015-187
Published date grouping:September 2015 Date: Headline: SEC Announces Fraud Charges Against Financial Adviser Accused of Greatly Exaggerating Assets Under Management and Investment Returns on Paid Radio Program Release No.:2015-186
Published date grouping:September 2015 Date: Headline: SEC Charges Father and Son and Friend With Insider Trading Release No.:2015-185
Published date grouping:September 2015 Date: Headline: SEC Charges BDO and Five Partners in Connection With False and Misleading Audit Opinions Release No.:2015-184
Published date grouping:September 2015 Date: Headline: SEC Charges Video Management Company Executives With Accounting Fraud Release No.:2015-183
Published date grouping:September 2015 Date: Headline: Smeeta Ramarathnam Named Deputy Director in the Office of Credit Ratings Release No.:2015-182
Published date grouping:September 2015 Date: Headline: SEC Charges Three RMBS Traders With Defrauding Investors Release No.:2015-181
Published date grouping:September 2015 Date: Headline: SEC Charges Bankrate and Former Executives With Accounting Fraud Release No.:2015-180
Published date grouping:September 2015 Date: Headline: SEC Charges Sports Nutrition Company With Failing to Properly Disclose Perks for Executives Release No.:2015-179
Published date grouping:September 2015 Date: Headline: SEC Charges Seattle-Area Hedge Fund Adviser With Taking Unearned Management Fees Release No.:2015-178
Published date grouping:September 2015 Date: Headline: SEC Charges Advisory Firm With Fraud for Improperly Retaining Fees Release No.:2015-177
Published date grouping:September 2015 Date: Headline: SEC Halts Ongoing Fraud in Minnesota Release No.:2015-176
Published date grouping:August 2015 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2016 Release No.:2015-175
Published date grouping:August 2015 Date: Headline: SEC Charges Former Investment Bank Analyst and Two Others With Insider Trading in Advance of Client Deals Release No.:2015-174
Published date grouping:August 2015 Date: Headline: SEC Announces Asset Freeze Against Alleged EB-5 Fraudster in Seattle Area Release No.:2015-173
Published date grouping:August 2015 Date: Headline: Shelly Luisi Named Associate Director in the Division of Corporation Finance Release No.:2015-172
Published date grouping:August 2015 Date: Headline: SEC Charges Citigroup Global Markets for Compliance and Surveillance Failures Release No.:2015-171
Published date grouping:August 2015 Date: Headline: SEC Charges BNY Mellon With FCPA Violations Release No.:2015-170
Published date grouping:August 2015 Date: Headline: SEC Names Shamoil T. Shipchandler as Regional Director of Fort Worth Office Release No.:2015-169
Published date grouping:August 2015 Date: Headline: Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charges Release No.:2015-168
Published date grouping:August 2015 Date: Headline: Three Maryland Men Settle Charges They Defrauded Investors in Real Estate Investment Company Release No.:2015-167
Published date grouping:August 2015 Date: Headline: Edward Jones to Pay $20 Million for Overcharging Retail Customers in Municipal Bond Underwritings Release No.:2015-166
Published date grouping:August 2015 Date: Headline: SEC Charges Former Software Executive With FCPA Violations Release No.:2015-165
Published date grouping:August 2015 Date: Headline: SEC Charges ITG With Operating Secret Trading Desk and Misusing Dark Pool Subscriber Trading Information Release No.:2015-164
Published date grouping:August 2015 Date: Headline: SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases Release No.:2015-163
Published date grouping:August 2015 Date: Headline: Guggenheim Partners Investment Management LLC Settles Charges it Failed to Disclose Conflict to Clients Release No.:2015-162
Published date grouping:August 2015 Date: Headline: Miller Energy Resources, Former CFO, Current COO Charged With Accounting Fraud Release No.:2015-161
Published date grouping:August 2015 Date: Headline: SEC Adopts Rule for Pay Ratio Disclosure Release No.:2015-160
Published date grouping:August 2015 Date: Headline: SEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2015-159
Published date grouping:August 2015 Date: Headline: SEC Charges Houston-Area Businessman in Ponzi Scheme Release No.:2015-158
Published date grouping:July 2015 Date: Headline: SEC Charges Man With Microcap Fraud Involving Shares of Cynk Technology Corp. Release No.:2015-157
Published date grouping:July 2015 Date: Headline: SEC Charges Operators of Fraud Based in Upstate New York Release No.:2015-156
Published date grouping:July 2015 Date: Headline: Daniel M. Hawke, Chief of Market Abuse Unit, to Leave SEC After 16 Years of Service Release No.:2015-155
Published date grouping:July 2015 Date: Headline: SEC Charges Mead Johnson Nutrition With FCPA Violations Release No.:2015-154
Published date grouping:July 2015 Date: Headline: Former Oppenheimer Employees Settle Charges Involving Unregistered Sales of Penny Stocks Release No.:2015-153
Published date grouping:July 2015 Date: Headline: SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes Release No.:2015-152
Published date grouping:July 2015 Date: Headline: Michele Anderson Named Associate Director in the Division of Corporation Finance Release No.:2015-151
Published date grouping:July 2015 Date: Headline: SEC Pays More Than $3 Million to Whistleblower Release No.:2015-150
Published date grouping:July 2015 Date: Headline: SEC Charges Pennsylvania Attorney with Insider Trading in Advance of Merger Announcement Release No.:2015-149
Published date grouping:July 2015 Date: Headline: SEC Charges Purported Investment Adviser in San Diego With Stealing Client Funds and Conducting a Ponzi Scheme Release No.:2015-148
Published date grouping:July 2015 Date: Headline: SEC Chair White, Federal Agencies Join Forces for Military Consumer Protection Day 2015 Release No.:2015-147
Published date grouping:July 2015 Date: Headline: SEC Charges 34 Defendants in Microcap Market Manipulation Schemes Release No.:2015-146
Published date grouping:July 2015 Date: Headline: OZ Management LP Admits Providing Inaccurate Data, Impacting Brokers’ Records and “Blue Sheets” Release No.:2015-145
Published date grouping:July 2015 Date: Headline: Release of Joint Staff Report on October 15, 2014 Release No.:2015-144
Published date grouping:July 2015 Date: Headline: SEC Announces Settlement With Cooperator in Grand Central Post-It Notes Insider Trading Case Release No.:2015-143
Published date grouping:July 2015 Date: Headline: SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting Release No.:2015-142
Published date grouping:July 2015 Date: Headline: SEC Charges Oil Company and CEO in Scheme Targeting Chinese-Americans and EB-5 Investors Release No.:2015-141
Published date grouping:July 2015 Date: Headline: SEC Reappoints Lewis H. Ferguson to Second Term on PCAOB Release No.:2015-140
Published date grouping:July 2015 Date: Headline: SEC Halts Pyramid/Ponzi Scheme Targeting Spanish and Portuguese Communities Release No.:2015-139
Published date grouping:July 2015 Date: Headline: SEC Solicits Public Comment on Audit Committee Disclosures Release No.:2015-138
Published date grouping:July 2015 Date: Headline: SEC Charges Deloitte & Touche With Violating Auditor Independence Rules Release No.:2015-137
Published date grouping:July 2015 Date: Headline: SEC Proposes Rules Requiring Companies to Adopt Clawback Policies on Executive Compensation Release No.:2015-136
Published date grouping:July 2015 Date: Headline: SEC Charges Former Stockbroker With Conducting Ponzi Scheme Release No.:2015-135
Published date grouping:July 2015 Date: Headline: SEC Charges Hedge Fund Advisory Firm With Conducting Fraudulent Fund Valuation Scheme Release No.:2015-134
Published date grouping:June 2015 Date: Headline: SEC Charges Goldman Sachs With Violating Market Access Rule Release No.:2015-133
Published date grouping:June 2015 Date: Headline: SEC Announces Cherry-Picking Charges Against Investment Manager Release No.:2015-132
Published date grouping:June 2015 Date: Headline: SEC Charges KKR With Misallocating Broken Deal Expenses Release No.:2015-131
Published date grouping:June 2015 Date: Headline: John Roeser Named Associate Director of the Office of Market Supervision Release No.:2015-130
Published date grouping:June 2015 Date: Headline: SEC Charges Microcap Promoter With Illegally Selling Penny Stock Shares Release No.:2015-129
Published date grouping:June 2015 Date: Headline: SEC Obtains Asset Freeze Against China-Based Trader for Suspicious Activity Last Week Release No.:2015-128
Published date grouping:June 2015 Date: Headline: SEC Charges Unregistered Brokers in EB-5 Immigrant Investor Program Release No.:2015-127
Published date grouping:June 2015 Date: Headline: SEC Charges Microcap Oil Company, CEO, and Stock Promoter With Defrauding Investors Release No.:2015-126
Published date grouping:June 2015 Date: Headline: SEC Charges 36 Firms for Fraudulent Municipal Bond Offerings Release No.:2015-125
Published date grouping:June 2015 Date: Headline: SEC Charges Investment Adviser and Mutual Fund Board Members With Failures in Advisory Contract Approval Process Release No.:2015-124
Published date grouping:June 2015 Date: Headline: SEC Announces Enforcement Action for Illegal Offering of Security-Based Swaps Release No.:2015-123
Published date grouping:June 2015 Date: Headline: SEC Charges Investment Adviser With Fraudulently Funneling Client Assets to Companies in Owner’s Interest Release No.:2015-122
Published date grouping:June 2015 Date: Headline: SEC Announces Charges Against Retirement Plan Custodian in Connection With Ponzi Scheme Release No.:2015-121
Published date grouping:June 2015 Date: Headline: Investment Advisory Firm’s Former President Charged With Stealing Client Funds Release No.:2015-120
Published date grouping:June 2015 Date: Headline: Swiss Trader to Pay $2.8 Million to Settle Insider Trading Charges Release No.:2015-119
Published date grouping:June 2015 Date: Headline: SEC Publishes Request for Public Comment on Exchange-Traded Products Release No.:2015-118
Published date grouping:June 2015 Date: Headline: SEC Charges Phony Hedge Fund Manager With Theft of Money Invested by Small Businesses Release No.:2015-117
Published date grouping:June 2015 Date: Headline: SEC Charges Biotech Employee, Two Stockbrokers With Insider Trading on Nonpublic Information About Pharmaceutical Trials and Merger Release No.:2015-116
Published date grouping:June 2015 Date: Headline: Trader to Pay $1 Million for Short Selling Violations Release No.:2015-115
Published date grouping:June 2015 Date: Headline: Agencies Issue Final Standards for Assessing Diversity Policies and Practices of Regulated Entities Release No.:2015-114
Published date grouping:June 2015 Date: Headline: SEC Names Richard R. Best as Regional Director of Salt Lake Office Release No.:2015-113
Published date grouping:June 2015 Date: Headline: Daniel Gregus Named Associate Director for Broker-Dealer Exam Program in Chicago Release No.:2015-112
Published date grouping:June 2015 Date: Headline: SEC Charges CSC and Former Executives With Accounting Fraud Release No.:2015-111
Published date grouping:June 2015 Date: Headline: SEC Freezes Profits From Scheme to Manipulate Avon Stock Release No.:2015-110
Published date grouping:June 2015 Date: Headline: SEC Staff Provides Additional Analysis Related to Proposed Pay Ratio Disclosure Rules Release No.:2015-109
Published date grouping:June 2015 Date: Headline: SEC Warns of Purported Financial Professionals Using False Credentials to Attract Investors Release No.:2015-108
Published date grouping:June 2015 Date: Headline: SEC Charges Four With Insider Trading Ahead of Secondary Offerings Release No.:2015-107
Published date grouping:June 2015 Date: Headline: SEC Charges Investment Adviser With Defrauding Retired Teachers Release No.:2015-106
Published date grouping:June 2015 Date: Headline: Merrill Lynch Admits Using Inaccurate Data for Short Sale Orders, Agrees to $11 Million Settlement Release No.:2015-105
Published date grouping:May 2015 Date: Headline: SEC Charges Two Stock Promoters With Conducting Market Manipulation Schemes Release No.:2015-104
Published date grouping:May 2015 Date: Headline: SEC Names Andrew J. Donohue as Chief of Staff Release No.:2015-103
Published date grouping:May 2015 Date: Headline: SEC Announces Charges Against Compliance Director Accused of Defrauding Investors and Stealing Brokerage Firm Assets Release No.:2015-102
Published date grouping:May 2015 Date: Headline: SEC Announces Agenda for June 3 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2015-101
Published date grouping:May 2015 Date: Headline: SEC Charges New York Lawyer and Two Promoters With Market Manipulation Release No.:2015-100
Published date grouping:May 2015 Date: Headline: SEC Charges Deutsche Bank With Misstating Financial Reports During Financial Crisis Release No.:2015-99
Published date grouping:May 2015 Date: Headline: SEC Announces Charges Against Investment Firm and Two Executives Accused of Defrauding Police and Firefighter Pension Funds Release No.:2015-98
Published date grouping:May 2015 Date: Headline: SEC Names Rebecca Olsen Deputy Director of Municipal Securities Office Release No.:2015-97
Published date grouping:May 2015 Date: Headline: SEC Names Jessica Kane Director of Municipal Securities Office Release No.:2015-96
Published date grouping:May 2015 Date: Headline: SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers Release No.:2015-95
Published date grouping:May 2015 Date: Headline: SEC Charges Brokerage Firm Co-Owners With Defrauding Investors Release No.:2015-94
Published date grouping:May 2015 Date: Headline: SEC Charges BHP Billiton With Violating FCPA at Olympic Games Release No.:2015-93
Published date grouping:May 2015 Date: Headline: SEC Chief of Staff Lona Nallengara to Leave Agency Release No.:2015-92
Published date grouping:May 2015 Date: Headline: Peter J. Curley, Associate Director in the Division of Trading and Markets, to Leave SEC Release No.:2015-91
Published date grouping:May 2015 Date: Headline: SEC Charges Father and Son in $1.1 Million Insider Trading Scheme Release No.:2015-90
Published date grouping:May 2015 Date: Headline: SEC Charges Nationwide Life Insurance Company With Pricing Violations Release No.:2015-89
Published date grouping:May 2015 Date: Headline: SEC Names Wesley R. Bricker as Deputy Chief Accountant Release No.:2015-88
Published date grouping:May 2015 Date: Headline: Deputy Chief Accountant Dan Murdock to Leave SEC Release No.:2015-87
Published date grouping:May 2015 Date: Headline: SEC Announces Fraud Charges Against ITT Educational Services Release No.:2015-86
Published date grouping:May 2015 Date: Headline: SEC Sues Retirement Planners for Making False Claims to Investors Release No.:2015-85
Published date grouping:May 2015 Date: Headline: SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers Release No.:2015-84
Published date grouping:May 2015 Date: Headline: David Grim Named as Director of the Division of Investment Management Release No.:2015-83
Published date grouping:May 2015 Date: Headline: SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies Release No.:2015-82
Published date grouping:May 2015 Date: Headline: SEC Charges Four Former Officers of Delaware Bank Holding Company With Disclosure Fraud Release No.:2015-81
Published date grouping:May 2015 Date: Headline: SEC Announces Outreach Programs to Help Firms Comply With Regulation Systems Compliance and Integrity Release No.:2015-80
Published date grouping:April 2015 Date: Headline: SEC Announces Compliance Outreach Program Seminars for Investment Adviser and Investment Company Senior Officers Release No.:2015-79
Published date grouping:April 2015 Date: Headline: SEC Proposes Rules to Require Companies to Disclose the Relationship Between Executive Pay and a Company’s Financial Performance Release No.:2015-78
Published date grouping:April 2015 Date: Headline: SEC Proposes Cross-Border Security-Based Swap Rules Regarding Activity in the U.S. Release No.:2015-77
Published date grouping:April 2015 Date: Headline: SEC Charges Santa Barbara-Based Hedge Fund Firm, Executives, and Auditor for Improper Expense Allocations Release No.:2015-76
Published date grouping:April 2015 Date: Headline: SEC Announces Award to Whistleblower in First Retaliation Case Release No.:2015-75
Published date grouping:April 2015 Date: Headline: SEC Charges Issuer for Failing to Make Public Filings Release No.:2015-74
Published date grouping:April 2015 Date: Headline: SEC Announces Million-Dollar Whistleblower Award to Compliance Officer Release No.:2015-73
Published date grouping:April 2015 Date: Headline: Fort Worth Regional Director David Woodcock to Leave SEC Release No.:2015-72
Published date grouping:April 2015 Date: Headline: SEC Charges BlackRock Advisors With Failing to Disclose Conflict of Interest to Clients and Fund Boards Release No.:2015-71
Published date grouping:April 2015 Date: Headline: SEC Announces Agenda for May 13 Meeting of the Equity Market Structure Advisory Committee Release No.:2015-70
Published date grouping:April 2015 Date: Headline: SEC Charges 10 Individuals in Scheme to Sell Stock in Blank Check Companies Secretly Bound for Reverse Mergers Release No.:2015-69
Published date grouping:April 2015 Date: Headline: SEC Charges New York-Based Financial Advisor With Stealing $20 Million From Customers Release No.:2015-68
Published date grouping:April 2015 Date: Headline: SEC Staff and FINRA Issue Report on National Senior Investor Initiative Release No.:2015-67
Published date grouping:April 2015 Date: Headline: SEC Halts Investment Scheme Targeting Military Personnel Release No.:2015-66
Published date grouping:April 2015 Date: Headline: SEC Announces Fraud Charges Against Former Accounting Executive at Japanese Subsidiary Release No.:2015-65
Published date grouping:April 2015 Date: Headline: SEC Names Marc Wyatt as Acting Director of the Office of Compliance Inspections and Examinations Release No.:2015-64
Published date grouping:April 2015 Date: Headline: SEC Halts Microcap Scheme in South Florida Release No.:2015-63
Published date grouping:April 2015 Date: Headline: SEC Charges Oregon-Based Defense Contractor With FCPA Violations Release No.:2015-62
Published date grouping:April 2015 Date: Headline: Gregg E. Berman, Associate Director in the Division of Trading and Markets, to Leave SEC Release No.:2015-61
Published date grouping:April 2015 Date: Headline: SEC Charges L.A.-Based Pacific West Capital Group With Fraud in Sale of Life Settlement Investments Release No.:2015-60
Published date grouping:April 2015 Date: Headline: OCIE Director Andrew Bowden to Leave SEC Release No.:2015-59
Published date grouping:April 2015 Date: Headline: SEC Obtains Asset Freeze in Ponzi Scheme Involving Loans to Professional Athletes Release No.:2015-58
Published date grouping:April 2015 Date: Headline: SEC Charges Firms and Individuals for Defrauding Investors in Cellular Licensing Scheme Release No.:2015-57
Published date grouping:April 2015 Date: Headline: SEC Charges Friends With Insider Trading on Acquisition of Cooper Tire Release No.:2015-56
Published date grouping:April 2015 Date: Headline: SEC Charges North Carolina Executive With Fraud Release No.:2015-55
Published date grouping:April 2015 Date: Headline: SEC: Companies Cannot Stifle Whistleblowers in Confidentiality Agreements Release No.:2015-54
Published date grouping:March 2015 Date: Headline: SEC Charges Former Polycom CEO With Hiding Perks From Investors Release No.:2015-53
Published date grouping:March 2015 Date: Headline: SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From Investors Release No.:2015-52
Published date grouping:March 2015 Date: Headline: SEC Charges New York-Based Brokerage Firm With Faulty Underwriting of Public Offering by China-Based Company Release No.:2015-51
Published date grouping:March 2015 Date: Headline: SEC Charges Nearly Two Dozen Unregistered Broker-Dealers Release No.:2015-50
Published date grouping:March 2015 Date: Headline: SEC Adopts Rules to Facilitate Smaller Companies’ Access to Capital Release No.:2015-49
Published date grouping:March 2015 Date: Headline: SEC Proposes Rule to Require Broker-Dealers Active in Off-Exchange Market to Become Members of National Securities Association Release No.:2015-48
Published date grouping:March 2015 Date: Headline: Corporate Insiders Charged for Failing to Update Disclosures Involving “Going Private” Transactions Release No.:2015-47
Published date grouping:March 2015 Date: Headline: SEC Charges Texas-Based Brokerage Firm With Violating Supervisory and Customer Protection Rules Release No.:2015-46
Published date grouping:March 2015 Date: Headline: Former Company Officer Earns Half-Million Dollar Whistleblower Award for Reporting Fraud Case to SEC Release No.:2015-45
Published date grouping:March 2015 Date: Headline: SEC Suspends Trading in 128 Dormant Shell Companies to Put Them Out of Reach of Microcap Fraudsters Release No.:2015-44
Published date grouping:February 2015 Date: Headline: SEC Halts Ponzi-Like Scheme by Purported Venture Capital Fund Manager in Buffalo Release No.:2015-43
Published date grouping:February 2015 Date: Headline: Fee Rate Advisory #4 for Fiscal Year 2015 Release No.:2015-42
Published date grouping:February 2015 Date: Headline: SEC Announces Agenda for March 4 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2015-41
Published date grouping:February 2015 Date: Headline: Readout of SEC Chair Mary Jo White’s Meeting with European Union Financial Services Commissioner Jonathan Hill Release No.:2015-40
Published date grouping:February 2015 Date: Headline: SEC Salt Lake Office Director Karen Martinez to Retire From Public Service Release No.:2015-39
Published date grouping:February 2015 Date: Headline: SEC Charges Goodyear With FCPA Violations Release No.:2015-38
Published date grouping:February 2015 Date: Headline: SEC Charges Brothers-in-Law in Louisiana With Insider Trading Release No.:2015-37
Published date grouping:February 2015 Date: Headline: SEC Charges New York-Based Brokerage Firm and CEO With Committing Fraud During CDO Liquidation Auctions Release No.:2015-36
Published date grouping:February 2015 Date: Headline: SEC Halts Colorado-Based Pyramid Scheme Release No.:2015-35
Published date grouping:February 2015 Date: Headline: SEC Announces Fraud Charges Against Purported Hedge Fund Manager Release No.:2015-34
Published date grouping:February 2015 Date: Headline: Pamela C. Dyson Named SEC Chief Information Officer Release No.:2015-33
Published date grouping:February 2015 Date: Headline: SEC Announces Agenda, Panelists for Proxy Voting Roundtable Release No.:2015-32
Published date grouping:February 2015 Date: Headline: SEC Charges Mutual Fund Adviser in Connection With Improper Handling of Fund Assets Release No.:2015-31
Published date grouping:February 2015 Date: Headline: Heather Seidel Named Chief Counsel in SEC’s Division of Trading and Markets Release No.:2015-30
Published date grouping:February 2015 Date: Headline: SEC Announces Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender Offer Release No.:2015-29
Published date grouping:February 2015 Date: Headline: SEC Announces Half-Million Dollar Clawback from CFOs of Silicon Valley Company That Committed Accounting Fraud Release No.:2015-28
Published date grouping:February 2015 Date: Headline: SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme Release No.:2015-27
Published date grouping:February 2015 Date: Headline: SEC Proposes Rules for Hedging Disclosure Release No.:2015-26
Published date grouping:February 2015 Date: Headline: SEC Imposes Sanctions Against China-Based Members of Big Four Accounting Networks for Refusing to Produce Documents Release No.:2015-25
Published date grouping:February 2015 Date: Headline: SEC Charges Chicago-Area Alternative Energy Company for Accounting and Disclosure Violations Release No.:2015-24
Published date grouping:February 2015 Date: Headline: SEC Charges Four in California Insider Trading Ring Release No.:2015-23
Published date grouping:February 2015 Date: Headline: SEC Approves 2015 PCAOB Budget and Accounting Support Fee Release No.:2015-22
Published date grouping:February 2015 Date: Headline: SEC Names David Grim as Acting Director of the Division of Investment Management Release No.:2015-21
Published date grouping:February 2015 Date: Headline: SEC Alerts Investors, Industry on Cybersecurity Release No.:2015-20
Published date grouping:January 2015 Date: Headline: SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting Release No.:2015-19
Published date grouping:January 2015 Date: Headline: SEC Charges Stock-Based Lender With Selling Billions of Penny Stock Shares as Unregistered Broker-Dealer Release No.:2015-18
Published date grouping:January 2015 Date: Headline: Robert E. Rice, Chief Counsel to SEC Chair, to Leave SEC Release No.:2015-17
Published date grouping:January 2015 Date: Headline: SEC Names Erin Schneider as Associate Regional Director in San Francisco Office Release No.:2015-16
Published date grouping:January 2015 Date: Headline: SEC to Hold Roundtable on Proxy Voting Release No.:2015-15
Published date grouping:January 2015 Date: Headline: SEC Charges Oppenheimer With Securities Law Violations Related to Improper Penny Stock Sales Release No.:2015-14
Published date grouping:January 2015 Date: Headline: SEC Charges Former Executive at Tampa-Based Engineering Firm With FCPA Violations Release No.:2015-13
Published date grouping:January 2015 Date: Headline: SEC Charges Investment Adviser and Manager in South Florida-Based Fraud Release No.:2015-12
Published date grouping:January 2015 Date: Headline: Investment Management Director Norm Champ to Leave SEC Release No.:2015-11
Published date grouping:January 2015 Date: Headline: SEC Announces Charges Against Standard & Poor’s for Fraudulent Ratings Misconduct Release No.:2015-10
Published date grouping:January 2015 Date: Headline: SEC Announces Charges Against Attorneys and Auditors in Microcap Scheme Involving Purported Mining Companies Release No.:2015-9
Published date grouping:January 2015 Date: Headline: Fee Rate Advisory #3 for Fiscal Year 2015 Release No.:2015-8
Published date grouping:January 2015 Date: Headline: SEC Charges UBS Subsidiary With Disclosure Violations and Other Regulatory Failures in Operating Dark Pool Release No.:2015-7
Published date grouping:January 2015 Date: Headline: SEC Adopts Rules to Increase Transparency in Security-Based Swap Market Release No.:2015-6
Published date grouping:January 2015 Date: Headline: SEC Announces Members of New Equity Market Structure Advisory Committee Release No.:2015-5
Published date grouping:January 2015 Date: Headline: SEC Charges Canadian Man With Conducting Fraudulent Trading Scheme Release No.:2015-4
Published date grouping:January 2015 Date: Headline: SEC Announces 2015 Examination Priorities Release No.:2015-3
Published date grouping:January 2015 Date: Headline: SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types Release No.:2015-2
Published date grouping:January 2015 Date: Headline: SEC Names Walter Jospin as Regional Director of Atlanta Office Release No.:2015-1
Published date grouping:December 2014 Date: Headline: SEC Announces Program to Facilitate Analysis of Corporate Financial Data Release No.:2014-295
Published date grouping:December 2014 Date: Headline: SEC Announces Charges Against N.Y.-Based Firm and Three Executives Accused of Siphoning Investor Money Release No.:2014-294
Published date grouping:December 2014 Date: Headline: SEC Issues Annual Staff Reports on Credit Rating Agencies Release No.:2014-293
Published date grouping:December 2014 Date: Headline: SEC Charges California-Based Stock Promoter With Defrauding Investors Seeking Pre-IPO Facebook and Twitter Shares Release No.:2014-292
Published date grouping:December 2014 Date: Headline: SEC Charges Two Traders in Chile With Insider Trading Release No.:2014-291
Published date grouping:December 2014 Date: Headline: SEC Charges Corporate Attorney and Wife With Insider Trading on Client’s Confidential Information Release No.:2014-290
Published date grouping:December 2014 Date: Headline: SEC Charges Investment Manager F-Squared and Former CEO With Making False Performance Claims Release No.:2014-289
Published date grouping:December 2014 Date: Headline: SEC Proposes Amendments to Implement JOBS Act Mandate for Exchange Act Registration Requirements Release No.:2014-288
Published date grouping:December 2014 Date: Headline: SEC Charges Staten Island-Based Firm With Operating Boiler Room Scheme Targeting Seniors Release No.:2014-287
Published date grouping:December 2014 Date: Headline: SEC Names Deputy Directors in the Division of Trading and Markets Release No.:2014-286
Published date grouping:December 2014 Date: Headline: SEC Charges Avon With FCPA Violations Release No.:2014-285
Published date grouping:December 2014 Date: Headline: SEC Imposes Sanctions Against Hong Kong-Based Firm and Two Accountants for Audit Failures Release No.:2014-284
Published date grouping:December 2014 Date: Headline: SEC Announces Charges in Alleged Gold Mining Investment Scheme Release No.:2014-283
Published date grouping:December 2014 Date: Headline: SEC Announces Charges Against Owner of Equity Research Firm Accused of Manipulative Trading Release No.:2014-282
Published date grouping:December 2014 Date: Headline: SEC Charges New Orleans-Based Energy Company and Executives With Fraudulent Stock Manipulation Release No.:2014-281
Published date grouping:December 2014 Date: Headline: SEC Charges Massachusetts-Based Scientific Instruments Manufacturer with FCPA Violations Release No.:2014-280
Published date grouping:December 2014 Date: Headline: SEC Charges Manhattan-Based Attorney With Conducting Ponzi Scheme Release No.:2014-279
Published date grouping:December 2014 Date: Headline: SEC Files Securities Fraud Charges Against Owner of Home Restoration Business in Upstate New York Release No.:2014-278
Published date grouping:December 2014 Date: Headline: SEC Announces Agenda for Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2014-277
Published date grouping:December 2014 Date: Headline: SEC Names Karol Pollock to Lead Exam Program in Los Angeles Office Release No.:2014-276
Published date grouping:December 2014 Date: Headline: SEC Announces Fraud Charges Against Buffalo-Based Firm and Co-Owners Accused of Misleading Investors in Hedge Fund Release No.:2014-275
Published date grouping:December 2014 Date: Headline: SEC Penalizes Morgan Stanley for Violating Market Access Rule Release No.:2014-274
Published date grouping:December 2014 Date: Headline: SEC Sanctions Operator of Bitcoin-Related Stock Exchange for Registration Violations Release No.:2014-273
Published date grouping:December 2014 Date: Headline: SEC Sanctions Eight Audit Firms for Violating Auditor Independence Rules Release No.:2014-272
Published date grouping:December 2014 Date: Headline: SEC Charges Virginia Beach-Based Bank Holding Company With Accounting Violations Release No.:2014-271
Published date grouping:December 2014 Date: Headline: SEC Charges Montana Man in Pump-and-Dump Scheme Involving Virginia-Based Penny Stock Company Release No.:2014-270
Published date grouping:December 2014 Date: Headline: SEC Announces Fraud Charges Against Two Executives in Scheme Involving Fake Occupants at Senior Residences Release No.:2014-269
Published date grouping:December 2014 Date: Headline: SEC Charges California Resident With Fraudulent Sales of Stock Release No.:2014-268
Published date grouping:November 2014 Date: Headline: SEC Names Kevin Kelcourse as Associate Director for Exam Program in Boston Release No.:2014-267
Published date grouping:November 2014 Date: Headline: SEC Charges HSBC’s Swiss Private Banking Unit With Providing Unregistered Services to U.S. Clients Release No.:2014-266
Published date grouping:November 2014 Date: Headline: SEC Charges Penny Stock Company Executives in New Jersey With Issuing False Press Releases to Inflate Stock Price Release No.:2014-265
Published date grouping:November 2014 Date: Headline: SEC Charges CEO and Close Friend With Insider Trading Ahead of Company Sale Release No.:2014-264
Published date grouping:November 2014 Date: Headline: Wedbush Securities and Two Officials Agree to Settle SEC Case Release No.:2014-263
Published date grouping:November 2014 Date: Headline: SEC Suspends Trading in Companies Touting Operations Related to Prevention or Treatment of Ebola Release No.:2014-262
Published date grouping:November 2014 Date: Headline: SEC Announces Next Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2014-261
Published date grouping:November 2014 Date: Headline: SEC Adopts Rules to Improve Systems Compliance and Integrity Release No.:2014-260
Published date grouping:November 2014 Date: Headline: SEC Charges Unregistered Broker in Tampa Area With Stealing From Investors in Fraudulent Day Trading Scheme Release No.:2014-259
Published date grouping:November 2014 Date: Headline: SEC Staff Releases Accounting Bulletin to Update Guidance on Pushdown Accounting Release No.:2014-258
Published date grouping:November 2014 Date: Headline: SEC Sanctions Two Former Defense Contractor Employees for FCPA Violations Release No.:2014-257
Published date grouping:November 2014 Date: Headline: SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes Release No.:2014-256
Published date grouping:November 2014 Date: Headline: SEC Charges San Francisco-Based Penny Stock Company CEO for Defrauding Investors in Pump-and-Dump Scheme Release No.:2014-255
Published date grouping:November 2014 Date: Headline: SEC Charges Business Owner and Stockbroker in Maryland-Based Offering Fraud Release No.:2014-254
Published date grouping:November 2014 Date: Headline: SEC Announces Agenda and Panelists for Small Business Forum Release No.:2014-253
Published date grouping:November 2014 Date: Headline: SEC and SBA to Host Event on Small Business Capital Raising Prior to Small Business Forum Release No.:2014-252
Published date grouping:November 2014 Date: Headline: SEC Announces Charges Against India-Based Operators of High-Yield Investment Scheme Using Social Media Release No.:2014-251
Published date grouping:November 2014 Date: Headline: SEC Charges California Lawyer and Two Massachusetts Men Behind Scheme to Manipulate Stock of Sports Ticket Broker Release No.:2014-250
Published date grouping:November 2014 Date: Headline: SEC Charges Allen Park, Mich. and Two Former City Leaders in Fraudulent Muni Bond Offering for Movie Studio Project Release No.:2014-249
Published date grouping:November 2014 Date: Headline: SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution Release No.:2014-248
Published date grouping:November 2014 Date: Headline: SEC Charges Two Canadian Citizens With Penny Stock Fraud Involving Tennessee Coal Mining Company Release No.:2014-247
Published date grouping:November 2014 Date: Headline: SEC Sanctions 13 Firms for Improper Sales of Puerto Rico Junk Bonds Release No.:2014-246
Published date grouping:November 2014 Date: Headline: SEC Charges California-Based Bio-Rad Laboratories With FCPA Violations Release No.:2014-245
Published date grouping:October 2014 Date: Headline: SEC Announces Fraud Charges Against New York Businessman Release No.:2014-244
Published date grouping:October 2014 Date: Headline: SEC and FINRA Warn Investors About Penny Stock Scams Hyping Dormant Shell Companies Release No.:2014-243
Published date grouping:October 2014 Date: Headline: SEC Announces Charges Against Investment Advisory Firm and Top Officials for Custody Rule Violations Release No.:2014-242
Published date grouping:October 2014 Date: Headline: Steven Levine Named Associate Director for Investment Adviser/Investment Company Exam Program in Chicago Release No.:2014-241
Published date grouping:October 2014 Date: Headline: SEC Charges Texas-Based Layne Christensen Company With FCPA Violations Release No.:2014-240
Published date grouping:October 2014 Date: Headline: SEC Sanctions Florida-Based Auditor for Circumventing Rules Release No.:2014-239
Published date grouping:October 2014 Date: Headline: SEC Charges New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies Release No.:2014-238
Published date grouping:October 2014 Date: Headline: Rengan Rajaratnam Agrees to Settle Insider Trading Charges Release No.:2014-237
Published date grouping:October 2014 Date: Headline: Six Federal Agencies Jointly Approve Final Risk Retention Rule Release No.:2014-236
Published date grouping:October 2014 Date: Headline: Office of Municipal Securities Director John Cross to Leave SEC Release No.:2014-235
Published date grouping:October 2014 Date: Headline: SEC Names Marc Wyatt as Deputy Director of National Exam Program Release No.:2014-234
Published date grouping:October 2014 Date: Headline: Availability of Staff Analysis on Reporting and Dissemination of Security-Based Swap Information Release No.:2014-233
Published date grouping:October 2014 Date: Headline: SEC Charges Staten Island Man With Conducting Fraudulent Offerings and Stealing Investor Funds Release No.:2014-232
Published date grouping:October 2014 Date: Headline: SEC Announces Date for Annual Government-Business Forum on Small Business Capital Formation Release No.:2014-231
Published date grouping:October 2014 Date: Headline: SEC’s FY 2014 Enforcement Actions Span Securities Industry and Include First-Ever Cases Release No.:2014-230
Published date grouping:October 2014 Date: Headline: SEC Charges New York-Based High Frequency Trading Firm With Fraudulent Trading to Manipulate Closing Prices Release No.:2014-229
Published date grouping:October 2014 Date: Headline: SEC Announces Enforcement Action Against Former Wells Fargo Advisors Compliance Officer for Altering Document Release No.:2014-228
Published date grouping:October 2014 Date: Headline: SEC Announces Insider Trading Charges Against Former Financial Analyst at Pharmaceutical Company Release No.:2014-227
Published date grouping:October 2014 Date: Headline: SEC Staff Issue Risk Alert and FAQs on Customer Sales of Securities Release No.:2014-226
Published date grouping:October 2014 Date: Headline: SEC Charges Current and Former E*TRADE Subsidiaries With Improperly Selling Penny Stocks Through Unregistered Offerings Release No.:2014-225
Published date grouping:October 2014 Date: Headline: SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors Release No.:2014-224
Published date grouping:September 2014 Date: Headline: Fee Rate Advisory #2 for Fiscal Year 2015 Release No.:2014-223
Published date grouping:September 2014 Date: Headline: SEC Charges Two with Insider Trading on Pershing Square’s Announcement on Herbalife Release No.:2014-222
Published date grouping:September 2014 Date: Headline: Two Former Wells Fargo Employees Charged With Insider Trading in Advance of Research Reports Containing Ratings Changes Release No.:2014-221
Published date grouping:September 2014 Date: Headline: SEC Charges Bank of America With Securities Laws Violations in Connection With Regulatory Capital Overstatements Release No.:2014-220
Published date grouping:September 2014 Date: Headline: SEC Charges Two Florida Men With Defrauding Investors in Purported Television Network Release No.:2014-219
Published date grouping:September 2014 Date: Headline: SEC Charges Four Insurance Agents in Securities Fraud Targeting Elderly Investors Release No.:2014-218
Published date grouping:September 2014 Date: Headline: SEC Announces Cases Targeting International Pyramid Scheme Operators Release No.:2014-217
Published date grouping:September 2014 Date: Headline: SEC Charges Arizona-Based Software Company for Inadequate Internal Accounting Controls Over Its Financial Reporting Release No.:2014-216
Published date grouping:September 2014 Date: Headline: SEC Suspends Trading in Nine Penny Stocks in Ongoing Initiative to Combat Microcap Fraud Release No.:2014-215
Published date grouping:September 2014 Date: Headline: SEC Charges Software Company in Silicon Valley and Two Former Executives Behind Fraudulent Accounting Scheme Release No.:2014-214
Published date grouping:September 2014 Date: Headline: SEC Charges Two Florida-Based Attorneys for Roles in Offering Fraud by Transfer Agent Release No.:2014-213
Published date grouping:September 2014 Date: Headline: SEC Charges Purported Health Food Company and CEO with Issuing False Press Releases in Microcap Fraud Release No.:2014-212
Published date grouping:September 2014 Date: Headline: SEC Charges Barclays Capital with Systemic Compliance Failures After Acquiring Lehman’s Advisory Business Release No.:2014-211
Published date grouping:September 2014 Date: Headline: SEC Names Liban Jama as Director of Atlanta Regional Office Release No.:2014-210
Published date grouping:September 2014 Date: Headline: Rhea Dignam Named as Senior Counsel To OCIE Director Release No.:2014-209
Published date grouping:September 2014 Date: Headline: SEC Announces Arrival of New Administrative Law Judge Release No.:2014-208
Published date grouping:September 2014 Date: Headline: Wells Fargo Advisors Admits Failing to Maintain Controls and Producing Altered Document, Agrees to Pay $5 Million Penalty Release No.:2014-207
Published date grouping:September 2014 Date: Headline: SEC Announces Largest-Ever Whistleblower Award Release No.:2014-206
Published date grouping:September 2014 Date: Headline: SEC Charges New York-Based Private Equity Fund Adviser With Misallocation Of Portfolio Company Expenses Release No.:2014-205
Published date grouping:September 2014 Date: Headline: SEC Charges Brooklyn Man for Facilitating Insider Trading Scheme Via Post-It Notes at Grand Central Terminal Release No.:2014-204
Published date grouping:September 2014 Date: Headline: Jim Burns, Deputy Director of Trading and Markets, to Leave SEC Release No.:2014-203
Published date grouping:September 2014 Date: Headline: SEC Charges Eight for Roles in Widespread Pump-and-Dump Scheme Involving California-Based Microcap Company Release No.:2014-202
Published date grouping:September 2014 Date: Headline: SEC Charges Tacoma, Wash.-Area Firm for Undisclosed Principal Transactions and Misleading Performance Advertisements Release No.:2014-201
Published date grouping:September 2014 Date: Headline: Former Hedge Fund Manager in Bay Area Charged With Taking Excess Management Fees to Make Lavish Purchases Release No.:2014-200
Published date grouping:September 2014 Date: Headline: SEC Charges N.Y.-Based High Frequency Trading Firm With Violating Net Capital Rule For Broker-Dealers Release No.:2014-199
Published date grouping:September 2014 Date: Headline: SEC Obtains Asset Freeze Against Company in Turks and Caicos Islands Behind South Florida-Based Ponzi Scheme Release No.:2014-198
Published date grouping:September 2014 Date: Headline: SEC Charges IT Employee at Law Firm With Insider Trading Ahead of Merger Announcements Release No.:2014-197
Published date grouping:September 2014 Date: Headline: SEC and SBA to Partner on Events on Small Business Capital Raising Under the Jumpstart Our Business Startups (JOBS) Act Release No.:2014-196
Published date grouping:September 2014 Date: Headline: SEC Sanctions 19 Firms and Individual Trader for Short Selling Violations in Advance of Stock Offerings Release No.:2014-195
Published date grouping:September 2014 Date: Headline: Tennessee-Based Animal Feed Company Agrees to Pay $18 Million to Settle Accounting Fraud Case Release No.:2014-194
Published date grouping:September 2014 Date: Headline: SEC Announces Creation of New Office Within its Division of Economic and Risk Analysis Release No.:2014-193
Published date grouping:September 2014 Date: Headline: SEC Charges Bank Holding Company in Delaware with Improper Accounting and Disclosure of Past Due Loans Release No.:2014-192
Published date grouping:September 2014 Date: Headline: SEC Announces Fraud Charges Against Biotech Company and Former Executive Who Failed to Report Insider Stock Sales Release No.:2014-191
Published date grouping:September 2014 Date: Headline: SEC Announces Charges Against Corporate Insiders for Violating Laws Requiring Prompt Reporting of Transactions and Holdings Release No.:2014-190
Published date grouping:September 2014 Date: Headline: SEC Charges Offshore Business and Two Individuals Behind Scheme to Conceal Ownership of Microcap Stocks Release No.:2014-189
Published date grouping:September 2014 Date: Headline: SEC Names Victor Valdez As Enforcement Division’s Chief Operating Officer Release No.:2014-188
Published date grouping:September 2014 Date: Headline: SEC Charges Minneapolis-Based Hedge Fund Manager With Bilking Investors and Portfolio Pumping Release No.:2014-187
Published date grouping:September 2014 Date: Headline: Tracey L. McNeil Named as SEC’s First Ombudsman Release No.:2014-186
Published date grouping:September 2014 Date: Headline: SEC Names Brent J. Fields to Lead Office of the Secretary Release No.:2014-185
Published date grouping:September 2014 Date: Headline: SEC Charges L.A.-Based Immigration Attorneys With Defrauding Investors Seeking U.S. Residency Release No.:2014-184
Published date grouping:September 2014 Date: Headline: Houston-Based Investment Advisory Firm and Co-Owners Charged With Failing to Disclose Conflict of Interest to Clients Release No.:2014-183
Published date grouping:August 2014 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2015 Release No.:2014-182
Published date grouping:August 2014 Date: Headline: Martin Murphy, Examinations Director in SEC’s Los Angeles Office, to Retire After 36 Years of Public Service Release No.:2014-181
Published date grouping:August 2014 Date: Headline: SEC Announces $300,000 Whistleblower Award to Audit and Compliance Professional Who Reported Company’s Wrongdoing Release No.:2014-180
Published date grouping:August 2014 Date: Headline: SEC Charges Two Information Technology Executives With Mischaracterizing Resale Transactions to Increase Revenue Release No.:2014-179
Published date grouping:August 2014 Date: Headline: SEC Adopts Credit Rating Agency Reform Rules Release No.:2014-178
Published date grouping:August 2014 Date: Headline: SEC Adopts Asset-Backed Securities Reform Rules Release No.:2014-177
Published date grouping:August 2014 Date: Headline: SEC Announces Pilot Plan to Assess Stock Market Tick Size Impact for Smaller Companies Release No.:2014-176
Published date grouping:August 2014 Date: Headline: SEC Charges Investor Relations Firm Executive With Insider Trading Ahead of News Announcements By Clients Release No.:2014-175
Published date grouping:August 2014 Date: Headline: SEC Names James Schnurr As Chief Accountant Release No.:2014-174
Published date grouping:August 2014 Date: Headline: California-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme Release No.:2014-173
Published date grouping:August 2014 Date: Headline: Bank of America Admits Disclosure Failures to Settle SEC Charges Release No.:2014-172
Published date grouping:August 2014 Date: Headline: Chief Information Officer Thomas Bayer to Leave SEC Release No.:2014-171
Published date grouping:August 2014 Date: Headline: SEC Announces Municipal Advisor Exam Initiative Release No.:2014-170
Published date grouping:August 2014 Date: Headline: SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition Release No.:2014-169
Published date grouping:August 2014 Date: Headline: SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking Release No.:2014-168
Published date grouping:August 2014 Date: Headline: SEC Charges N.Y.-Based Brokerage Firm With Overcharging Customers in $18 Million Scheme Release No.:2014-167
Published date grouping:August 2014 Date: Headline: SEC Charges Atlanta-Based Accountant With Insider Trading on Confidential Information From Client Release No.:2014-166
Published date grouping:August 2014 Date: Headline: Robert Keyes, Senior Officer in New York Regional Office, to Retire After Nearly 22 Years of Federal Service Release No.:2014-165
Published date grouping:August 2014 Date: Headline: SEC Charges Kansas for Understating Municipal Bond Exposure to Unfunded Pension Liability Release No.:2014-164
Published date grouping:August 2014 Date: Headline: SEC Charges Bahamas-Based Brokerage Firm and President With Facilitating Fraudulent Scheme by Hedge Fund Manager Release No.:2014-163
Published date grouping:August 2014 Date: Headline: SEC Announces Charges Against N.Y.-Based Brokerage Firm and Founder Despite Attempts to Mislead Examiners Release No.:2014-162
Published date grouping:August 2014 Date: Headline: SEC Names Thomas M. Piccone to Lead National Exam Program in Denver Office Release No.:2014-161
Published date grouping:August 2014 Date: Headline: SEC Charges Former CEO of ConvergEx Subsidiary in Scheme to Deceive Customers About Trading Fees Release No.:2014-160
Published date grouping:August 2014 Date: Headline: SEC Charges Four Promoters with Manipulating Marijuana-Related Stocks and Other Microcap Companies Release No.:2014-159
Published date grouping:August 2014 Date: Headline: SEC Announces Oil-and-Gas Fraud Charges Against Houston-Based Company and CEO Release No.:2014-158
Published date grouping:August 2014 Date: Headline: SEC Obtains Nearly $70 Million Judgment Against Richmond, Va.-Based Firms and CEO Found Liable for Defrauding Investors Release No.:2014-157
Published date grouping:July 2014 Date: Headline: SEC Enforcement Division Modifies Municipalities Disclosure Initiative Release No.:2014-156
Published date grouping:July 2014 Date: Headline: SEC Charges Virginia-Based Broker With Stealing Funds From Elderly Customers Release No.:2014-155
Published date grouping:July 2014 Date: Headline: SEC Announces Award for Whistleblower Who Reported Fraud to SEC After Company Failed to Address Issue Internally Release No.:2014-154
Published date grouping:July 2014 Date: Headline: Architect of Variable Annuities Scheme Agrees to Pay $850,000, Admit Wrongdoing, and Be Barred From Securities Industry Release No.:2014-153
Published date grouping:July 2014 Date: Headline: SEC Charges Company CEO and Former CFO With Hiding Internal Controls Deficiencies and Violating Sarbanes-Oxley Requirements Release No.:2014-152
Published date grouping:July 2014 Date: Headline: SEC Names Alberto Arevalo as Associate Director in the Office of International Affairs Release No.:2014-151
Published date grouping:July 2014 Date: Headline: SEC Announces Charges in “Solar Farm” Penny Stock Scheme Release No.:2014-150
Published date grouping:July 2014 Date: Headline: Harbinger’s Former Chief Operating Officer Agrees to Settle Charges for Assisting Hedge Fund Scheme Release No.:2014-149
Published date grouping:July 2014 Date: Headline: SEC Charges Smith & Wesson With FCPA Violations Release No.:2014-148
Published date grouping:July 2014 Date: Headline: Citigroup Business Unit Charged With Failing to Protect Confidential Subscriber Data While Operating Alternative Trading System Release No.:2014-147
Published date grouping:July 2014 Date: Headline: SEC Charges Florida-Based Transfer Agent and Owner with Defrauding Investors Release No.:2014-146
Published date grouping:July 2014 Date: Headline: SEC Announces Additional Charges in Football-Related Boiler Room Scheme Release No.:2014-145
Published date grouping:July 2014 Date: Headline: Morgan Stanley to Pay $275 Million for Misleading Investors in Subprime RMBS Offerings Release No.:2014-144
Published date grouping:July 2014 Date: Headline: SEC Adopts Money Market Fund Reform Rules Release No.:2014-143
Published date grouping:July 2014 Date: Headline: SEC Charges Investor Relations Executive With Insider Trading While Preparing Clients’ Press Releases Release No.:2014-142
Published date grouping:July 2014 Date: Headline: Mark J. Flannery Named SEC Chief Economist and Director of Economic and Risk Analysis Division Release No.:2014-141
Published date grouping:July 2014 Date: Headline: SEC Charges Penny Stock Company CEO and Purported Business Partner for Defrauding Investors With False Press Releases Release No.:2014-140
Published date grouping:July 2014 Date: Headline: SEC Charges Self-Described Bankers, Dishonest Brokers, and Microcap Company Executive in Pump-And-Dump Scheme Release No.:2014-139
Published date grouping:July 2014 Date: Headline: SEC Charges Seattle Firm and Owner With Misusing Client Assets for Vacation Home and Vintage Automobile Release No.:2014-138
Published date grouping:July 2014 Date: Headline: SEC Announces Charges in Scheme to Secretly Enable Lawbreakers to Run Microcap Company Release No.:2014-137
Published date grouping:July 2014 Date: Headline: SEC Charges Ernst & Young With Violating Auditor Independence Rules in Lobbying Activities Release No.:2014-136
Published date grouping:July 2014 Date: Headline: SEC, Massachusetts U.S. Attorney, and FBI Charge Five with Attempted Manipulation of Microcap Company Release No.:2014-135
Published date grouping:July 2014 Date: Headline: SEC Charges Group of Amateur Golfers in Insider Trading Ring Release No.:2014-134
Published date grouping:July 2014 Date: Headline: SEC Charges California School District with Misleading Investors Release No.:2014-133
Published date grouping:July 2014 Date: Headline: SEC Names Thomas J. Krysa as Associate Regional Director in Denver Office Release No.:2014-132
Published date grouping:July 2014 Date: Headline: SEC Charges Five Traders with Short Selling Violations Release No.:2014-131
Published date grouping:July 2014 Date: Headline: James McNamara Named as Deputy Chief Human Capital Officer in the Office of Human Resources Release No.:2014-130
Published date grouping:June 2014 Date: Headline: SEC Announces New Hires in the Office of Administrative Law Judges Release No.:2014-129
Published date grouping:June 2014 Date: Headline: Enforcement Division’s Chief Operating Officer Adam Storch to Leave SEC Release No.:2014-128
Published date grouping:June 2014 Date: Headline: Geoffrey Aronow, Chief Counsel, Office of International Affairs, to Leave SEC Release No.:2014-127
Published date grouping:June 2014 Date: Headline: SEC Announces Order for Tick Size Pilot Plan Release No.:2014-126
Published date grouping:June 2014 Date: Headline: SEC Announces Fraud Charges Against Three Former Regions Bank Executives in Accounting Scheme Release No.:2014-125
Published date grouping:June 2014 Date: Headline: SEC Charges Former Brokers with Trading Ahead of IBM-SPSS Acquisition Release No.:2014-124
Published date grouping:June 2014 Date: Headline: SEC Adopts Cross-Border Security-Based Swap Rules Release No.:2014-123
Published date grouping:June 2014 Date: Headline: SEC Obtains Court Order to Halt Fraudulent Bond Offering by City of Harvey, Ill. Release No.:2014-122
Published date grouping:June 2014 Date: Headline: SEC Charges Hedge Fund Advisory Firm and Others in South Florida-Based Scheme to Misuse Investor Proceeds Release No.:2014-121
Published date grouping:June 2014 Date: Headline: SEC Charges Private Equity Firm With Pay-to-Play Violations Involving Political Campaign Contributions in Pennsylvania Release No.:2014-120
Published date grouping:June 2014 Date: Headline: Cicely LaMothe Named Associate Director in the Division of Corporation Finance Release No.:2014-119
Published date grouping:June 2014 Date: Headline: SEC Charges Hedge Fund Adviser With Conducting Conflicted Transactions and Retaliating Against Whistleblower Release No.:2014-118
Published date grouping:June 2014 Date: Headline: SEC Charges Four California Residents in $12 Million Insider Trading Scheme Release No.:2014-117
Published date grouping:June 2014 Date: Headline: Chicago-Area Attorney Charged After SEC Exam Spots Fraud in Real Estate Investment Offering Release No.:2014-116
Published date grouping:June 2014 Date: Headline: SEC Announces Charges Against Wedbush Securities and Two Officials for Market Access Violations Release No.:2014-115
Published date grouping:June 2014 Date: Headline: SEC Charges New York-Based Dark Pool Operator With Failing to Safeguard Confidential Trading Information Release No.:2014-114
Published date grouping:June 2014 Date: Headline: SEC Awards $875,000 to Two Whistleblowers Who Aided Agency Investigation Release No.:2014-113
Published date grouping:June 2014 Date: Headline: SEC Charges Albany, N.Y.-Based Investment Adviser With Defrauding Clients Release No.:2014-112
Published date grouping:June 2014 Date: Headline: SEC Charges Bitcoin Entrepreneur With Offering Unregistered Securities Release No.:2014-111
Published date grouping:June 2014 Date: Headline: SEC Charges Charter School Operator in Chicago With Defrauding Bond Investors Release No.:2014-110
Published date grouping:May 2014 Date: Headline: SEC Names Stephanie Avakian as Deputy Director of Enforcement Release No.:2014-109
Published date grouping:May 2014 Date: Headline: SEC Charges Chicago-Based Investment Fund Manager With Stealing Investor Money and Conducting Ponzi Scheme Release No.:2014-108
Published date grouping:May 2014 Date: Headline: SEC Obtains Asset Freeze to Halt Fraud at Illinois-Based Transfer Agent Release No.:2014-107
Published date grouping:May 2014 Date: Headline: SEC Charges Former CFO of Dallas-Based Jewelry and Collectibles Company With Accounting Fraud Release No.:2014-106
Published date grouping:May 2014 Date: Headline: SEC Announces Latest Charges in Joint Law Enforcement Effort Uncovering Penny Stock Schemes Release No.:2014-105
Published date grouping:May 2014 Date: Headline: SEC Charges Vitamin Company's Former Board Member and Brothers With Insider Trading Release No.:2014-104
Published date grouping:May 2014 Date: Headline: SEC Charges Sarasota-Based Private Fund Manager With Stealing Investor Money and Conducting Ponzi Scheme Release No.:2014-103
Published date grouping:May 2014 Date: Headline: SEC Charges Former Deloitte Chief Risk Officer for Violations of Auditor Independence Rules Release No.:2014-102
Published date grouping:May 2014 Date: Headline: SEC Announces Charges Against Four Former Officials at Clearing Firm Penson Financial Services for Regulation SHO Violations Release No.:2014-101
Published date grouping:May 2014 Date: Headline: SEC Charges Two Clinical Drug Trial Doctors With Insider Trading Release No.:2014-100
Published date grouping:May 2014 Date: Headline: SEC Warns Investors About Marijuana-Related Investments Amid Recent Trading Suspensions Release No.:2014-99
Published date grouping:May 2014 Date: Headline: SEC Charges Unregistered Securities Salesman for Selling Millions of Dollars in Oil-and-Gas Investments Release No.:2014-98
Published date grouping:May 2014 Date: Headline: SEC Charges Rafferty Capital Markets With Illegally Facilitating Trades for Unregistered Firm Release No.:2014-97
Published date grouping:May 2014 Date: Headline: Chief Accountant Paul Beswick to Leave SEC Release No.:2014-96
Published date grouping:May 2014 Date: Headline: SEC Names Gina Talamona as Communications Director Release No.:2014-95
Published date grouping:May 2014 Date: Headline: SEC Charges Three Sales Managers With Insider Trading Ahead of Major Acquisition Release No.:2014-94
Published date grouping:May 2014 Date: Headline: Three Software Company Founders to Pay $5.8 Million to Settle Charges of Insider Trading Ahead of Sale Release No.:2014-93
Published date grouping:May 2014 Date: Headline: SEC Announces Charges and Asset Freeze Against Hedge Fund Advisory Firm Distributing Falsified Performance Results Release No.:2014-92
Published date grouping:May 2014 Date: Headline: SEC Charges Toronto-Based Consultant and Four Others in Reverse Merger Schemes Involving China-Based Companies Release No.:2014-91
Published date grouping:May 2014 Date: Headline: SEC Charges Ohio-Based Investment Adviser and President for Fraudulently Hiding Account Shortfall Release No.:2014-90
Published date grouping:May 2014 Date: Headline: SEC Issues Partial Stay of Conflict Minerals Rules Release No.:2014-89
Published date grouping:May 2014 Date: Headline: Chief Economist and Division of Economic and Risk Analysis Director Craig Lewis to Leave SEC Release No.:2014-88
Published date grouping:May 2014 Date: Headline: SEC Charges NYSE, NYSE ARCA, and NYSE MKT for Repeated Failures to Operate in Accordance With Exchange Rules Release No.:2014-87
Published date grouping:April 2014 Date: Headline: SEC Charges Utah-Based Retirement Plan Administrator With Defrauding Investors Release No.:2014-86
Published date grouping:April 2014 Date: Headline: SEC Charges Six Individuals With Insider Trading in Stock of E-Commerce Company Prior to Acquisition by eBay Release No.:2014-85
Published date grouping:April 2014 Date: Headline: SEC Issues Stop Order to Prevent Northern California Company From Issuing Stock Under Amended Registration Statement Release No.:2014-84
Published date grouping:April 2014 Date: Headline: SEC Charges Former Stock Promoter With Defrauding Investors in Florida Real Estate Venture Release No.:2014-83
Published date grouping:April 2014 Date: Headline: SEC Charges Technology Company Insider in California With Tipping Confidential Information Exploited by Hedge Funds Release No.:2014-82
Published date grouping:April 2014 Date: Headline: Mauri Osheroff to Retire After Nearly 40 Years at SEC Release No.:2014-81
Published date grouping:April 2014 Date: Headline: SEC Charges a Former Biopharmaceutical Company Executive and Two Others with Insider Trading Release No.:2014-80
Published date grouping:April 2014 Date: Headline: SEC Halts Pyramid Scheme Targeting Dominican and Brazilian Immigrants Release No.:2014-79
Published date grouping:April 2014 Date: Headline: SEC Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2014-78
Published date grouping:April 2014 Date: Headline: SEC Charges Former BP Employee with Insider Trading During the Deepwater Horizon Oil Spill Release No.:2014-77
Published date grouping:April 2014 Date: Headline: SEC Charges San Diego-Based Investment Adviser Release No.:2014-76
Published date grouping:April 2014 Date: Headline: SEC Names David Gottesman as Deputy Chief Litigation Counsel Release No.:2014-75
Published date grouping:April 2014 Date: Headline: SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank Release No.:2014-74
Published date grouping:April 2014 Date: Headline: SEC Charges Hewlett-Packard With FCPA Violations Release No.:2014-73
Published date grouping:April 2014 Date: Headline: SEC Announces Charges Against Honolulu Woman Defrauding Investors Through Social Media Release No.:2014-72
Published date grouping:April 2014 Date: Headline: SEC Charges Las Vegas-Based Transfer Agent With Disclosure Failures in Registration Forms Release No.:2014-71
Published date grouping:April 2014 Date: Headline: SEC, Criminal Authorities Halt Florida-Based Ponzi Scheme Targeting Investors Through YouTube Videos Release No.:2014-70
Published date grouping:April 2014 Date: Headline: SEC Charges CVS With Misleading Investors and Committing Accounting Violations Release No.:2014-69
Published date grouping:April 2014 Date: Headline: SEC Announces Additional $150,000 Payment to Recipient of First Whistleblower Award Release No.:2014-68
Published date grouping:April 2014 Date: Headline: SEC Charges Owner of N.J.-Based Brokerage Firm With Manipulative Trading Release No.:2014-67
Published date grouping:April 2014 Date: Headline: SEC Seeks Comment on Investor Advisory Committee Recommendation Regarding Target Date Funds Release No.:2014-66
Published date grouping:April 2014 Date: Headline: SEC Charges Two Friends With Insider Trading Ahead of Impending Acquisition Release No.:2014-65
Published date grouping:April 2014 Date: Headline: SEC Charges Transamerica Financial Advisors With Improperly Calculating Advisory Fees and Overcharging Clients Release No.:2014-64
Published date grouping:April 2014 Date: Headline: Rebecca Olsen Named Chief Counsel in the Office of Municipal Securities Release No.:2014-63
Published date grouping:April 2014 Date: Headline: Jessica Kane Named Deputy Director in the Office of Municipal Securities Release No.:2014-62
Published date grouping:March 2014 Date: Headline: SEC Charges Two Men With Insider Trading on Confidential Information From Their Wives Release No.:2014-61
Published date grouping:March 2014 Date: Headline: SEC Halts Pyramid Scheme Targeting Asian and Latino Communities Release No.:2014-60
Published date grouping:March 2014 Date: Headline: SEC Announces Fraud Charges Against Coal Company and CEO for False Disclosures About Management Release No.:2014-59
Published date grouping:March 2014 Date: Headline: SEC Names Jeffrey Boujoukos as Associate Regional Director in Philadelphia Office Release No.:2014-58
Published date grouping:March 2014 Date: Headline: SEC Announces Agenda, Panelists for Cybersecurity Roundtable Release No.:2014-57
Published date grouping:March 2014 Date: Headline: Staff Analysis of Data and Academic Literature Related to Money Market Fund Reform Release No.:2014-56
Published date grouping:March 2014 Date: Headline: SEC Charges Stockbroker and Law Firm Managing Clerk in $5.6 Million Insider Trading Scheme Release No.:2014-55
Published date grouping:March 2014 Date: Headline: SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers Release No.:2014-54
Published date grouping:March 2014 Date: Headline: SEC Charges CR Intrinsic Analyst with Insider Trading Release No.:2014-53
Published date grouping:March 2014 Date: Headline: SEC Obtains Asset Freeze Against Promoter Behind Microcap Stock Scalping Scheme Release No.:2014-52
Published date grouping:March 2014 Date: Headline: SEC Charges Lions Gate With Disclosure Failures While Preventing Hostile Takeover Release No.:2014-51
Published date grouping:March 2014 Date: Headline: SEC Announces Charges Against Brokers, Adviser, and Others Involved in Variable Annuities Scheme to Profit From Terminally Ill Release No.:2014-50
Published date grouping:March 2014 Date: Headline: SEC Proposes Rules for Systemically Important and Security-Based Swap Clearing Agencies Release No.:2014-49
Published date grouping:March 2014 Date: Headline: SEC Charges Jefferies LLC With Failing to Supervise Its Mortgage-Backed Securities Desk During Financial Crisis Release No.:2014-48
Published date grouping:March 2014 Date: Headline: SEC Charges Animal Feed Company and Top Executives in China and U.S. With Accounting Fraud Release No.:2014-47
Published date grouping:March 2014 Date: Headline: SEC Launches Enforcement Cooperation Initiative for Municipal Issuers and Underwriters Release No.:2014-46
Published date grouping:March 2014 Date: Headline: SEC Charges Five Executives and Finance Professionals Behind Fraudulent Bond Offering by International Law Firm Release No.:2014-45
Published date grouping:March 2014 Date: Headline: SEC Halts International Pyramid Scheme Being Promoted Through Facebook and Twitter Release No.:2014-44
Published date grouping:March 2014 Date: Headline: SEC Announces Largest Monetary Sanction for Rule 105 Short Selling Violations Release No.:2014-43
Published date grouping:February 2014 Date: Headline: Fee Rate Advisory #4 for Fiscal Year 2014 Release No.:2014-42
Published date grouping:February 2014 Date: Headline: SEC Announces Charges Against Arizona-Based Private Equity Fund Manager in Expense Misallocation Scheme Release No.:2014-41
Published date grouping:February 2014 Date: Headline: SEC Charges Wall Street Investment Banker With Insider Trading in Former Girlfriend’s Account to Pay Child Support Release No.:2014-40
Published date grouping:February 2014 Date: Headline: Credit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients Release No.:2014-39
Published date grouping:February 2014 Date: Headline: Division of Trading And Markets Acting Director John Ramsay to Leave SEC Release No.:2014-38
Published date grouping:February 2014 Date: Headline: Stephen Luparello Named as Director of SEC’s Division of Trading and Markets Release No.:2014-37
Published date grouping:February 2014 Date: Headline: SEC Charges Three California Residents Behind Movie Investment Scam Release No.:2014-36
Published date grouping:February 2014 Date: Headline: SEC Announces Initiative Directed at Never-Before Examined Registered Investment Advisers Release No.:2014-35
Published date grouping:February 2014 Date: Headline: SEC Names Sharon Binger as Director of Philadelphia Regional Office Release No.:2014-34
Published date grouping:February 2014 Date: Headline: Elizabeth Murphy Named as Associate Director in the Division of Corporation Finance Release No.:2014-33
Published date grouping:February 2014 Date: Headline: SEC to Hold Cybersecurity Roundtable Release No.:2014-32
Published date grouping:February 2014 Date: Headline: SEC Approves 2014 PCAOB Budget and Accounting Support Fee Release No.:2014-31
Published date grouping:February 2014 Date: Headline: Fee Rate Advisory #3 for Fiscal Year 2014 Release No.:2014-30
Published date grouping:February 2014 Date: Headline: David Fredrickson Named Chief Counsel in the Division of Corporation Finance Release No.:2014-29
Published date grouping:February 2014 Date: Headline: Paul A. Leder Named as Director of SEC’s Office Of International Affairs Release No.:2014-28
Published date grouping:February 2014 Date: Headline: SEC Names Rick Fleming as Investor Advocate Release No.:2014-27
Published date grouping:February 2014 Date: Headline: Two Hong Kong-Based Firms to Pay $11 Million for Insider Trading Ahead of Nexen Acquisition by Company in China Release No.:2014-26
Published date grouping:February 2014 Date: Headline: SEC Names Michael Maloney As New Chief Accountant in Enforcement Division Release No.:2014-25
Published date grouping:February 2014 Date: Headline: SEC Announces Fraud Charges Against Two Wall Street Traders Involved in Parking Scheme Release No.:2014-24
Published date grouping:February 2014 Date: Headline: SEC Publishes Draft Strategic Plan For Public Comment Release No.:2014-23
Published date grouping:February 2014 Date: Headline: SEC Seeks Stop Orders Against 20 Purported Mining Companies With Misleading Registration Statements Release No.:2014-22
Published date grouping:February 2014 Date: Headline: SEC Continues Microcap Fraud Crackdown, Proactively Suspends Trading in 255 Dormant Shell Companies Release No.:2014-21
Published date grouping:January 2014 Date: Headline: SEC Charges Two College Professors in Naked Short Selling Scheme Release No.:2014-20
Published date grouping:January 2014 Date: Headline: SEC Charges Manhattan-Based Private Equity Manager With Stealing $9 Million in Investor Funds Release No.:2014-19
Published date grouping:January 2014 Date: Headline: SEC Charges N.Y.-Based Money Manager and Firm for Misleading Advertisements Release No.:2014-18
Published date grouping:January 2014 Date: Headline: Scottrade Agrees to Pay $2.5 Million and Admits Providing Flawed “Blue Sheet” Trading Data Release No.:2014-17
Published date grouping:January 2014 Date: Headline: SEC Charges Chicago-Based Accountant With Insider Trading in Wife’s Account Release No.:2014-16
Published date grouping:January 2014 Date: Headline: Barbara Lorenzen Named to Senior Position in National Exam Program Release No.:2014-15
Published date grouping:January 2014 Date: Headline: SEC Issues Risk Alert on Investment Advisers’ Due Diligence Processes for Selecting Alternative Investments Release No.:2014-14
Published date grouping:January 2014 Date: Headline: SEC Charges Legg Mason Affiliate With Defrauding Clients Release No.:2014-13
Published date grouping:January 2014 Date: Headline: SEC Charges KPMG With Violating Auditor Independence Rules Release No.:2014-12
Published date grouping:January 2014 Date: Headline: Former Oppenheimer Fund Manager Agrees to Settle Fraud Charges Release No.:2014-11
Published date grouping:January 2014 Date: Headline: SEC Obtains Settlements in Penny Stock “Shell Packaging” Case Release No.:2014-10
Published date grouping:January 2014 Date: Headline: Agencies Approve Interim Final Rule Authorizing Retention of Interests in and Sponsorship of Collateralized Debt Obligations Backed Primarily by Bank-Issued Trust Preferred Securities Release No.:2014-9
Published date grouping:January 2014 Date: Headline: SEC Announces New Date for Compliance with Final Municipal Advisor Registration Rules Release No.:2014-8
Published date grouping:January 2014 Date: Headline: Interpretive Guidance on Municipal Advisor Registration Rules Release No.:2014-7
Published date grouping:January 2014 Date: Headline: Myron Marlin, Director of Communications, to Leave SEC Release No.:2014-6
Published date grouping:January 2014 Date: Headline: SEC Announces 2014 Examination Priorities Release No.:2014-5
Published date grouping:January 2014 Date: Headline: SEC Charges Diamond Foods and Two Former Executives Following Accounting Scheme to Boost Earnings Growth Release No.:2014-4
Published date grouping:January 2014 Date: Headline: SEC Charges Alcoa With FCPA Violations Release No.:2014-3
Published date grouping:January 2014 Date: Headline: SEC Names Michael Osnato as Chief of Enforcement Division’s Complex Financial Instruments Unit Release No.:2014-2
Published date grouping:January 2014 Date: Headline: Enforcement Co-Director George Canellos to Leave SEC Release No.:2014-1
Published date grouping:December 2013 Date: Headline: Agencies Reviewing Treatment of Collateralized Debt Obligations Backed by Trust Preferred Securities under Final Rules Implementing the “Volcker rule” Release No.:2013-275
Published date grouping:December 2013 Date: Headline: SEC Removes References to NRSRO Ratings in Certain Rules and Forms Release No.:2013-274
Published date grouping:December 2013 Date: Headline: SEC Charges New York-Based Brokerage Firm for Ignoring Red Flags in Soft Dollar Scheme Release No.:2013-273
Published date grouping:December 2013 Date: Headline: SEC Issues Annual Staff Reports on Credit Rating Agencies Release No.:2013-272
Published date grouping:December 2013 Date: Headline: SEC Charges Archer-Daniels-Midland Company With FCPA Violations Release No.:2013-271
Published date grouping:December 2013 Date: Headline: SEC Charges Woman and Stepson for Involvement in ZeekRewards Ponzi and Pyramid Scheme Release No.:2013-270
Published date grouping:December 2013 Date: Headline: SEC Issues Staff Report on Public Company Disclosure Release No.:2013-269
Published date grouping:December 2013 Date: Headline: SEC Charges Microsoft Senior Manager and Friend With Insider Trading in Advance of Company News Release No.:2013-268
Published date grouping:December 2013 Date: Headline: Federal Financial Regulators Extend Comment Period for Proposed Policy Statement on Assessing Diversity Policies and Practices of Regulated Entities Release No.:2013-267
Published date grouping:December 2013 Date: Headline: SEC Charges ConvergEx Subsidiaries With Fraud for Deceiving Customers About Commissions Release No.:2013-266
Published date grouping:December 2013 Date: Headline: SEC Proposes Rules to Increase Access to Capital for Smaller Companies Release No.:2013-265
Published date grouping:December 2013 Date: Headline: SEC Announces Enforcement Results for FY 2013 Release No.:2013-264
Published date grouping:December 2013 Date: Headline: SEC Charges Perpetrators of Prime Bank Schemes in Las Vegas and Switzerland Release No.:2013-263
Published date grouping:December 2013 Date: Headline: SEC to Hold Compliance Outreach Program for Investment Companies and Investment Advisers Release No.:2013-262
Published date grouping:December 2013 Date: Headline: SEC Charges Merrill Lynch With Misleading Investors in CDOs Release No.:2013-261
Published date grouping:December 2013 Date: Headline: SEC Charges Investment Managers for Misconduct in CDO Collateral Selection Process Release No.:2013-260
Published date grouping:December 2013 Date: Headline: SEC Charges London-Based Hedge Fund Adviser and U.S.-Based Holding Company for Internal Control Failures Release No.:2013-259
Published date grouping:December 2013 Date: Headline: Agencies Issue Final Rules Implementing the Volcker Rule Release No.:2013-258
Published date grouping:December 2013 Date: Headline: SEC Names Sebastian Gomez Abero to Head Office of Small Business Policy in the Division of Corporation Finance Release No.:2013-257
Published date grouping:December 2013 Date: Headline: SEC Halts Texas-Based Oil and Gas Investment Scheme Release No.:2013-256
Published date grouping:December 2013 Date: Headline: SEC Charges Fifth Third Bancorp and Former CFO for Improper Accounting of Substantial Loan Losses During Financial Crisis Release No.:2013-255
Published date grouping:December 2013 Date: Headline: SEC Charges Miami-Based Trader With Insider Trading and Short Selling Violations Release No.:2013-254
Published date grouping:November 2013 Date: Headline: SEC Announces Agenda, Panelists For Roundtable On Proxy Advisory Services Release No.:2013-253
Published date grouping:November 2013 Date: Headline: SEC Charges Weatherford International With FCPA Violations Release No.:2013-252
Published date grouping:November 2013 Date: Headline: SEC Announces Fraud Charges Against Detroit-Based Money Market Fund Manager Release No.:2013-251
Published date grouping:November 2013 Date: Headline: SEC Announces Charges Against Two Houston-Based Firms for Engaging in Thousands of Undisclosed Principal Transactions Release No.:2013-250
Published date grouping:November 2013 Date: Headline: Penny Stock Financier Agrees to Pay $1.4 Million to Settle SEC Charges Release No.:2013-249
Published date grouping:November 2013 Date: Headline: SEC Charges Colorado Man in Scheme Targeting Elderly Investors Release No.:2013-248
Published date grouping:November 2013 Date: Headline: SEC Charges Another Tipper in Galleon Insider Trading Scheme Release No.:2013-247
Published date grouping:November 2013 Date: Headline: SEC Names Julie Lutz as Director of Denver Regional Office Release No.:2013-246
Published date grouping:November 2013 Date: Headline: SEC Announces Fraud Charges Against Two Florida-Based Investment Advisers Release No.:2013-245
Published date grouping:November 2013 Date: Headline: SEC Charges Hedge Fund Trader With Insider Trading in Carter’s Stock Release No.:2013-244
Published date grouping:November 2013 Date: Headline: Kevin W. Goodman Named Head Of SEC’s Broker-Dealer Examination Program Release No.:2013-243
Published date grouping:November 2013 Date: Headline: SEC Announces Agenda and Panelists for Small Business Forum Release No.:2013-242
Published date grouping:November 2013 Date: Headline: SEC Announces First Deferred Prosecution Agreement With Individual Release No.:2013-241
Published date grouping:November 2013 Date: Headline: SEC Names LeeAnn Gaunt as Chief of Municipal Securities and Public Pensions Unit Release No.:2013-240
Published date grouping:November 2013 Date: Headline: SEC Charges Royal Bank of Scotland Subsidiary with Misleading Investors in Subprime RMBS Offering Release No.:2013-239
Published date grouping:November 2013 Date: Headline: SEC Charges New York-Based Audit Firm and Four Accountants for Failures in Audits of China-Based Companies Release No.:2013-238
Published date grouping:November 2013 Date: Headline: SEC Names David Glockner as Director of Chicago Regional Office Release No.:2013-237
Published date grouping:November 2013 Date: Headline: SEC To Hold Roundtable On Proxy Advisory Services Release No.:2013-236
Published date grouping:November 2013 Date: Headline: SEC Charges Municipal Issuer in Washington’s Wenatchee Valley Region for Misleading Investors Release No.:2013-235
Published date grouping:November 2013 Date: Headline: SEC Halts Ponzi Scheme Involving New Zealand Companies Release No.:2013-234
Published date grouping:November 2013 Date: Headline: SEC Obtains Asset Freeze in California-Based Real Estate Investment Scheme Release No.:2013-233
Published date grouping:October 2013 Date: Headline: Fee Rate Advisory #2 For Fiscal Year 2014 Release No.:2013-232
Published date grouping:October 2013 Date: Headline: SEC Rewards Whistleblower With $150,000 Payout Release No.:2013-231
Published date grouping:October 2013 Date: Headline: SEC Charges Three Firms With Violating Custody Rule Release No.:2013-230
Published date grouping:October 2013 Date: Headline: SEC Charges Stryker Corporation With FCPA Violations Release No.:2013-229
Published date grouping:October 2013 Date: Headline: Financial Regulators Propose Joint Standards for Assessing Diversity Policies and Practices of Regulated Entities Release No.:2013-228
Published date grouping:October 2013 Date: Headline: SEC Issues Proposal on Crowdfunding Release No.:2013-227
Published date grouping:October 2013 Date: Headline: SEC Sanctions Three Firms Under Compliance Program Initiative Release No.:2013-226
Published date grouping:October 2013 Date: Headline: SEC Charges Diebold With FCPA Violations Release No.:2013-225
Published date grouping:October 2013 Date: Headline: SEC Announces Fraud Charges Against Collateral Manager Of CDO Release No.:2013-224
Published date grouping:October 2013 Date: Headline: SEC Halts Pyramid Scheme Targeting Asian-American Community Release No.:2013-223
Published date grouping:October 2013 Date: Headline: SEC Charges Knight Capital With Violations of Market Access Rule Release No.:2013-222
Published date grouping:October 2013 Date: Headline: Daniel Murdock Named SEC Deputy Chief Accountant Release No.:2013-221
Published date grouping:October 2013 Date: Headline: Mark Kronforst Named Chief Accountant In Division Of Corporation Finance Release No.:2013-220
Published date grouping:October 2013 Date: Headline: Previously Unknown Insider Traders in Heinz Agree to $5 Million Settlement Release No.:2013-219
Published date grouping:October 2013 Date: Headline: Daniel M. Hawke to Step Down as Director of Philadelphia Office Release No.:2013-218
Published date grouping:October 2013 Date: Headline: SEC Launches Market Structure Data and Analysis Website Release No.:2013-217
Published date grouping:October 2013 Date: Headline: SEC Names Karen L. Martinez as Director of Salt Lake Regional Office Release No.:2013-216
Published date grouping:October 2013 Date: Headline: Salt Lake Regional Office Director Kenneth Israel to Retire From SEC After More Than 38 Years Release No.:2013-215
Published date grouping:October 2013 Date: Headline: SEC Announces Date for Annual Government-Business Forum on Small Business Capital Formation Release No.:2013-214
Published date grouping:October 2013 Date: Headline: SEC Announces Two Promotions to Senior Positions in Division of Economic and Risk Analysis Release No.:2013-213
Published date grouping:October 2013 Date: Headline: SEC Announces Renewal of Advisory Committee on Small and Emerging Companies Release No.:2013-212
Published date grouping:October 2013 Date: Headline: SEC Sanctions Nebraska-Based Investment Adviser for Best Execution Failures in Selecting Mutual Fund Share Classes Release No.:2013-211
Published date grouping:October 2013 Date: Headline: SEC Halts Texas-Based Scheme Targeting Foreign Investors Seeking U.S. Residency Through EB-5 Visa Program Release No.:2013-210
Published date grouping:October 2013 Date: Headline: SEC Awards More Than $14 Million to Whistleblower Release No.:2013-209
Published date grouping:September 2013 Date: Headline: Public Feedback on OFR Study on Asset Management Issues Release No.:2013-208
Published date grouping:September 2013 Date: Headline: SEC Charges Three Auditors in Continuing Crackdown on Violations or Failures By Gatekeepers Release No.:2013-207
Published date grouping:September 2013 Date: Headline: SEC Charges South Florida Woman Behind Ponzi Scheme Targeting Colombian-American Community Release No.:2013-206
Published date grouping:September 2013 Date: Headline: SEC Charges New Jersey-Based Accounting Firm and Founding Partner for Failed Audits of China-Based Company Release No.:2013-205
Published date grouping:September 2013 Date: Headline: Matthew Solomon Named SEC Chief Litigation Counsel Release No.:2013-204
Published date grouping:September 2013 Date: Headline: Chief Litigation Counsel Matthew Martens to Leave SEC Release No.:2013-203
Published date grouping:September 2013 Date: Headline: SEC Charges Accountant for Madoff Clients for Role in Creating False Books and Records Release No.:2013-202
Published date grouping:September 2013 Date: Headline: SEC Freezes Assets in Ponzi Scheme Targeting Investors in Japan Release No.:2013-201
Published date grouping:September 2013 Date: Headline: SEC Charges China-Based Executives With Fraud and Insider Trading Release No.:2013-200
Published date grouping:September 2013 Date: Headline: SEC Charges Operators of Boiler Room Scheme Targeting Seniors to Invest in Football-Related Scam Release No.:2013-199
Published date grouping:September 2013 Date: Headline: SEC Charges CEO of Video Game Company and Purported Consultant in Revenue Inflation Scheme Release No.:2013-198
Published date grouping:September 2013 Date: Headline: SEC Charges Former President of California-Based Investment Firm With Fraud Release No.:2013-197
Published date grouping:September 2013 Date: Headline: SEC Charges Two Bank Executives for Financial Misstatements and Failure to Disclose Probable Loss on Troubled Loan Release No.:2013-196
Published date grouping:September 2013 Date: Headline: Federal Regulators Issue Guidance on Reporting Financial Abuse of Older Adults Release No.:2013-195
Published date grouping:September 2013 Date: Headline: SEC Charges 10 Brokers for Roles in McGinn Smith Ponzi Scheme Release No.:2013-194
Published date grouping:September 2013 Date: Headline: SEC Charges Former Qualcomm Executive and His Financial Advisor With Insider Trading Through Secret Offshore Accounts Release No.:2013-193
Published date grouping:September 2013 Date: Headline: SEC Charges TD Bank and Former Executive for Roles in Rothstein Ponzi Scheme in South Florida Release No.:2013-192
Published date grouping:September 2013 Date: Headline: SEC Charges Independent Filmmaker With Insider Trading Release No.:2013-191
Published date grouping:September 2013 Date: Headline: SEC Charges Father and Son in South Carolina for Fraudulent Program Designed to Profit From Fate of Terminally Ill Release No.:2013-190
Published date grouping:September 2013 Date: Headline: SEC Charges Former Technology Company Executive for Role in Rajaratnam Insider Trading Scheme Release No.:2013-189
Published date grouping:September 2013 Date: Headline: SEC Charges Advisory Firm Owner and Stockbroker With Insider Trading Ahead of Merger Announcement by Pharmaceutical Firms Release No.:2013-188
Published date grouping:September 2013 Date: Headline: JPMorgan Chase Agrees to Pay $200 Million and Admits Wrongdoing to Settle SEC Charges Release No.:2013-187
Published date grouping:September 2013 Date: Headline: SEC Proposes Rules for Pay Ratio Disclosure Release No.:2013-186
Published date grouping:September 2013 Date: Headline: SEC Approves Registration Rules for Municipal Advisors Release No.:2013-185
Published date grouping:September 2013 Date: Headline: SEC Charges Indiana-Based Company and Executives for Defrauding Investors in Renewable Fuel Production Scheme Release No.:2013-184
Published date grouping:September 2013 Date: Headline: SEC Charges N.Y.-Based Hedge Fund Adviser With Breaching Fiduciary Duty By Participating in Conflicted Principal Transaction Release No.:2013-183
Published date grouping:September 2013 Date: Headline: SEC Charges 23 Firms With Short Selling Violations in Crackdown on Potential Manipulation in Advance of Stock Offerings Release No.:2013-182
Published date grouping:September 2013 Date: Headline: SEC Charges Operator of Miami-Dade County’s Largest Hospital With Misleading Investors About Financial Condition Release No.:2013-181
Published date grouping:September 2013 Date: Headline: SEC Charges Purported Money Manager in New York Who Schemed Investors and Lied to SEC Examiners Release No.:2013-180
Published date grouping:September 2013 Date: Headline: SEC Names Paul Levenson as Director of Boston Regional Office Release No.:2013-179
Published date grouping:September 2013 Date: Headline: SEC Chair White Statement on Meeting With Leaders of Exchanges Release No.:2013-178
Published date grouping:September 2013 Date: Headline: SEC Names Jina L. Choi as Director of San Francisco Regional Office Release No.:2013-177
Published date grouping:September 2013 Date: Headline: SEC Announces Agenda for September 17 Meeting of Advisory Committee on Small and Emerging Companies Release No.:2013-176
Published date grouping:September 2013 Date: Headline: SEC Halts Florida-Based Prime Bank Investment Scheme Release No.:2013-175
Published date grouping:September 2013 Date: Headline: SEC Charges Former Vice President of Investor Relations With Violating Fair Disclosure Rules Release No.:2013-174
Published date grouping:September 2013 Date: Headline: Thailand-Based Trader Agrees to Pay $5.2 Million to Settle Insider Trading Case Release No.:2013-173
Published date grouping:September 2013 Date: Headline: Paula Dubberly, Deputy Director in Division of Corporation Finance, to Retire After More Than 20 Years at SEC Release No.:2013-172
Published date grouping:September 2013 Date: Headline: SEC Charges Purported Money Manager With Defrauding Investors and Brokerage Firms Release No.:2013-171
Published date grouping:August 2013 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2014 Release No.:2013-170
Published date grouping:August 2013 Date: Headline: SEC Rewards Three Whistleblowers Who Helped Stop Sham Hedge Fund Release No.:2013-169
Published date grouping:August 2013 Date: Headline: SEC Charges San Diego-Based Investment Adviser in Cherry-Picking and Soft Dollar Schemes Release No.:2013-168
Published date grouping:August 2013 Date: Headline: Agencies Request Comment on Proposed Risk Retention Rule Release No.:2013-167
Published date grouping:August 2013 Date: Headline: SEC Issues Risk Alert on Investment Advisers’ Business Continuity and Disaster Recovery Planning Release No.:2013-166
Published date grouping:August 2013 Date: Headline: SEC Sanctions Colorado-Based Portfolio Manager for Forging Documents and Misleading Chief Compliance Officer Release No.:2013-165
Published date grouping:August 2013 Date: Headline: SEC Charges Indiana Resident With Conducting Ponzi Scheme Targeting Retirement Savings of Investors Release No.:2013-164
Published date grouping:August 2013 Date: Headline: SEC Stops California Company With Misleading Registration Statement From Issuing Public Stock Release No.:2013-163
Published date grouping:August 2013 Date: Headline: SEC Charges North Carolina-Based Investment Adviser for Misleading Fund Board About Algorithmic Trading Ability Release No.:2013-162
Published date grouping:August 2013 Date: Headline: Jane Jarcho Named Head of SEC’s Investment Adviser/Investment Company Examination Program Release No.:2013-161
Published date grouping:August 2013 Date: Headline: SEC Charges Former Oppenheimer Private Equity Fund Manager with Misleading Investors about Valuation and Performance Release No.:2013-160
Published date grouping:August 2013 Date: Headline: Philip Falcone and Harbinger Capital Agree to Settlement Release No.:2013-159
Published date grouping:August 2013 Date: Headline: Regulators Issue Joint Staff Review of Firms’ Business Continuity and Disaster Recovery Planning Release No.:2013-158
Published date grouping:August 2013 Date: Headline: Michael Piwowar Sworn in as SEC Commissioner Release No.:2013-157
Published date grouping:August 2013 Date: Headline: Eun Ah Choi Named Managing Executive of the SEC’s Division of Investment Management Release No.:2013-156
Published date grouping:August 2013 Date: Headline: SEC Announces Charges Against Florida-Based Penny Stock Schemes Release No.:2013-155
Published date grouping:August 2013 Date: Headline: SEC Charges Two J.P. Morgan Traders With Fraudulently Overvaluing Investments to Conceal Losses Release No.:2013-154
Published date grouping:August 2013 Date: Headline: Geoffrey Aronow Named Chief Counsel and Senior Policy Advisor in Office of International Affairs Release No.:2013-153
Published date grouping:August 2013 Date: Headline: Kara Stein Sworn in as SEC Commissioner Release No.:2013-152
Published date grouping:August 2013 Date: Headline: SEC Issues Risk Alert On Options Trading Used To Evade Short-Sale Requirements Release No.:2013-151
Published date grouping:August 2013 Date: Headline: SEC Cautions Exchanges and Investment Professionals to Monitor Composition of Indices When Offering Futures Products Release No.:2013-150
Published date grouping:August 2013 Date: Headline: SEC Halts Ex-Marine’s Hedge Fund Fraud Targeting Fellow Military Release No.:2013-149
Published date grouping:August 2013 Date: Headline: SEC Charges Bank of America With Fraud in RMBS Offering Release No.:2013-148
Published date grouping:August 2013 Date: Headline: UBS to Pay $50 Million to Settle SEC Charges of Misleading CDO Investors Release No.:2013-146
Published date grouping:August 2013 Date: Headline: Statement By SEC Commissioner Paredes upon Departure from the Commission Release No.:2013-145
Published date grouping:August 2013 Date: Headline: SEC Charges Former Green Mountain Coffee Employee And Friend In $7 Million Insider Trading Scheme Release No.:2013-144
Published date grouping:August 2013 Date: Headline: Deputy Chief Economist Kathleen Weiss Hanley to Leave SEC Release No.:2013-142
Published date grouping:August 2013 Date: Headline: SEC Charges Purported Biofuel Company and a Dozen Individuals in Chicago-Based Pump-and-Dump Scheme Release No.:2013-143
Published date grouping:July 2013 Date: Headline: SEC Adopts Rules to Increase Protections for Investors With Assets Being Held By Broker-Dealers Release No.:2013-141
Published date grouping:July 2013 Date: Headline: SEC Adopts Amendments to Financial Responsibility Rules for Broker-Dealers Release No.:2013-140
Published date grouping:July 2013 Date: Headline: SEC Sanctions Two Investment Advisers for Best Execution Failures Release No.:2013-139
Published date grouping:July 2013 Date: Headline: SEC Charges Two Traders in Spain With Insider Trading Ahead of BHP Acquisition Bid Release No.:2013-138
Published date grouping:July 2013 Date: Headline: SEC Charges Tipper of Confidential Information to S.A.C. Capital Portfolio Manager Release No.:2013-137
Published date grouping:July 2013 Date: Headline: SEC Charges School District and Muni Bond Underwriter in Indiana With Defrauding Investors Release No.:2013-136
Published date grouping:July 2013 Date: Headline: SEC Charges Houston-Based Investor Relations Executive With Insider Trading in Stocks of Clients Release No.:2013-135
Published date grouping:July 2013 Date: Headline: SEC Charges Former Portfolio Manager at S.A.C. Capital With Insider Trading Release No.:2013-134
Published date grouping:July 2013 Date: Headline: Denver Regional Office Director Donald Hoerl to Leave SEC After More Than 30 Years Release No.:2013-133
Published date grouping:July 2013 Date: Headline: SEC Charges Texas Man With Running Bitcoin-Denominated Ponzi Scheme Release No.:2013-132
Published date grouping:July 2013 Date: Headline: SEC, European Regulators Establish Supervisory Cooperation Arrangements Related to the Asset Management Industry Release No.:2013-131
Published date grouping:July 2013 Date: Headline: SEC Charges City of Miami and Former Budget Director With Municipal Bond Offering Fraud Release No.:2013-130
Published date grouping:July 2013 Date: Headline: SEC Charges Steven A. Cohen With Failing to Supervise Portfolio Managers and Prevent Insider Trading Release No.:2013-129
Published date grouping:July 2013 Date: Headline: SEC Obtains $13.9 Million Penalty Against Rajat Gupta Release No.:2013-128
Published date grouping:July 2013 Date: Headline: SEC Announces Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers Release No.:2013-127
Published date grouping:July 2013 Date: Headline: Kenneth Lench, Chief of Enforcement Division’s Structured and New Products Unit, to Leave SEC After 23 Years of Service Release No.:2013-126
Published date grouping:July 2013 Date: Headline: SEC Halts Texas-Based Forex Trading Scheme Release No.:2013-125
Published date grouping:July 2013 Date: Headline: SEC Approves JOBS Act Requirement to Lift General Solicitation Ban Release No.:2013-124
Published date grouping:July 2013 Date: Headline: SEC Freezes Assets Of Insider Traders in Onyx Pharmaceuticals Release No.:2013-123
Published date grouping:July 2013 Date: Headline: SEC Obtains Freeze on Proceeds from Unlawful Distribution of Biozoom Securities Release No.:2013-122
Published date grouping:July 2013 Date: Headline: SEC Announces Enforcement Initiatives to Combat Financial Reporting and Microcap Fraud and Enhance Risk Analysis Release No.:2013-121
Published date grouping:July 2013 Date: Headline: Chicago Regional Office Director Merri Jo Gillette to Leave SEC Release No.:2013-119
Published date grouping:July 2013 Date: Headline: Timothy B. Henseler Named Director of the SEC’s Office of Legislative and Intergovernmental Affairs Release No.:2013-120
Published date grouping:July 2013 Date: Headline: Julie M. Riewe and Marshall S. Sprung Named Co-Chiefs of Asset Management Unit Release No.:2013-118
Published date grouping:June 2013 Date: Headline: SEC Charges Medical Imaging Device Company and Its CEO with Fraud Release No.:2013-117
Published date grouping:June 2013 Date: Headline: Elaine C. Greenberg to Leave SEC After More Than 25 Years Release No.:2013-116
Published date grouping:June 2013 Date: Headline: SEC Charges China-Based Company and CEO in Latest Cross-Border Working Group Case Release No.:2013-115
Published date grouping:June 2013 Date: Headline: SEC Charges San Diego-Based Promoter in Penny Stock Scheme Release No.:2013-114
Published date grouping:June 2013 Date: Headline: SEC Charges Two Executives in Ponzi Scheme At Dallas-Based Medical Insurance Company Release No.:2013-113
Published date grouping:June 2013 Date: Headline: Amelia Cottrell Named Associate Regional Director for Enforcement in New York Office Release No.:2013-112
Published date grouping:June 2013 Date: Headline: Former Mutual Fund Directors Agree to Settle Claims That They Failed to Properly Oversee Asset Valuation Release No.:2013-111
Published date grouping:June 2013 Date: Headline: SEC Charges Revlon with Misleading Shareholders in Going Private Transaction Release No.:2013-110
Published date grouping:June 2013 Date: Headline: SEC Announces More Charges in Massive Kickback Scheme to Secure Business of Venezuelan Bank Release No.:2013-109
Published date grouping:June 2013 Date: Headline: SEC, FINRA Warn Investors About Pump-And-Dump Stock Spam Release No.:2013-108
Published date grouping:June 2013 Date: Headline: SEC Charges CBOE for Regulatory Failures Release No.:2013-107
Published date grouping:June 2013 Date: Headline: SEC Charges Top Officials At Investment Adviser in Scheme to Hide Theft From Pension Fund of Detroit Police and Firefighters Release No.:2013-106
Published date grouping:June 2013 Date: Headline: SEC Charges Whittier Trust and Fund Manager in Insider Trading Investigation Into Expert Networks Release No.:2013-105
Published date grouping:June 2013 Date: Headline: SEC Warns Investors About Binary Options and Charges Cyprus-Based Company with Selling Them Illegally in U.S. Release No.:2013-103
Published date grouping:June 2013 Date: Headline: SEC Freezes Assets of Thailand-Based Trader for Insider Trading Ahead of Smithfield Foods Acquisition Announcement Release No.:2013-102
Published date grouping:June 2013 Date: Headline: SEC Renames Division Focusing On Economic and Risk Analysis Release No.:2013-104
Published date grouping:June 2013 Date: Headline: SEC Charges Penny Stock Company and CEO for Illegal Stock Offering and Insider Trading Release No.:2013-100
Published date grouping:June 2013 Date: Headline: SEC Proposes Money Market Fund Reforms Release No.:2013-101
Published date grouping:June 2013 Date: Headline: SEC Suspends Trading of 61 Companies Ripe for Fraud in Over-The-Counter Market Release No.:2013-97
Published date grouping:June 2013 Date: Headline: Robert E. Rice Named as Chief Counsel to SEC Chair Release No.:2013-98
Published date grouping:June 2013 Date: Headline: SEC Charges Fortune 200 Company for Accounting Deficiencies Release No.:2013-99
Published date grouping:May 2013 Date: Headline: Florida-Based Stock Promoter Charged with Lying to SEC Investigators Release No.:2013-96
Published date grouping:May 2013 Date: Headline: SEC Charges Total S.A. for Illegal Payments to Iranian Official Release No.:2013-94
Published date grouping:May 2013 Date: Headline: SEC Charges NASDAQ for Failures During Facebook IPO Release No.:2013-95
Published date grouping:May 2013 Date: Headline: SEC Charges Dallas-Based Trader With Front Running Release No.:2013-93
Published date grouping:May 2013 Date: Headline: SEC Charges Institutional Shareholder Services in Breach of Clients' Confidential Proxy Voting Information Release No.:2013-92
Published date grouping:May 2013 Date: Headline: SEC Charges City of South Miami with Defrauding Investors About Tax-Exempt Status of Municipal Bonds Release No.:2013-91
Published date grouping:May 2013 Date: Headline: SEC Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm Release No.:2013-90
Published date grouping:May 2013 Date: Headline: SEC Names Keith F. Higgins as Director of Division of Corporation Finance Release No.:2013-89
Published date grouping:May 2013 Date: Headline: SEC Charges China-Based Executives in Scheme to Overstate Revenues and Divert Money for Personal Use Release No.:2013-87
Published date grouping:May 2013 Date: Headline: SEC Names Lona Nallengara as Chief of Staff Release No.:2013-88
Published date grouping:May 2013 Date: Headline: SEC, FINRA Issue Investor Alert On Pension or Settlement Income Streams Release No.:2013-86
Published date grouping:May 2013 Date: Headline: Bruce Karpati, Chief of Enforcement Division Asset Management Unit, to Leave SEC After 12 Years Release No.:2013-85
Published date grouping:May 2013 Date: Headline: SEC Charges Traders in Massive Kickback Scheme Involving Venezuelan Official Release No.:2013-84
Published date grouping:May 2013 Date: Headline: SEC Announces Panelists for Credit Ratings Roundtable Release No.:2013-83
Published date grouping:May 2013 Date: Headline: SEC Charges City of Harrisburg for Fraudulent Public Statements Release No.:2013-82
Published date grouping:May 2013 Date: Headline: SEC Announces Departure of Senior Enforcement Official David P. Bergers After 13 Years of Federal Service Release No.:2013-79
Published date grouping:May 2013 Date: Headline: SEC Charges Gatekeepers of Two Mutual Fund Trusts for Inaccurate Disclosures About Decisions On Behalf of Shareholders Release No.:2013-78
Published date grouping:May 2013 Date: Headline: National Exam Program Director Carlo V. Di Florio to Leave SEC Release No.:2013-80
Published date grouping:May 2013 Date: Headline: SEC Names Andrew Bowden as Director of National Exam Program Release No.:2013-81
Published date grouping:May 2013 Date: Headline: SEC Proposes Rules for Cross-Border Security-Based Swap Activities Release No.:2013-77
Published date grouping:April 2013 Date: Headline: Level Global Agrees to Pay More Than $21.5 Million to Settle SEC Insider Trading Charges Release No.:2013-76
Published date grouping:April 2013 Date: Headline: SEC Charges City of Victorville, Underwriter, and Others with Defrauding Municipal Bond Investors Release No.:2013-75
Published date grouping:April 2013 Date: Headline: Fee Rate Advisory #3 for Fiscal Year 2013 Release No.:2013-74
Published date grouping:April 2013 Date: Headline: SEC Seeks to Halt Scheme Raising Investor Funds Under Guise of JOBS Act Release No.:2013-73
Published date grouping:April 2013 Date: Headline: SEC Charges Capital One with Understating Auto Loan Losses Release No.:2013-72
Published date grouping:April 2013 Date: Headline: SEC Announces Agenda for Credit Ratings Roundtable Release No.:2013-71
Published date grouping:April 2013 Date: Headline: Investors to Receive Their Entire Investments Back After SEC Halted Scheme Exploiting Immigration Program Release No.:2013-70
Published date grouping:April 2013 Date: Headline: SEC Names Anne K. Small as General Counsel Release No.:2013-69
Published date grouping:April 2013 Date: Headline: SEC Announces Non-Prosecution Agreement With Ralph Lauren Corporation Involving FCPA Misconduct Release No.:2013-65
Published date grouping:April 2013 Date: Headline: George Canellos and Andrew Ceresney Named Co-Directors of Enforcement Release No.:2013-67
Published date grouping:April 2013 Date: Headline: SEC Charges Former Executive with Insider Trading On Nonpublic Information Obtained as Part of Professional Group Release No.:2013-66
Published date grouping:April 2013 Date: Headline: SEC Announces Agenda for May 1 Meeting of Advisory Committee On Small and Emerging Companies Release No.:2013-68
Published date grouping:April 2013 Date: Headline: SEC Charges Chicago-Based Investment Adviser with Defrauding CalPERS and Other Clients Release No.:2013-64
Published date grouping:April 2013 Date: Headline: SEC Charges Two Arizona-Based Brokers with Defrauding Investors in Tankless Water Heater Venture Release No.:2013-63
Published date grouping:April 2013 Date: Headline: SEC Charges Canada-Based Investment Banker with Insider Trading Release No.:2013-62
Published date grouping:April 2013 Date: Headline: SEC Charges Former Rochdale Securities Broker for Rogue Trades That Brought Down Firm Release No.:2013-60
Published date grouping:April 2013 Date: Headline: SEC Charges Denver-Based Businessman with Insider Trading Release No.:2013-61
Published date grouping:April 2013 Date: Headline: SEC Names Jennifer Marietta-Westberg as Deputy Director of the Division of Risk, Strategy, and Financial Innovation Release No.:2013-59
Published date grouping:April 2013 Date: Headline: SEC Charges Former KPMG Partner and Friend with Insider Trading Release No.:2013-58
Published date grouping:April 2013 Date: Headline: SEC Adopts Rules to Help Protect Investors from Identity Theft Release No.:2013-57
Published date grouping:April 2013 Date: Headline: Mary Jo White Sworn in as Chair of SEC Release No.:2013-56
Published date grouping:April 2013 Date: Headline: SEC Announces Panelists for Roundtable on Fixed Income Markets Release No.:2013-55
Published date grouping:April 2013 Date: Headline: SEC Charges Former Medical Device Company Employee for Illegally Tipping Brother with Quarterly Earnings Data Release No.:2013-54
Published date grouping:April 2013 Date: Headline: Marc Fagel, Director of San Francisco Office, to Leave SEC Release No.:2013-53
Published date grouping:April 2013 Date: Headline: SEC Streamlines Rule Filing Requirements for Dually Registered Clearing Agencies Release No.:2013-52
Published date grouping:April 2013 Date: Headline: SEC Says Social Media OK for Company Announcements if Investors Are Alerted Release No.:2013-51
Published date grouping:March 2013 Date: Headline: SEC Charges Sigma Capital Portfolio Manager with Insider Trading Release No.:2013-49
Published date grouping:March 2013 Date: Headline: Foreign Traders Agree to Pay $3.3 Million to Settle Charges in Nexen Insider Trading Case Release No.:2013-50
Published date grouping:March 2013 Date: Headline: SEC Announces Agenda for Fixed Income Roundtable Release No.:2013-48
Published date grouping:March 2013 Date: Headline: SEC Charges California-Based Hedge Fund Analyst and Two Others with Insider Trading Release No.:2013-47
Published date grouping:March 2013 Date: Headline: SEC Charges Hedge Fund Manager and Brokerage CEO with Fraud Release No.:2013-46
Published date grouping:March 2013 Date: Headline: SEC Charges Rengan Rajaratnam with Insider Trading Release No.:2013-45
Published date grouping:March 2013 Date: Headline: SEC Charges Financier with Stealing Investor Funds in Purported Offerings of Pre-IPO Facebook Shares Release No.:2013-44
Published date grouping:March 2013 Date: Headline: SEC Obtains Asset Freeze Against Massachusetts-Based Investment Adviser Stealing Money from Clients Release No.:2013-43
Published date grouping:March 2013 Date: Headline: SEC Charges Hedge Fund Firm Sigma Capital with Insider Trading Release No.:2013-42
Published date grouping:March 2013 Date: Headline: SEC Charges San Diego Lawyers and Others in an International Market Manipulation Scheme Release No.:2013-39
Published date grouping:March 2013 Date: Headline: SEC Issues Guidance Update on Social Media Filings by Investment Companies Release No.:2013-40
Published date grouping:March 2013 Date: Headline: CR Intrinsic Agrees to Pay More than $600 Million in Largest-Ever Settlement for Insider Trading Case Release No.:2013-41
Published date grouping:March 2013 Date: Headline: SEC Charges Private Equity Firm, Former Executive, and Consultant for Improperly Soliciting Investments Release No.:2013-36
Published date grouping:March 2013 Date: Headline: SEC Charges Illinois for Misleading Pension Disclosures Release No.:2013-37
Published date grouping:March 2013 Date: Headline: SEC Charges New York-Based Private Equity Fund Advisers with Misleading Investors about Valuation and Performance Release No.:2013-38
Published date grouping:March 2013 Date: Headline: SEC Charges California-Based Lawyer with Issuing Fraudulent Legal Opinion Letters Release No.:2013-34
Published date grouping:March 2013 Date: Headline: SEC Proposes Rules to Improve Systems Compliance and Integrity Release No.:2013-35
Published date grouping:March 2013 Date: Headline: SEC Issues Risk Alert and Investor Bulletin on Investment Adviser Custody Rule Release No.:2013-33
Published date grouping:March 2013 Date: Headline: Steven Harris and Jay Hanson Reappointed to PCAOB Release No.:2013-31
Published date grouping:March 2013 Date: Headline: SEC Seeks Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisers Release No.:2013-32
Published date grouping:February 2013 Date: Headline: China-Based Company and Former CFO to Pay Penalties for Disclosure and Accounting Violations Release No.:2013-30
Published date grouping:February 2013 Date: Headline: SEC to Hold Fixed Income Roundtable Release No.:2013-29
Published date grouping:February 2013 Date: Headline: SEC to Host Credit Ratings Roundtable Release No.:2013-27
Published date grouping:February 2013 Date: Headline: SEC Charges Connecticut-Based Hedge Fund Managers with Fraud Release No.:2013-28
Published date grouping:February 2013 Date: Headline: SEC Announces 2013 Examination Priorities Release No.:2013-26
Published date grouping:February 2013 Date: Headline: SEC Charges Virgin Islands-Based Investment Adviser with Defrauding Clients Release No.:2013-25
Published date grouping:February 2013 Date: Headline: SEC Freezes Assets in Swiss-Based Account Used in Suspected Insider Trading Ahead of Heinz Acquisition Release No.:2013-24
Published date grouping:February 2013 Date: Headline: Director of International Affairs Ethiopis Tafara to Leave SEC Release No.:2013-22
Published date grouping:February 2013 Date: Headline: SEC Charges N.Y.-Based Brokerage Firm with Defrauding Investors in a Clean Energy Company to Earn Lucrative Commissions Release No.:2013-23
Published date grouping:February 2013 Date: Headline: SEC Approves 2013 PCAOB Budget and Accounting Support Fee Release No.:2013-21
Published date grouping:February 2013 Date: Headline: SEC Halts $150 Million Investment Scheme to Dupe Foreign Investors and Exploit Immigration Program Release No.:2013-20
Published date grouping:February 2013 Date: Headline: SEC Charges Husband and Wife in Florida with Defrauding Seniors Investing in Purported Charity Release No.:2013-19
Published date grouping:January 2013 Date: Headline: David P. Bergers Named Acting Deputy Director of Enforcement Release No.:2013-18
Published date grouping:January 2013 Date: Headline: George S. Canellos Named Acting Director of Enforcement Release No.:2013-17
Published date grouping:January 2013 Date: Headline: SEC Announces Panelists for Roundtable on Decimalization Release No.:2013-16
Published date grouping:January 2013 Date: Headline: SEC Charges Real Estate Executives in Florida-Based $300 Million Investment Scheme Release No.:2013-15
Published date grouping:January 2013 Date: Headline: SEC Names Carl W. Hoecker as Inspector General Release No.:2013-14
Published date grouping:January 2013 Date: Headline: SEC Charges Trader in Houston-Area Investment Scheme Targeting Lebanese and Druze Communities Release No.:2013-13
Published date grouping:January 2013 Date: Headline: SEC Charges Former Jefferies Executive with Defrauding Investors in Mortgage-Backed Securities Release No.:2013-12
Published date grouping:January 2013 Date: Headline: SEC Announces Agenda for Feb. 1 Meeting of Advisory Committee on Small and Emerging Companies Release No.:2013-11
Published date grouping:January 2013 Date: Headline: SEC Charges Florida-Based Financial Adviser with Illegally Tipping Inside Information Release No.:2013-10
Published date grouping:January 2013 Date: Headline: SEC to Hold National Compliance Event for Broker-Dealers Release No.:2013-9
Published date grouping:January 2013 Date: Headline: Egan-Jones and Founder Sean Egan Agree to 18-Month Bars from Rating Asset-Backed and Government Securities Issuers as NRSRO Release No.:2013-7
Published date grouping:January 2013 Date: Headline: Vincente Martinez Named Chief of SEC's Office of Market Intelligence Release No.:2013-8
Published date grouping:January 2013 Date: Headline: SEC Names Gregg E. Berman as Associate Director of the Office of Analytics and Research Release No.:2013-6
Published date grouping:January 2013 Date: Headline: David Grim Named Deputy Director of SEC's Division of Investment Management Release No.:2013-5
Published date grouping:January 2013 Date: Headline: SEC Charges Two KPMG Auditors for Failed Audit of Nebraska Bank Hiding Loan Losses During Financial Crisis Release No.:2013-2
Published date grouping:January 2013 Date: Headline: Enforcement Director Robert Khuzami to Leave SEC Release No.:2013-3
Published date grouping:January 2013 Date: Headline: SEC Charges Three Former Bank Executives in Virginia for Understating Loan Losses During Financial Crisis Release No.:2013-4
Published date grouping:January 2013 Date: Headline: SEC Names Geoffrey Aronow as General Counsel Release No.:2013-1
Published date grouping:December 2012 Date: Headline: SEC Charges Research Analyst with Trading and Tipping Ahead of IBM-SPSS Merger Release No.:2012-280
Published date grouping:December 2012 Date: Headline: SEC Issues Investor Bulletin to Help Investors Assess Municipal Bond Credit Risk Release No.:2012-279
Published date grouping:December 2012 Date: Headline: SEC Approves New Rules Regarding Lost Holders of Securities Release No.:2012-277
Published date grouping:December 2012 Date: Headline: SEC Announces Agenda for Roundtable on Decimalization Release No.:2012-274
Published date grouping:December 2012 Date: Headline: Paul Beswick Named SEC Chief Accountant Release No.:2012-275
Published date grouping:December 2012 Date: Headline: SEC Charges Four Penny Stock Purchasers with Fraud Release No.:2012-278
Published date grouping:December 2012 Date: Headline: SEC Bans Arizona-Based Investment Adviser from Securities Industry for Fraudulent Actions in Mutual Fund Collapse Release No.:2012-276
Published date grouping:December 2012 Date: Headline: SEC Charges Eli Lilly and Company with FCPA Violations Release No.:2012-273
Published date grouping:December 2012 Date: Headline: SEC Charges Advisory Firms and Portfolio Managers for Roles in Collapse of Midwest-Based Closed-End Fund Release No.:2012-272
Published date grouping:December 2012 Date: Headline: SEC Charges Financial Media Company and Executives Involved in Accounting Fraud Release No.:2012-270
Published date grouping:December 2012 Date: Headline: SEC Revokes Registration of Toronto-Based Broker and Bans Two Executives from U.S. Securities Industry for Allowing Layering Release No.:2012-271
Published date grouping:December 2012 Date: Headline: John Ramsay Named Acting Director of SEC's Division of Trading and Markets Release No.:2012-268
Published date grouping:December 2012 Date: Headline: Lona Nallengara Named Acting Director of SEC's Division of Corporation Finance Release No.:2012-269
Published date grouping:December 2012 Date: Headline: SEC Charges Connecticut-Based Adviser for "Skin in the Game" Misstatements About CDOs Release No.:2012-267
Published date grouping:December 2012 Date: Headline: SEC Charges Germany-Based Allianz SE with FCPA Violations Release No.:2012-266
Published date grouping:December 2012 Date: Headline: Danforth Townley Named Attorney Fellow in SEC's Division of Investment Management Release No.:2012-265
Published date grouping:December 2012 Date: Headline: SEC Chief of Staff Didem A. Nisanci to Leave Agency Release No.:2012-263
Published date grouping:December 2012 Date: Headline: Hedge Fund Manager to Pay $44 Million for Illegal Trading in Chinese Bank Stocks Release No.:2012-264
Published date grouping:December 2012 Date: Headline: SEC Charges New York-Based Fund Manager with Conducting Fraudulent Trading Schemes Release No.:2012-261
Published date grouping:December 2012 Date: Headline: Jennifer McHugh Named Senior Advisor in SEC's Division of Investment Management Release No.:2012-260
Published date grouping:December 2012 Date: Headline: SEC Charges Eight Mutual Fund Directors for Failure to Properly Oversee Asset Valuation Release No.:2012-259
Published date grouping:December 2012 Date: Headline: SEC Charges New Jersey-Based Consultant to Chinese Reverse Merger Companies with Violating Securities Laws Release No.:2012-262
Published date grouping:December 2012 Date: Headline: SEC Charges Florida-Based Lawyer with Forging Attorney Opinion Letters for Microcap Stocks Release No.:2012-257
Published date grouping:December 2012 Date: Headline: SEC Charges Prominent Entrepreneur in Miami-Based Scheme Release No.:2012-258
Published date grouping:December 2012 Date: Headline: SEC Completes 18th Annual International Enforcement Institute Release No.:2012-256
Published date grouping:December 2012 Date: Headline: Trading and Markets Director Robert Cook to Leave SEC Release No.:2012-253
Published date grouping:December 2012 Date: Headline: SEC Charges 10 in Insider Trading Ring Around Investment Banker's Illegal Tips on Impending Mergers Release No.:2012-255
Published date grouping:December 2012 Date: Headline: General Counsel Mark Cahn to Leave SEC Release No.:2012-254
Published date grouping:December 2012 Date: Headline: Joint Press Statement of Leaders on Operating Principles and Areas of Exploration in the Regulation of the Cross-Border OTC Derivatives Market Release No.:2012-251
Published date grouping:December 2012 Date: Headline: Division of Corporation Finance Director Meredith Cross to Leave SEC Release No.:2012-252
Published date grouping:December 2012 Date: Headline: SEC Charges China Affiliates of Big Four Accounting Firms with Violating U.S. Securities Laws in Refusing to Produce Documents Release No.:2012-249
Published date grouping:December 2012 Date: Headline: SEC Staff to Host Decimalization Roundtable Release No.:2012-250
Published date grouping:November 2012 Date: Headline: SEC Charges Connecticut-Based Business Executive with Insider Trading During Bidding Process Release No.:2012-247
Published date grouping:November 2012 Date: Headline: Brazilian Ex-Banker to Pay $5.1 Million for Insider Trading in Burger King Stock Release No.:2012-248
Published date grouping:November 2012 Date: Headline: SEC Charges Two Brokers with Insider Trading Ahead of IBM-SPSS Merger for $1 Million Profit Release No.:2012-245
Published date grouping:November 2012 Date: Headline: SEC Charges Chicago-Based Investment Adviser With Defrauding Investors In Failing Private Equity Fund Release No.:2012-244
Published date grouping:November 2012 Date: Headline: SEC Names Todd K. Scharf as Chief Information Security Officer and Associate Director in Its Office of Information Technology Release No.:2012-246
Published date grouping:November 2012 Date: Headline: SEC Charges Oil Company CEO as Source in Insider Trading Case Release No.:2012-243
Published date grouping:November 2012 Date: Headline: SEC Charges New York-Based Fund Executives for Overvaluing Assets During Financial Crisis Release No.:2012-242
Published date grouping:November 2012 Date: Headline: SEC Charges Four India-Based Brokerage Firms with Violating U.S. Registration Requirements Release No.:2012-241
Published date grouping:November 2012 Date: Headline: SEC Chairman Mary Schapiro to Step Down Next Month Release No.:2012-240
Published date grouping:November 2012 Date: Headline: Lorraine Echavarria Named Associate Regional Director to Lead Enforcement Program in SEC's Los Angeles Office Release No.:2012-239
Published date grouping:November 2012 Date: Headline: SEC Charges Hedge Fund Firm CR Intrinsic and Two Others in $276 Million Insider Trading Scheme Involving Alzheimer's Drug Release No.:2012-237
Published date grouping:November 2012 Date: Headline: SEC Sanctions Two Investment Advisers for Impeding Examinations Release No.:2012-238
Published date grouping:November 2012 Date: Headline: SEC Charges New York-Based Fraudster Who Spent Investor Funds on Drugs and Gambling Release No.:2012-235
Published date grouping:November 2012 Date: Headline: SEC Halts Prime Bank Scheme in Georgia Release No.:2012-236
Published date grouping:November 2012 Date: Headline: SEC Charges Ring of High School Buddies with Insider Trading in Health Care Stocks Release No.:2012-234
Published date grouping:November 2012 Date: Headline: SEC Charges J.P. Morgan and Credit Suisse With Misleading Investors in RMBS Offerings Release No.:2012-233
Published date grouping:November 2012 Date: Headline: MassMutual to Pay $1.625 Million after SEC Investigation Highlights Prior Insufficient Disclosures about Annuity Product Release No.:2012-230
Published date grouping:November 2012 Date: Headline: Fee Rate Advisory #2 for Fiscal Year 2013 Release No.:2012-232
Published date grouping:November 2012 Date: Headline: BP to Pay $525 Million Penalty to Settle SEC Charges of Securities Fraud During Deepwater Horizon Oil Spill Release No.:2012-231
Published date grouping:November 2012 Date: Headline: SEC Issues Staff Summary Report of Examinations of Nationally Recognized Statistical Rating Organizations Release No.:2012-228
Published date grouping:November 2012 Date: Headline: SEC Receives More Than 3,000 Whistleblower Tips in FY2012 Release No.:2012-229
Published date grouping:November 2012 Date: Headline: SEC and Justice Department Release FCPA Guide Release No.:2012-225
Published date grouping:November 2012 Date: Headline: SEC Approves Further Regulatory Relief and Assistance for Hurricane Sandy Victims Release No.:2012-226
Published date grouping:November 2012 Date: Headline: SEC's Enforcement Program Continues to Show Strong Results in Safeguarding Investors and Markets Release No.:2012-227
Published date grouping:November 2012 Date: Headline: SEC Charges Miami-Based Adviser with Hiding Trading Losses and Diverting Client Funds Release No.:2012-224
Published date grouping:November 2012 Date: Headline: SEC Charges Executives and Auditor of Electronic Game Card Company with Fraud Release No.:2012-223
Published date grouping:November 2012 Date: Headline: SEC Charges Baton Rouge-Based Investment Adviser with Hiding Losses From Mortgage-Backed Securities Investments Release No.:2012-222
Published date grouping:November 2012 Date: Headline: SEC Announces Agenda and Panelists for Small Business Forum Release No.:2012-221
Published date grouping:November 2012 Date: Headline: SEC Announces Assistance to Filers Affected by Hurricane Sandy Release No.:2012-220
Published date grouping:October 2012 Date: Headline: Chairman Schapiro Statement on Reopening of Securities Markets Release No.:2012-219
Published date grouping:October 2012 Date: Headline: Stop Order Proceedings Instituted Against Caribbean Pacific Marketing Release No.:2012-218
Published date grouping:October 2012 Date: Headline: SEC Charges Denver-Based Insurance Executive with Insider Trading Release No.:2012-217
Published date grouping:October 2012 Date: Headline: SEC Charges Silicon Valley Executive for Role in Galleon Insider Trading Scheme Release No.:2012-216
Published date grouping:October 2012 Date: Headline: SEC Adopts Standards for Risk Management and Operations of Clearing Agencies Release No.:2012-215
Published date grouping:October 2012 Date: Headline: More Than 1,500 Private Fund Advisers Registered With the SEC Since Passage of the Financial Reform Law Release No.:2012-214
Published date grouping:October 2012 Date: Headline: Hong Kong Firm to Pay $14 Million to Settle Insider Trading Charges Release No.:2012-212
Published date grouping:October 2012 Date: Headline: SEC Charges Trio in ".44 MAGNUM" Investment Scheme Release No.:2012-213
Published date grouping:October 2012 Date: Headline: SEC Charges Hedge Fund Adviser and Two Executives With Fraud in Continuing Probe of Suspicious Fund Performance Release No.:2012-209
Published date grouping:October 2012 Date: Headline: Andrew Calamari Named Director of New York Regional Office Release No.:2012-211
Published date grouping:October 2012 Date: Headline: SEC Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2012-210
Published date grouping:October 2012 Date: Headline: Pamela Dyson Named SEC's Deputy Chief Information Officer Release No.:2012-208
Published date grouping:October 2012 Date: Headline: SEC Charges Four Brokers With Defrauding Customers in $18.7 Million Scheme Release No.:2012-207
Published date grouping:October 2012 Date: Headline: SEC Charges Repeat Violator in South Florida with Fraudulently Offering Investments Tied to Oil Drilling Projects Release No.:2012-205
Published date grouping:October 2012 Date: Headline: SEC Charges Hedge Fund Managers with Defrauding Investors Release No.:2012-206
Published date grouping:October 2012 Date: Headline: SEC Charges Boston-Based Dark Pool Operator for Failing to Protect Confidential Information Release No.:2012-204
Published date grouping:September 2012 Date: Headline: SEC Announces Panelists for Market Technology Roundtable on October 2 Release No.:2012-202
Published date grouping:September 2012 Date: Headline: SEC Charges Financial Executive in Minnesota with Diverting Company Dollars to Pay Unauthorized Entertainment Expenses Release No.:2012-203
Published date grouping:September 2012 Date: Headline: SEC Issues Report on Brokerage Firms' Handling of Confidential Information Release No.:2012-200
Published date grouping:September 2012 Date: Headline: SEC Charges Goldman Sachs and Former Vice President in Pay-to-Play Probe Involving Contributions to Former Massachusetts State Treasurer Release No.:2012-199
Published date grouping:September 2012 Date: Headline: SEC Charges Investment Bank Analyst with Illegally Tipping College Friend About Nonpublic Merger Deals Release No.:2012-201
Published date grouping:September 2012 Date: Headline: SEC Charges Bank Executives in Nebraska With Understating Losses During Financial Crisis Release No.:2012-198
Published date grouping:September 2012 Date: Headline: SEC Charges N.Y.-Based Brokerage Firm with Layering Release No.:2012-197
Published date grouping:September 2012 Date: Headline: SEC Charges Tyco for Illicit Payments to Foreign Officials Release No.:2012-196
Published date grouping:September 2012 Date: Headline: SEC Charges Three in North Carolina With Insider Trading Release No.:2012-193
Published date grouping:September 2012 Date: Headline: SEC to Hold Annual Government-Business Forum on Small Business Capital Formation Release No.:2012-194
Published date grouping:September 2012 Date: Headline: SEC Freezes Assets of Insider Trader in Burger King Stock Release No.:2012-195
Published date grouping:September 2012 Date: Headline: SEC Charges Atlanta-Based Adviser with Operating Ponzi-Like Scheme Involving Private Investment Funds Release No.:2012-192
Published date grouping:September 2012 Date: Headline: SEC Charges Chicago-Based Investment Firm with Misleading Investors in Private Equity Offerings Release No.:2012-191
Published date grouping:September 2012 Date: Headline: SEC Charges Former Systemax Director in Compensation Scheme Release No.:2012-190
Published date grouping:September 2012 Date: Headline: SEC Charges New York Stock Exchange for Improper Distribution of Market Data Release No.:2012-189
Published date grouping:September 2012 Date: Headline: SEC Charges Connecticut-Based Broker with Stealing Investor Funds to Pay Mortgage and Shopping Bills Release No.:2012-188
Published date grouping:September 2012 Date: Headline: Andrew Bowden Named Deputy Director in the SEC's Office of Compliance Inspections and Examinations Release No.:2012-187
Published date grouping:September 2012 Date: Headline: SEC Charges Atlanta-Based Firm for Compliance Failures as Brokers Churned Customer Accounts Release No.:2012-186
Published date grouping:September 2012 Date: Headline: N.Y.-Based Investment Advisory Firm and Founder Settle SEC Charges for Fraudulent Management of CDOS Release No.:2012-184
Published date grouping:September 2012 Date: Headline: SEC Charges Asset Manager Lied to Investors, Hid Major Losses While Boasting Remarkable Performance During Financial Crisis Release No.:2012-185
Published date grouping:September 2012 Date: Headline: SEC Shuts Down San Diego-Based Real Estate Investment Fraud Release No.:2012-183
Published date grouping:September 2012 Date: Headline: SEC Charges Oregon-Based Investment Adviser for Failing to Disclose Revenue Sharing Payments Release No.:2012-180
Published date grouping:September 2012 Date: Headline: SEC Charges Solar Manufacturer With Concealing Agreement to Transfer Ownership Stake in Its Chinese Subsidiary Release No.:2012-181
Published date grouping:September 2012 Date: Headline: SEC Reschedules Date of Market Technology Roundtable Release No.:2012-182
Published date grouping:September 2012 Date: Headline: SEC Charges Attorney and Two Other South Florida Residents in $27.5 Million Investment Fraud Release No.:2012-178
Published date grouping:September 2012 Date: Headline: SEC Charges Public Relations Executive With Insider Trading in Client's Stock Release No.:2012-179
Published date grouping:September 2012 Date: Headline: SEC Charges Radio Personality for Conducting Misleading Investment Seminars Release No.:2012-177
Published date grouping:September 2012 Date: Headline: SEC Charges China-Based Company and Top Executive with Inflating Financial Results through Phony Sales Release No.:2012-175
Published date grouping:September 2012 Date: Headline: SEC Charges California Man for Illegal Tips to Hedge Fund Manager Release No.:2012-176
Published date grouping:August 2012 Date: Headline: Fee Rate Advisory #1 for Fiscal Year 2013 Release No.:2012-174
Published date grouping:August 2012 Date: Headline: SEC Issues Risk Alert on "Pay-To-Play" Prohibitions Under MSRB Rules Release No.:2012-173
Published date grouping:August 2012 Date: Headline: SEC Issues Financial Literacy Study Mandated by the Dodd-Frank Act Release No.:2012-172
Published date grouping:August 2012 Date: Headline: SEC Charges Florida Brokers for Defrauding Brazilian Public Pension Funds in Markup Scheme Release No.:2012-168
Published date grouping:August 2012 Date: Headline: SEC Proposes Rules to Implement JOBS Act Provision About General Solicitation and Advertising in Securities Offerings Release No.:2012-170
Published date grouping:August 2012 Date: Headline: SEC Announces Advisory Committee Meeting in San Francisco to Discuss Small Business Issues Release No.:2012-169
Published date grouping:August 2012 Date: Headline: SEC Announces Agenda For Market Technology Roundtable Release No.:2012-171
Published date grouping:August 2012 Date: Headline: SEC Charges Eight in Georgia-Based Insider Trading Ring Release No.:2012-167
Published date grouping:August 2012 Date: Headline: SEC Adopts Rules Requiring Payment Disclosures by Resource Extraction Issuers Release No.:2012-164
Published date grouping:August 2012 Date: Headline: SEC Charges New York-Based Firm and Owner in Penny Stock Scheme Release No.:2012-165
Published date grouping:August 2012 Date: Headline: SEC Adopts Rule for Disclosing Use of Conflict Minerals Release No.:2012-163
Published date grouping:August 2012 Date: Headline: Statement of SEC Chairman Mary L. Schapiro on Money Market Fund Reform Release No.:2012-166
Published date grouping:August 2012 Date: Headline: SEC Issues First Whistleblower Program Award Release No.:2012-162
Published date grouping:August 2012 Date: Headline: SEC Brings Charges in Puerto Rico-Based Ponzi Scheme Targeting Evangelical Christians and Factory Workers Release No.:2012-161
Published date grouping:August 2012 Date: Headline: SEC Shuts Down $600 Million Online Pyramid and Ponzi Scheme Release No.:2012-160
Published date grouping:August 2012 Date: Headline: New Charges in Insider Trading Case Include Former CEO and Professional Baseball Player Release No.:2012-159
Published date grouping:August 2012 Date: Headline: SEC Charges College Football Hall of Fame Coach in $80 Million Ponzi Scheme Release No.:2012-157
Published date grouping:August 2012 Date: Headline: SEC Charges Oracle Corporation With FCPA Violations Related to Secret Side Funds in India Release No.:2012-158
Published date grouping:August 2012 Date: Headline: SEC Halts Denver-Based Ponzi Scheme Release No.:2012-156
Published date grouping:August 2012 Date: Headline: SEC Charges Wells Fargo for Selling Complex Investments Without Disclosing Risks Release No.:2012-155
Published date grouping:August 2012 Date: Headline: SEC Charges Mutual Fund Adviser With Failing to Turn Over Records to SEC Examiners Release No.:2012-154
Published date grouping:August 2012 Date: Headline: SEC to Host Market Technology Roundtable Release No.:2012-153
Published date grouping:August 2012 Date: Headline: SEC Charges Pfizer with FCPA Violations Release No.:2012-152
Published date grouping:August 2012 Date: Headline: Chairman Schapiro Statement on Knight Capital Group Trading Issue Release No.:2012-151
Published date grouping:August 2012 Date: Headline: SEC Charges Bristol-Myers Squibb Executive With Insider Trading in Stock Options of Potential Acquisition Targets Release No.:2012-148
Published date grouping:August 2012 Date: Headline: SEC Names John Cross Director of Municipal Securities Office Release No.:2012-149
Published date grouping:August 2012 Date: Headline: Deputy Director of Division of Investment Management Robert E. Plaze Retiring After Almost 30 Years at SEC Release No.:2012-150
Published date grouping:July 2012 Date: Headline: SEC Recommends Improvements to Help Investors in Municipal Securities Market Release No.:2012-147
Published date grouping:July 2012 Date: Headline: SEC Charges N.Y.-Based Fund Manager and Others With Securities Law Violations Related to Chinese Reverse Merger Company Release No.:2012-146
Published date grouping:July 2012 Date: Headline: SEC Freezes Assets of Insider Traders in Nexen Acquisition Release No.:2012-145
Published date grouping:July 2012 Date: Headline: SEC Charges Phony Company President for Role in Facilitating Fake Investment in Penny Stock Company Release No.:2012-144
Published date grouping:July 2012 Date: Headline: SEC Charges Close Friend of Staffing Company CEO with Insider Trading Around Acquisition Release No.:2012-143
Published date grouping:July 2012 Date: Headline: SEC Charges CEO With Insider Trading in Secondary Offering of Company Stock Release No.:2012-141
Published date grouping:July 2012 Date: Headline: SEC Charges Chicago-Based Consulting Firm and Executives With Accounting Violations Release No.:2012-142
Published date grouping:July 2012 Date: Headline: SEC Veteran Michele Wein Layne Named Director of Los Angeles Office Release No.:2012-140
Published date grouping:July 2012 Date: Headline: SEC Charges Mizuho Securities USA with Misleading Investors by Obtaining False Credit Ratings for CDO Release No.:2012-139
Published date grouping:July 2012 Date: Headline: SEC Announces Deferred Prosecution Agreement with Amish Fund Release No.:2012-138
Published date grouping:July 2012 Date: Headline: Short Selling Brothers Agree to Pay $14.5 Million to Settle SEC Charges Release No.:2012-137
Published date grouping:July 2012 Date: Headline: Paul A. Beswick Named Acting Chief Accountant Release No.:2012-136
Published date grouping:July 2012 Date: Headline: SEC Staff Publishes Final Report on Work Plan for Global Accounting Standards Release No.:2012-135
Published date grouping:July 2012 Date: Headline: SEC Approves New Rule Requiring Consolidated Audit Trail to Monitor and Analyze Trading Activity Release No.:2012-134
Published date grouping:July 2012 Date: Headline: SEC Charges Orthofix International With FCPA Violations Release No.:2012-133
Published date grouping:July 2012 Date: Headline: SEC Charges Five Physicians With Insider Trading in Stock of Medical Professional Liability Insurer Release No.:2012-132
Published date grouping:July 2012 Date: Headline: Paula Drake Named Chief Counsel and Chief Compliance and Ethics Officer of SEC's Office Of Compliance Inspections and Examinations Release No.:2012-131
Published date grouping:July 2012 Date: Headline: SEC Approves Rules and Interpretations on Key Terms for Regulating Derivatives Release No.:2012-130
Published date grouping:July 2012 Date: Headline: SEC Names Norm Champ as Director of Division of Investment Management Release No.:2012-129
Published date grouping:July 2012 Date: Headline: Ken C. Joseph Named Head of Investment Adviser/Investment Company Examination Program in SEC's New York Regional Office Release No.:2012-128
Published date grouping:July 2012 Date: Headline: SEC Freezes Assets of Missing Georgia-Based Investment Adviser Release No.:2012-127
Published date grouping:June 2012 Date: Headline: SEC Charges Peter Madoff With Fraud and False Statements to Regulators Release No.:2012-126
Published date grouping:June 2012 Date: Headline: SEC Shuts Down $42 Million Ponzi-Like Scheme Release No.:2012-125
Published date grouping:June 2012 Date: Headline: SEC Adopts New Procedures for Reviewing Clearing Submissions Under Dodd-Frank Act Release No.:2012-124
Published date grouping:June 2012 Date: Headline: SEC Charges Long Island Software Company in Connection With Bribery Scheme Release No.:2012-123
Published date grouping:June 2012 Date: Headline: Philip A. Falcone and Harbinger Charged with Securities Fraud Release No.:2012-122
Published date grouping:June 2012 Date: Headline: SEC Charges Founder of Equity Research Firm with Insider Trading Release No.:2012-121
Published date grouping:June 2012 Date: Headline: SEC Sues Fund Adviser for Fees Charged in Breach of Duty Under the Investment Company Act Release No.:2012-120
Published date grouping:June 2012 Date: Headline: SEC Halts $100 Million Real-Estate Based Ponzi Scheme Release No.:2012-119
Published date grouping:June 2012 Date: Headline: SEC Charges Two New Jersey-Based Firms and Owner in Stock-Lending Scheme Release No.:2012-117
Published date grouping:June 2012 Date: Headline: SEC Charges Florida Broker in Astrology-Based Ponzi Scheme Release No.:2012-118
Published date grouping:June 2012 Date: Headline: SEC Adopts Rule Requiring Listing Standards for Compensation Committees and Compensation Advisers Release No.:2012-115
Published date grouping:June 2012 Date: Headline: SEC Chief Accountant James Kroeker to Leave the Commission Release No.:2012-116
Published date grouping:June 2012 Date: Headline: SEC Names Thomas Butler as Director of New Office of Credit Ratings Release No.:2012-113
Published date grouping:June 2012 Date: Headline: Director of Division of Investment Management Eileen Rominger to Retire Release No.:2012-114
Published date grouping:June 2012 Date: Headline: SEC Charges 14 Sales Agents In $415 Million Long Island-Based Ponzi Scheme Release No.:2012-112
Published date grouping:June 2012 Date: Headline: SEC Issues "Roadmap" on Phase in of Derivatives Regulation Release No.:2012-111
Published date grouping:June 2012 Date: Headline: OppenheimerFunds to Pay $35 Million to Settle SEC Charges for Misleading Statements During Financial Crisis Release No.:2012-110
Published date grouping:June 2012 Date: Headline: SEC Charges Company Officers and Penny Stock Promoters in Kickback and Market Manipulation Schemes Release No.:2012-108
Published date grouping:June 2012 Date: Headline: SEC Advisory Committee on Small and Emerging Companies to Meet on June 8 Release No.:2012-109
Published date grouping:June 2012 Date: Headline: SEC Approves Proposals to Address Extraordinary Volatility in Individual Stocks and Broader Stock Market Release No.:2012-107
Published date grouping:May 2012 Date: Headline: SEC Charges Phoenix-Based Investment Adviser and Firm With Fraud Release No.:2012-105
Published date grouping:May 2012 Date: Headline: Jon Rymer Named Interim Inspector General Release No.:2012-106
Published date grouping:May 2012 Date: Headline: Miami Hedge Fund Adviser Charged for Misleading Investors About "Skin in the Game" and Related-Party Deals Release No.:2012-104
Published date grouping:May 2012 Date: Headline: SEC Halts Fraudulent Investment Scheme by New York-Based Fund Manager Release No.:2012-103
Published date grouping:May 2012 Date: Headline: SEC Bars Former Staffer From Practice Before the Commission Release No.:2012-102
Published date grouping:May 2012 Date: Headline: SEC Charges Northern California Fund Manager in $60 Million Scheme Release No.:2012-101
Published date grouping:May 2012 Date: Headline: SEC Charges Two Feeders for One of South Florida's Largest-Ever Ponzi Schemes Release No.:2012-100
Published date grouping:May 2012 Date: Headline: SEC Charges Former Yahoo Executive and Former Ameriprise Manager with Insider Trading Release No.:2012-99
Published date grouping:May 2012 Date: Headline: James McNamara Named Managing Executive of SEC's Division of Trading And Markets Release No.:2012-98
Published date grouping:May 2012 Date: Headline: Erica Williams Named SEC's Deputy Chief of Staff Release No.:2012-97
Published date grouping:May 2012 Date: Headline: SEC Charges New Jersey Man in Real Estate Investment Scam Release No.:2012-94
Published date grouping:May 2012 Date: Headline: James Burns Named Deputy Director in SEC's Division of Trading and Markets Release No.:2012-96
Published date grouping:May 2012 Date: Headline: SEC Charges Seattle-Based Fund Manager for Secretly Diverting Client Funds to His Own Start-Up Companies Release No.:2012-95
Published date grouping:May 2012 Date: Headline: SEC Charges U.S. Perpetrators in $35 Million International Boiler Room Scheme Release No.:2012-93
Published date grouping:May 2012 Date: Headline: SEC Microcap Fraud-Fighting Initiative Expels 379 Dormant Shell Companies to Protect Investors From Potential Scams Release No.:2012-91
Published date grouping:May 2012 Date: Headline: SEC Charges China-Based Company and Executive for Concealing Loans to Benefit His Family Release No.:2012-92
Published date grouping:May 2012 Date: Headline: SEC Charges Scotland-Based Firm for Improperly Boosting Hedge Fund Client at Expense of U.S. Fund Investors Release No.:2012-90
Published date grouping:May 2012 Date: Headline: SEC Charges Former Detroit Officials and Investment Adviser to City Pension Funds in Influence Peddling Scheme Release No.:2012-88
Published date grouping:May 2012 Date: Headline: SEC Charges New York Man With Manipulating Biopharmaceutical Stocks and Conducting Unregistered Sales of Securities Release No.:2012-89
Published date grouping:May 2012 Date: Headline: SEC Charges Deloitte & Touche in Shanghai with Violating U.S. Securities Laws in Refusal to Produce Documents Release No.:2012-87
Published date grouping:May 2012 Date: Headline: SEC Charges Movie Producer and Ring of Relatives and Business Partners with Insider Trading Release No.:2012-86
Published date grouping:May 2012 Date: Headline: SEC Charges Montana-Based Paralegal and Her Father in Insider Trading Scheme Release No.:2012-84
Published date grouping:May 2012 Date: Headline: Joint Statement on Regulation of OTC Derivatives Markets Release No.:2012-85
Published date grouping:May 2012 Date: Headline: SEC Reopens Comment Period for Proposed Amendments to Its Net Capital, Customer Protection, Books and Records, and Notification Rules for Broker-Dealers Release No.:2012-83
Published date grouping:May 2012 Date: Headline: SEC Charges Florida Stock Scheme Mastermind and 10 Cohorts Release No.:2012-82
Published date grouping:May 2012 Date: Headline: SEC Charges UBS Puerto Rico and Two Executives with Defrauding Fund Customers Release No.:2012-81
Published date grouping:April 2012 Date: Headline: SEC Charges Mother, Daughter, and Their Attorney in Illegal Penny Stock Scheme Release No.:2012-80
Published date grouping:April 2012 Date: Headline: George Canellos Named Deputy Director of SEC Enforcement Division Release No.:2012-79
Published date grouping:April 2012 Date: Headline: Attorney, Wall Street Trader, and Middleman Settle SEC Charges in $32 Million Insider Trading Case Release No.:2012-77
Published date grouping:April 2012 Date: Headline: SEC Charges Former Morgan Stanley Executive with FCPA Violations and Investment Adviser Fraud Release No.:2012-78
Published date grouping:April 2012 Date: Headline: H&R Block Subsidiary Agrees to Pay $28.2 Million to Settle SEC Charges Related to Subprime Mortgage Investments Release No.:2012-76
Published date grouping:April 2012 Date: Headline: Egan-Jones Ratings Co. and Sean Egan Charged with Making Material Misrepresentations to SEC Release No.:2012-75
Published date grouping:April 2012 Date: Headline: SEC Charges Chinese Company and Executives with Lying About Asset Values and Use of IPO Proceeds Release No.:2012-74
Published date grouping:April 2012 Date: Headline: SEC Charges Former CalPERS CEO and Friend With Falsifying Letters in $20 Million Placement Agent Fee Scheme Release No.:2012-73
Published date grouping:April 2012 Date: Headline: SEC Charges Father-and-Son Hedge Fund Managers Who Agree to Pay $4.8 Million to Settle Fraud Case Release No.:2012-71
Published date grouping:April 2012 Date: Headline: SEC Charges British Twin Brothers Touting "Stock Picking Robot" in Internet Pump-and-Dump Scheme Release No.:2012-72
Published date grouping:April 2012 Date: Headline: SEC Charges Ox Trading, optionsXpress, and Former CFO With Registration Violations Release No.:2012-68
Published date grouping:April 2012 Date: Headline: SEC Names Diane C. Blizzard as Associate Director for Regulatory Policy and Investment Adviser Regulation Release No.:2012-69
Published date grouping:April 2012 Date: Headline: Volcker Rule Conformance Period Clarified Release No.:2012-70
Published date grouping:April 2012 Date: Headline: SEC Adopts Rule Defining Swaps-Related Terms for Regulating Derivatives Release No.:2012-67
Published date grouping:April 2012 Date: Headline: SEC Charges optionsXpress and Five Individuals Involved in Abusive Naked Short Selling Scheme Release No.:2012-66
Published date grouping:April 2012 Date: Headline: CPSS and IOSCO Issue Final Report on Principles for Financial Market Infrastructures and Seek Comment on Two Consultative Documents Release No.:2012-65
Published date grouping:April 2012 Date: Headline: SEC Shuts Down Ponzi Scheme Targeting Persian-Jewish Community in Los Angeles Release No.:2012-64
Published date grouping:April 2012 Date: Headline: Matthew Solomon Named Deputy Chief Litigation Counsel in SEC Enforcement Division Release No.:2012-63
Published date grouping:April 2012 Date: Headline: SEC Charges Ponzi Schemer Targeting Church Congregations Release No.:2012-62
Published date grouping:April 2012 Date: Headline: SEC Charges Goldman, Sachs & Co. Lacked Adequate Policies and Procedures for Research "Huddles" Release No.:2012-61
Published date grouping:April 2012 Date: Headline: SEC Charges China-Based Company and Others with Stock Manipulation Release No.:2012-59
Published date grouping:April 2012 Date: Headline: SEC Seeks Public Comment Prior to JOBS Act Rulemaking Release No.:2012-60
Published date grouping:April 2012 Date: Headline: SEC Announces Members of New Investor Advisory Committee Release No.:2012-58
Published date grouping:April 2012 Date: Headline: SEC Settles Fraud Charges Against Silicon Valley Man Release No.:2012-57
Published date grouping:April 2012 Date: Headline: SEC Charges Texas Bank Holding Company's CEO and CFO with Misleading Investors About Loan Quality and Financial Health During the Financial Crisis Release No.:2012-55
Published date grouping:April 2012 Date: Headline: SEC Charges South Florida Man in Investment Fraud Scheme Release No.:2012-56
Published date grouping:April 2012 Date: Headline: SEC Freezes Accounts of Six Chinese Citizens and One Offshore Entity Charged with Insider Trading Release No.:2012-54
Published date grouping:April 2012 Date: Headline: SEC Seeks Comment on Investor Testing Regarding Target Date Retirement Funds Release No.:2012-53
Published date grouping:April 2012 Date: Headline: U.S. and Canadian Securities Regulators Discuss Closer Cooperation on Cross-Border Oversight Release No.:2012-52
Published date grouping:April 2012 Date: Headline: SEC Sues Two Executives in Texas to Recover Bonuses and Stock Profits Received During Accounting Fraud Release No.:2012-51
Published date grouping:March 2012 Date: Headline: SEC Charges Medical Device Company Biomet with Foreign Bribery Release No.:2012-50
Published date grouping:March 2012 Date: Headline: SEC Establishes New Supervisory Cooperation Arrangements with Foreign Counterparts Release No.:2012-49
Published date grouping:March 2012 Date: Headline: SEC Issues Risk Alert on Strengthening Practices for Underwriting of Municipal Securities, and Investor Bulletin on Municipal Bonds Release No.:2012-48
Published date grouping:March 2012 Date: Headline: Availability of Staff Analysis of Market Data Related to Credit Default Swap Transactions Release No.:2012-47
Published date grouping:March 2012 Date: Headline: SEC Charges Bay Area Investment Adviser for Defrauding Investors With Bogus Audit Report Release No.:2012-45
Published date grouping:March 2012 Date: Headline: SEC Charges Senior Executives at California-Based Firm in Stock Lending Scheme Release No.:2012-46
Published date grouping:March 2012 Date: Headline: SEC Charges Chicago-Based Management Consultant With Insider Trading Release No.:2012-44
Published date grouping:March 2012 Date: Headline: SEC Announces Charges from Investigation of Secondary Market Trading of Private Company Shares Release No.:2012-43
Published date grouping:March 2012 Date: Headline: SEC Charges Five With Insider Trading on Confidential Merger Negotiations Between Philadelphia Company and Japanese Firm Release No.:2012-41
Published date grouping:March 2012 Date: Headline: SEC Charges Three Mortgage Executives With Fraudulent Accounting Maneuvers in Midst of Financial Crisis Release No.:2012-42
Published date grouping:March 2012 Date: Headline: SEC Charges Former Executive at Coca-Cola Bottling Company with Insider Trading Release No.:2012-40
Published date grouping:March 2012 Date: Headline: SEC Charges CEO of Las Vegas-Based Penny Stock Company and Several Consultants in Pump-and-Dump Scheme Release No.:2012-39
Published date grouping:March 2012 Date: Headline: SEC Obtains Asset Freeze Against Long Island Investment Adviser Charged with Defrauding Investors Release No.:2012-38
Published date grouping:March 2012 Date: Headline: Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC Case Release No.:2012-37
Published date grouping:March 2012 Date: Headline: Marshall Gandy Named Head of Examinations Program in SEC's Fort Worth Regional Office Release No.:2012-36
Published date grouping:March 2012 Date: Headline: Fee Rate Advisory #6 for Fiscal Year 2012 Release No.:2012-35
Published date grouping:February 2012 Date: Headline: SEC Proposes Rules To Help Prevent And Detect Identity Theft Release No.:2012-34
Published date grouping:February 2012 Date: Headline: SEC Releases Risk Alert on Unauthorized Trading Release No.:2012-33
Published date grouping:February 2012 Date: Headline: SEC Charges Three Oil Services Executives With Bribing Customs Officials in Nigeria Release No.:2012-32
Published date grouping:February 2012 Date: Headline: SEC Charges China-Based Executives with Securities Fraud Release No.:2012-31
Published date grouping:February 2012 Date: Headline: SEC Charges Oregon-Based Expert Consulting Firm and Owner with Insider Trading in Technology Sector Release No.:2012-30
Published date grouping:February 2012 Date: Headline: SEC Tightens Rules on Advisory Performance Fee Charges Release No.:2012-29
Published date grouping:February 2012 Date: Headline: Director of L.A. Office Rosalind Tyson to Retire after 30 Years of SEC Service Release No.:2012-28
Published date grouping:February 2012 Date: Headline: SEC Charges California Hedge Fund Manager Connected to Galleon Insider Trading Case Release No.:2012-27
Published date grouping:February 2012 Date: Headline: SEC Charges Former Pharmaceutical Company Employee with Insider Trading on Biotech Deals Release No.:2012-26
Published date grouping:February 2012 Date: Headline: SEC Charges Smith & Nephew PLC with Foreign Bribery Release No.:2012-25
Published date grouping:February 2012 Date: Headline: SEC Names Jeanette M. Franzel to the Public Company Accounting Oversight Board Release No.:2012-24
Published date grouping:February 2012 Date: Headline: SEC Charges Former Credit Suisse Investment Bankers in Subprime Bond Pricing Scheme During Credit Crisis Release No.:2012-23
Published date grouping:January 2012 Date: Headline: SEC Charges Brothers With Short Selling Violations Release No.:2012-22
Published date grouping:January 2012 Date: Headline: SEC Charges Former Executives and Accountants With Fraud at British Subsidiary of Medical Devices Company Release No.:2012-21
Published date grouping:January 2012 Date: Headline: SEC Deputy Inspector General to Serve as Agency's Interim Inspector General Release No.:2012-20
Published date grouping:January 2012 Date: Headline: SEC Charges Latvian Trader in Pervasive Brokerage Account Hijacking Scheme Release No.:2012-17
Published date grouping:January 2012 Date: Headline: SEC Charges Boiler Room Operators in Florida-Based Penny Stock Manipulation Scheme Release No.:2012-18
Published date grouping:January 2012 Date: Headline: SEC Advisory Committee on Small And Emerging Companies to Meet Wednesday Release No.:2012-19
Published date grouping:January 2012 Date: Headline: Diamondback Capital Agrees to Settle SEC Insider Trading Charges Release No.:2012-16
Published date grouping:January 2012 Date: Headline: Fee Rate Advisory #5 for Fiscal Year 2012 Release No.:2012-15
Published date grouping:January 2012 Date: Headline: SEC Charges Fund Managers and Analysts in Insider Trading Scheme Release No.:2012-11
Published date grouping:January 2012 Date: Headline: SEC Charges Florida Bank Holding Company and CEO with Misleading Investors about Loan Risks During Financial Crisis Release No.:2012-13
Published date grouping:January 2012 Date: Headline: SEC Obtains Emergency Relief Against St. Louis-Based Private Investment Funds after Charging Them and Their Principal with Fraud Release No.:2012-14
Published date grouping:January 2012 Date: Headline: SEC Seeks Public Comment for Financial Literacy Study Mandated by Dodd-Frank Act Release No.:2012-12
Published date grouping:January 2012 Date: Headline: SEC Names Jane Norberg as Deputy Chief of Whistleblower Office Release No.:2012-10
Published date grouping:January 2012 Date: Headline: SEC Inspector General H. David Kotz to Leave Commission Release No.:2012-9
Published date grouping:January 2012 Date: Headline: SEC Charges UBS Global Asset Management for Pricing Violations in Mutual Fund Portfolios Release No.:2012-8
Published date grouping:January 2012 Date: Headline: SEC Names Robert Fisher as Deputy Director in Office of International Affairs Release No.:2012-6
Published date grouping:January 2012 Date: Headline: Texas-Based Accountant Pleads Guilty to Lying to SEC Investigators Release No.:2012-7
Published date grouping:January 2012 Date: Headline: Administrative Law Judge Robert G. Mahony Retires After 46 Years of Federal Service Release No.:2012-5
Published date grouping:January 2012 Date: Headline: SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting Release No.:2012-4
Published date grouping:January 2012 Date: Headline: SEC Charges Illinois-Based Adviser in Social Media Scam Release No.:2012-3
Published date grouping:January 2012 Date: Headline: SEC Charges Life Settlements Firm and Three Executives with Disclosure and Accounting Fraud Release No.:2012-2
Published date grouping:January 2012 Date: Headline: SEC Names Pamela A. Gibbs as Director of the Office of Minority and Women Inclusion Release No.:2012-1
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