Published date grouping: April 2024
Date: April 25, 2024
Headline: SEC Small Business Advisory Committee to Discuss Regulation Crowdfunding and the State of Angel Investing
Release No.: 2024-50
Published date grouping: April 2024
Date: April 24, 2024
Headline: SEC Staff Publishes New Registered Fund Statistics Report
Release No.: 2024-49
Published date grouping: April 2024
Date: April 17, 2024
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: April 17, 2024
Headline: SEC Issues Second Fee Rate Advisory for Fiscal Year 2024
Release No.: 2024-47
Published date grouping: April 2024
Date: April 12, 2024
Headline: SEC Charges Five Investment Advisers for Marketing Rule Violations
Release No.: 2024-46
Published date grouping: April 2024
Date: April 4, 2024
Headline: Register for the SEC’s 43rd Annual Small Business Forum April 16-18
Release No.: 2024-45
Published date grouping: April 2024
Date: April 3, 2024
Headline: SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures
Release No.: 2024-44
Published date grouping: April 2024
Date: April 2, 2024
Headline: SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month
Release No.: 2024-43
Published date grouping: March 2024
Date: March 27, 2024
Headline: SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
Release No.: 2024-42
Published date grouping: March 2024
Date: March 26, 2024
Headline: SEC Seeks Candidates for Investor Advisory Committee
Release No.: 2024-41
Published date grouping: March 2024
Date: March 26, 2024
Headline: SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading
Release No.: 2024-40
Published date grouping: March 2024
Date: March 21, 2024
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: March 19, 2024
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: March 19, 2024
Headline: Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges
Release No.: 2024-37
Published date grouping: March 2024
Date: March 18, 2024
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: March 14, 2024
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: March 12, 2024
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: March 7, 2024
Headline: SEC Charges Skechers with Making Undisclosed Payments to Executives’ Family Members
Release No.: 2024-33
Published date grouping: March 2024
Date: March 6, 2024
Headline: SEC Adopts Amendments to Enhance Disclosure of Order Execution Information
Release No.: 2024-32
Published date grouping: March 2024
Date: March 6, 2024
Headline: SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors
Release No.: 2024-31
Published date grouping: March 2024
Date: March 1, 2024
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: Feb. 29, 2024
Headline: SEC Charges Lordstown Motors with Misleading Investors about Company’s Flagship Electric Vehicle
Release No.: 2024-29
Published date grouping: February 2024
Date: Feb. 29, 2024
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: Feb. 28, 2024
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: Feb. 27, 2024
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: Feb. 22, 2024
Headline: SEC Updates Ethics Rules Governing Securities Trading by Agency Personnel
Release No.: 2024-25
Published date grouping: February 2024
Date: Feb. 22, 2024
Headline: SEC Charges Husband of Energy Company Manager with Insider Trading
Release No.: 2024-24
Published date grouping: February 2024
Date: Feb. 16, 2024
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: Feb. 16, 2024
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: Feb. 16, 2024
Headline: SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
Release No.: 2024-21
Published date grouping: February 2024
Date: Feb. 16, 2024
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: Feb. 14, 2024
Headline: SEC Proposes Rule to Update Definition of Qualifying Venture Capital Funds
Release No.: 2024-19
Published date grouping: February 2024
Date: Feb. 9, 2024
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: Feb. 8, 2024
Headline: SEC Adopts Amendments to Enhance Private Fund Reporting
Release No.: 2024-17
Published date grouping: February 2024
Date: Feb. 7, 2024
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: Feb. 6, 2024
Headline: SEC Charges China-Based Tech Company Cloopen Group with Accounting Fraud
Release No.: 2024-15
Published date grouping: February 2024
Date: Feb. 6, 2024
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: Feb. 2, 2024
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: Feb. 2, 2024
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: Jan. 29, 2024
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: Jan. 25, 2024
Headline: SEC Charges Northern Star SPAC for Material Misrepresentations in its IPO-Related Disclosures
Release No.: 2024-10
Published date grouping: January 2024
Date: Jan. 25, 2024
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: Jan. 24, 2024
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: Jan. 16, 2024
Headline: J.P. Morgan to Pay $18 Million for Violating Whistleblower Protection Rule
Release No.: 2024-7
Published date grouping: January 2024
Date: Jan. 12, 2024
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: Jan. 11, 2024
Headline: SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures
Release No.: 2024-5
Published date grouping: January 2024
Date: Jan. 10, 2024
Headline: SEC Charges Global Software Company SAP for FCPA Violations
Release No.: 2024-4
Published date grouping: January 2024
Date: Jan. 5, 2024
Headline: SEC Appoints Stacey Bowers as Small Business Advocate
Release No.: 2024-3
Published date grouping: January 2024
Date: Jan. 3, 2024
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: Jan. 3, 2024
Headline: Mark Uyeda Sworn in for Second Term as SEC Commissioner
Release No.: 2024-1
Published date grouping: December 2023
Date: Dec. 22, 2023
Headline: Dean C. Metry Named Chief Administrative Law Judge at SEC
Release No.: 2023-259
Published date grouping: December 2023
Date: Dec. 22, 2023
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: Dec. 22, 2023
Headline: SEC Awards More Than $28 Million to Seven Whistleblowers
Release No.: 2023-257
Published date grouping: December 2023
Date: Dec. 22, 2023
Headline: SEC Charges UAE-Based Brooge Energy and Former Executives with Fraud
Release No.: 2023-256
Published date grouping: December 2023
Date: Dec. 19, 2023
Headline: SEC Charges Former CEO of Medical Device Startup Stimwave with $41 Million Fraud
Release No.: 2023-255
Published date grouping: December 2023
Date: Dec. 19, 2023
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: Dec. 15, 2023
Headline: SEC Issues Staff Report on Accredited Investor Definition
Release No.: 2023-253
Published date grouping: December 2023
Date: Dec. 14, 2023
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: Dec. 14, 2023
Headline: SEC Charges Titanium Capital and Founder Henry Abdo with Operating Ponzi Scheme
Release No.: 2023-251
Published date grouping: December 2023
Date: Dec. 14, 2023
Headline: SEC Obtains Emergency Relief to Halt $191 Million Cattle Ponzi Scheme
Release No.: 2023-250
Published date grouping: December 2023
Date: Dec. 13, 2023
Headline: Credit Suisse Entities to Pay $10 Million for Providing Prohibited Mutual Fund Services
Release No.: 2023-249
Published date grouping: December 2023
Date: Dec. 13, 2023
Headline: SEC Approves 2024 PCAOB Budget and Accounting Support Fee
Release No.: 2023-248
Published date grouping: December 2023
Date: Dec. 13, 2023
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: Dec. 7, 2023
Headline: Daniel R. Gregus, Director of the Chicago Regional Office, to Depart the SEC
Release No.: 2023-246
Published date grouping: December 2023
Date: Dec. 7, 2023
Headline: SEC Charges Five Unregistered Brokers, Four Companies in Widespread Pre-IPO Fraud Scheme
Release No.: 2023-245
Published date grouping: December 2023
Date: Dec. 5, 2023
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: Nov. 30, 2023
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: Nov. 29, 2023
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: Nov. 29, 2023
Headline: SEC Names Kate E. Zoladz as Regional Director of Los Angeles Office
Release No.: 2023-241
Published date grouping: November 2023
Date: Nov. 27, 2023
Headline: SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations
Release No.: 2023-240
Published date grouping: November 2023
Date: Nov. 22, 2023
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: Nov. 21, 2023
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: Nov. 20, 2023
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: Nov. 16, 2023
Headline: SEC Adopts Rules to Improve Clearing Agency Governance and Mitigate Conflicts of Interest
Release No.: 2023-236
Published date grouping: November 2023
Date: Nov. 14, 2023
Headline: Charter Communications to Pay $25 Million Penalty for Stock Buyback Controls Violations
Release No.: 2023-235
Published date grouping: November 2023
Date: Nov. 14, 2023
Headline: SEC Announces Enforcement Results for Fiscal Year 2023
Release No.: 2023-234
Published date grouping: November 2023
Date: Nov. 9, 2023
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: Nov. 2, 2023
Headline: SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations
Release No.: 2023-232
Published date grouping: November 2023
Date: Nov. 2, 2023
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: Nov. 2, 2023
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: Nov. 1, 2023
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: Oct. 31, 2023
Headline: SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme
Release No.: 2023-228
Published date grouping: October 2023
Date: Oct. 30, 2023
Headline: SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures
Release No.: 2023-227
Published date grouping: October 2023
Date: Oct. 24, 2023
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: Oct. 18, 2023
Headline: SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks
Release No.: 2023-225
Published date grouping: October 2023
Date: Oct. 17, 2023
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: Oct. 16, 2023
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: Oct. 16, 2023
Headline: SEC Division of Examinations Announces 2024 Priorities
Release No.: 2023-222
Published date grouping: October 2023
Date: Oct. 13, 2023
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: Oct. 13, 2023
Headline: SEC Adopts Rule to Increase Transparency in the Securities Lending Market
Release No.: 2023-220
Published date grouping: October 2023
Date: Oct. 10, 2023
Headline: SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting
Release No.: 2023-219
Published date grouping: October 2023
Date: Oct. 4, 2023
Headline: SEC Names Stephanie Allen as Director of Media Relations and Speechwriting
Release No.: 2023-218
Published date grouping: October 2023
Date: Oct. 2, 2023
Headline: SEC Spotlights Due Diligence During World Investor Week 2023
Release No.: 2023-217
Published date grouping: September 2023
Date: Sept. 29, 2023
Headline: SEC, MSRB, & FINRA to Hold Virtual Compliance Outreach Program
Release No.: 2023-216
Published date grouping: September 2023
Date: Sept. 29, 2023
Headline: SEC Proposes Tailored Registration Form for Offerings of Registered Index-Linked Annuities
Release No.: 2023-215
Published date grouping: September 2023
Date: Sept. 29, 2023
Headline: SEC Charges International Accounting Firm Prager Metis with Hundreds of Auditor Independence Violations
Release No.: 2023-214
Published date grouping: September 2023
Date: Sept. 29, 2023
Headline: SEC Charges D. E. Shaw with Violating Whistleblower Protection Rule
Release No.: 2023-213
Published date grouping: September 2023
Date: Sept. 29, 2023
Headline: SEC Charges 10 Firms with Widespread Recordkeeping Failures
Release No.: 2023-212
Published date grouping: September 2023
Date: Sept. 29, 2023
Headline: SEC Charges Two Credit Rating Agencies, DBRS and KBRA, with Longstanding Recordkeeping Failures
Release No.: 2023-211
Published date grouping: September 2023
Date: Sept. 29, 2023
Headline: SEC Charges Newell Brands and Former CEO for Misleading Investors About Sales Performance
Release No.: 2023-210
Published date grouping: September 2023
Date: Sept. 29, 2023
Headline: Albemarle Corp. to Pay SEC More Than $103 Million to Settle FCPA Violations
Release No.: 2023-209
Published date grouping: September 2023
Date: Sept. 28, 2023
Headline: SEC Charges Electric Vehicle Co. for Misleading Revenue Projections Ahead of SPAC Merger
Release No.: 2023-208
Published date grouping: September 2023
Date: Sept. 28, 2023
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: Sept. 28, 2023
Headline: SEC Charges Clear Channel Outdoor with FCPA Violations Relating to China Subsidiary
Release No.: 2023-206
Published date grouping: September 2023
Date: Sept. 28, 2023
Headline: SEC Charges Former Pareteum Executives with Accounting and Disclosure Fraud
Release No.: 2023-205
Published date grouping: September 2023
Date: Sept. 28, 2023
Headline: SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading
Release No.: 2023-204
Published date grouping: September 2023
Date: Sept. 27, 2023
Headline: SEC Charges Three Southern California Siblings with Insider Trading
Release No.: 2023-203
Published date grouping: September 2023
Date: Sept. 27, 2023
Headline: SEC Appoints George Botic to the Public Company Accounting Oversight Board
Release No.: 2023-202
Published date grouping: September 2023
Date: Sept. 27, 2023
Headline: SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings
Release No.: 2023-201
Published date grouping: September 2023
Date: Sept. 26, 2023
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: Sept. 26, 2023
Headline: SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts
Release No.: 2023-199
Published date grouping: September 2023
Date: Sept. 26, 2023
Headline: New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising
Release No.: 2023-198
Published date grouping: September 2023
Date: Sept. 26, 2023
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: Sept. 25, 2023
Headline: SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme
Release No.: 2023-196
Published date grouping: September 2023
Date: Sept. 25, 2023
Headline: SEC Charges GTT Communications for Disclosure Failures
Release No.: 2023-195
Published date grouping: September 2023
Date: Sept. 25, 2023
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: Sept. 22, 2023
Headline: SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties
Release No.: 2023-193
Published date grouping: September 2023
Date: Sept. 22, 2023
Headline: SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations
Release No.: 2023-192
Published date grouping: September 2023
Date: Sept. 22, 2023
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: Sept. 20, 2023
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: Sept. 20, 2023
Headline: SEC Approves Revised Privacy Act Rule
Release No.: 2023-189
Published date grouping: September 2023
Date: Sept. 20, 2023
Headline: SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names
Release No.: 2023-188
Published date grouping: September 2023
Date: Sept. 19, 2023
Headline: SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community
Release No.: 2023-187
Published date grouping: September 2023
Date: Sept. 19, 2023
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: Sept. 19, 2023
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: Sept. 19, 2023
Headline: SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule
Release No.: 2023-184
Published date grouping: September 2023
Date: Sept. 18, 2023
Headline: SEC Issues New Strategic Plan for Diversity, Equity, Inclusion, and Accessibility
Release No.: 2023-183
Published date grouping: September 2023
Date: Sept. 18, 2023
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: Sept. 15, 2023
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2023-181
Published date grouping: September 2023
Date: Sept. 14, 2023
Headline: SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking
Release No.: 2023-180
Published date grouping: September 2023
Date: Sept. 13, 2023
Headline: SEC Proposes Improvements to EDGAR Filer Access and Account Management
Release No.: 2023-179
Published date grouping: September 2023
Date: Sept. 13, 2023
Headline: SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs
Release No.: 2023-178
Published date grouping: September 2023
Date: Sept. 13, 2023
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: Sept. 12, 2023
Headline: SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers
Release No.: 2023-176
Published date grouping: September 2023
Date: Sept. 12, 2023
Headline: SEC Charges Alternative Investment Platform YieldStreet for Misleading Investors
Release No.: 2023-175
Published date grouping: September 2023
Date: Sept. 12, 2023
Headline: SEC Charges National Office Partner at Marcum for Causing Widespread Quality Control Deficiencies
Release No.: 2023-174
Published date grouping: September 2023
Date: Sept. 11, 2023
Headline: SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers
Release No.: 2023-173
Published date grouping: September 2023
Date: Sept. 8, 2023
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: Sept. 7, 2023
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: Sept. 6, 2023
Headline: SEC Charges Fluor Corp. for Accounting Improprieties
Release No.: 2023-170
Published date grouping: September 2023
Date: Sept. 6, 2023
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: Sept. 5, 2023
Headline: SEC Charges Five Advisory Firms for Custody Rule Violations
Release No.: 2023-168
Published date grouping: September 2023
Date: Sept. 5, 2023
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: Sept. 1, 2023
Headline: SEC Directs Equity Exchanges and FINRA to Improve Governance of Market Data Plans
Release No.: 2023-166
Published date grouping: August 2023
Date: Aug. 29, 2023
Headline: SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses
Release No.: 2023-165
Published date grouping: August 2023
Date: Aug. 29, 2023
Headline: SEC Charges Archipelago Trading Services with Failing to File Suspicious Activity Reports
Release No.: 2023-164
Published date grouping: August 2023
Date: Aug. 28, 2023
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: Aug. 25, 2023
Headline: SEC Announces First Fee Rate Advisory for Fiscal Year 2024
Release No.: 2023-162
Published date grouping: August 2023
Date: Aug. 25, 2023
Headline: SEC Awards Whistleblower More Than $18 Million
Release No.: 2023-161
Published date grouping: August 2023
Date: Aug. 25, 2023
Headline: SEC Charges 3M with Foreign Corrupt Practices Act Violations Relating to China Subsidiary
Release No.: 2023-160
Published date grouping: August 2023
Date: Aug. 25, 2023
Headline: Wells Fargo Settles with SEC for Charging Excessive Advisory Fees
Release No.: 2023-159
Published date grouping: August 2023
Date: Aug. 23, 2023
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: Aug. 23, 2023
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: Aug. 23, 2023
Headline: SEC Reopens Comment Period for Enhanced Safeguarding Rule for Registered Investment Advisers Proposal
Release No.: 2023-156
Published date grouping: August 2023
Date: Aug. 23, 2023
Headline: SEC Enhances the Regulation of Private Fund Advisers
Release No.: 2023-155
Published date grouping: August 2023
Date: Aug. 23, 2023
Headline: SEC Adopts Amendments to Exemption From National Securities Association Membership
Release No.: 2023-154
Published date grouping: August 2023
Date: Aug. 21, 2023
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: Aug. 14, 2023
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: Aug. 10, 2023
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: Aug. 10, 2023
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: Aug. 8, 2023
Headline: SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures
Release No.: 2023-149
Published date grouping: August 2023
Date: Aug. 7, 2023
Headline: Fund Administrator Charged For Missing Red Flags
Release No.: 2023-148
Published date grouping: August 2023
Date: Aug. 4, 2023
Headline: SEC Awards More Than $104 Million to Seven Whistleblowers
Release No.: 2023-147
Published date grouping: August 2023
Date: Aug. 2, 2023
Headline: SEC Charges Florida Investment Adviser a Second Time for Insider Trading
Release No.: 2023-145
Published date grouping: August 2023
Date: Aug. 1, 2023
Headline: SEC Charges New Jersey-Based ETF Manager for Fraudulent Conduct and Bars Founder
Release No.: 2023-144
Published date grouping: July 2023
Date: July 31, 2023
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: July 27, 2023
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: July 26, 2023
Headline: SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
Release No.: 2023-141
Published date grouping: July 2023
Date: July 26, 2023
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: July 26, 2023
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: July 26, 2023
Headline: SEC Charges Investor Joseph C. Lewis and Associates with Insider Trading
Release No.: 2023-138
Published date grouping: July 2023
Date: July 25, 2023
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: July 21, 2023
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: July 20, 2023
Headline: SEC Charges Digital World SPAC for Material Misrepresentations to Investors
Release No.: 2023-135
Published date grouping: July 2023
Date: July 19, 2023
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: July 13, 2023
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: July 12, 2023
Headline: SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange
Release No.: 2023-132
Published date grouping: July 2023
Date: July 12, 2023
Headline: SEC Awards Whistleblower More Than $9 Million
Release No.: 2023-131
Published date grouping: July 2023
Date: July 12, 2023
Headline: SEC Proposes Rule Amendments to the Broker-Dealer Customer Protection Rule
Release No.: 2023-130
Published date grouping: July 2023
Date: July 12, 2023
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: July 11, 2023
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: July 7, 2023
Headline: SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members
Release No.: 2023-127
Published date grouping: July 2023
Date: July 3, 2023
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: June 30, 2023
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: June 29, 2023
Headline: SEC Charges Stockbroker and Friend with Insider Trading
Release No.: 2023-124
Published date grouping: June 2023
Date: June 29, 2023
Headline: SEC Charges Former Pfizer Statistician with Insider Trading Ahead of COVID-19 Announcement
Release No.: 2022-123
Published date grouping: June 2023
Date: June 29, 2023
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: June 29, 2023
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: June 27, 2023
Headline: SEC Charges Former MusclePharm Executives with Accounting and Disclosure Fraud
Release No.: 2023-120
Published date grouping: June 2023
Date: June 27, 2023
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: June 26, 2023
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: June 23, 2023
Headline: SEC Charges Convicted Fraudster in Real Estate Ponzi Scheme
Release No.: 2023-117
Published date grouping: June 2023
Date: June 22, 2023
Headline: SEC Charges Investment Fund Founder William K. Ichioka with $25 Million Offering Fraud
Release No.: 2023-116
Published date grouping: June 2023
Date: June 21, 2023
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: June 21, 2023
Headline: SEC Charges Audit Firm Marcum LLP for Widespread Quality Control Deficiencies
Release No.: 2023-114
Published date grouping: June 2023
Date: June 20, 2023
Headline: SEC Reopens Comment Period for Position Reporting of Large Security-Based Swap Positions
Release No.: 2023-113
Published date grouping: June 2023
Date: June 20, 2023
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: June 20, 2023
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: June 17, 2023
Headline: SEC Secures Emergency Relief to Protect Binance.US Customers’ Assets
Release No.: 2023-110
Published date grouping: June 2023
Date: June 16, 2023
Headline: SEC Charges PIMCO for Disclosure and Policies and Procedures Failures
Release No.: 2023-109
Published date grouping: June 2023
Date: June 15, 2023
Headline: Michele Layne, Director of Los Angeles Regional Office, to Leave SEC
Release No.: 2023-108
Published date grouping: June 2023
Date: June 12, 2023
Headline: SEC Charges Investment Adviser and Principal in Abusive Naked Short Selling Scheme
Release No.: 2023-107
Published date grouping: June 2023
Date: June 12, 2023
Headline: SEC Unveils New Public Service Campaign Encouraging Older Investors to Never Stop Learning
Release No.: 2023-106
Published date grouping: June 2023
Date: June 7, 2023
Headline: SEC Adopts Amendments to Remove References to Credit Ratings From Regulation M
Release No.: 2023-105
Published date grouping: June 2023
Date: June 7, 2023
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: June 6, 2023
Headline: SEC Seeks Emergency Relief to Ensure Binance.US Customers’ Assets are Protected
Release No.: 2023-103
Published date grouping: June 2023
Date: June 6, 2023
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: June 5, 2023
Headline: SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao
Release No.: 2023-101
Published date grouping: June 2023
Date: June 2, 2023
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: May 30, 2023
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: May 30, 2023
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: May 23, 2023
Headline: SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraud
Release No.: 2023-97
Published date grouping: May 2023
Date: May 19, 2023
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: May 17, 2023
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: May 16, 2023
Headline: SEC Charges 10 Microcap Companies with Securities Offering Registration Violations
Release No.: 2023-94
Published date grouping: May 2023
Date: May 15, 2023
Headline: SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts
Release No.: 2023-93
Published date grouping: May 2023
Date: May 11, 2023
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: May 11, 2023
Headline: SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures
Release No.: 2023-91
Published date grouping: May 2023
Date: May 5, 2023
Headline: SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations
Release No.: 2023-90
Published date grouping: May 2023
Date: May 5, 2023
Headline: SEC Issues Largest-Ever Whistleblower Award
Release No.: 2023-89
Published date grouping: May 2023
Date: May 4, 2023
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: May 4, 2023
Headline: SEC Announces New Members of Small Business Capital Formation Advisory Committee
Release No.: 2023-87
Published date grouping: May 2023
Date: May 3, 2023
Headline: SEC Adopts Amendments to Enhance Private Fund Reporting
Release No.: 2023-86
Published date grouping: May 2023
Date: May 3, 2023
Headline: SEC Adopts Amendments to Modernize Share Repurchase Disclosure
Release No.: 2023-85
Published date grouping: May 2023
Date: May 2, 2023
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: April 28, 2023
Headline: SEC Reopens Comment Period for Proposed Rule Amendments to Modernize Beneficial Ownership Reporting
Release No.: 2023-83
Published date grouping: April 2023
Date: April 26, 2023
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: April 25, 2023
Headline: Eric R. Werner Named Director of Fort Worth Regional Office
Release No.: 2023-81
Published date grouping: April 2023
Date: April 18, 2023
Headline: SEC Charges Investment Adviser Betterment for Misstatements Concerning Tax Loss Harvesting Service
Release No.: 2023-80
Published date grouping: April 2023
Date: April 17, 2023
Headline: SEC Appoints Deborah J. Jeffrey as Inspector General
Release No.: 2023-79
Published date grouping: April 2023
Date: April 17, 2023
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: April 14, 2023
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: April 6, 2023
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: April 4, 2023
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: April 4, 2023
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: April 3, 2023
Headline: SEC Charges Merrill Lynch for Failing to Disclose Foreign Exchange Fees to Clients
Release No.: 2023-73
Published date grouping: April 2023
Date: April 3, 2023
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: April 3, 2023
Headline: SEC to Highlight Free Investor Education Resources During Financial Capability Month
Release No.: 2023-71
Published date grouping: March 2023
Date: March 31, 2023
Headline: Mark Reinhold Named SEC Chief Human Capital Officer
Release No.: 2023-70
Published date grouping: March 2023
Date: March 31, 2023
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: March 31, 2023
Headline: SEC Awards More Than $12 Million to Two Whistleblowers
Release No.: 2023-68
Published date grouping: March 2023
Date: March 31, 2023
Headline: SEC to Host Municipal Securities Disclosure Conference
Release No.: 2023-67
Published date grouping: March 2023
Date: March 30, 2023
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: March 29, 2023
Headline: SEC Charges Private Fund Auditor and Audit Engagement Partner with Improper Professional Conduct
Release No.: 2023-65
Published date grouping: March 2023
Date: March 29, 2023
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: March 28, 2023
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: March 27, 2023
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: March 23, 2023
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: March 23, 2023
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: March 22, 2023
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: March 22, 2023
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: March 20, 2023
Headline: SEC Virtual Outreach Event Highlights Students on the Frontlines of Investor Protection
Release No.: 2023-57
Published date grouping: March 2023
Date: March 20, 2023
Headline: SEC Office of Municipal Securities Issues FAQs for Registration of Municipal Advisors
Release No.: 2023-56
Published date grouping: March 2023
Date: March 16, 2023
Headline: SEC Charges Cannabis Company American Patriot Brands, CEO, and Others with Fraud
Release No.: 2023-55
Published date grouping: March 2023
Date: March 15, 2023
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: March 15, 2023
Headline: SEC Proposes to Expand and Update Regulation SCI
Release No.: 2023-53
Published date grouping: March 2023
Date: March 15, 2023
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: March 15, 2023
Headline: SEC Proposes Changes to Reg S-P to Enhance Protection of Customer Information
Release No.: 2023-51
Published date grouping: March 2023
Date: March 15, 2023
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: March 14, 2023
Headline: SEC Charges IT Services Provider DXC Technology Co. for Misleading Non-GAAP Disclosures
Release No.: 2023-49
Published date grouping: March 2023
Date: March 9, 2023
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: March 7, 2023
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2023-47
Published date grouping: March 2023
Date: March 6, 2023
Headline: SEC Charges Rio Tinto plc with Bribery Controls Failures
Release No.: 2023-46
Published date grouping: March 2023
Date: March 6, 2023
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: March 3, 2023
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: March 2, 2023
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: March 1, 2023
Headline: SEC Charges Ontrak Chairman Terren Peizer With Insider Trading
Release No.: 2023-42
Published date grouping: March 2023
Date: March 1, 2023
Headline: Fee Rate Advisory #3 for Fiscal Year 2023
Release No.: 2023-41
Published date grouping: February 2023
Date: Feb. 28, 2023
Headline: SEC Charges Nishad Singh with Defrauding Investors in Crypto Asset Trading Platform FTX
Release No.: 2023-40
Published date grouping: February 2023
Date: Feb. 24, 2023
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: Feb. 23, 2023
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: Feb. 23, 2023
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: Feb. 22, 2023
Headline: SEC Charges African Gold Acquisition Corp. with Internal Controls, Reporting, and Recordkeeping Failures
Release No.: 2023-36
Published date grouping: February 2023
Date: Feb. 21, 2023
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: Feb. 17, 2023
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: Feb. 16, 2023
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: Feb. 16, 2023
Headline: SEC Charges Terraform and CEO Do Kwon with Defrauding Investors in Crypto Schemes
Release No.: 2023-32
Published date grouping: February 2023
Date: Feb. 16, 2023
Headline: SEC Charges Options Clearing Corporation with Rule Failures
Release No.: 2023-31
Published date grouping: February 2023
Date: Feb. 15, 2023
Headline: SEC Proposes Enhanced Safeguarding Rule for Registered Investment Advisers
Release No.: 2023-30
Published date grouping: February 2023
Date: Feb. 15, 2023
Headline: SEC Finalizes Rules to Reduce Risks in Clearance and Settlement
Release No.: 2023-29
Published date grouping: February 2023
Date: Feb. 14, 2023
Headline: SEC Proposes Revision to Privacy Act Rule
Release No.: 2023-28
Published date grouping: February 2023
Date: Feb. 14, 2023
Headline: Cicely LaMothe Named Deputy Director, Disclosure Operations, for the Division of Corporation Finance
Release No.: 2023-27
Published date grouping: February 2023
Date: Feb. 14, 2023
Headline: SEC Charges Former CEO of Slync in $67 Million Offering Fraud
Release No.: 2023-26
Published date grouping: February 2023
Date: Feb. 9, 2023
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: Feb. 7, 2023
Headline: SEC Division of Examinations Announces 2023 Priorities
Release No.: 2023-24
Published date grouping: February 2023
Date: Feb. 7, 2023
Headline: SEC Seeks Applicants for Public Company Accounting Oversight Board Seat
Release No.: 2023-23
Published date grouping: February 2023
Date: Feb. 3, 2023
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: Feb. 2, 2023
Headline: SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
Release No.: 2023-21
Published date grouping: January 2023
Date: Jan. 31, 2023
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: Jan. 30, 2023
Headline: SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnel
Release No.: 2023-19
Published date grouping: January 2023
Date: Jan. 25, 2023
Headline: Silvestre Fontes Named Director of Boston Regional Office
Release No.: 2023-18
Published date grouping: January 2023
Date: Jan. 25, 2023
Headline: SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations
Release No.: 2023-17
Published date grouping: January 2023
Date: Jan. 24, 2023
Headline: SEC Issues $28 Million Award to Joint Whistleblowers
Release No.: 2023-16
Published date grouping: January 2023
Date: Jan. 23, 2023
Headline: Fee Rate Advisory #2 For Fiscal Year 2023
Release No.: 2023-15
Published date grouping: January 2023
Date: Jan. 23, 2023
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: Jan. 20, 2023
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: Jan. 19, 2023
Headline: SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
Release No.: 2023-12
Published date grouping: January 2023
Date: Jan. 19, 2023
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: Jan. 19, 2023
Headline: SEC Awards Approximately $18 Million to Three Whistleblowers
Release No.: 2023-10
Published date grouping: January 2023
Date: Jan. 13, 2023
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: Jan. 13, 2023
Headline: SEC Awards More Than $5 Million to Whistleblower
Release No.: 2023-8
Published date grouping: January 2023
Date: Jan. 12, 2023
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: Jan. 11, 2023
Headline: Paul Munter Named Chief Accountant
Release No.: 2023-6
Published date grouping: January 2023
Date: Jan. 10, 2023
Headline: SEC Announces Appointment of Cristina Martin Firvida as Investor Advocate
Release No.: 2023-5
Published date grouping: January 2023
Date: Jan. 9, 2023
Headline: SEC Charges McDonald’s Former CEO for Misrepresentations About His Termination
Release No.: 2023-4
Published date grouping: January 2023
Date: Jan. 5, 2023
Headline: SEC Charges Former BlackRock Portfolio Manager with Undisclosed Conflict of Interest
Release No.: 2023-3
Published date grouping: January 2023
Date: Jan. 4, 2023
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: Jan. 3, 2023
Headline: SEC Charges Former SPAC CFO for Orchestrating $5 Million Fraud Scheme
Release No.: 2023-1
Published date grouping: December 2022
Date: Dec. 27, 2022
Headline: Antonia Apps Named Director of New York Regional Office
Release No.: 2022-237
Published date grouping: December 2022
Date: Dec. 23, 2022
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: Dec. 22, 2022
Headline: SEC Announces Departure of Dan Berkovitz; Megan Barbero Named General Counsel
Release No.: 2022-235
Published date grouping: December 2022
Date: Dec. 21, 2022
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: Dec. 21, 2022
Headline: Sarah ten Siethoff Named Deputy Director of the Division of Investment Management
Release No.: 2022-233
Published date grouping: December 2022
Date: Dec. 20, 2022
Headline: SEC Charges Former CEO of Biotech Company CytoDyn with Fraud, Insider Trading
Release No.: 2022-232
Published date grouping: December 2022
Date: Dec. 19, 2022
Headline: SEC Awards More Than $37 Million to Whistleblower
Release No.: 2022-231
Published date grouping: December 2022
Date: Dec. 19, 2022
Headline: SEC Charges Honeywell with Bribery Schemes in Algeria and Brazil
Release No.: 2022-230
Published date grouping: December 2022
Date: Dec. 16, 2022
Headline: SEC Small Business Advocacy Office Releases Annual Report on Capital Raising
Release No.: 2022-229
Published date grouping: December 2022
Date: Dec. 14, 2022
Headline: SEC Charges Financial Services Professional and Associate in $47 Million Front-Running Scheme
Release No.: 2022-228
Published date grouping: December 2022
Date: Dec. 14, 2022
Headline: SEC Charges Four Individuals in Crypto Pyramid Scheme that Targeted Spanish-Speaking Communities
Release No.: 2022-227
Published date grouping: December 2022
Date: Dec. 14, 2022
Headline: SEC Proposes Regulation Best Execution
Release No.: 2022-226
Published date grouping: December 2022
Date: Dec. 14, 2022
Headline: SEC Proposes Rule to Enhance Competition for Individual Investor Order Execution
Release No.: 2022-225
Published date grouping: December 2022
Date: Dec. 14, 2022
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: Dec. 14, 2022
Headline: SEC Proposes Amendments to Enhance Disclosure of Order Execution Information
Release No.: 2022-223
Published date grouping: December 2022
Date: Dec. 14, 2022
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: Dec. 14, 2022
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: Dec. 13, 2022
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: Dec. 13, 2022
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: Dec. 12, 2022
Headline: SEC Awards More Than $20 Million to Whistleblower
Release No.: 2022-218
Published date grouping: December 2022
Date: Dec. 7, 2022
Headline: SEC Charges Vika Ventures and its CEO in $6 Million Fraudulent Offering
Release No.: 2022-217
Published date grouping: December 2022
Date: Dec. 7, 2022
Headline: SEC Reopens Comment Period for Proposed Rule on Share Repurchase Disclosure Modernization
Release No.: 2022-216
Published date grouping: December 2022
Date: Dec. 5, 2022
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: Dec. 3, 2022
Headline: ABB Settles SEC Charges That It Engaged in Bribery Scheme in South Africa
Release No.: 2022-214
Published date grouping: December 2022
Date: Dec. 1, 2022
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: Dec. 1, 2022
Headline: Fort Worth Regional Director David L. Peavler to Leave SEC
Release No.: 2022-212
Published date grouping: November 2022
Date: Nov. 28, 2022
Headline: SEC Awards $20 Million to Whistleblower
Release No.: 2022-211
Published date grouping: November 2022
Date: Nov. 23, 2022
Headline: SEC Publishes FY22-26 Strategic Plan
Release No.: 2022-210
Published date grouping: November 2022
Date: Nov. 22, 2022
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: Nov. 18, 2022
Headline: SEC Seeks to Stop the Registration of Misleading Crypto Asset Offerings
Release No.: 2022-208
Published date grouping: November 2022
Date: Nov. 17, 2022
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: Nov. 15, 2022
Headline: SEC Announces Enforcement Results for FY22
Release No.: 2022-206
Published date grouping: November 2022
Date: Nov. 14, 2022
Headline: SEC Charges S&P Global Ratings with Conflict of Interest Violations
Release No.: 2022-205
Published date grouping: November 2022
Date: Nov. 10, 2022
Headline: SEC Charges Pharmaceutical Co. Chief Information Officer in $8 Million Insider Trading Scheme
Release No.: 2022-204
Published date grouping: November 2022
Date: Nov. 7, 2022
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: Nov. 7, 2022
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: Nov. 4, 2022
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: Nov. 2, 2022
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: Nov. 2, 2022
Headline: SEC Proposes Enhancements to Open-End Fund Liquidity Framework
Release No.: 2022-199
Published date grouping: November 2022
Date: Nov. 2, 2022
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: Oct. 31, 2022
Headline: SEC Charges Incarcerated Felon and Five Friends in $2 Million Fraud Scheme
Release No.: 2022-197
Published date grouping: October 2022
Date: Oct. 31, 2022
Headline: SEC Awards More Than $10 Million to Whistleblower
Release No.: 2022-196
Published date grouping: October 2022
Date: Oct. 27, 2022
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2022-195
Published date grouping: October 2022
Date: Oct. 26, 2022
Headline: SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers
Release No.: 2022-194
Published date grouping: October 2022
Date: Oct. 26, 2022
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: Oct. 26, 2022
Headline: SEC Adopts Compensation Recovery Listing Standards and Disclosure Rules
Release No.: 2022-192
Published date grouping: October 2022
Date: Oct. 24, 2022
Headline: SEC Charges Canadian Cannabis Company and Former Senior Executive with Accounting Fraud
Release No.: 2022-191
Published date grouping: October 2022
Date: Oct. 24, 2022
Headline: SEC Names Jason J. Burt as Regional Director of the Denver Office
Release No.: 2022-190
Published date grouping: October 2022
Date: Oct. 21, 2022
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: Oct. 13, 2022
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: Oct. 12, 2022
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: Oct. 7, 2022
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: Oct. 6, 2022
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: Oct. 3, 2022
Headline: SEC to Spotlight Financial Planning and Resilience during World Investor Week 2022
Release No.: 2022-184
Published date grouping: October 2022
Date: Oct. 3, 2022
Headline: SEC Charges Kim Kardashian for Unlawfully Touting Crypto Security
Release No.: 2022-183
Published date grouping: September 2022
Date: Sept. 30, 2022
Headline: SEC Charges Eight in Scheme to Fraudulently Promote Securities Offerings
Release No.: 2022-182
Published date grouping: September 2022
Date: Sept. 30, 2022
Headline: SEC Charges Two Canadian Software Engineers with Insider Trading
Release No.: 2022-181
Published date grouping: September 2022
Date: Sept. 30, 2022
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: Sept. 29, 2022
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: Sept. 29, 2022
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: Sept. 29, 2022
Headline: SEC Monitoring Impact of Hurricanes Ian and Fiona on Capital Markets
Release No.: 2022-177
Published date grouping: September 2022
Date: Sept. 29, 2022
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: Sept. 28, 2022
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: Sept. 27, 2022
Headline: SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures
Release No.: 2022-174
Published date grouping: September 2022
Date: Sept. 27, 2022
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: Sept. 26, 2022
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: Sept. 23, 2022
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: Sept. 22, 2022
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: Sept. 21, 2022
Headline: SEC Charges Cheetah Mobile’s CEO and its Former President with Insider Trading
Release No.: 2022-169
Published date grouping: September 2022
Date: Sept. 20, 2022
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: Sept. 19, 2022
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: Sept. 19, 2022
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: Sept. 19, 2022
Headline: Office of the Investor Advocate Releases Research Study on Fund Performance Benchmarks
Release No.: 2022-165
Published date grouping: September 2022
Date: Sept. 15, 2022
Headline: SEC Charges Gol Intelligent Airlines, Brazil’s Second Largest Airline, with FCPA Violations
Release No.: 2022-164
Published date grouping: September 2022
Date: Sept. 14, 2022
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: Sept. 14, 2022
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: Sept. 13, 2022
Headline: SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law
Release No.: 2022-161
Published date grouping: September 2022
Date: Sept. 12, 2022
Headline: SEC Charges VMware with Misleading Investors by Obscuring Financial Performance
Release No.: 2022-160
Published date grouping: September 2022
Date: Sept. 12, 2022
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: Sept. 9, 2022
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: Sept. 9, 2022
Headline: SEC Adopts JOBS Act Inflation Adjustments
Release No.: 2022-157
Published date grouping: September 2022
Date: Sept. 9, 2022
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: Sept. 6, 2022
Headline: SEC Charges Perceptive Advisors for Failing to Disclose SPAC-Related Conflicts of Interest
Release No.: 2022-155
Published date grouping: September 2022
Date: Sept. 2, 2022
Headline: SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees
Release No.: 2022-154
Published date grouping: August 2022
Date: Aug. 30, 2022
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: Aug. 26, 2022
Headline: SEC Issues First Fee Rate Advisory for Fiscal Year 2023
Release No.: 2022-152
Published date grouping: August 2022
Date: Aug. 26, 2022
Headline: SEC Amends Whistleblower Rules to Incentivize Whistleblower Tips
Release No.: 2022-151
Published date grouping: August 2022
Date: Aug. 25, 2022
Headline: SEC Charges Infrastructure Company Granite Construction and Former Executive with Financial Reporting Fraud
Release No.: 2022-150
Published date grouping: August 2022
Date: Aug. 25, 2022
Headline: SEC Adopts Pay Versus Performance Disclosure Rules
Release No.: 2022-149
Published date grouping: August 2022
Date: Aug. 24, 2022
Headline: SEC Publishes Draft FY22-26 Strategic Plan for Public Comment
Release No.: 2022-148
Published date grouping: August 2022
Date: Aug. 17, 2022
Headline: SEC Charges Barred Broker and His Company with Defrauding Older Americans
Release No.: 2022-147
Published date grouping: August 2022
Date: Aug. 16, 2022
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: Aug. 15, 2022
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: Aug. 15, 2022
Headline: SEC Names Monique Winkler as Regional Director of San Francisco Office
Release No.: 2022-144
Published date grouping: August 2022
Date: Aug. 15, 2022
Headline: SEC Names Nicholas Grippo as Regional Director of Philadelphia Office
Release No.: 2022-143
Published date grouping: August 2022
Date: Aug. 12, 2022
Headline: Lori H. Price Named Director of Office of Credit Ratings
Release No.: 2022-142
Published date grouping: August 2022
Date: Aug. 10, 2022
Headline: SEC Proposes to Enhance Private Fund Reporting
Release No.: 2022-141
Published date grouping: August 2022
Date: Aug. 10, 2022
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: Aug. 9, 2022
Headline: SEC Awards More Than $16 Million to Two Whistleblowers
Release No.: 2022-139
Published date grouping: August 2022
Date: Aug. 8, 2022
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: Aug. 3, 2022
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: Aug. 2, 2022
Headline: SEC Appoints Anthony C. Thompson to Second Term on PCAOB
Release No.: 2022-136
Published date grouping: August 2022
Date: Aug. 2, 2022
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: Aug. 1, 2022
Headline: SEC Charges Eleven Individuals in $300 Million Crypto Pyramid Scheme
Release No.: 2022-134
Published date grouping: July 2022
Date: July 29, 2022
Headline: SEC Re-Proposes Amendments to Exemption From National Securities Association Membership
Release No.: 2022-133
Published date grouping: July 2022
Date: July 28, 2022
Headline: New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising
Release No.: 2022-132
Published date grouping: July 2022
Date: July 27, 2022
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: July 27, 2022
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: July 25, 2022
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: July 25, 2022
Headline: SEC Charges Former Indiana Congressman with Insider Trading
Release No.: 2022-128
Published date grouping: July 2022
Date: July 21, 2022
Headline: SEC Charges Former Coinbase Manager, Two Others in Crypto Asset Insider Trading Action
Release No.: 2022-127
Published date grouping: July 2022
Date: July 20, 2022
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: July 19, 2022
Headline: SEC Issues More than $17 Million Award to a Whistleblower
Release No.: 2022-125
Published date grouping: July 2022
Date: July 18, 2022
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: July 18, 2022
Headline: Jaime Lizárraga Sworn In as SEC Commissioner
Release No.: 2022-123
Published date grouping: July 2022
Date: July 15, 2022
Headline: SEC Awards Whistleblowers More Than $6 Million
Release No.: 2022-122
Published date grouping: July 2022
Date: July 13, 2022
Headline: SEC Proposes Amendments to Shareholder Proposal Rule
Release No.: 2022-121
Published date grouping: July 2022
Date: July 13, 2022
Headline: SEC Adopts Amendments to Proxy Rules Governing Proxy Voting Advice
Release No.: 2022-120
Published date grouping: June 2022
Date: June 30, 2022
Headline: SEC Charges Empires Consulting Corp. with Fake Trading Scheme
Release No.: 2022-119
Published date grouping: June 2022
Date: June 30, 2022
Headline: Mark T. Uyeda Sworn In as SEC Commissioner
Release No.: 2022-118
Published date grouping: June 2022
Date: June 29, 2022
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: June 29, 2022
Headline: Denver Regional Director Kurt L. Gottschall to Leave SEC
Release No.: 2022-116
Published date grouping: June 2022
Date: June 29, 2022
Headline: Tracy S. Combs Named Director of SEC’s Salt Lake Regional Office
Release No.: 2022-115
Published date grouping: June 2022
Date: June 28, 2022
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: June 23, 2022
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: June 22, 2022
Headline: SEC Announces Spring 2022 Regulatory Agenda
Release No.: 2022-112
Published date grouping: June 2022
Date: June 21, 2022
Headline: SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations
Release No.: 2022-111
Published date grouping: June 2022
Date: June 16, 2022
Headline: SEC Charges Firm and Five Brokers with Violations of Reg BI
Release No.: 2022-110
Published date grouping: June 2022
Date: June 15, 2022
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: June 14, 2022
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: June 14, 2022
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: June 14, 2022
Headline: SEC Charges Weiss Asset Management with Short Selling Violations
Release No.: 2022-106
Published date grouping: June 2022
Date: June 13, 2022
Headline: SEC Charges Former Employee of Online Gambling Company with Insider Trading
Release No.: 2022-105
Published date grouping: June 2022
Date: June 13, 2022
Headline: Schwab Subsidiaries Misled Robo-Adviser Clients about Absence of Hidden Fees
Release No.: 2022-104
Published date grouping: June 2022
Date: June 8, 2022
Headline: SEC Reopens Comment Period for Proposed Rule on Recovery of Erroneously Awarded Compensation
Release No.: 2022-103
Published date grouping: June 2022
Date: June 8, 2022
Headline: SEC Charges CohnReznick LLP and Three Partners with Improper Professional Conduct
Release No.: 2022-102
Published date grouping: June 2022
Date: June 7, 2022
Headline: SEC Charges New Jersey Software Company and Senior Employees with Accounting-Related Misconduct
Release No.: 2022-101
Published date grouping: June 2022
Date: June 6, 2022
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: June 3, 2022
Headline: SEC Updates Electronic Filing Requirements
Release No.: 2022-99
Published date grouping: June 2022
Date: June 2, 2022
Headline: SEC Charges Global Steel Pipe Manufacturer with Violating Foreign Corrupt Practices Act
Release No.: 2022-98
Published date grouping: June 2022
Date: June 2, 2022
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: June 1, 2022
Headline: SEC Announces Eight New Investor Advisory Committee Members
Release No.: 2022-96
Published date grouping: June 2022
Date: June 1, 2022
Headline: SEC Launches Game Show-Themed Public Service Campaign
Release No.: 2022-95
Published date grouping: May 2022
Date: May 31, 2022
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: May 27, 2022
Headline: SEC Announces Departure of Investor Advocate Rick A. Fleming
Release No.: 2022-93
Published date grouping: May 2022
Date: May 25, 2022
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: May 25, 2022
Headline: SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names
Release No.: 2022-91
Published date grouping: May 2022
Date: May 25, 2022
Headline: SEC Halts Alleged Ongoing $39 Million Fraud by Hedge Fund Adviser
Release No.: 2022-90
Published date grouping: May 2022
Date: May 25, 2022
Headline: SEC Charges RiverSource Distributors with Improper Switching of Variable Annuities
Release No.: 2022-89
Published date grouping: May 2022
Date: May 24, 2022
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: May 24, 2022
Headline: Richard R. Best Named Director of Division of Examinations
Release No.: 2022-87
Published date grouping: May 2022
Date: May 23, 2022
Headline: SEC Charges BNY Mellon Investment Adviser for Misstatements and Omissions Concerning ESG Considerations
Release No.: 2022-86
Published date grouping: May 2022
Date: May 20, 2022
Headline: SEC Charges Wells Fargo Advisors With Anti-Money Laundering Related Violations
Release No.: 2022-85
Published date grouping: May 2022
Date: May 17, 2022
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: May 16, 2022
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: May 9, 2022
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: May 6, 2022
Headline: SEC Halts Fraudulent Cryptomining and Trading Scheme
Release No.: 2022-81
Published date grouping: May 2022
Date: May 6, 2022
Headline: SEC Issues Nearly $3.5 Million Award to Four Whistleblowers
Release No.: 2022-80
Published date grouping: May 2022
Date: May 6, 2022
Headline: SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining
Release No.: 2022-79
Published date grouping: May 2022
Date: May 3, 2022
Headline: SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit
Release No.: 2022-78
Published date grouping: May 2022
Date: May 2, 2022
Headline: OMWI Reports Highlight Progress in Diversity, Equity and Inclusion
Release No.: 2022-77
Published date grouping: May 2022
Date: May 2, 2022
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: April 29, 2022
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: April 29, 2022
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: April 28, 2022
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: April 28, 2022
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: April 27, 2022
Headline: Inspector General Carl W. Hoecker to Retire from SEC
Release No.: 2022-71
Published date grouping: April 2022
Date: April 27, 2022
Headline: SEC Charges Archegos and its Founder with Massive Market Manipulation Scheme
Release No.: 2022-70
Published date grouping: April 2022
Date: April 25, 2022
Headline: SEC Announces Older Investor Roundtable Event to Be Held April 28
Release No.: 2022-69
Published date grouping: April 2022
Date: April 25, 2022
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2022-68
Published date grouping: April 2022
Date: April 25, 2022
Headline: SEC Issues $6 Million Award to Five Whistleblowers
Release No.: 2022-67
Published date grouping: April 2022
Date: April 21, 2022
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: April 19, 2022
Headline: SEC Charges Stericycle with Bribery Schemes in Latin America
Release No.: 2022-65
Published date grouping: April 2022
Date: April 18, 2022
Headline: Atlanta-Based Pest Control Company, Former CFO Charged with Improper Earnings Management
Release No.: 2022-64
Published date grouping: April 2022
Date: April 18, 2022
Headline: SEC Charges Senior Executive of Brazilian Company with Fraud
Release No.: 2022-63
Published date grouping: April 2022
Date: April 18, 2022
Headline: SEC Uncovers $194 Million Penny Stock Schemes that Spanned Three Continents
Release No.: 2022-62
Published date grouping: April 2022
Date: April 14, 2022
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: April 8, 2022
Headline: Fee Rate Advisory #1 for Fiscal Year 2022
Release No.: 2022-60
Published date grouping: April 2022
Date: April 6, 2022
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: April 5, 2022
Headline: SEC: Takeover Bid of Fortune 500 Company was a Sham
Release No.: 2022-58
Published date grouping: March 2022
Date: March 30, 2022
Headline: SEC Division of Examinations Announces 2022 Examination Priorities
Release No.: 2022-57
Published date grouping: March 2022
Date: March 30, 2022
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: March 28, 2022
Headline: SEC Charges Seven California Residents in Insider Trading Ring
Release No.: 2022-55
Published date grouping: March 2022
Date: March 28, 2022
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: March 28, 2022
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: March 25, 2022
Headline: SEC Awards $1.25 Million to Whistleblower
Release No.: 2022-52
Published date grouping: March 2022
Date: March 25, 2022
Headline: San Francisco Regional Director Erin E. Schneider to Leave Agency
Release No.: 2022-51
Published date grouping: March 2022
Date: March 24, 2022
Headline: Women’s History Month Event: SEC to Host Free Virtual Financial Fraud Webinar
Release No.: 2022-50
Published date grouping: March 2022
Date: March 24, 2022
Headline: SEC Announces New Leadership in Examinations Division and New York Regional Office
Release No.: 2022-49
Published date grouping: March 2022
Date: March 24, 2022
Headline: Martha Legg Miller, Director of Small Business Advocate Office, to Leave SEC
Release No.: 2022-48
Published date grouping: March 2022
Date: March 23, 2022
Headline: SEC Proposes Amendments to Remove References to Credit Ratings from Regulation M
Release No.: 2022-47
Published date grouping: March 2022
Date: March 21, 2022
Headline: SEC Proposes Rules to Enhance and Standardize Climate-Related Disclosures for Investors
Release No.: 2022-46
Published date grouping: March 2022
Date: March 18, 2022
Headline: SEC Issues Awards Totaling Approximately $3 Million to Three Whistleblowers
Release No.: 2022-45
Published date grouping: March 2022
Date: March 16, 2022
Headline: Dave A. Sanchez to Lead Office of Municipal Securities
Release No.: 2022-44
Published date grouping: March 2022
Date: March 16, 2022
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: March 15, 2022
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: March 15, 2022
Headline: SEC Charges Call Center Operators in $58 Million Penny Stock Scheme
Release No.: 2022-41
Published date grouping: March 2022
Date: March 11, 2022
Headline: SEC Awards Approximately $14 Million to Whistleblower
Release No.: 2022-40
Published date grouping: March 2022
Date: March 9, 2022
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: March 8, 2022
Headline: SEC Awards More Than $3.5 Million to Whistleblower
Release No.: 2022-38
Published date grouping: March 2022
Date: March 8, 2022
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: March 7, 2022
Headline: SEC Investor Advisory Committee to Discuss Artificial Intelligence and Cybersecurity on March 10
Release No.: 2022-36
Published date grouping: March 2022
Date: March 7, 2022
Headline: SEC Charges Previously-Barred Investment Adviser with Fraud
Release No.: 2022-35
Published date grouping: March 2022
Date: March 4, 2022
Headline: SEC Charges Venture Capital Fund Adviser with Misleading Investors
Release No.: 2022-34
Published date grouping: March 2022
Date: March 3, 2022
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: Feb. 25, 2022
Headline: SEC Proposes Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments
Release No.: 2022-32
Published date grouping: February 2022
Date: Feb. 22, 2022
Headline: SEC Charges Health Care Co. and Two Former Employees for Accounting Improprieties
Release No.: 2022-31
Published date grouping: February 2022
Date: Feb. 17, 2022
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: Feb. 17, 2022
Headline: SEC Charges Infinity Q Founder with Orchestrating Massive Valuation Fraud
Release No.: 2022-29
Published date grouping: February 2022
Date: Feb. 16, 2022
Headline: Rita Sampson Named Director of Office of Equal Employment Opportunity
Release No.: 2022-28
Published date grouping: February 2022
Date: Feb. 15, 2022
Headline: SEC Charges 12 Additional Financial Firms for Failure to Meet Form CRS Obligations
Release No.: 2022-27
Published date grouping: February 2022
Date: Feb. 14, 2022
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: Feb. 11, 2022
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: Feb. 10, 2022
Headline: SEC Charges Robo-Adviser with Misleading Clients
Release No.: 2022-24
Published date grouping: February 2022
Date: Feb. 10, 2022
Headline: SEC Proposed Changes to Two Whistleblower Program Rules
Release No.: 2022-23
Published date grouping: February 2022
Date: Feb. 10, 2022
Headline: SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting
Release No.: 2022-22
Published date grouping: February 2022
Date: Feb. 9, 2022
Headline: SEC Issues Proposal to Reduce Risks in Clearance and Settlement
Release No.: 2022-21
Published date grouping: February 2022
Date: Feb. 9, 2022
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: Feb. 9, 2022
Headline: SEC Proposes to Enhance Private Fund Investor Protection
Release No.: 2022-19
Published date grouping: February 2022
Date: Feb. 7, 2022
Headline: SEC Advisory Committee Meeting to Explore Small Business Investment Issues
Release No.: 2022-18
Published date grouping: February 2022
Date: Feb. 1, 2022
Headline: SEC Files Fraud Charges Alleging a Multimillion Dollar Scheme that Targeted Retirement Accounts
Release No.: 2022-17
Published date grouping: February 2022
Date: Feb. 1, 2022
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: Jan. 31, 2022
Headline: SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
Release No.: 2022-15
Published date grouping: January 2022
Date: Jan. 28, 2022
Headline: Remediation Helps Tech Company Avoid Penalties
Release No.: 2022-14
Published date grouping: January 2022
Date: Jan. 27, 2022
Headline: Kristin Snyder, Deputy Director of Division of Examinations, to Leave SEC
Release No.: 2022-13
Published date grouping: January 2022
Date: Jan. 27, 2022
Headline: LizAnn Eisen Joins Division of Corporation Finance as Deputy Director, Disclosure Program
Release No.: 2022-12
Published date grouping: January 2022
Date: Jan. 27, 2022
Headline: SEC Reopens Comment Period for Pay Versus Performance
Release No.: 2022-11
Published date grouping: January 2022
Date: Jan. 26, 2022
Headline: SEC Proposes Amendments to Include Significant Treasury Markets Platforms Within Regulation ATS
Release No.: 2022-10
Published date grouping: January 2022
Date: Jan. 26, 2022
Headline: SEC Proposes Amendments to Enhance Private Fund Reporting
Release No.: 2022-9
Published date grouping: January 2022
Date: Jan. 24, 2022
Headline: Former Financial Advisor Charged with Stealing $5.8 Million from Client
Release No.: 2022-8
Published date grouping: January 2022
Date: Jan. 21, 2022
Headline: SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers
Release No.: 2022-7
Published date grouping: January 2022
Date: Jan. 19, 2022
Headline: SEC Seeks Candidates for Investor Advisory Committee
Release No.: 2022-6
Published date grouping: January 2022
Date: Jan. 10, 2022
Headline: SEC Issues Awards Totaling More Than $4 Million to Whistleblowers
Release No.: 2022-5
Published date grouping: January 2022
Date: Jan. 6, 2022
Headline: SEC Charges Three Florida Residents in Multi-Million Dollar Insider Trading Scheme
Release No.: 2022-4
Published date grouping: January 2022
Date: Jan. 6, 2022
Headline: SEC Charges ICO Issuer and Founder with Defrauding Investors
Release No.: 2022-3
Published date grouping: January 2022
Date: Jan. 6, 2022
Headline: SEC Awards Over $13 Million To Whistleblower
Release No.: 2022-2
Published date grouping: January 2022
Date: Jan. 5, 2022
Headline: SEC Charges Additional Defendant in Phony Certificates of Deposit Scam
Release No.: 2022-1
Published date grouping: December 2021
Date: Dec. 30, 2021
Headline: Chair Gensler Announces Additions to Executive Staff
Release No.: 2021-270
Published date grouping: December 2021
Date: Dec. 29, 2021
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: Dec. 21, 2021
Headline: William Birdthistle Named Director of Division of Investment Management
Release No.: 2021-268
Published date grouping: December 2021
Date: Dec. 21, 2021
Headline: Nikola Corporation to Pay $125 Million to Resolve Fraud Charges
Release No.: 2021-267
Published date grouping: December 2021
Date: Dec. 20, 2021
Headline: SEC Charges Private Equity Fund Adviser with Fee and Expense Disclosure Failures
Release No.: 2021-266
Published date grouping: December 2021
Date: Dec. 20, 2021
Headline: SEC Charges Five Russians in $80 Million Hacking and Trading Scheme
Release No.: 2021-265
Published date grouping: December 2021
Date: Dec. 20, 2021
Headline: SEC Charges Clinical Drug Trial Investigator with Insider Trading
Release No.: 2021-264
Published date grouping: December 2021
Date: Dec. 17, 2021
Headline: James E. Grimes Named Chief Administrative Law Judge at SEC
Release No.: 2021-263
Published date grouping: December 2021
Date: Dec. 17, 2021
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: Dec. 15, 2021
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: Dec. 15, 2021
Headline: SEC Approves 2022 PCAOB Budget and Accounting Support Fee
Release No.: 2021-260
Published date grouping: December 2021
Date: Dec. 15, 2021
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: Dec. 15, 2021
Headline: SEC Proposes Amendments to Money Market Fund Rules
Release No.: 2021-258
Published date grouping: December 2021
Date: Dec. 15, 2021
Headline: SEC Proposes New Share Repurchase Disclosure Rules
Release No.: 2021-257
Published date grouping: December 2021
Date: Dec. 15, 2021
Headline: SEC Proposes Amendments Regarding Rule 10b5-1 Insider Trading Plans and Related Disclosures
Release No.: 2021-256
Published date grouping: December 2021
Date: Dec. 10, 2021
Headline: SEC Charges Three Canadian Citizens in Fraudulent Penny Stock Scheme
Release No.: 2021-255
Published date grouping: December 2021
Date: Dec. 9, 2021
Headline: Report From SEC Small Business Advocate Details Capital Raising During Past Year
Release No.: 2021-254
Published date grouping: December 2021
Date: Dec. 6, 2021
Headline: SEC Issues Whistleblower Nearly $5 Million Award
Release No.: 2021-253
Published date grouping: December 2021
Date: Dec. 6, 2021
Headline: SEC Charges Dialysis Provider and Three Former Senior Executives with Revenue Manipulation Scheme
Release No.: 2021-252
Published date grouping: December 2021
Date: Dec. 3, 2021
Headline: Ernesto A. Lanza Named Acting Director of SEC Office of Municipal Securities
Release No.: 2021-251
Published date grouping: December 2021
Date: Dec. 2, 2021
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: Dec. 2, 2021
Headline: SEC Charges Pharma CFO and Former Partner with Insider Trading
Release No.: 2021-249
Published date grouping: December 2021
Date: Dec. 2, 2021
Headline: SEC Charges Latvian Citizen With Digital Asset Fraud
Release No.: 2021-248
Published date grouping: December 2021
Date: Dec. 1, 2021
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2021-247
Published date grouping: November 2021
Date: Nov. 29, 2021
Headline: SEC Staff Issues Accounting Guidance on "Spring-Loaded" Compensation Awards to Executives
Release No.: 2021-246
Published date grouping: November 2021
Date: Nov. 24, 2021
Headline: SEC Investor Advisory Committee to Meet Remotely on Dec. 2
Release No.: 2021-245
Published date grouping: November 2021
Date: Nov. 22, 2021
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: Nov. 22, 2021
Headline: SEC Issues Whistleblower Awards Totaling Approximately $10.4 Million
Release No.: 2021-243
Published date grouping: November 2021
Date: Nov. 19, 2021
Headline: SEC Appoints Haoxiang Zhu Director of Division of Trading and Markets
Release No.: 2021-242
Published date grouping: November 2021
Date: Nov. 19, 2021
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: Nov. 18, 2021
Headline: SEC Proposes Updates to Electronic Recordkeeping Requirements
Release No.: 2021-240
Published date grouping: November 2021
Date: Nov. 18, 2021
Headline: SEC Proposes Rule to Provide Transparency in the Securities Lending Market
Release No.: 2021-239
Published date grouping: November 2021
Date: Nov. 18, 2021
Headline: SEC Announces Enforcement Results for FY 2021
Release No.: 2021-238
Published date grouping: November 2021
Date: Nov. 18, 2021
Headline: SEC Charges Promoter with Conducting Cryptocurrency Investment Scams
Release No.: 2021-237
Published date grouping: November 2021
Date: Nov. 17, 2021
Headline: SEC Proposes Rule Amendments to Proxy Rules Governing Proxy Voting Advice
Release No.: 2021-236
Published date grouping: November 2021
Date: Nov. 17, 2021
Headline: SEC Adopts New Rules for Universal Proxy Cards in Contested Director Elections
Release No.: 2021-235
Published date grouping: November 2021
Date: Nov. 15, 2021
Headline: Daniel R. Gregus Named Director of Chicago Office
Release No.: 2021-234
Published date grouping: November 2021
Date: Nov. 10, 2021
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: Nov. 10, 2021
Headline: SEC Issues Awards Totaling More Than $15 Million to Two Whistleblowers
Release No.: 2021-232
Published date grouping: November 2021
Date: Nov. 10, 2021
Headline: Registration of Two Digital Tokens Halted
Release No.: 2021-231
Published date grouping: November 2021
Date: Nov. 10, 2021
Headline: SEC Charges Partner at Global Consulting Firm With Insider Trading
Release No.: 2021-230
Published date grouping: November 2021
Date: Nov. 8, 2021
Headline: SEC Charges Exchange-Traded Product and Its General Partner With Disclosure Failures
Release No.: 2021-229
Published date grouping: November 2021
Date: Nov. 8, 2021
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: Nov. 8, 2021
Headline: Ahmed Abonamah Named Director of Office of Credit Ratings
Release No.: 2021-227
Published date grouping: November 2021
Date: Nov. 5, 2021
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: Nov. 5, 2021
Headline: Nicole Creola Kelly Named Chief of SEC Whistleblower Office
Release No.: 2021-225
Published date grouping: November 2021
Date: Nov. 5, 2021
Headline: SEC Wins Jury Trial: Hedge Fund Adviser Found Liable for Securities Fraud
Release No.: 2021-224
Published date grouping: November 2021
Date: Nov. 4, 2021
Headline: SEC Updates Electronic Filing Requirements
Release No.: 2021-223
Published date grouping: November 2021
Date: Nov. 4, 2021
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: Oct. 29, 2021
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: Oct. 29, 2021
Headline: SEC Awards More Than $2 Million to Whistleblower for Successful Related Action
Release No.: 2021-220
Published date grouping: October 2021
Date: Oct. 29, 2021
Headline: SEC Charges Fixed Income Clearing Corp. With Having Inadequate Risk Management Policies
Release No.: 2021-219
Published date grouping: October 2021
Date: Oct. 28, 2021
Headline: Former Public Affairs Director John Nester to Retire from SEC
Release No.: 2021-218
Published date grouping: October 2021
Date: Oct. 28, 2021
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: Oct. 27, 2021
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: Oct. 26, 2021
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: Oct. 26, 2021
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: Oct. 19, 2021
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: Oct. 18, 2021
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: Oct. 15, 2021
Headline: SEC Awards $40 Million to Two Whistleblowers
Release No.: 2021-211
Published date grouping: October 2021
Date: Oct. 14, 2021
Headline: SEC Reopens Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
Release No.: 2021-210
Published date grouping: October 2021
Date: Oct. 13, 2021
Headline: SEC Modernizes Filing Fee Disclosure and Payment Methods
Release No.: 2021-209
Published date grouping: October 2021
Date: Oct. 5, 2021
Headline: SEC Charges Hemp Company and Co-Founders With Fraud
Release No.: 2021-208
Published date grouping: October 2021
Date: Oct. 4, 2021
Headline: SEC Highlights Investor Protection for World Investor Week 2021
Release No.: 2021-207
Published date grouping: October 2021
Date: Oct. 1, 2021
Headline: SEC Charges Webcast Host for Role in Market Manipulation Scheme
Release No.: 2021-206
Published date grouping: September 2021
Date: Sept. 30, 2021
Headline: SEC Charges Rogue Trader Who Bankrupted His Firm
Release No.: 2021-205
Published date grouping: September 2021
Date: Sept. 30, 2021
Headline: SEC Charges Former Executives of Registered Investment Adviser with Fraud
Release No.: 2021-204
Published date grouping: September 2021
Date: Sept. 29, 2021
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: Sept. 29, 2021
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: Sept. 28, 2021
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: Sept. 28, 2021
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: Sept. 28, 2021
Headline: SEC Bars Two Individuals from Whistleblower Award Program
Release No.: 2021-199
Published date grouping: September 2021
Date: Sept. 28, 2021
Headline: Dan Berkovitz Named SEC General Counsel; John Coates to Leave SEC
Release No.: 2021-198
Published date grouping: September 2021
Date: Sept. 27, 2021
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: Sept. 27, 2021
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: Sept. 27, 2021
Headline: SEC Charges Two Individuals for Wash Trading Scheme Involving Options of "Meme Stocks"
Release No.: 2021-195
Published date grouping: September 2021
Date: Sept. 27, 2021
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: Sept. 24, 2021
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: Sept. 24, 2021
Headline: SEC Awards Approximately $36 Million to Whistleblower
Release No.: 2021-192
Published date grouping: September 2021
Date: Sept. 24, 2021
Headline: SEC Charges World's Largest Advertising Group with FCPA Violations
Release No.: 2021-191
Published date grouping: September 2021
Date: Sept. 23, 2021
Headline: SEC Issues Agenda for Sept. 27 Meeting of the Asset Management Advisory Committee
Release No.: 2021-190
Published date grouping: September 2021
Date: Sept. 23, 2021
Headline: SEC Charges Principals of Subprime Automobile Finance Company with Fraud
Release No.: 2021-189
Published date grouping: September 2021
Date: Sept. 23, 2021
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: Sept. 23, 2021
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: Sept. 23, 2021
Headline: SEC Charges Quant Analyst in Multimillion Dollar Front-Running Scheme
Release No.: 2021-186
Published date grouping: September 2021
Date: Sept. 21, 2021
Headline: SEC Charges Puerto Rican Company and Managing Members with Fraud
Release No.: 2021-185
Published date grouping: September 2021
Date: Sept. 21, 2021
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: Sept. 20, 2021
Headline: SEC Charges Crowdfunding Portal, Issuer, and Related Individuals for Fraudulent Offerings
Release No.: 2021-182
Published date grouping: September 2021
Date: Sept. 19, 2021
Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
Release No.: 2021-183
Published date grouping: September 2021
Date: Sept. 17, 2021
Headline: SEC Charges Former Pharmaceutical Global IT Manager in $8 Million Insider Trading Scheme
Release No.: 2021-181
Published date grouping: September 2021
Date: Sept. 17, 2021
Headline: SEC Awards $11.5 Million to Two Whistleblowers
Release No.: 2021-180
Published date grouping: September 2021
Date: Sept. 17, 2021
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: Sept. 16, 2021
Headline: SEC Charges School District and Former Executive with Misleading Investors in Bond Offering
Release No.: 2021-178
Published date grouping: September 2021
Date: Sept. 15, 2021
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: Sept. 14, 2021
Headline: SEC Charges App Annie and its Founder with Securities Fraud
Release No.: 2021-176
Published date grouping: September 2021
Date: Sept. 13, 2021
Headline: SEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets
Release No.: 2021-175
Published date grouping: September 2021
Date: Sept. 3, 2021
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: Sept. 2, 2021
Headline: SEC Investor Advisory Committee to Meet Remotely on Sept. 9
Release No.: 2021-173
Published date grouping: September 2021
Date: Sept. 1, 2021
Headline: SEC Charges Global Crypto Lending Platform and Top Executives in $2 Billion Fraud
Release No.: 2021-172
Published date grouping: August 2021
Date: Aug. 31, 2021
Headline: SEC Monitoring Impact of Hurricane Ida on Capital Markets
Release No.: 2021-171
Published date grouping: August 2021
Date: Aug. 31, 2021
Headline: SEC Obtains Emergency Relief, Charges Couple Who Operated $18 Million Ponzi scheme
Release No.: 2021-170
Published date grouping: August 2021
Date: Aug. 30, 2021
Headline: SEC Announces Three Actions Charging Deficient Cybersecurity Procedures
Release No.: 2021-169
Published date grouping: August 2021
Date: Aug. 27, 2021
Headline: SEC Issues Whistleblower Awards Totaling $2.6 Million
Release No.: 2021-168
Published date grouping: August 2021
Date: Aug. 27, 2021
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: Aug. 26, 2021
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: Aug. 25, 2021
Headline: Chair Gensler Announces Addition of Barbara Roper to Senior Staff
Release No.: 2021-165
Published date grouping: August 2021
Date: Aug. 25, 2021
Headline: SEC Charges Former CEO of Technology Company With $80 Million Fraud
Release No.: 2021-164
Published date grouping: August 2021
Date: Aug. 25, 2021
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: Aug. 24, 2021
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: Aug. 23, 2021
Headline: SEC Enforcement Chief Counsel Joe Brenner Retires
Release No.: 2021-161
Published date grouping: August 2021
Date: Aug. 23, 2021
Headline: Fee Rate Advisory #1 for Fiscal Year 2022
Release No.: 2021-160
Published date grouping: August 2021
Date: Aug. 19, 2021
Headline: SEC Enhances Access to Financial Disclosure Data
Release No.: 2021-159
Published date grouping: August 2021
Date: Aug. 18, 2021
Headline: SEC Charges Netflix Insider Trading Ring
Release No.: 2021-158
Published date grouping: August 2021
Date: Aug. 18, 2021
Headline: Sanjay Wadhwa Named Deputy Director of Enforcement Division
Release No.: 2021-157
Published date grouping: August 2021
Date: Aug. 17, 2021
Headline: SEC Charges Investment Adviser and Associated Individuals with Causing Violations of Regulation SHO
Release No.: 2021-156
Published date grouping: August 2021
Date: Aug. 17, 2021
Headline: SEC Charges Biopharmaceutical Company Employee with Insider Trading
Release No.: 2021-155
Published date grouping: August 2021
Date: Aug. 16, 2021
Headline: SEC Charges Pearson plc for Misleading Investors About Cyber Breach
Release No.: 2021-154
Published date grouping: August 2021
Date: Aug. 16, 2021
Headline: SEC Charges Penny Stock Company, CEO and Others with Multi-Million Dollar Fraud
Release No.: 2021-153
Published date grouping: August 2021
Date: Aug. 16, 2021
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: Aug. 13, 2021
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: Aug. 13, 2021
Headline: SEC Obtains Court Order to Stop Investment Adviser's Alleged Ongoing Offering Fraud
Release No.: 2021-150
Published date grouping: August 2021
Date: Aug. 10, 2021
Headline: SEC Issues Nearly $6 Million in Whistleblower Awards
Release No.: 2021-149
Published date grouping: August 2021
Date: Aug. 9, 2021
Headline: SEC Charges International Microcap Fraud Scheme Participants
Release No.: 2021-148
Published date grouping: August 2021
Date: Aug. 9, 2021
Headline: SEC Charges Poloniex for Operating Unregistered Digital Asset Exchange
Release No.: 2021-147
Published date grouping: August 2021
Date: Aug. 6, 2021
Headline: SEC Awards $3.5 Million to Whistleblowers in Two Enforcement Actions
Release No.: 2021-146
Published date grouping: August 2021
Date: Aug. 6, 2021
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: Aug. 2, 2021
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: Aug. 2, 2021
Headline: SEC Issues Whistleblower Awards Totaling More Than $4 Million
Release No.: 2021-143
Published date grouping: July 2021
Date: July 30, 2021
Headline: SEC Charges Real Estate CEO With Defrauding Investors
Release No.: 2021-142
Published date grouping: July 2021
Date: July 29, 2021
Headline: SEC Charges Founder of Nikola Corp. With Fraud
Release No.: 2021-141
Published date grouping: July 2021
Date: July 28, 2021
Headline: SEC Charges Unlicensed Broker With Defrauding Investors
Release No.: 2021-140
Published date grouping: July 2021
Date: July 26, 2021
Headline: SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures
Release No.: 2021-139
Published date grouping: July 2021
Date: July 26, 2021
Headline: SEC Issues Substituted Compliance Determination for France
Release No.: 2021-138
Published date grouping: July 2021
Date: July 22, 2021
Headline: YJ Fischer to Join SEC as Director of the Office of International Affairs
Release No.: 2021-137
Published date grouping: July 2021
Date: July 22, 2021
Headline: SEC Halts Alleged Ongoing Offering Fraud Involving Cycling Companies
Release No.: 2021-136
Published date grouping: July 2021
Date: July 22, 2021
Headline: SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investors
Release No.: 2021-135
Published date grouping: July 2021
Date: July 21, 2021
Headline: SEC Awards Nearly $3 Million to Whistleblower
Release No.: 2021-134
Published date grouping: July 2021
Date: July 21, 2021
Headline: SEC Charges Retailer and Former CEO for Accounting, Reporting, and Control Failures
Release No.: 2021-133
Published date grouping: July 2021
Date: July 19, 2021
Headline: SEC Files Charges in Multi-Million Dollar Fraud Involving Two Companies
Release No.: 2021-132
Published date grouping: July 2021
Date: July 19, 2021
Headline: SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer
Release No.: 2021-131
Published date grouping: July 2021
Date: July 19, 2021
Headline: UBS Settles Charges Related to Investments in Complex Exchange-Traded Product
Release No.: 2021-130
Published date grouping: July 2021
Date: July 16, 2021
Headline: Chair Gensler Announces Composition of Policy Team
Release No.: 2021-129
Published date grouping: July 2021
Date: July 15, 2021
Headline: SEC Awards More Than $1 Million to Whistleblower
Release No.: 2021-128
Published date grouping: July 2021
Date: July 15, 2021
Headline: SEC Charges Executives of Network Infrastructure Company With Accounting Fraud
Release No.: 2021-127
Published date grouping: July 2021
Date: July 14, 2021
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: July 14, 2021
Headline: ICO “Listing” Website Charged With Unlawfully Touting Digital Asset Securities
Release No.: 2021-125
Published date grouping: July 2021
Date: July 13, 2021
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: July 13, 2021
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: July 9, 2021
Headline: SEC Charges TheBull with Selling "Insider Trading Tips" on the Dark Web
Release No.: 2021-122
Published date grouping: July 2021
Date: July 9, 2021
Headline: SEC Charges Three Individuals with Insider Trading
Release No.: 2021-121
Published date grouping: July 2021
Date: July 7, 2021
Headline: SEC Charges Company and Two Executives for Misleading COVID-19 Disclosures
Release No.: 2021-120
Published date grouping: July 2021
Date: July 2, 2021
Headline: SEC Issues Agenda for July 7 Meeting of Asset Management Advisory Committee
Release No.: 2021-119
Published date grouping: July 2021
Date: July 2, 2021
Headline: SEC Charges Hedge Fund Trader in Lucrative Front-Running Scheme
Release No.: 2021-118
Published date grouping: June 2021
Date: June 30, 2021
Headline: SEC Charges San Francisco Bay Area Finance Employee and Friend With Insider Trading
Release No.: 2021-117
Published date grouping: June 2021
Date: June 30, 2021
Headline: SEC Engages with Students for Their Perspectives on Emerging Issues
Release No.: 2021-116
Published date grouping: June 2021
Date: June 29, 2021
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: June 29, 2021
Headline: SEC Appoints New Jersey Attorney General Gurbir S. Grewal as Director of Enforcement
Release No.: 2021-114
Published date grouping: June 2021
Date: June 29, 2021
Headline: SEC Charges Electronic Trading Platform for Operating As An Unregistered Broker-Dealer
Release No.: 2021-113
Published date grouping: June 2021
Date: June 25, 2021
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: June 25, 2021
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: June 24, 2021
Headline: SEC Awards More Than $1 Million to Whistleblower
Release No.: 2021-110
Published date grouping: June 2021
Date: June 23, 2021
Headline: New SEC Public Service Campaign: Investing Regularly Really Adds Up
Release No.: 2021-109
Published date grouping: June 2021
Date: June 22, 2021
Headline: SEC Charges ICO Issuer and CEO With Fraud and Unregistered Securities Offering
Release No.: 2021-108
Published date grouping: June 2021
Date: June 21, 2021
Headline: SEC Obtains Asset Freeze Against Offshore Fund and Its Operators
Release No.: 2021-107
Published date grouping: June 2021
Date: June 21, 2021
Headline: SEC Issues Whistleblower Awards Totaling Nearly $5.3 Million
Release No.: 2021-106
Published date grouping: June 2021
Date: June 17, 2021
Headline: SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze
Release No.: 2021-105
Published date grouping: June 2021
Date: June 15, 2021
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: June 15, 2021
Headline: Six Charged in Silicon Valley Insider Trading Ring
Release No.: 2021-103
Published date grouping: June 2021
Date: June 15, 2021
Headline: SEC Charges Issuer With Cybersecurity Disclosure Controls Failures
Release No.: 2021-102
Published date grouping: June 2021
Date: June 14, 2021
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: June 14, 2021
Headline: SEC Awards Approximately $3 Million to Two Whistleblowers
Release No.: 2021-100
Published date grouping: June 2021
Date: June 11, 2021
Headline: SEC Announces Annual Regulatory Agenda
Release No.: 2021-99
Published date grouping: June 2021
Date: June 11, 2021
Headline: SEC Charges Dentist-Turned-Investment Adviser for Three Separate Frauds
Release No.: 2021-98
Published date grouping: June 2021
Date: June 9, 2021
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2021-97
Published date grouping: June 2021
Date: June 8, 2021
Headline: Gary Gensler Announces Additions to Executive Staff
Release No.: 2021-96
Published date grouping: June 2021
Date: June 8, 2021
Headline: SEC Investor Advisory Committee to Meet Remotely On June 10
Release No.: 2021-95
Published date grouping: June 2021
Date: June 7, 2021
Headline: SEC Charges Couple With Insider Trading on Confidential Clinical Trial Data
Release No.: 2021-94
Published date grouping: June 2021
Date: June 4, 2021
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: June 3, 2021
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: June 2, 2021
Headline: SEC Awards More Than $23 Million to Whistleblowers
Release No.: 2021-91
Published date grouping: May 2021
Date: May 28, 2021
Headline: SEC Charges U.S. Promoters of $2 Billion Global Crypto Lending Securities Offering
Release No.: 2021-90
Published date grouping: May 2021
Date: May 27, 2021
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: May 27, 2021
Headline: SEC Awards More Than $4 Million to Whistleblower
Release No.: 2021-88
Published date grouping: May 2021
Date: May 19, 2021
Headline: SEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud
Release No.: 2021-87
Published date grouping: May 2021
Date: May 19, 2021
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: May 17, 2021
Headline: SEC Awards More Than $31 Million to Whistleblowers in Two Enforcement Actions
Release No.: 2021-85
Published date grouping: May 2021
Date: May 17, 2021
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: May 12, 2021
Headline: SEC Awards Approximately $3.6 Million to Whistleblower
Release No.: 2021-83
Published date grouping: May 2021
Date: May 12, 2021
Headline: SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports
Release No.: 2021-82
Published date grouping: May 2021
Date: May 10, 2021
Headline: SEC Awards $22 Million to Two Whistleblowers
Release No.: 2021-81
Published date grouping: May 2021
Date: May 7, 2021
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: May 5, 2021
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: May 3, 2021
Headline: SEC Charges Under Armour Inc. With Disclosure Failures
Release No.: 2021-78
Published date grouping: May 2021
Date: May 3, 2021
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: April 29, 2021
Headline: SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT
Release No.: 2021-76
Published date grouping: April 2021
Date: April 28, 2021
Headline: Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement
Release No.: 2021-75
Published date grouping: April 2021
Date: April 26, 2021
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: April 26, 2021
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: April 26, 2021
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: April 23, 2021
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: April 23, 2021
Headline: SEC Awards More Than $3 Million to Whistleblowers in Two Enforcement Actions
Release No.: 2021-70
Published date grouping: April 2021
Date: April 22, 2021
Headline: Alex Oh Named SEC Director of Enforcement
Release No.: 2021-69
Published date grouping: April 2021
Date: April 19, 2021
Headline: Gary Gensler Names Initial Senior Staff Members
Release No.: 2021-68
Published date grouping: April 2021
Date: April 19, 2021
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: April 19, 2021
Headline: SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud
Release No.: 2021-66
Published date grouping: April 2021
Date: April 17, 2021
Headline: Gary Gensler Sworn in as Member of the SEC
Release No.: 2021-65
Published date grouping: April 2021
Date: April 16, 2021
Headline: SEC Reopens Comment Period for Universal Proxy
Release No.: 2021-64
Published date grouping: April 2021
Date: April 16, 2021
Headline: Joel R. Levin, Director of Chicago Regional Office, to Leave SEC
Release No.: 2021-63
Published date grouping: April 2021
Date: April 15, 2021
Headline: SEC Awards Over $50 Million to Joint Whistleblowers
Release No.: 2021-62
Published date grouping: April 2021
Date: April 14, 2021
Headline: SEC Charges Felon and Six Others in Oil-and-Gas Offering Fraud
Release No.: 2021-61
Published date grouping: April 2021
Date: April 9, 2021
Headline: SEC Awards Approximately $2.5 Million to Whistleblower
Release No.: 2021-60
Published date grouping: April 2021
Date: April 8, 2021
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: April 6, 2021
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: April 5, 2021
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: April 5, 2021
Headline: Auditor Charged for Failure to Register with PCAOB and Multiple Audit Failures
Release No.: 2021-56
Published date grouping: April 2021
Date: April 5, 2021
Headline: SEC Promotes Investor Awareness During National Financial Capability Month
Release No.: 2021-55
Published date grouping: March 2021
Date: March 29, 2021
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: March 24, 2021
Headline: SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act
Release No.: 2021-53
Published date grouping: March 2021
Date: March 22, 2021
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: March 18, 2021
Headline: SEC Charges California-Based Fraudster With Selling “Insider Tips” on the Dark Web
Release No.: 2021-51
Published date grouping: March 2021
Date: March 18, 2021
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: March 18, 2021
Headline: SEC Charges Co-Founders of San Francisco Biotech Company With $60 Million Fraud
Release No.: 2021-49
Published date grouping: March 2021
Date: March 18, 2021
Headline: SEC Charges Owner of Real Estate Investment Company with Defrauding Investors
Release No.: 2021-48
Published date grouping: March 2021
Date: March 17, 2021
Headline: SEC Issues Agenda for March 19 Meeting of the Asset Management Advisory Committee
Release No.: 2021-47
Published date grouping: March 2021
Date: March 15, 2021
Headline: SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets
Release No.: 2021-46
Published date grouping: March 2021
Date: March 9, 2021
Headline: SEC Charges Unregistered Investment Adviser with Defrauding Investors in Decade-Long Scheme
Release No.: 2021-45
Published date grouping: March 2021
Date: March 9, 2021
Headline: SEC Awards Approximately $1.5 Million to Whistleblower
Release No.: 2021-44
Published date grouping: March 2021
Date: March 5, 2021
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: March 4, 2021
Headline: SEC Announces Enforcement Task Force Focused on Climate and ESG Issues
Release No.: 2021-42
Published date grouping: March 2021
Date: March 4, 2021
Headline: SEC Issues Over $5 Million to Joint Whistleblowers Located Abroad
Release No.: 2021-41
Published date grouping: March 2021
Date: March 3, 2021
Headline: SEC Investor Advisory Committee to Meet Remotely On March 11
Release No.: 2021-40
Published date grouping: March 2021
Date: March 3, 2021
Headline: SEC Division of Examinations Announces 2021 Examination Priorities
Release No.: 2021-39
Published date grouping: March 2021
Date: March 2, 2021
Headline: SEC Charges Seven Individuals for $45 Million Fraudulent Scheme
Release No.: 2021-38
Published date grouping: March 2021
Date: March 1, 2021
Headline: SEC Awards Over $500,000 to Two Whistleblowers
Release No.: 2021-37
Published date grouping: February 2021
Date: Feb. 26, 2021
Headline: Fee Rate Advisory #3 for Fiscal Year 2021
Release No.: 2021-36
Published date grouping: February 2021
Date: Feb. 26, 2021
Headline: SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity
Release No.: 2021-35
Published date grouping: February 2021
Date: Feb. 25, 2021
Headline: SEC Issues Whistleblower Awards Totaling Over $1.7 Million
Release No.: 2021-34
Published date grouping: February 2021
Date: Feb. 24, 2021
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: Feb. 23, 2021
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: Feb. 23, 2021
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: Feb. 19, 2021
Headline: SEC Awards Almost $3 Million Total in Separate Whistleblower Awards
Release No.: 2021-30
Published date grouping: February 2021
Date: Feb. 16, 2021
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: Feb. 11, 2021
Headline: SEC Suspends Trading in Inactive Issuer Touted on Social Media
Release No.: 2021-28
Published date grouping: February 2021
Date: Feb. 5, 2021
Headline: Kelly L. Gibson Named Acting Deputy Director of Division of Enforcement
Release No.: 2021-27
Published date grouping: February 2021
Date: Feb. 5, 2021
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: Feb. 4, 2021
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: Feb. 4, 2021
Headline: SEC Charges Investment Adviser and Others With Defrauding Over 17,000 Retail Investors
Release No.: 2021-24
Published date grouping: February 2021
Date: Feb. 2, 2021
Headline: SEC Charges Former Executives of San Francisco Bay Area Company With Accounting Violations
Release No.: 2021-23
Published date grouping: February 2021
Date: Feb. 1, 2021
Headline: SEC Charges Three Individuals in Digital Asset Frauds
Release No.: 2021-22
Published date grouping: February 2021
Date: Feb. 1, 2021
Headline: Acting Chair Allison Herren Lee Announces Executive Staff
Release No.: 2021-21
Published date grouping: February 2021
Date: Feb. 1, 2021
Headline: Satyam Khanna Named Senior Policy Advisor for Climate and ESG
Release No.: 2021-20
Published date grouping: February 2021
Date: Feb. 1, 2021
Headline: John Coates Named Acting Director of the Division of Corporation Finance
Release No.: 2021-19
Published date grouping: January 2021
Date: Jan. 27, 2021
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: Jan. 26, 2021
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: Jan. 22, 2021
Headline: Paul Munter Named the SEC’s Acting Chief Accountant
Release No.: 2021-16
Published date grouping: January 2021
Date: Jan. 22, 2021
Headline: Melissa Hodgman Named Acting Director of Division of Enforcement
Release No.: 2021-15
Published date grouping: January 2021
Date: Jan. 22, 2021
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: Jan. 21, 2021
Headline: Allison Herren Lee Named Acting Chair of the SEC
Release No.: 2021-13
Published date grouping: January 2021
Date: Jan. 21, 2021
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2021-12
Published date grouping: January 2021
Date: Jan. 19, 2021
Headline: Kimberly Hamm, Chief Counsel to SEC Chairman, to Conclude Tenure
Release No.: 2021-11
Published date grouping: January 2021
Date: Jan. 19, 2021
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: Jan. 15, 2021
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: Jan. 15, 2021
Headline: Fee Rate Advisory #2 for Fiscal Year 2021
Release No.: 2021-8
Published date grouping: January 2021
Date: Jan. 14, 2021
Headline: SEC Awards Nearly $600,000 to Whistleblower
Release No.: 2021-7
Published date grouping: January 2021
Date: Jan. 13, 2021
Headline: Sagar Teotia to Conclude Tenure as SEC Chief Accountant
Release No.: 2021-6
Published date grouping: January 2021
Date: Jan. 12, 2021
Headline: Acting Enforcement Director Marc P. Berger to Depart the Commission
Release No.: 2021-5
Published date grouping: January 2021
Date: Jan. 12, 2021
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: Jan. 8, 2021
Headline: SEC Charges Deutsche Bank With FCPA Violations Related to Third-Party Intermediaries
Release No.: 2021-3
Published date grouping: January 2021
Date: Jan. 7, 2021
Headline: SEC Issues Over $1.1 Million to Multiple Whistleblowers
Release No.: 2021-2
Published date grouping: January 2021
Date: Jan. 7, 2021
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: Dec. 30, 2020
Headline: Jed Hickman Named SEC’s EDGAR Business Office Director
Release No.: 2020-344
Published date grouping: December 2020
Date: Dec. 30, 2020
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: Dec. 28, 2020
Headline: Elad Roisman Named Acting Chairman of the SEC
Release No.: 2020-342
Published date grouping: December 2020
Date: Dec. 28, 2020
Headline: SEC Obtains Emergency Asset Freeze, Charges Crypto Fund Manager with Fraud
Release No.: 2020-341
Published date grouping: December 2020
Date: Dec. 23, 2020
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: Dec. 23, 2020
Headline: SEC Chief of Staff Sean Memon Announces Plans to Conclude Tenure
Release No.: 2020-339
Published date grouping: December 2020
Date: Dec. 22, 2020
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: Dec. 22, 2020
Headline: Charles Koretke Named Managing Executive of Division of Examinations
Release No.: 2020-337
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC Proposes Amendments to Rule 144 and Form 144
Release No.: 2020-336
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: Dalia Blass to Conclude Tenure as Director of the Division of Investment Management
Release No.: 2020-335
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC Adopts Modernized Marketing Rule for Investment Advisers
Release No.: 2020-334
Published date grouping: December 2020
Date: Dec. 22, 2020
Headline: SEC Awards Over $1.6 Million to Whistleblower
Release No.: 2020-333
Published date grouping: December 2020
Date: Dec. 22, 2020
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: Dec. 22, 2020
Headline: SEC and CONSOB Sign New Supervisory Cooperation Arrangement
Release No.: 2020-331
Published date grouping: December 2020
Date: Dec. 21, 2020
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: Dec. 21, 2020
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: Dec. 21, 2020
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: Dec. 18, 2020
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: Dec. 18, 2020
Headline: SEC Releases 2020 Office of Credit Rating Reports
Release No.: 2020-326
Published date grouping: December 2020
Date: Dec. 18, 2020
Headline: SEC Issues Multiple Whistleblower Awards Totaling Over $3.6 Million
Release No.: 2020-325
Published date grouping: December 2020
Date: Dec. 18, 2020
Headline: Small Business Advocate Releases Annual Report for Fiscal Year 2020
Release No.: 2020-324
Published date grouping: December 2020
Date: Dec. 18, 2020
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: Dec. 17, 2020
Headline: SEC Approves 2021 PCAOB Budget and Accounting Support Fee
Release No.: 2020-322
Published date grouping: December 2020
Date: Dec. 17, 2020
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: Dec. 16, 2020
Headline: SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation
Release No.: 2020-320
Published date grouping: December 2020
Date: Dec. 16, 2020
Headline: Luckin Coffee Agrees to Pay $180 Million Penalty to Settle Accounting Fraud Charges
Release No.: 2020-319
Published date grouping: December 2020
Date: Dec. 16, 2020
Headline: SEC Adopts Final Rules for the Disclosure of Payments by Resource Extraction Issuers
Release No.: 2020-318
Published date grouping: December 2020
Date: Dec. 15, 2020
Headline: Brett W. Redfearn to Conclude Transformative Tenure as SEC Trading and Markets Director
Release No.: 2020-317
Published date grouping: December 2020
Date: Dec. 14, 2020
Headline: SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities
Release No.: 2020-316
Published date grouping: December 2020
Date: Dec. 11, 2020
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: Dec. 10, 2020
Headline: Enforcement Director Stephanie Avakian To Conclude Tenure After Four Years Leading the Division
Release No.: 2020-314
Published date grouping: December 2020
Date: Dec. 10, 2020
Headline: SEC Staff Supplements Quarterly Private Funds Statistics
Release No.: 2020-313
Published date grouping: December 2020
Date: Dec. 9, 2020
Headline: General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations
Release No.: 2020-312
Published date grouping: December 2020
Date: Dec. 9, 2020
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: Dec. 9, 2020
Headline: Global Securities Pricing Service to Pay $8 Million for Compliance Failures
Release No.: 2020-310
Published date grouping: December 2020
Date: Dec. 8, 2020
Headline: Robert Stebbins to Conclude Tenure as SEC General Counsel
Release No.: 2020-309
Published date grouping: December 2020
Date: Dec. 8, 2020
Headline: SEC Orders BlueCrest to Pay $170 Million to Harmed Fund Investors
Release No.: 2020-308
Published date grouping: December 2020
Date: Dec. 7, 2020
Headline: SEC Issues Multiple Whistleblower Awards Totaling Nearly $3 Million
Release No.: 2020-307
Published date grouping: December 2020
Date: Dec. 4, 2020
Headline: SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures
Release No.: 2020-306
Published date grouping: December 2020
Date: Dec. 3, 2020
Headline: SEC Announces New Investor Advisory Committee Members
Release No.: 2020-305
Published date grouping: December 2020
Date: Dec. 3, 2020
Headline: Nekia Hackworth Jones Named Director of Atlanta Regional Office
Release No.: 2020-304
Published date grouping: December 2020
Date: Dec. 3, 2020
Headline: SEC Announces Office Focused on Innovation and Financial Technology
Release No.: 2020-303
Published date grouping: December 2020
Date: Dec. 3, 2020
Headline: SEC Modernizes Framework for Fund Valuation Practices
Release No.: 2020-302
Published date grouping: December 2020
Date: Dec. 2, 2020
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: Dec. 2, 2020
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: Dec. 1, 2020
Headline: SEC Charges Unregistered Investment Adviser with Defrauding Puerto Rico Municipality
Release No.: 2020-299
Published date grouping: December 2020
Date: Dec. 1, 2020
Headline: SEC Charges Boiler Rooms Operator with Defrauding Retail Investors
Release No.: 2020-298
Published date grouping: December 2020
Date: Dec. 1, 2020
Headline: SEC Awards Over $6 Million to Joint Whistleblowers
Release No.: 2020-297
Published date grouping: November 2020
Date: Nov. 25, 2020
Headline: SEC Issues Agenda for Dec. 1 Meeting of the Asset Management Advisory Committee
Release No.: 2020-296
Published date grouping: November 2020
Date: Nov. 24, 2020
Headline: SEC Investor Advisory Committee to Meet Remotely on Dec. 3
Release No.: 2020-295
Published date grouping: November 2020
Date: Nov. 24, 2020
Headline: SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to Workers
Release No.: 2020-294
Published date grouping: November 2020
Date: Nov. 24, 2020
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: Nov. 23, 2020
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: Nov. 23, 2020
Headline: SEC Charges E-Commerce Startup and CEO With Defrauding Investors
Release No.: 2020-291
Published date grouping: November 2020
Date: Nov. 19, 2020
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: Nov. 19, 2020
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: Nov. 19, 2020
Headline: SEC Awards Whistleblower Over $900,000
Release No.: 2020-288
Published date grouping: November 2020
Date: Nov. 18, 2020
Headline: Marie-Louise Huth Named as Associate General Counsel for Legal Policy
Release No.: 2020-287
Published date grouping: November 2020
Date: Nov. 17, 2020
Headline: SEC Adopts Rules to Facilitate Electronic Submission of Documents to the Agency
Release No.: 2020-286
Published date grouping: November 2020
Date: Nov. 17, 2020
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: Nov. 16, 2020
Headline: SEC Chairman Jay Clayton Confirms Plans to Conclude Tenure at Year End
Release No.: 2020-284
Published date grouping: November 2020
Date: Nov. 13, 2020
Headline: SEC Awards Over $1.1 Million to Whistleblower for Independent Analysis
Release No.: 2020-283
Published date grouping: November 2020
Date: Nov. 13, 2020
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: Nov. 13, 2020
Headline: SEC Charges Former Wells Fargo Executives for Misleading Investors About Key Performance Metric
Release No.: 2020-281
Published date grouping: November 2020
Date: Nov. 12, 2020
Headline: Mike Willis Named Associate Director in Division of Economic and Risk Analysis
Release No.: 2020-280
Published date grouping: November 2020
Date: Nov. 9, 2020
Headline: SEC Publishes Notice of German Substituted Compliance Application and Proposed Order
Release No.: 2020-279
Published date grouping: November 2020
Date: Nov. 5, 2020
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: Nov. 4, 2020
Headline: SEC Announces New Asset Management Advisory Committee Member
Release No.: 2020-277
Published date grouping: November 2020
Date: Nov. 3, 2020
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: Nov. 3, 2020
Headline: SEC Awards Over $28 Million to Whistleblower
Release No.: 2020-275
Published date grouping: November 2020
Date: Nov. 2, 2020
Headline: SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020
Release No.: 2020-274
Published date grouping: November 2020
Date: Nov. 2, 2020
Headline: SEC Harmonizes and Improves “Patchwork” Exempt Offering Framework
Release No.: 2020-273
Published date grouping: October 2020
Date: Oct. 29, 2020
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: Oct. 29, 2020
Headline: Raquel Fox, Director of the Office of International Affairs, to Depart SEC
Release No.: 2020-271
Published date grouping: October 2020
Date: Oct. 29, 2020
Headline: SEC Awards Over $10 Million to Whistleblower
Release No.: 2020-270
Published date grouping: October 2020
Date: Oct. 28, 2020
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: Oct. 27, 2020
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: Oct. 23, 2020
Headline: SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions
Release No.: 2020-267
Published date grouping: October 2020
Date: Oct. 22, 2020
Headline: SEC Issues Record $114 Million Whistleblower Award
Release No.: 2020-266
Published date grouping: October 2020
Date: Oct. 22, 2020
Headline: SEC Charges Goldman Sachs With FCPA Violations
Release No.: 2020-265
Published date grouping: October 2020
Date: Oct. 22, 2020
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: Oct. 22, 2020
Headline: SEC to Host Panel with Women Entrepreneurs of Color on Oct. 28
Release No.: 2020-263
Published date grouping: October 2020
Date: Oct. 21, 2020
Headline: SEC Obtains Final Judgment Against Kik Interactive For Unregistered Offering
Release No.: 2020-262
Published date grouping: October 2020
Date: Oct. 16, 2020
Headline: SEC Updates Auditor Independence Rules
Release No.: 2020-261
Published date grouping: October 2020
Date: Oct. 16, 2020
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: Oct. 15, 2020
Headline: SEC and CFTC to Hold a Joint Open Meeting on October 22
Release No.: 2020-259
Published date grouping: October 2020
Date: Oct. 15, 2020
Headline: SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan
Release No.: 2020-258
Published date grouping: October 2020
Date: Oct. 15, 2020
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: Oct. 15, 2020
Headline: SEC Appoints PCAOB Chief Auditor Megan Zietsman to PCAOB Board
Release No.: 2020-256
Published date grouping: October 2020
Date: Oct. 15, 2020
Headline: SEC Awards $800,000 to Whistleblower
Release No.: 2020-255
Published date grouping: October 2020
Date: Oct. 14, 2020
Headline: SEC Charges Brazilian Meat Producers With FCPA Violations
Release No.: 2020-254
Published date grouping: October 2020
Date: Oct. 13, 2020
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: Oct. 13, 2020
Headline: Jessica Kane Named Director of Division of Corporation Finance’s Disclosure Review Program
Release No.: 2020-252
Published date grouping: October 2020
Date: Oct. 8, 2020
Headline: SEC Charges Seismic Data Company, Former Executives With $100 Million Accounting Fraud
Release No.: 2020-251
Published date grouping: October 2020
Date: Oct. 7, 2020
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: Oct. 7, 2020
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: Oct. 7, 2020
Headline: SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising
Release No.: 2020-248
Published date grouping: October 2020
Date: Oct. 7, 2020
Headline: SEC Updates Regulatory Framework for Fund of Funds Arrangements
Release No.: 2020-247
Published date grouping: October 2020
Date: Oct. 5, 2020
Headline: SEC Charges John McAfee With Fraudulently Touting ICOs
Release No.: 2020-246
Published date grouping: October 2020
Date: Oct. 5, 2020
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: Oct. 5, 2020
Headline: SEC’s Messages for World Investor Week 2020
Release No.: 2020-244
Published date grouping: October 2020
Date: Oct. 1, 2020
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: Sept. 30, 2020
Headline: SEC Charges Hospitality Company for Failing to Disclose Executive Perks
Release No.: 2020-242
Published date grouping: September 2020
Date: Sept. 30, 2020
Headline: SEC Charges HP Inc. With Disclosure Violations and Control Failures
Release No.: 2020-241
Published date grouping: September 2020
Date: Sept. 30, 2020
Headline: SEC Whistleblower Program Ends Record-Setting Fiscal Year With Four Additional Awards
Release No.: 2020-240
Published date grouping: September 2020
Date: Sept. 30, 2020
Headline: SEC Awards Almost $30 Million to Two Insider Whistleblowers
Release No.: 2020-239
Published date grouping: September 2020
Date: Sept. 30, 2020
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: Sept. 29, 2020
Headline: SEC Charges Manitex International and Three Former Senior Executives With Accounting Fraud
Release No.: 2020-237
Published date grouping: September 2020
Date: Sept. 29, 2020
Headline: SEC Charges Former Real Estate Executive With Misappropriating $26 Million in Ponzi Scheme
Release No.: 2020-236
Published date grouping: September 2020
Date: Sept. 29, 2020
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: Sept. 29, 2020
Headline: SEC Charges Unregistered Brokers in Penny Stock Scheme Targeting Seniors
Release No.: 2020-234
Published date grouping: September 2020
Date: Sept. 29, 2020
Headline: J.P. Morgan Securities Admits to Manipulative Trading in U.S. Treasuries
Release No.: 2020-233
Published date grouping: September 2020
Date: Sept. 29, 2020
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: Sept. 28, 2020
Headline: SEC Issues $1.8 Million Whistleblower Award to a Company Outsider
Release No.: 2020-231
Published date grouping: September 2020
Date: Sept. 28, 2020
Headline: Fiat Chrysler Agrees to Pay $9.5 Million Penalty for Disclosure Violations
Release No.: 2020-230
Published date grouping: September 2020
Date: Sept. 28, 2020
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: Sept. 28, 2020
Headline: SEC Charges Amazon Finance Manager and Family With Insider Trading
Release No.: 2020-228
Published date grouping: September 2020
Date: Sept. 28, 2020
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: Sept. 28, 2020
Headline: SEC Charges Companies, Former Executives as Part of Risk-Based Initiative
Release No.: 2020-226
Published date grouping: September 2020
Date: Sept. 25, 2020
Headline: SEC Issues Two Whistleblower Awards for High-Quality Information Regarding Overseas Conduct
Release No.: 2020-225
Published date grouping: September 2020
Date: Sept. 25, 2020
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: Sept. 24, 2020
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: Sept. 24, 2020
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: Sept. 24, 2020
Headline: SEC Charges Lighting Products Company and Four Executives With Accounting Violations
Release No.: 2020-221
Published date grouping: September 2020
Date: Sept. 23, 2020
Headline: SEC Adopts Amendments to Modernize Shareholder Proposal Rule
Release No.: 2020-220
Published date grouping: September 2020
Date: Sept. 23, 2020
Headline: SEC Adds Clarity, Efficiency and Transparency to Its Successful Whistleblower Award Program
Release No.: 2020-219
Published date grouping: September 2020
Date: Sept. 23, 2020
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: Sept. 21, 2020
Headline: SEC Charges Index Manager and Friend With Insider Trading
Release No.: 2020-217
Published date grouping: September 2020
Date: Sept. 21, 2020
Headline: SEC Charges Ponzi Scheme Targeting U.S. Military Service Members
Release No.: 2020-216
Published date grouping: September 2020
Date: Sept. 21, 2020
Headline: SEC Issues $2.4 Million Whistleblower Award
Release No.: 2020-215
Published date grouping: September 2020
Date: Sept. 17, 2020
Headline: SEC Awards Almost $250,000 to Joint Whistleblowers
Release No.: 2020-214
Published date grouping: September 2020
Date: Sept. 17, 2020
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: Sept. 16, 2020
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: Sept. 15, 2020
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: Sept. 14, 2020
Headline: SEC Releases Report and Recommendations on the 39th Annual Small Business Forum
Release No.: 2020-210
Published date grouping: September 2020
Date: Sept. 14, 2020
Headline: SEC Awards More Than $10 Million to Whistleblower
Release No.: 2020-209
Published date grouping: September 2020
Date: Sept. 14, 2020
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: Sept. 11, 2020
Headline: SEC Charges Film Producer, Rapper, and Others for Participation in Two Fraudulent ICOs
Release No.: 2020-207
Published date grouping: September 2020
Date: Sept. 11, 2020
Headline: SEC Issues Agenda for September 16 Meeting of the Asset Management Advisory Committee
Release No.: 2020-206
Published date grouping: September 2020
Date: Sept. 11, 2020
Headline: SEC Modernizes Disclosures for Banking Registrants
Release No.: 2020-205
Published date grouping: September 2020
Date: Sept. 11, 2020
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: Sept. 3, 2020
Headline: SEC Charges Fund Manager for Fraud in Securities Offering in Neiman Marcus Bankruptcy
Release No.: 2020-203
Published date grouping: September 2020
Date: Sept. 1, 2020
Headline: SEC Investor Advisory Committee to Meet Virtually on September 24
Release No.: 2020-202
Published date grouping: September 2020
Date: Sept. 1, 2020
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: Aug. 31, 2020
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2020-200
Published date grouping: August 2020
Date: Aug. 31, 2020
Headline: SEC Awards Over $1.25 Million to Whistleblower
Release No.: 2020-199
Published date grouping: August 2020
Date: Aug. 28, 2020
Headline: SEC Charges Ponzi Scheme Targeting African Immigrants
Release No.: 2020-198
Published date grouping: August 2020
Date: Aug. 28, 2020
Headline: SEC Charges Herbalife With FCPA Violations
Release No.: 2020-197
Published date grouping: August 2020
Date: Aug. 26, 2020
Headline: Fee Rate Advisory #1 for Fiscal Year 2021
Release No.: 2020-196
Published date grouping: August 2020
Date: Aug. 26, 2020
Headline: SEC Charges BorgWarner for Materially Misstating its Financial Statements
Release No.: 2020-195
Published date grouping: August 2020
Date: Aug. 26, 2020
Headline: SEC Monitoring Impact of Hurricane Laura on Capital Markets
Release No.: 2020-194
Published date grouping: August 2020
Date: Aug. 26, 2020
Headline: SEC Halts Fraudulent Offering by Florida Investment Adviser
Release No.: 2020-193
Published date grouping: August 2020
Date: Aug. 26, 2020
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: Aug. 26, 2020
Headline: SEC Modernizes the Accredited Investor Definition
Release No.: 2020-191
Published date grouping: August 2020
Date: Aug. 25, 2020
Headline: SEC Charges Super Micro and Former CFO in Connection with Widespread Accounting Violations
Release No.: 2020-190
Published date grouping: August 2020
Date: Aug. 21, 2020
Headline: SEC Proposes Data Security Enhancements to the CAT NMS Plan
Release No.: 2020-189
Published date grouping: August 2020
Date: Aug. 19, 2020
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: Aug. 19, 2020
Headline: Richard R. Best Named Director of SEC's New York Regional Office
Release No.: 2020-187
Published date grouping: August 2020
Date: Aug. 19, 2020
Headline: SEC Names Marc P. Berger as Deputy Director of Enforcement
Release No.: 2020-186
Published date grouping: August 2020
Date: Aug. 18, 2020
Headline: SEC Names Diana Stoltzfus as Deputy Chief Accountant
Release No.: 2020-185
Published date grouping: August 2020
Date: Aug. 17, 2020
Headline: Caroline A. Crenshaw and Hester M. Peirce Sworn-In As SEC Commissioners
Release No.: 2020-184
Published date grouping: August 2020
Date: Aug. 13, 2020
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: Aug. 13, 2020
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: Aug. 13, 2020
Headline: SEC Charges Issuer and CEO With Misrepresenting Platform Technology in Fraudulent ICO
Release No.: 2020-181
Published date grouping: August 2020
Date: Aug. 12, 2020
Headline: Deputy Chief Accountant Marc Panucci to Leave SEC
Release No.: 2020-180
Published date grouping: August 2020
Date: Aug. 11, 2020
Headline: Sebastian Gomez Abero Named Deputy Director of SEC's Small Business Advocacy Office
Release No.: 2020-179
Published date grouping: August 2020
Date: Aug. 10, 2020
Headline: SEC Charges Interactive Brokers With Repeatedly Failing to File Suspicious Activity Reports
Release No.: 2020-178
Published date grouping: August 2020
Date: Aug. 6, 2020
Headline: SEC Charges Consumer Loan Company With FCPA Violations
Release No.: 2020-177
Published date grouping: August 2020
Date: Aug. 5, 2020
Headline: Lindsay McCord Named Chief Accountant in Division of Corporation Finance
Release No.: 2020-176
Published date grouping: August 2020
Date: Aug. 5, 2020
Headline: SEC Charges Affiliated Advisers for Misrepresentations About Payment for Order Flow Arrangements
Release No.: 2020-175
Published date grouping: August 2020
Date: Aug. 5, 2020
Headline: Enforcement Co-Director Steven Peikin to Depart
Release No.: 2020-174
Published date grouping: August 2020
Date: Aug. 5, 2020
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: Aug. 5, 2020
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: Aug. 4, 2020
Headline: SEC Announces New Small Business Capital Formation Advisory Committee Members
Release No.: 2020-171
Published date grouping: August 2020
Date: Aug. 3, 2020
Headline: Scott A. Thompson Named Associate Regional Director in Philadelphia Office
Release No.: 2020-170
Published date grouping: July 2020
Date: July 31, 2020
Headline: Pharmaceutical Company and Former Executives Charged With Misleading Financial Disclosures
Release No.: 2020-169
Published date grouping: July 2020
Date: July 30, 2020
Headline: SEC Charges Former Georgia State Legislator With Defrauding Investors in Ponzi Scheme
Release No.: 2020-168
Published date grouping: July 2020
Date: July 30, 2020
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: July 29, 2020
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: July 28, 2020
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: July 28, 2020
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: July 24, 2020
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: July 24, 2020
Headline: SEC Charges Trustify Inc. and Founder in $18.5 Million Offering Fraud
Release No.: 2020-162
Published date grouping: July 2020
Date: July 22, 2020
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: July 20, 2020
Headline: SEC Charges Silicon Valley Start-Up and CEO With Defrauding Investors
Release No.: 2020-160
Published date grouping: July 2020
Date: July 20, 2020
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: July 20, 2020
Headline: SEC Charges Financial Advisor with Fraud for Stealing Millions from Investors
Release No.: 2020-158
Published date grouping: July 2020
Date: July 17, 2020
Headline: SEC Files Fraud Charges Against Co-Founder of IIG
Release No.: 2020-157
Published date grouping: July 2020
Date: July 16, 2020
Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
Release No.: 2020-156
Published date grouping: July 2020
Date: July 14, 2020
Headline: SEC Issues $3.8 Million Whistleblower Award
Release No.: 2020-155
Published date grouping: July 2020
Date: July 14, 2020
Headline: SEC Charges Wind Turbine Company and Individuals With Defrauding Investors
Release No.: 2020-154
Published date grouping: July 2020
Date: July 13, 2020
Headline: SEC Charges App Developer for Unregistered Security-Based Swap Transactions
Release No.: 2020-153
Published date grouping: July 2020
Date: July 10, 2020
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: July 8, 2020
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: July 6, 2020
Headline: SEC Adopts Amendments to Exemptive Applications Procedures
Release No.: 2020-150
Published date grouping: July 2020
Date: July 2, 2020
Headline: SEC Charges Alexion Pharmaceuticals With FCPA Violations
Release No.: 2020-149
Published date grouping: July 2020
Date: July 1, 2020
Headline: SEC Announces Agenda, Panelists for Staff Roundtable on Emerging Markets
Release No.: 2020-148
Published date grouping: June 2020
Date: June 29, 2020
Headline: SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers
Release No.: 2020-147
Published date grouping: June 2020
Date: June 26, 2020
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: June 25, 2020
Headline: SEC Charges Issuer, CEO, and Lobbyist With Defrauding Investors in AML BitCoin
Release No.: 2020-145
Published date grouping: June 2020
Date: June 25, 2020
Headline: SEC Charges Novartis AG with FCPA Violations
Release No.: 2020-144
Published date grouping: June 2020
Date: June 25, 2020
Headline: Financial Regulators Modify Volcker Rule
Release No.: 2020-143
Published date grouping: June 2020
Date: June 24, 2020
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: June 23, 2020
Headline: SEC Awards $125,000 to Whistleblower
Release No.: 2020-141
Published date grouping: June 2020
Date: June 22, 2020
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: June 19, 2020
Headline: SEC Extends Relief for Virtual Meetings of Fund Boards
Release No.: 2020-139
Published date grouping: June 2020
Date: June 19, 2020
Headline: SEC Awards Almost $700,000 to Whistleblower
Release No.: 2020-138
Published date grouping: June 2020
Date: June 19, 2020
Headline: SEC Emergency Action Halts Brothers’ Cryptocurrency Offering Fraud
Release No.: 2020-137
Published date grouping: June 2020
Date: June 19, 2020
Headline: Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years
Release No.: 2020-136
Published date grouping: June 2020
Date: June 17, 2020
Headline: Insurance Company and Former CFO Charged With Faulty Loss Reserves Disclosures
Release No.: 2020-135
Published date grouping: June 2020
Date: June 17, 2020
Headline: SEC Names Jennifer S. Leete as Associate Director in Enforcement Division
Release No.: 2020-134
Published date grouping: June 2020
Date: June 16, 2020
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: June 12, 2020
Headline: SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million
Release No.: 2020-132
Published date grouping: June 2020
Date: June 11, 2020
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: June 11, 2020
Headline: FinHub to Host Virtual Meet-Ups
Release No.: 2020-130
Published date grouping: June 2020
Date: June 11, 2020
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: June 9, 2020
Headline: SEC Charges California Trader Engaged in Manipulative Trading Scheme Involving COVID-19 Claims
Release No.: 2020-128
Published date grouping: June 2020
Date: June 4, 2020
Headline: Insurance Company Settles SEC Charges for Failing to Disclose Executive Perks
Release No.: 2020-127
Published date grouping: June 2020
Date: June 4, 2020
Headline: SEC Awards Record Payout of Nearly $50 Million to Whistleblower
Release No.: 2020-126
Published date grouping: May 2020
Date: May 28, 2020
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: May 28, 2020
Headline: Unregistered $25.5 Million ICO Issuer to Return Money for Distribution to Investors
Release No.: 2020-124
Published date grouping: May 2020
Date: May 26, 2020
Headline: Private Equity Firm Ares Management LLC Charged With Compliance Failures
Release No.: 2020-123
Published date grouping: May 2020
Date: May 22, 2020
Headline: SEC Charges Owner of Film Distribution Company with Defrauding Publicly Traded Fund
Release No.: 2020-122
Published date grouping: May 2020
Date: May 22, 2020
Headline: SEC Announces Virtual Conference on Municipal Securities Disclosure
Release No.: 2020-121
Published date grouping: May 2020
Date: May 22, 2020
Headline: SEC Shuts Down Fraudulent Investment Adviser Targeting Senior Citizens
Release No.: 2020-120
Published date grouping: May 2020
Date: May 21, 2020
Headline: SEC Issues Agenda for May 27 Meeting of the Asset Management Advisory Committee
Release No.: 2020-119
Published date grouping: May 2020
Date: May 21, 2020
Headline: SEC Adopts Amendments to Improve Financial Disclosures about Acquisitions and Dispositions of Businesses
Release No.: 2020-118
Published date grouping: May 2020
Date: May 20, 2020
Headline: SEC Announces 2020 Small Business Forum, to Be Held Virtually
Release No.: 2020-117
Published date grouping: May 2020
Date: May 19, 2020
Headline: SEC Staff to Host July 9 Roundtable on Emerging Markets
Release No.: 2020-116
Published date grouping: May 2020
Date: May 18, 2020
Headline: SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct
Release No.: 2020-115
Published date grouping: May 2020
Date: May 15, 2020
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: May 15, 2020
Headline: SEC Announces New Investor Advisory Committee Members
Release No.: 2020-113
Published date grouping: May 2020
Date: May 15, 2020
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: May 14, 2020
Headline: SEC Charges Companies and CEO for Misleading COVID-19 Claims
Release No.: 2020-111
Published date grouping: May 2020
Date: May 12, 2020
Headline: SEC Obtains Receiver Over Florida Investment Adviser Charged With Fraud
Release No.: 2020-110
Published date grouping: May 2020
Date: May 12, 2020
Headline: SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients
Release No.: 2020-109
Published date grouping: May 2020
Date: May 11, 2020
Headline: Chairman Jay Clayton Announces Additions to Executive Staff
Release No.: 2020-108
Published date grouping: May 2020
Date: May 11, 2020
Headline: SEC Names John Moses Managing Executive in Chairman’s Office
Release No.: 2020-107
Published date grouping: May 2020
Date: May 11, 2020
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: May 7, 2020
Headline: SEC Investor Advisory Committee to Meet Virtually on May 21
Release No.: 2020-105
Published date grouping: May 2020
Date: May 6, 2020
Headline: SEC Charges Bloomberg Tradebook for Order Routing Misrepresentations
Release No.: 2020-104
Published date grouping: May 2020
Date: May 6, 2020
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: May 5, 2020
Headline: SEC Commemorates Teacher Appreciation Week, Highlights Ongoing Commitment to Serving Teachers
Release No.: 2020-102
Published date grouping: May 2020
Date: May 4, 2020
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: May 4, 2020
Headline: SEC Awards Almost $2 Million to Whistleblower
Release No.: 2020-100
Published date grouping: April 2020
Date: April 28, 2020
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: April 28, 2020
Headline: SEC Awards Over $18 Million to Whistleblower
Release No.: 2020-98
Published date grouping: April 2020
Date: April 28, 2020
Headline: SEC Charges Company and CEO for COVID-19 Scam
Release No.: 2020-97
Published date grouping: April 2020
Date: April 27, 2020
Headline: SEC Announces Investor Advisory Committee Meeting Focusing on COVID-19
Release No.: 2020-96
Published date grouping: April 2020
Date: April 24, 2020
Headline: SEC Forms Cross-Divisional COVID-19 Market Monitoring Group
Release No.: 2020-95
Published date grouping: April 2020
Date: April 24, 2020
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: April 21, 2020
Headline: SEC Proposes to Modernize Framework for Fund Valuation Practices
Release No.: 2020-93
Published date grouping: April 2020
Date: April 20, 2020
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: April 20, 2020
Headline: SEC Issues $5 Million Whistleblower Award
Release No.: 2020-91
Published date grouping: April 2020
Date: April 17, 2020
Headline: SEC Orders Three Self-Reporting Advisory Firms to Reimburse Investors
Release No.: 2020-90
Published date grouping: April 2020
Date: April 16, 2020
Headline: SEC Awards Over $27 Million to Whistleblower
Release No.: 2020-89
Published date grouping: April 2020
Date: April 13, 2020
Headline: SEC Charges Former Financial Services Executive With FCPA Violations
Release No.: 2020-88
Published date grouping: April 2020
Date: April 13, 2020
Headline: Natasha Guinan Named Chief Counsel, Office of the Chief Accountant
Release No.: 2020-87
Published date grouping: April 2020
Date: April 9, 2020
Headline: SEC Enhances Standards for Critical Market Infrastructure
Release No.: 2020-86
Published date grouping: April 2020
Date: April 9, 2020
Headline: Foreign National and American Trader Settle Fraud Charges in EDGAR Hacking Case
Release No.: 2020-85
Published date grouping: April 2020
Date: April 8, 2020
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: April 8, 2020
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: April 7, 2020
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: April 6, 2020
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: April 3, 2020
Headline: SEC Awards Approximately $2 Million to Whistleblower
Release No.: 2020-80
Published date grouping: April 2020
Date: April 2, 2020
Headline: Agencies Will Consider Comments on Volcker Rule Modifications Following Expiration of Comment Period
Release No.: 2020-79
Published date grouping: April 2020
Date: April 1, 2020
Headline: SEC Obtains Judgment Against Promoter Who Fraudulently Raised $3 Million for Christian Concerts
Release No.: 2020-78
Published date grouping: March 2020
Date: March 31, 2020
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: March 31, 2020
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: March 30, 2020
Headline: SEC Awards $450,000 to Whistleblower
Release No.: 2020-75
Published date grouping: March 2020
Date: March 26, 2020
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: March 25, 2020
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: March 24, 2020
Headline: SEC Charges Unregistered Penny Stock Dealer
Release No.: 2020-72
Published date grouping: March 2020
Date: March 24, 2020
Headline: SEC Awards Over $570,000 to Two Whistleblowers
Release No.: 2020-71
Published date grouping: March 2020
Date: March 23, 2020
Headline: SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus
Release No.: 2020-70
Published date grouping: March 2020
Date: March 23, 2020
Headline: SEC Awards Over $1.6 Million to Whistleblower
Release No.: 2020-69
Published date grouping: March 2020
Date: March 22, 2020
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: March 21, 2020
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: March 20, 2020
Headline: SEC Emergency Action Stops Digital Asset Scam
Release No.: 2020-66
Published date grouping: March 2020
Date: March 16, 2020
Headline: Jury Finds Investment Adviser and its Owner Liable for Fraud
Release No.: 2020-65
Published date grouping: March 2020
Date: March 14, 2020
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: March 13, 2020
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: March 13, 2020
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: March 13, 2020
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: March 12, 2020
Headline: SEC Wins Jury Trial Against Microcap Fraudsters
Release No.: 2020-60
Published date grouping: March 2020
Date: March 12, 2020
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: March 12, 2020
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: March 11, 2020
Headline: SEC Adopts Investor Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts
Release No.: 2020-57
Published date grouping: March 2020
Date: March 10, 2020
Headline: SEC Halts Fraudulent Offering By Florida Investment Adviser
Release No.: 2020-56
Published date grouping: March 2020
Date: March 9, 2020
Headline: EVENT POSTPONED: SEC Announces Conference on Municipal Securities Disclosure
Release No.: 2020-17
Published date grouping: March 2020
Date: March 4, 2020
Headline: SEC Proposes Rule Changes to Harmonize, Simplify and Improve the Exempt Offering Framework
Release No.: 2020-55
Published date grouping: March 2020
Date: March 4, 2020
Headline: SEC Names Kathleen M. Hutchinson as Deputy Director of International Affairs
Release No.: 2020-54
Published date grouping: March 2020
Date: March 4, 2020
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: March 2, 2020
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: March 2, 2020
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: March 2, 2020
Headline: SEC Requests Comment on Fund Names Rule; Seeks to Eliminate Misleading Fund Names
Release No.: 2020-50
Published date grouping: February 2020
Date: Feb. 28, 2020
Headline: Fee Rate Advisory #3 For Fiscal Year 2020
Release No.: 2020-49
Published date grouping: February 2020
Date: Feb. 28, 2020
Headline: SEC Charges Cardinal Health With FCPA Violations
Release No.: 2020-48
Published date grouping: February 2020
Date: Feb. 28, 2020
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: Feb. 28, 2020
Headline: SEC Awards More Than $7 Million to Whistleblower
Release No.: 2020-46
Published date grouping: February 2020
Date: Feb. 27, 2020
Headline: Kelly L. Gibson Named Director of SEC's Philadelphia Office
Release No.: 2020-45
Published date grouping: February 2020
Date: Feb. 27, 2020
Headline: SEC Charges South Carolina Energy Companies, Former Executives With Defrauding Investors
Release No.: 2020-44
Published date grouping: February 2020
Date: Feb. 27, 2020
Headline: SEC Charges Wells Fargo In Connection With Investment Recommendation Practices
Release No.: 2020-43
Published date grouping: February 2020
Date: Feb. 27, 2020
Headline: Actor Steven Seagal Charged With Unlawfully Touting Digital Asset Offering
Release No.: 2020-42
Published date grouping: February 2020
Date: Feb. 26, 2020
Headline: G. Jeffrey Boujoukos, Director of the Philadelphia Regional Office to Leave the SEC
Release No.: 2020-41
Published date grouping: February 2020
Date: Feb. 25, 2020
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: Feb. 24, 2020
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2020-39
Published date grouping: February 2020
Date: Feb. 21, 2020
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: Feb. 19, 2020
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: Feb. 19, 2020
Headline: SEC Charges Global Alcohol Producer with Disclosure Failures
Release No.: 2020-36
Published date grouping: February 2020
Date: Feb. 18, 2020
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: Feb. 14, 2020
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: Feb. 13, 2020
Headline: SEC Announces Nancy Sumption as Senior Advisor to the Chairman for Cybersecurity Policy
Release No.: 2020-33
Published date grouping: February 2020
Date: Feb. 11, 2020
Headline: SEC Charges Orchestrator of Cryptocurrency Scheme Ensnaring Physicians
Release No.: 2020-32
Published date grouping: February 2020
Date: Feb. 10, 2020
Headline: Paul A. Montoya Named Associate Regional Director in Chicago Office
Release No.: 2020-31
Published date grouping: February 2020
Date: Feb. 7, 2020
Headline: SEC Investor Advisory Committee to Meet on Feb. 27
Release No.: 2020-30
Published date grouping: February 2020
Date: Feb. 6, 2020
Headline: ABN AMRO Clearing Chicago Charged With Improper Handling of ADRs
Release No.: 2020-29
Published date grouping: February 2020
Date: Feb. 6, 2020
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: Feb. 4, 2020
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: Jan. 31, 2020
Headline: SEC Brings Charges Against Fraud Targeting Amish and Mennonite Investors
Release No.: 2020-26
Published date grouping: January 2020
Date: Jan. 30, 2020
Headline: SEC Proposes Amendments to Modernize and Enhance Financial Disclosures
Release No.: 2020-25
Published date grouping: January 2020
Date: Jan. 30, 2020
Headline: Agencies Propose Changes to Modify “Covered Funds” Restrictions of Volcker Rule
Release No.: 2020-24
Published date grouping: January 2020
Date: Jan. 28, 2020
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: Jan. 28, 2020
Headline: SEC Names Ray McInerney as Freedom of Information Act Officer
Release No.: 2020-22
Published date grouping: January 2020
Date: Jan. 27, 2020
Headline: SEC Charges Portfolio Manager and Advisory Firm with Misrepresenting Risk in Mutual Fund
Release No.: 2020-21
Published date grouping: January 2020
Date: Jan. 27, 2020
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: Jan. 24, 2020
Headline: SEC Publishes Annual Reports on Credit Rating Agencies
Release No.: 2020-19
Published date grouping: January 2020
Date: Jan. 24, 2020
Headline: SEC Charges Husband and Wife with Nearly $1 Billion Ponzi Scheme
Release No.: 2020-18
Published date grouping: January 2020
Date: Jan. 23, 2020
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: Jan. 22, 2020
Headline: SEC Awards Whistleblowers Whose Information Helped Stop Fraud
Release No.: 2020-15
Published date grouping: January 2020
Date: Jan. 21, 2020
Headline: SEC Files Charges Against Scheme to Sell Fictitious Interests in Marijuana Company
Release No.: 2020-14
Published date grouping: January 2020
Date: Jan. 17, 2020
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: Jan. 17, 2020
Headline: SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Fake Identity
Release No.: 2020-12
Published date grouping: January 2020
Date: Jan. 16, 2020
Headline: Austin Gerig Named as SEC’s Chief Data Officer
Release No.: 2020-11
Published date grouping: January 2020
Date: Jan. 14, 2020
Headline: SEC Obtains Emergency Asset Freeze, Charges Businessman With Operating a Ponzi-Like Scheme
Release No.: 2020-10
Published date grouping: January 2020
Date: Jan. 10, 2020
Headline: SEC Names Allen Blume as Deputy Chief Financial Officer
Release No.: 2020-9
Published date grouping: January 2020
Date: Jan. 10, 2020
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: Jan. 9, 2020
Headline: Fee Rate Advisory #2 for Fiscal Year 2020
Release No.: 2020-7
Published date grouping: January 2020
Date: Jan. 9, 2020
Headline: SEC Issues Agenda for Inaugural Meeting of the Asset Management Advisory Committee
Release No.: 2020-6
Published date grouping: January 2020
Date: Jan. 8, 2020
Headline: SEC Proposes Improvements to Governance of Market Data Plans
Release No.: 2020-5
Published date grouping: January 2020
Date: Jan. 7, 2020
Headline: SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
Release No.: 2020-4
Published date grouping: January 2020
Date: Jan. 7, 2020
Headline: SEC Investor Advisory Committee to Hold Jan. 24 Telephone Meeting
Release No.: 2020-3
Published date grouping: January 2020
Date: Jan. 3, 2020
Headline: Longfin CEO Settles Fraud Action
Release No.: 2020-2
Published date grouping: January 2020
Date: Jan. 2, 2020
Headline: SEC Charges Six Individuals in International Microcap Fraud Schemes
Release No.: 2020-1
Published date grouping: December 2019
Date: Dec. 30, 2019
Headline: SEC Proposes to Codify Certain Consultations and Modernize Auditor Independence Rules
Release No.: 2019-276
Published date grouping: December 2019
Date: Dec. 23, 2019
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: Dec. 19, 2019
Headline: SEC Charges Recidivist Investment Adviser With Defrauding Retirees
Release No.: 2019-274
Published date grouping: December 2019
Date: Dec. 19, 2019
Headline: SEC Announces Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion
Release No.: 2019-273
Published date grouping: December 2019
Date: Dec. 19, 2019
Headline: Small Business Advocate Releases First Annual Report
Release No.: 2019-272
Published date grouping: December 2019
Date: Dec. 19, 2019
Headline: SEC Files Charges in Ponzi Scheme Targeting Hispanic Community
Release No.: 2019-271
Published date grouping: December 2019
Date: Dec. 19, 2019
Headline: SEC Names David Bottom as Chief Information Officer
Release No.: 2019-270
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: MetLife to Pay $10 Million for Longstanding Internal Control Failures
Release No.: 2019-269
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: SEC Charges Broker-Dealers With Illicitly Profiting in Partial Tender Offer
Release No.: 2019-268
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: Issuer Settles Unregistered ICO Charges, Agrees to Return Funds and Register Tokens
Release No.: 2019-267
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: SEC Approves 2020 PCAOB Budget and Accounting Support Fee
Release No.: 2019-266
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments
Release No.: 2019-265
Published date grouping: December 2019
Date: Dec. 18, 2019
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: Dec. 18, 2019
Headline: SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime
Release No.: 2019-263
Published date grouping: December 2019
Date: Dec. 18, 2019
Headline: SEC Adopts Risk Mitigation Techniques for Uncleared Security-Based Swaps
Release No.: 2019-262
Published date grouping: December 2019
Date: Dec. 17, 2019
Headline: Silicon Valley IT Administrator and Friends Charged in Multimillion Dollar Insider Trading Ring
Release No.: 2019-261
Published date grouping: December 2019
Date: Dec. 16, 2019
Headline: SEC Charges Former Goldman Sachs Executive With FCPA Violations
Release No.: 2019-260
Published date grouping: December 2019
Date: Dec. 11, 2019
Headline: SEC Charges Founder, Digital-Asset Issuer With Fraudulent ICO
Release No.: 2019-259
Published date grouping: December 2019
Date: Dec. 10, 2019
Headline: SEC Obtains Asset Freeze to Halt Alleged Offering Fraud
Release No.: 2019-258
Published date grouping: December 2019
Date: Dec. 9, 2019
Headline: Former Congressman and Two Others Settle Insider Trading Charges
Release No.: 2019-257
Published date grouping: December 2019
Date: Dec. 9, 2019
Headline: Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs
Release No.: 2019-256
Published date grouping: December 2019
Date: Dec. 9, 2019
Headline: SEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock Promoter
Release No.: 2019-255
Published date grouping: December 2019
Date: Dec. 6, 2019
Headline: SEC Charges Multinational Telecommunications Company With FCPA Violations
Release No.: 2019-254
Published date grouping: December 2019
Date: Dec. 5, 2019
Headline: SEC Charges Trucking Executives With Accounting Fraud
Release No.: 2019-253
Published date grouping: December 2019
Date: Dec. 5, 2019
Headline: SEC Releases Report on 38th Annual Small Business Forum
Release No.: 2019-252
Published date grouping: December 2019
Date: Dec. 5, 2019
Headline: SEC Charges Iconix Brand Group and Former Top Executives With Accounting Fraud
Release No.: 2019-251
Published date grouping: December 2019
Date: Dec. 4, 2019
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: Dec. 3, 2019
Headline: SEC Names Paul Munter as Deputy Chief Accountant
Release No.: 2019-249
Published date grouping: December 2019
Date: Dec. 3, 2019
Headline: SEC Names John Vanosdall as Deputy Chief Accountant
Release No.: 2019-248
Published date grouping: December 2019
Date: Dec. 2, 2019
Headline: Kristina Littman Named Chief of the Cyber Unit
Release No.: 2019-247
Published date grouping: November 2019
Date: Nov. 27, 2019
Headline: Chief Administrative Law Judge Brenda Murray to Retire
Release No.: 2019-246
Published date grouping: November 2019
Date: Nov. 27, 2019
Headline: SEC Halts Penny Stock Scheme Targeting Seniors
Release No.: 2019-245
Published date grouping: November 2019
Date: Nov. 26, 2019
Headline: SEC Revokes Registration of Adviser Engaged in $60 Million Fraud
Release No.: 2019-244
Published date grouping: November 2019
Date: Nov. 26, 2019
Headline: SEC Charges Biotech Company and Executives With Accounting Fraud
Release No.: 2019-243
Published date grouping: November 2019
Date: Nov. 25, 2019
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: Nov. 25, 2019
Headline: SEC Charges Former Top Executives of Healthcare Advertising Company With $487 Million Fraud
Release No.: 2019-241
Published date grouping: November 2019
Date: Nov. 20, 2019
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: Nov. 19, 2019
Headline: SEC Halts Ponzi scheme Targeting Seniors and Small Business Owners
Release No.: 2019-239
Published date grouping: November 2019
Date: Nov. 15, 2019
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: Nov. 13, 2019
Headline: Marie-Louise Huth Named Chief Counsel in Division of Economic and Risk Analysis
Release No.: 2019-237
Published date grouping: November 2019
Date: Nov. 12, 2019
Headline: SEC Wins Jury Trial in Layering, Manipulative Trading Case
Release No.: 2019-236
Published date grouping: November 2019
Date: Nov. 6, 2019
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: Nov. 6, 2019
Headline: SEC Charges Adviser for Running Ponzi Scheme Targeting Haitian Community
Release No.: 2019-234
Published date grouping: November 2019
Date: Nov. 6, 2019
Headline: SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019
Release No.: 2019-233
Published date grouping: November 2019
Date: Nov. 5, 2019
Headline: SEC Proposes Amendments to Modernize Shareholder Proposal Rule
Release No.: 2019-232
Published date grouping: November 2019
Date: Nov. 5, 2019
Headline: SEC Proposes Rule Amendments to Improve Accuracy and Transparency of Proxy Voting Advice
Release No.: 2019-231
Published date grouping: November 2019
Date: Nov. 4, 2019
Headline: SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers
Release No.: 2019-230
Published date grouping: November 2019
Date: Nov. 4, 2019
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: Nov. 4, 2019
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: Nov. 4, 2019
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: Oct. 31, 2019
Headline: SEC Charges International Dealer That Sold Security-Based Swaps to U.S. Investors
Release No.: 2019-226
Published date grouping: October 2019
Date: Oct. 31, 2019
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: Oct. 30, 2019
Headline: SEC to Host Veterans Day Program for Active Duty Service Members and Veterans
Release No.: 2019-224
Published date grouping: October 2019
Date: Oct. 29, 2019
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: Oct. 28, 2019
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: Oct. 24, 2019
Headline: U.S. Financial Regulatory Agencies Join the Global Financial Innovation Network
Release No.: 2019-221
Published date grouping: October 2019
Date: Oct. 22, 2019
Headline: SEC Investor Advisory Committee to Meet on Nov. 7
Release No.: 2019-220
Published date grouping: October 2019
Date: Oct. 18, 2019
Headline: SEC Proposes Amendments to Exemptive Applications Procedures
Release No.: 2019-219
Published date grouping: October 2019
Date: Oct. 17, 2019
Headline: SEC and Morehouse College Announce Atlanta Event for Minority Entrepreneurs
Release No.: 2019-218
Published date grouping: October 2019
Date: Oct. 17, 2019
Headline: SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities
Release No.: 2019-217
Published date grouping: October 2019
Date: Oct. 16, 2019
Headline: SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme
Release No.: 2019-216
Published date grouping: October 2019
Date: Oct. 15, 2019
Headline: SEC Promotes Teacher Investment Outreach
Release No.: 2019-215
Published date grouping: October 2019
Date: Oct. 15, 2019
Headline: Supervisor Charged for Role in Brokerage Firm’s Improper Handling of ADRs
Release No.: 2019-214
Published date grouping: October 2019
Date: Oct. 15, 2019
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: Oct. 11, 2019
Headline: SEC Halts Alleged $1.7 Billion Unregistered Digital Token Offering
Release No.: 2019-212
Published date grouping: October 2019
Date: Oct. 11, 2019
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: Oct. 11, 2019
Headline: PCAOB Board Member Kathleen Hamm to Complete Term
Release No.: 2019-210
Published date grouping: October 2019
Date: Oct. 11, 2019
Headline: SEC Educational Videos Aim to Help Investors Spot and Avoid Fraud
Release No.: 2019-209
Published date grouping: October 2019
Date: Oct. 9, 2019
Headline: SEC Announces the Formation of Asset Management Advisory Committee
Release No.: 2019-208
Published date grouping: October 2019
Date: Oct. 8, 2019
Headline: Agencies Finalize Changes to Simplify Volcker Rule
Release No.: 2019-207
Published date grouping: October 2019
Date: Oct. 8, 2019
Headline: SEC Names Katharine E. Zoladz as Associate Regional Director in Los Angeles Office
Release No.: 2019-206
Published date grouping: October 2019
Date: Oct. 2, 2019
Headline: SEC Obtains Final Judgments Against Lek Securities and CEO in Layering, Manipulation Case
Release No.: 2019-205
Published date grouping: October 2019
Date: Oct. 1, 2019
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: Oct. 1, 2019
Headline: SEC’s Message for 2019 World Investor Week: Start Early
Release No.: 2019-203
Published date grouping: September 2019
Date: Sept. 30, 2019
Headline: SEC Orders Blockchain Company to Pay $24 Million Penalty for Unregistered ICO
Release No.: 2019-202
Published date grouping: September 2019
Date: Sept. 30, 2019
Headline: SEC Charges Hedge Fund Adviser and Top Executives With Fraud
Release No.: 2019-201
Published date grouping: September 2019
Date: Sept. 30, 2019
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: Sept. 27, 2019
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: Sept. 27, 2019
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2019-198
Published date grouping: September 2019
Date: Sept. 27, 2019
Headline: SEC Charges Canadian Clean Fuel Technology Company and Former CEO with FCPA Violations
Release No.: 2019-197
Published date grouping: September 2019
Date: Sept. 27, 2019
Headline: Automaker to Pay $40 Million for Misleading Investors
Release No.: 2019-196
Published date grouping: September 2019
Date: Sept. 27, 2019
Headline: Herbalife to Pay $20 Million for Misleading Investors
Release No.: 2019-195
Published date grouping: September 2019
Date: Sept. 27, 2019
Headline: Mylan to Pay $30 Million for Disclosure and Accounting Failure Relating to EpiPen
Release No.: 2019-194
Published date grouping: September 2019
Date: Sept. 26, 2019
Headline: SEC Charges Marketing and Printing Services Provider with FCPA Violations
Release No.: 2019-193
Published date grouping: September 2019
Date: Sept. 26, 2019
Headline: SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud
Release No.: 2019-192
Published date grouping: September 2019
Date: Sept. 26, 2019
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: Sept. 26, 2019
Headline: SEC Adopts New Rule to Modernize Regulation of Exchange-Traded Funds
Release No.: 2019-190
Published date grouping: September 2019
Date: Sept. 26, 2019
Headline: SEC Proposes Amendments to Enhance Retail Investor Protections
Release No.: 2019-189
Published date grouping: September 2019
Date: Sept. 26, 2019
Headline: SEC Adopts New Rule to Allow All Issuers to “Test-the-Waters”
Release No.: 2019-188
Published date grouping: September 2019
Date: Sept. 24, 2019
Headline: SEC Charges TMC Bonds With Failing to Protect Confidential Subscriber Information
Release No.: 2019-187
Published date grouping: September 2019
Date: Sept. 24, 2019
Headline: SEC Charges Comscore Inc. and Former CEO with Accounting and Disclosure Fraud
Release No.: 2019-186
Published date grouping: September 2019
Date: Sept. 23, 2019
Headline: SEC Brings New Charges in Multimillion Dollar Boiler Room Schemes
Release No.: 2019-185
Published date grouping: September 2019
Date: Sept. 23, 2019
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: Sept. 23, 2019
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: Sept. 19, 2019
Headline: SEC Adopts New Rules and Amendments under Title VII of Dodd-Frank
Release No.: 2019-182
Published date grouping: September 2019
Date: Sept. 18, 2019
Headline: SEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity
Release No.: 2019-181
Published date grouping: September 2019
Date: Sept. 18, 2019
Headline: SEC Halts Alleged $125 Million Offering Fraud
Release No.: 2019-180
Published date grouping: September 2019
Date: Sept. 17, 2019
Headline: SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants
Release No.: 2019-179
Published date grouping: September 2019
Date: Sept. 17, 2019
Headline: Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors
Release No.: 2019-178
Published date grouping: September 2019
Date: Sept. 16, 2019
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: Sept. 16, 2019
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: Sept. 16, 2019
Headline: SEC Charges Silicon Valley-Based Issuer With Misleading Disclosure Violations
Release No.: 2019-175
Published date grouping: September 2019
Date: Sept. 11, 2019
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: Sept. 9, 2019
Headline: SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan
Release No.: 2019-173
Published date grouping: September 2019
Date: Sept. 9, 2019
Headline: Chandler Smith Costello Named Deputy Director for Public Affairs
Release No.: 2019-172
Published date grouping: September 2019
Date: Sept. 4, 2019
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: Sept. 3, 2019
Headline: SEC Names Monique Winkler as Associate Regional Director in San Francisco Office
Release No.: 2019-170
Published date grouping: August 2019
Date: Aug. 30, 2019
Headline: SEC Monitoring Impact of Hurricane Dorian on Capital Markets
Release No.: 2019-169
Published date grouping: August 2019
Date: Aug. 29, 2019
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: Aug. 29, 2019
Headline: SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players
Release No.: 2019-167
Published date grouping: August 2019
Date: Aug. 29, 2019
Headline: SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme
Release No.: 2019-166
Published date grouping: August 2019
Date: Aug. 29, 2019
Headline: SEC Awards More Than $1.8 Million to Whistleblower
Release No.: 2019-165
Published date grouping: August 2019
Date: Aug. 29, 2019
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: Aug. 29, 2019
Headline: SEC Investor Advisory Committee to Meet on Sept. 19
Release No.: 2019-163
Published date grouping: August 2019
Date: Aug. 27, 2019
Headline: SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud
Release No.: 2019-162
Published date grouping: August 2019
Date: Aug. 27, 2019
Headline: RSM US LLP Charged With Violating Auditor Independence Rules
Release No.: 2019-161
Published date grouping: August 2019
Date: Aug. 23, 2019
Headline: Fee Rate Advisory #1 for Fiscal Year 2020
Release No.: 2019-160
Published date grouping: August 2019
Date: Aug. 21, 2019
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: Aug. 21, 2019
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: Aug. 20, 2019
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: Aug. 20, 2019
Headline: SEC Charges TherapeuticsMD With Regulation FD Violations
Release No.: 2019-156
Published date grouping: August 2019
Date: Aug. 16, 2019
Headline: Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs
Release No.: 2019-155
Published date grouping: August 2019
Date: Aug. 15, 2019
Headline: SEC Charges Former CFO of Cash Advance Company With Defrauding Retail Investors
Release No.: 2019-154
Published date grouping: August 2019
Date: Aug. 15, 2019
Headline: SEC Releases Videos for Investors on Choosing and Working with a Financial Professional
Release No.: 2019-153
Published date grouping: August 2019
Date: Aug. 14, 2019
Headline: SEC Wins Jury Trial Against Broker Charged with Insider Trading
Release No.: 2019-152
Published date grouping: August 2019
Date: Aug. 14, 2019
Headline: SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors
Release No.: 2019-151
Published date grouping: August 2019
Date: Aug. 13, 2019
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: Aug. 12, 2019
Headline: SEC Charges Investment Banking Analyst with Insider Trading
Release No.: 2019-149
Published date grouping: August 2019
Date: Aug. 8, 2019
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: Aug. 8, 2019
Headline: SEC Investor Advisory Committee to Hold Telephone Meeting on Sept. 5
Release No.: 2019-147
Published date grouping: August 2019
Date: Aug. 7, 2019
Headline: SEC Announces Agenda and Panelists for 2019 Small Business Forum in Omaha
Release No.: 2019-146
Published date grouping: August 2019
Date: Aug. 7, 2019
Headline: SEC Adopts Amendments to Codify Exemption to Credit Rating Agency Rule
Release No.: 2019-145
Published date grouping: August 2019
Date: Aug. 5, 2019
Headline: SEC Chairman Clayton Announces Event for Main Street Investors in Chicago
Release No.: 2019-144
Published date grouping: August 2019
Date: Aug. 1, 2019
Headline: SEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud
Release No.: 2019-143
Published date grouping: July 2019
Date: July 29, 2019
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: July 25, 2019
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: July 24, 2019
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: July 23, 2019
Headline: Emily Westerberg Russell Named Chief Counsel of Division of Trading and Markets
Release No.: 2019-139
Published date grouping: July 2019
Date: July 23, 2019
Headline: SEC Awards Half-Million Dollars to Overseas Whistleblower
Release No.: 2019-138
Published date grouping: July 2019
Date: July 19, 2019
Headline: SEC Charges Engine Manufacturing Company Executives With Accounting Fraud
Release No.: 2019-137
Published date grouping: July 2019
Date: July 18, 2019
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: July 18, 2019
Headline: SEC Charges Portfolio Manager with Mispricing Fund Investments
Release No.: 2019-135
Published date grouping: July 2019
Date: July 18, 2019
Headline: SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud
Release No.: 2019-134
Published date grouping: July 2019
Date: July 16, 2019
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: July 15, 2019
Headline: SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments
Release No.: 2019-132
Published date grouping: July 2019
Date: July 15, 2019
Headline: Nomura to Pay Misled Bond Customers $25 Million to Settle SEC Charges
Release No.: 2019-131
Published date grouping: July 2019
Date: July 12, 2019
Headline: SEC Charges Securities Lawyer and Microcap Agent with Fraud
Release No.: 2019-130
Published date grouping: July 2019
Date: July 12, 2019
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: July 12, 2019
Headline: SEC Monitoring Impact of Tropical Storm Barry on Capital Markets
Release No.: 2019-128
Published date grouping: July 2019
Date: July 11, 2019
Headline: SEC Investor Advisory Committee to Meet on July 25
Release No.: 2019-127
Published date grouping: July 2019
Date: July 10, 2019
Headline: SEC Charges Accountant and Friend in $6.2 Million Insider Trading Scheme
Release No.: 2019-126
Published date grouping: July 2019
Date: July 9, 2019
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: July 9, 2019
Headline: Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule
Release No.: 2019-124
Published date grouping: July 2019
Date: July 9, 2019
Headline: SEC Announces August 13 Meeting of Small Business Capital Formation Advisory Committee
Release No.: 2019-123
Published date grouping: July 2019
Date: July 9, 2019
Headline: Julie A. Erhardt, Deputy Chief Accountant, to Leave the SEC
Release No.: 2019-122
Published date grouping: July 2019
Date: July 9, 2019
Headline: Allison Herren Lee Sworn In As SEC Commissioner
Release No.: 2019-121
Published date grouping: July 2019
Date: July 3, 2019
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: July 3, 2019
Headline: John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency
Release No.: 2019-119
Published date grouping: July 2019
Date: July 3, 2019
Headline: SEC Names Sagar Teotia As Chief Accountant
Release No.: 2019-118
Published date grouping: July 2019
Date: July 2, 2019
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: July 1, 2019
Headline: SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month
Release No.: 2019-116
Published date grouping: July 2019
Date: July 1, 2019
Headline: SEC Charges Investment Adviser With Fraud
Release No.: 2019-115
Published date grouping: June 2019
Date: June 27, 2019
Headline: State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses
Release No.: 2019-114
Published date grouping: June 2019
Date: June 26, 2019
Headline: SEC Charges New Defendant in $43 Million Tribal Bonds Scheme
Release No.: 2019-113
Published date grouping: June 2019
Date: June 26, 2019
Headline: Chairman Clayton Highlights New Members of Executive Staff
Release No.: 2019-112
Published date grouping: June 2019
Date: June 26, 2019
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: June 26, 2019
Headline: SEC Names Bryan Wood as Deputy Chief of Staff
Release No.: 2019-110
Published date grouping: June 2019
Date: June 26, 2019
Headline: SEC Names Sean Memon as Chief of Staff
Release No.: 2019-109
Published date grouping: June 2019
Date: June 26, 2019
Headline: SEC Chief of Staff Lucas Moskowitz to Leave the Agency
Release No.: 2019-108
Published date grouping: June 2019
Date: June 24, 2019
Headline: SEC Names Vanessa Countryman to Lead the Office of the Secretary
Release No.: 2019-107
Published date grouping: June 2019
Date: June 24, 2019
Headline: Joint Statement on Opportunistic Strategies in the Credit Derivatives Market
Release No.: 2019-106
Published date grouping: June 2019
Date: June 21, 2019
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: June 20, 2019
Headline: SEC Wins Jury Trial Against Broker Charged With Defrauding Customers
Release No.: 2019-104
Published date grouping: June 2019
Date: June 20, 2019
Headline: SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors
Release No.: 2019-103
Published date grouping: June 2019
Date: June 20, 2019
Headline: Walmart Charged With FCPA Violations
Release No.: 2019-102
Published date grouping: June 2019
Date: June 20, 2019
Headline: SEC Freezes Assets in International Manipulative Trading Scheme
Release No.: 2019-101
Published date grouping: June 2019
Date: June 19, 2019
Headline: SEC Chairman Clayton Announces Events for Main Street Investors in Boston
Release No.: 2019-100
Published date grouping: June 2019
Date: June 18, 2019
Headline: Wedbush to Pay More Than $8.1 Million for Improper Handling of ADRs
Release No.: 2019-99
Published date grouping: June 2019
Date: June 18, 2019
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: June 18, 2019
Headline: SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions
Release No.: 2019-97
Published date grouping: June 2019
Date: June 17, 2019
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: June 17, 2019
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: June 14, 2019
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: June 12, 2019
Headline: SEC Announces 2019 Government-Business Forum to Be Held in Omaha
Release No.: 2019-93
Published date grouping: June 2019
Date: June 10, 2019
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2019-92
Published date grouping: June 2019
Date: June 6, 2019
Headline: David Peavler Named Director of Fort Worth Office
Release No.: 2019-91
Published date grouping: June 2019
Date: June 5, 2019
Headline: SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant
Release No.: 2019-90
Published date grouping: June 2019
Date: June 5, 2019
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: June 4, 2019
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: June 4, 2019
Headline: SEC Charges Issuer With Conducting $100 Million Unregistered ICO
Release No.: 2019-87
Published date grouping: June 2019
Date: June 4, 2019
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: June 3, 2019
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: June 3, 2019
Headline: SEC Seeks Emergency Relief to Halt Ponzi Scheme Run From College Fraternity House
Release No.: 2019-84
Published date grouping: June 2019
Date: June 3, 2019
Headline: Ahmed Abonamah Named Deputy Director of the Office of Municipal Securities
Release No.: 2019-83
Published date grouping: June 2019
Date: June 3, 2019
Headline: SEC Announces Kevin Zerrusen as Senior Advisor to the Chairman for Cybersecurity Policy
Release No.: 2019-82
Published date grouping: June 2019
Date: June 3, 2019
Headline: SEC Awards $3 Million to Joint Whistleblowers
Release No.: 2019-81
Published date grouping: May 2019
Date: May 30, 2019
Headline: Sagar Teotia Named the SEC's Acting Chief Accountant
Release No.: 2019-80
Published date grouping: May 2019
Date: May 30, 2019
Headline: Wesley R. Bricker, Chief Accountant, to Leave SEC
Release No.: 2019-79
Published date grouping: May 2019
Date: May 28, 2019
Headline: Erin Schneider Named Director of San Francisco Office
Release No.: 2019-78
Published date grouping: May 2019
Date: May 28, 2019
Headline: SEC Charges Investment Adviser With Fraud
Release No.: 2019-77
Published date grouping: May 2019
Date: May 24, 2019
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: May 23, 2019
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: May 23, 2019
Headline: SEC Sues Alleged Perpetrator of Fraudulent Pyramid Scheme Promising Investors Cryptocurrency Riches
Release No.: 2019-74
Published date grouping: May 2019
Date: May 23, 2019
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: May 21, 2019
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: May 20, 2019
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: May 15, 2019
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: May 10, 2019
Headline: SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements
Release No.: 2019-69
Published date grouping: May 2019
Date: May 9, 2019
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: May 7, 2019
Headline: SEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend
Release No.: 2019-67
Published date grouping: May 2019
Date: May 3, 2019
Headline: SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud
Release No.: 2019-66
Published date grouping: May 2019
Date: May 3, 2019
Headline: SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses
Release No.: 2019-65
Published date grouping: May 2019
Date: May 2, 2019
Headline: Adam S. Aderton Named Co-Chief of the Asset Management Unit
Release No.: 2019-64
Published date grouping: April 2019
Date: April 30, 2019
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: April 29, 2019
Headline: SEC Announces Fraud Charges in Ticket Resale Investment Scam
Release No.: 2019-62
Published date grouping: April 2019
Date: April 25, 2019
Headline: SEC Announces Members of Small Business Capital Formation Advisory Committee
Release No.: 2019-61
Published date grouping: April 2019
Date: April 25, 2019
Headline: SEC Charges Truckload Freight Company With Accounting Fraud
Release No.: 2019-60
Published date grouping: April 2019
Date: April 24, 2019
Headline: SEC Staff Announces Agenda for May 31 FinTech Forum
Release No.: 2019-59
Published date grouping: April 2019
Date: April 19, 2019
Headline: Silicon Valley Company Settles Fraud Charge for Misstating Returns to Investors
Release No.: 2019-58
Published date grouping: April 2019
Date: April 16, 2019
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: April 15, 2019
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: April 11, 2019
Headline: SEC Charges Former Woodbridge Directors of Investment With Fraud
Release No.: 2019-55
Published date grouping: April 2019
Date: April 11, 2019
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: April 9, 2019
Headline: SEC Charges Former SeaWorld Associate General Counsel With Insider Trading
Release No.: 2019-53
Published date grouping: April 2019
Date: April 8, 2019
Headline: New SEC Campaign Educates Investors on Where and How to Get Answers
Release No.: 2019-52
Published date grouping: April 2019
Date: April 3, 2019
Headline: SEC Charges Transportation Company Executives With Accounting Fraud
Release No.: 2019-51
Published date grouping: April 2019
Date: April 2, 2019
Headline: SEC Charges Former CEO of Silicon Valley Startup With Defrauding Investors
Release No.: 2019-50
Published date grouping: April 2019
Date: April 1, 2019
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: March 29, 2019
Headline: SEC Charges Medical Device Company With FCPA Violations
Release No.: 2019-48
Published date grouping: March 2019
Date: March 29, 2019
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: March 28, 2019
Headline: SEC Charges College Official for Fraudulently Concealing Financial Troubles From Municipal Bond Investors
Release No.: 2019-46
Published date grouping: March 2019
Date: March 28, 2019
Headline: Investment Adviser Charged With Stealing Millions From Private Fund
Release No.: 2019-45
Published date grouping: March 2019
Date: March 28, 2019
Headline: SEC Charges New Jersey Man With Fraudulently Causing Advisory Firm to Overbill Clients
Release No.: 2019-44
Published date grouping: March 2019
Date: March 26, 2019
Headline: SEC Names Danae M. Serrano as Ethics Counsel
Release No.: 2019-43
Published date grouping: March 2019
Date: March 26, 2019
Headline: SEC Awards $50 Million to Two Whistleblowers
Release No.: 2019-42
Published date grouping: March 2019
Date: March 25, 2019
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: March 22, 2019
Headline: Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs
Release No.: 2019-40
Published date grouping: March 2019
Date: March 20, 2019
Headline: SEC Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds
Release No.: 2019-39
Published date grouping: March 2019
Date: March 20, 2019
Headline: SEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure
Release No.: 2019-38
Published date grouping: March 2019
Date: March 18, 2019
Headline: Justin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office
Release No.: 2019-37
Published date grouping: March 2019
Date: March 15, 2019
Headline: SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client
Release No.: 2019-36
Published date grouping: March 2019
Date: March 15, 2019
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: March 14, 2019
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: March 14, 2019
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: March 13, 2019
Headline: Wedbush Settles Failure to Supervise Charge
Release No.: 2019-32
Published date grouping: March 2019
Date: March 12, 2019
Headline: SEC Announces March 28 Meeting of Investor Advisory Committee
Release No.: 2019-31
Published date grouping: March 2019
Date: March 12, 2019
Headline: Fee Rate Advisory #2 for Fiscal Year 2019
Release No.: 2019-30
Published date grouping: March 2019
Date: March 12, 2019
Headline: SEC Charges Lumber Liquidators With Fraud
Release No.: 2019-29
Published date grouping: March 2019
Date: March 11, 2019
Headline: SEC Share Class Initiative Returning More Than $125 Million to Investors
Release No.: 2019-28
Published date grouping: March 2019
Date: March 6, 2019
Headline: Mobile TeleSystems Settles FCPA Violations
Release No.: 2019-27
Published date grouping: March 2019
Date: March 5, 2019
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: March 1, 2019
Headline: SEC Celebrates African American History Month with Presentation by Award-Winning Filmmaker
Release No.: 2019-25
Published date grouping: February 2019
Date: Feb. 28, 2019
Headline: SEC Names Gabriel Benincasa As Its First Chief Risk Officer
Release No.: 2019-24
Published date grouping: February 2019
Date: Feb. 27, 2019
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: Feb. 26, 2019
Headline: SEC Names Vanessa Countryman Acting Secretary
Release No.: 2019-22
Published date grouping: February 2019
Date: Feb. 26, 2019
Headline: Brent J. Fields Named Associate Director in the Division of Investment Management
Release No.: 2019-21
Published date grouping: February 2019
Date: Feb. 26, 2019
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: Feb. 26, 2019
Headline: SEC Halts South Florida Alternative Investments Scheme Targeting Retail Investors
Release No.: 2019-19
Published date grouping: February 2019
Date: Feb. 21, 2019
Headline: Giles Cohen Named Acting Chief Counsel, Office of the Chief Accountant
Release No.: 2019-18
Published date grouping: February 2019
Date: Feb. 21, 2019
Headline: SEC Names James P. McNamara as Chief Human Capital Officer
Release No.: 2019-17
Published date grouping: February 2019
Date: Feb. 20, 2019
Headline: SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud
Release No.: 2019-16
Published date grouping: February 2019
Date: Feb. 20, 2019
Headline: Company Settles Unregistered ICO Charges After Self-Reporting to SEC
Release No.: 2019-15
Published date grouping: February 2019
Date: Feb. 19, 2019
Headline: SEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers
Release No.: 2019-14
Published date grouping: February 2019
Date: Feb. 15, 2019
Headline: SEC Files Charges in Elaborate Microcap Stock Fraud
Release No.: 2019-13
Published date grouping: February 2019
Date: Feb. 15, 2019
Headline: SEC Charges Cognizant and Two Former Executives With FCPA Violations
Release No.: 2019-12
Published date grouping: February 2019
Date: Feb. 14, 2019
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: Feb. 13, 2019
Headline: SEC Charges Former Senior Attorney at Apple With Insider Trading
Release No.: 2019-10
Published date grouping: February 2019
Date: Feb. 13, 2019
Headline: Deloitte Japan Charged With Violating Auditor Independence Rules
Release No.: 2019-9
Published date grouping: February 2019
Date: Feb. 7, 2019
Headline: SEC Charges Founder of Online Gaming Company With Defrauding Investors
Release No.: 2019-8
Published date grouping: February 2019
Date: Feb. 4, 2019
Headline: Elizabeth McFadden Named Deputy General Counsel
Release No.: 2019-7
Published date grouping: January 2019
Date: Jan. 29, 2019
Headline: SEC Charges Four Public Companies With Longstanding ICFR Failures
Release No.: 2019-6
Published date grouping: January 2019
Date: Jan. 29, 2019
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: Jan. 28, 2019
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: Jan. 28, 2019
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: Jan. 25, 2019
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: Jan. 15, 2019
Headline: SEC Brings Charges in EDGAR Hacking Case
Release No.: 2019-1
Published date grouping: December 2018
Date: Dec. 26, 2018
Headline: JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs
Release No.: 2018-306
Published date grouping: December 2018
Date: Dec. 21, 2018
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: Dec. 21, 2018
Headline: Martha Miller Named Advocate for Small Business Capital Formation
Release No.: 2018-304
Published date grouping: December 2018
Date: Dec. 21, 2018
Headline: Two Advisory Firms, CEO Charged With Mutual Fund Share Class Disclosure Violations
Release No.: 2018-303
Published date grouping: December 2018
Date: Dec. 21, 2018
Headline: SEC Charges Audit Firm and Suspends Accountants for Deficient Audits
Release No.: 2018-302
Published date grouping: December 2018
Date: Dec. 21, 2018
Headline: SEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions
Release No.: 2018-301
Published date grouping: December 2018
Date: Dec. 21, 2018
Headline: SEC Charges Two Robo-Advisers With False Disclosures
Release No.: 2018-300
Published date grouping: December 2018
Date: Dec. 20, 2018
Headline: SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities
Release No.: 2018-299
Published date grouping: December 2018
Date: Dec. 19, 2018
Headline: SEC Adopts Transaction Fee Pilot for NMS Stocks
Release No.: 2018-298
Published date grouping: December 2018
Date: Dec. 19, 2018
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: Dec. 19, 2018
Headline: SEC Charges Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors
Release No.: 2018-296
Published date grouping: December 2018
Date: Dec. 19, 2018
Headline: SEC Proposes Rule Changes for Fund of Funds Arrangements
Release No.: 2018-295
Published date grouping: December 2018
Date: Dec. 19, 2018
Headline: SEC Proposes Risk Mitigation Techniques for Uncleared Security-Based Swaps
Release No.: 2018-294
Published date grouping: December 2018
Date: Dec. 19, 2018
Headline: SEC Adopts Rule of Practice 194
Release No.: 2018-293
Published date grouping: December 2018
Date: Dec. 19, 2018
Headline: SEC Approves 2019 PCAOB Budget and Accounting Support Fee
Release No.: 2018-292
Published date grouping: December 2018
Date: Dec. 18, 2018
Headline: SEC Adopts Final Rules for Disclosure of Hedging Policies
Release No.: 2018-291
Published date grouping: December 2018
Date: Dec. 18, 2018
Headline: SEC Charges Former Panasonic Executives
Release No.: 2018-290
Published date grouping: December 2018
Date: Dec. 18, 2018
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: Dec. 18, 2018
Headline: Daniel Kahl Named Deputy Director of the Office of Compliance Inspections and Examinations
Release No.: 2018-288
Published date grouping: December 2018
Date: Dec. 18, 2018
Headline: SEC Solicits Public Comment on Earnings Releases and Quarterly Reports
Release No.: 2018-287
Published date grouping: December 2018
Date: Dec. 17, 2018
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: Dec. 17, 2018
Headline: BNY Mellon to Pay More Than $54 Million for Improper Handling of ADRs
Release No.: 2018-285
Published date grouping: December 2018
Date: Dec. 14, 2018
Headline: Jeffrey S. Mooney Named Associate Director in the Office of Clearance and Settlement
Release No.: 2018-284
Published date grouping: December 2018
Date: Dec. 13, 2018
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: Dec. 13, 2018
Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
Release No.: 2018-282
Published date grouping: December 2018
Date: Dec. 13, 2018
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: Dec. 12, 2018
Headline: Executives Settle ICO Scam Charges
Release No.: 2018-280
Published date grouping: December 2018
Date: Dec. 12, 2018
Headline: Three Developers Settle Charges of Fraudulent EB-5 Offering
Release No.: 2018-279
Published date grouping: December 2018
Date: Dec. 11, 2018
Headline: SEC Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official
Release No.: 2018-278
Published date grouping: December 2018
Date: Dec. 11, 2018
Headline: SEC Charges The Hain Celestial Group with Internal Controls Failures
Release No.: 2018-277
Published date grouping: December 2018
Date: Dec. 10, 2018
Headline: SEC Charges Agria Corporation and Executive Chairman With Fraud
Release No.: 2018-276
Published date grouping: December 2018
Date: Dec. 10, 2018
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: Dec. 7, 2018
Headline: SEC Announces Agenda and Panelists for the 37th Annual Small Business Forum
Release No.: 2018-274
Published date grouping: December 2018
Date: Dec. 6, 2018
Headline: SEC Halts Alleged Insider Trading Ring Spanning Three Countries
Release No.: 2018-273
Published date grouping: December 2018
Date: Dec. 6, 2018
Headline: SEC Investor Advisory Committee to Meet on December 13
Release No.: 2018-272
Published date grouping: December 2018
Date: Dec. 4, 2018
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: Dec. 3, 2018
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: Nov. 30, 2018
Headline: SEC Adopts FAIR Act Rules Promoting Research Reports on Investment Funds
Release No.: 2018-269
Published date grouping: November 2018
Date: Nov. 29, 2018
Headline: Two Celebrities Charged With Unlawfully Touting Coin Offerings
Release No.: 2018-268
Published date grouping: November 2018
Date: Nov. 29, 2018
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: Nov. 28, 2018
Headline: SEC Charges Self-Described Promoter With Microcap Market Manipulation Scheme
Release No.: 2018-266
Published date grouping: November 2018
Date: Nov. 19, 2018
Headline: Kurt Gottschall Named Director of Denver Office
Release No.: 2018-265
Published date grouping: November 2018
Date: Nov. 16, 2018
Headline: Two ICO Issuers Settle SEC Registration Charges, Agree to Register Tokens as Securities
Release No.: 2018-264
Published date grouping: November 2018
Date: Nov. 15, 2018
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: Nov. 15, 2018
Headline: SEC Brings Additional Charges in New York Boiler Room Scheme Targeting Seniors
Release No.: 2018-262
Published date grouping: November 2018
Date: Nov. 13, 2018
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: Nov. 8, 2018
Headline: SEC Announces Agenda, Panelists for Staff Roundtable on the Proxy Process
Release No.: 2018-260
Published date grouping: November 2018
Date: Nov. 8, 2018
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: Nov. 8, 2018
Headline: SEC Charges EtherDelta Founder With Operating an Unregistered Exchange
Release No.: 2018-258
Published date grouping: November 2018
Date: Nov. 7, 2018
Headline: Investor Testing of the Proposed Relationship Summary for Investment Advisers and Broker-Dealers
Release No.: 2018-257
Published date grouping: November 2018
Date: Nov. 7, 2018
Headline: SEC Charges ITG With Misleading Dark Pool Subscribers
Release No.: 2018-256
Published date grouping: November 2018
Date: Nov. 7, 2018
Headline: Citibank to Pay More Than $38 Million for Improper Handling of ADRs
Release No.: 2018-255
Published date grouping: November 2018
Date: Nov. 5, 2018
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: Nov. 2, 2018
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: Nov. 2, 2018
Headline: SEC Charges Investment Adviser With Running $3.9 Million Fraud
Release No.: 2018-252
Published date grouping: November 2018
Date: Nov. 2, 2018
Headline: SEC Charges Family Friend of Former Investment Banker With Insider Trading
Release No.: 2018-251
Published date grouping: November 2018
Date: Nov. 2, 2018
Headline: SEC Enforcement Division Issues Report on FY 2018 Results
Release No.: 2018-250
Published date grouping: October 2018
Date: Oct. 31, 2018
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: Oct. 31, 2018
Headline: SEC Adopts Rules to Modernize Property Disclosures Required for Mining Registrants
Release No.: 2018-248
Published date grouping: October 2018
Date: Oct. 31, 2018
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2018-247
Published date grouping: October 2018
Date: Oct. 30, 2018
Headline: SEC Proposes Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts
Release No.: 2018-246
Published date grouping: October 2018
Date: Oct. 25, 2018
Headline: SEC Investor Advisory Committee to Hold Nov. 7 Telephone Meeting
Release No.: 2018-245
Published date grouping: October 2018
Date: Oct. 24, 2018
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: Oct. 23, 2018
Headline: SEC Announces $25 Million Settlement With Self-Proclaimed “Frack Master”
Release No.: 2018-243
Published date grouping: October 2018
Date: Oct. 22, 2018
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: Oct. 18, 2018
Headline: SEC Charges Lawyer and Her Husband in EB-5 Fraud
Release No.: 2018-241
Published date grouping: October 2018
Date: Oct. 18, 2018
Headline: SEC Launches New Strategic Hub for Innovation and Financial Technology
Release No.: 2018-240
Published date grouping: October 2018
Date: Oct. 18, 2018
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: Oct. 17, 2018
Headline: SEC Charges Investment Adviser With Stealing From Friends, Community Members
Release No.: 2018-238
Published date grouping: October 2018
Date: Oct. 16, 2018
Headline: SEC Provides Regulatory Relief and Assistance for Hurricane Victims
Release No.: 2018-237
Published date grouping: October 2018
Date: Oct. 16, 2018
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: Oct. 12, 2018
Headline: SEC Suspends Former BDO Accountants for Improperly “Predating” Audit Work Papers
Release No.: 2018-235
Published date grouping: October 2018
Date: Oct. 11, 2018
Headline: SEC’s New Strategic Plan Puts Investors, Innovation, and Performance at Top
Release No.: 2018-234
Published date grouping: October 2018
Date: Oct. 11, 2018
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: Oct. 11, 2018
Headline: SEC Stops Fraudulent ICO That Falsely Claimed SEC Approval
Release No.: 2018-232
Published date grouping: October 2018
Date: Oct. 10, 2018
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: Oct. 10, 2018
Headline: SEC Monitoring Impact of Hurricane Michael on Capital Markets
Release No.: 2018-230
Published date grouping: October 2018
Date: Oct. 5, 2018
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: Oct. 3, 2018
Headline: SEC Halts Microcap Fraud Scheme Orchestrated Through International Accounts
Release No.: 2018-228
Published date grouping: October 2018
Date: Oct. 1, 2018
Headline: SEC to Focus on Empowering Main Street Investors for 2018 World Investor Week
Release No.: 2018-227
Published date grouping: September 2018
Date: Sept. 29, 2018
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: Sept. 28, 2018
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: Sept. 28, 2018
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: Sept. 28, 2018
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: Sept. 28, 2018
Headline: SEC Charges Stryker A Second Time for FCPA Violations
Release No.: 2018-222
Published date grouping: September 2018
Date: Sept. 28, 2018
Headline: SEC Charges Salix Pharmaceuticals and Former CFO With Lying About Distribution Channel
Release No.: 2018-221
Published date grouping: September 2018
Date: Sept. 28, 2018
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: Sept. 27, 2018
Headline: Elon Musk Charged With Securities Fraud for Misleading Tweets
Release No.: 2018-219
Published date grouping: September 2018
Date: Sept. 27, 2018
Headline: SEC Charges Bitcoin-Funded Securities Dealer and CEO
Release No.: 2018-218
Published date grouping: September 2018
Date: Sept. 27, 2018
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: Sept. 27, 2018
Headline: Online Marketers Charged With Conning Main Street Investors Through Rags-to-Riches Infomercials
Release No.: 2018-216
Published date grouping: September 2018
Date: Sept. 27, 2018
Headline: Petrobras Reaches Settlement With SEC for Misleading Investors
Release No.: 2018-215
Published date grouping: September 2018
Date: Sept. 26, 2018
Headline: SEC Proposes Amendments to Codify Exemption to Credit Rating Agency Rule
Release No.: 2018-214
Published date grouping: September 2018
Date: Sept. 26, 2018
Headline: SEC Charges Firm With Deficient Cybersecurity Procedures
Release No.: 2018-213
Published date grouping: September 2018
Date: Sept. 25, 2018
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: Sept. 25, 2018
Headline: SG Americas Securities Charged for Improper Handling of ADRs
Release No.: 2018-211
Published date grouping: September 2018
Date: Sept. 24, 2018
Headline: SEC Staff to Host Roundtable on Market Data and Market Access
Release No.: 2018-210
Published date grouping: September 2018
Date: Sept. 24, 2018
Headline: SEC Awards Almost $4 Million to Overseas Whistleblower
Release No.: 2018-209
Published date grouping: September 2018
Date: Sept. 21, 2018
Headline: SEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program
Release No.: 2018-208
Published date grouping: September 2018
Date: Sept. 21, 2018
Headline: Public Companies Charged With Failing to Comply With Quarterly Reporting Obligations
Release No.: 2018-207
Published date grouping: September 2018
Date: Sept. 21, 2018
Headline: SEC Staff to Host Nov. 15 Roundtable on the Proxy Process
Release No.: 2018-206
Published date grouping: September 2018
Date: Sept. 20, 2018
Headline: Business Services Company and Former CFO Charged With Accounting Fraud
Release No.: 2018-205
Published date grouping: September 2018
Date: Sept. 20, 2018
Headline: Pamela C. Dyson, Chief Information Officer, to Leave SEC
Release No.: 2018-204
Published date grouping: September 2018
Date: Sept. 19, 2018
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: Sept. 19, 2018
Headline: SEC Provides Regulatory Relief and Assistance for Hurricane Victims
Release No.: 2018-202
Published date grouping: September 2018
Date: Sept. 19, 2018
Headline: SEC Shuts Down $345 Million Fraud and Obtains Asset Freeze
Release No.: 2018-201
Published date grouping: September 2018
Date: Sept. 18, 2018
Headline: SEC Staff to Host Roundtable on Regulatory Approaches to Combating Retail Investor Fraud
Release No.: 2018-200
Published date grouping: September 2018
Date: Sept. 18, 2018
Headline: Biopharmaceutical Company, Executives Charged With Misleading Investors About Cancer Drug
Release No.: 2018-199
Published date grouping: September 2018
Date: Sept. 18, 2018
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: Sept. 17, 2018
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: Sept. 17, 2018
Headline: Mark Wolfe Named Associate Director in Office of Derivatives Policy and Trading Practices
Release No.: 2018-196
Published date grouping: September 2018
Date: Sept. 14, 2018
Headline: SEC Charges Investment Advisers With Defrauding Retail Advisory Clients
Release No.: 2018-195
Published date grouping: September 2018
Date: Sept. 14, 2018
Headline: Whistleblower Receives Award of Approximately $1.5 Million
Release No.: 2018-194
Published date grouping: September 2018
Date: Sept. 14, 2018
Headline: SEC Charges Citigroup for Dark Pool Misrepresentations
Release No.: 2018-193
Published date grouping: September 2018
Date: Sept. 13, 2018
Headline: SEC Monitoring Impact of Hurricane Florence on Capital Markets
Release No.: 2018-192
Published date grouping: September 2018
Date: Sept. 13, 2018
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: Sept. 12, 2018
Headline: SEC Charges Hedge Fund Adviser With Short-and-Distort Scheme
Release No.: 2018-190
Published date grouping: September 2018
Date: Sept. 12, 2018
Headline: SEC Uses Data Analysis to Detect Cherry-Picking By Broker
Release No.: 2018-189
Published date grouping: September 2018
Date: Sept. 12, 2018
Headline: United Technologies Charged With Violating FCPA
Release No.: 2018-188
Published date grouping: September 2018
Date: Sept. 11, 2018
Headline: Elad Roisman Sworn In As SEC Commissioner
Release No.: 2018-187
Published date grouping: September 2018
Date: Sept. 11, 2018
Headline: SEC Charges Digital Asset Hedge Fund Manager With Misrepresentations and Registration Failures
Release No.: 2018-186
Published date grouping: September 2018
Date: Sept. 11, 2018
Headline: SEC Charges ICO Superstore and Owners With Operating As Unregistered Broker-Dealers
Release No.: 2018-185
Published date grouping: September 2018
Date: Sept. 11, 2018
Headline: SEC Obtains Relief to Fully Reimburse Retail Investors Sold Unsuitable Product
Release No.: 2018-184
Published date grouping: September 2018
Date: Sept. 10, 2018
Headline: SEC Charges Two Brokers With Defrauding Customers
Release No.: 2018-183
Published date grouping: September 2018
Date: Sept. 7, 2018
Headline: SEC Charges Microcap Fraudsters for Roles in Lucrative Market Manipulation Schemes
Release No.: 2018-182
Published date grouping: September 2018
Date: Sept. 6, 2018
Headline: SEC Charges Real Estate Broker With FCPA Violations
Release No.: 2018-181
Published date grouping: September 2018
Date: Sept. 6, 2018
Headline: SEC Names Anita Bandy and Carolyn Welshhans as Associate Directors in Enforcement Division
Release No.: 2018-180
Published date grouping: September 2018
Date: Sept. 6, 2018
Headline: SEC Awards More Than $54 Million to Two Whistleblowers
Release No.: 2018-179
Published date grouping: September 2018
Date: Sept. 5, 2018
Headline: SEC Charges Two Men With Fraud in Fake Trading Accounts Scheme
Release No.: 2018-178
Published date grouping: September 2018
Date: Sept. 5, 2018
Headline: SEC Charges Cannabis Investment Fund and Founder in Fraudulent Scheme
Release No.: 2018-177
Published date grouping: September 2018
Date: Sept. 4, 2018
Headline: SEC Names Rebecca J. Olsen as Director of the Office of Municipal Securities
Release No.: 2018-176
Published date grouping: September 2018
Date: Sept. 4, 2018
Headline: SEC Charges Telecommunications Expense Management Company With Accounting Fraud
Release No.: 2018-175
Published date grouping: September 2018
Date: Sept. 4, 2018
Headline: Sanofi Charged With FCPA Violations
Release No.: 2018-174
Published date grouping: September 2018
Date: Sept. 4, 2018
Headline: Agencies Extend Comment Period for Proposed Rule Simplifying and Tailoring the “Volcker Rule”
Release No.: 2018-173
Published date grouping: August 2018
Date: Aug. 30, 2018
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: Aug. 29, 2018
Headline: SEC Charges Florida Cash Advance Company, Former CEO With Defrauding Retail Investors
Release No.: 2018-171
Published date grouping: August 2018
Date: Aug. 29, 2018
Headline: SEC Charges NFL Player and Former Investment Banker With Insider Trading
Release No.: 2018-170
Published date grouping: August 2018
Date: Aug. 28, 2018
Headline: SEC Charges Moody’s With Internal Controls Failures and Ratings Symbols Deficiencies
Release No.: 2018-169
Published date grouping: August 2018
Date: Aug. 27, 2018
Headline: Legg Mason Charged With Violating the FCPA
Release No.: 2018-168
Published date grouping: August 2018
Date: Aug. 27, 2018
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: Aug. 24, 2018
Headline: SEC Announces Agenda for Sept. 13 Investor Advisory Committee Meeting
Release No.: 2018-166
Published date grouping: August 2018
Date: Aug. 24, 2018
Headline: Fee Rate Advisory #1 for Fiscal Year 2019
Release No.: 2018-165
Published date grouping: August 2018
Date: Aug. 23, 2018
Headline: SEC Names Matthew S. Jacques as Chief Accountant in Enforcement Division
Release No.: 2018-164
Published date grouping: August 2018
Date: Aug. 23, 2018
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: Aug. 22, 2018
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: Aug. 21, 2018
Headline: SEC Charges Former Online Marketing Company Executives With Inflating Operating Metrics
Release No.: 2018-161
Published date grouping: August 2018
Date: Aug. 20, 2018
Headline: SEC Charges Technology Fund Adviser, Founder in Fraudulent Scheme
Release No.: 2018-160
Published date grouping: August 2018
Date: Aug. 20, 2018
Headline: Merrill Lynch Settles SEC Charges of Undisclosed Conflict in Advisory Decision
Release No.: 2018-159
Published date grouping: August 2018
Date: Aug. 20, 2018
Headline: SEC Adopts Rule Amendments to Improve Municipal Securities Disclosure
Release No.: 2018-158
Published date grouping: August 2018
Date: Aug. 20, 2018
Headline: SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors
Release No.: 2018-157
Published date grouping: August 2018
Date: Aug. 17, 2018
Headline: SEC Adopts Amendments to Simplify and Update Disclosure Requirements
Release No.: 2018-156
Published date grouping: August 2018
Date: Aug. 16, 2018
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: Aug. 15, 2018
Headline: SEC Charges Ameriprise Financial Services for Failing to Safeguard Client Assets
Release No.: 2018-154
Published date grouping: August 2018
Date: Aug. 14, 2018
Headline: SEC Files Charges in Municipal Bond “Flipping” and Kickback Schemes
Release No.: 2018-153
Published date grouping: August 2018
Date: Aug. 14, 2018
Headline: SEC Bars Perpetrator of Initial Coin Offering Fraud
Release No.: 2018-152
Published date grouping: August 2018
Date: Aug. 8, 2018
Headline: SEC Charges U.S. Congressman and Others With Insider Trading
Release No.: 2018-151
Published date grouping: August 2018
Date: Aug. 7, 2018
Headline: SEC Charges Cloud Communications Company and Two Senior Executives With Misleading Revenue Projections
Release No.: 2018-150
Published date grouping: August 2018
Date: Aug. 6, 2018
Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2018-149
Published date grouping: July 2018
Date: July 27, 2018
Headline: SEC Charges Recidivist in Stock Manipulation Scheme
Release No.: 2018-148
Published date grouping: July 2018
Date: July 25, 2018
Headline: Daniel Gregus Named National Associate Director of Clearance and Settlement Examination Program
Release No.: 2018-147
Published date grouping: July 2018
Date: July 25, 2018
Headline: Kristin Snyder Named Deputy Director of OCIE
Release No.: 2018-146
Published date grouping: July 2018
Date: July 25, 2018
Headline: Jane Jarcho, Deputy Director of OCIE, to Retire From SEC
Release No.: 2018-145
Published date grouping: July 2018
Date: July 25, 2018
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: July 24, 2018
Headline: SEC Proposes Rules to Simplify and Streamline Disclosures in Certain Registered Debt Offerings
Release No.: 2018-143
Published date grouping: July 2018
Date: July 24, 2018
Headline: SEC Detects Silicon Valley Executive’s Insider Trading
Release No.: 2018-142
Published date grouping: July 2018
Date: July 24, 2018
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: July 23, 2018
Headline: SEC Charges Mizuho Securities for Failure to Safeguard Customer Information
Release No.: 2018-140
Published date grouping: July 2018
Date: July 23, 2018
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: July 20, 2018
Headline: Deutsche Bank to Pay Nearly $75 Million for Improper Handling of ADRs
Release No.: 2018-138
Published date grouping: July 2018
Date: July 18, 2018
Headline: SEC Charges Investment Adviser and CEO With Misleading Retail Investors
Release No.: 2018-137
Published date grouping: July 2018
Date: July 18, 2018
Headline: SEC Adopts Rules to Enhance Transparency and Oversight of Alternative Trading Systems
Release No.: 2018-136
Published date grouping: July 2018
Date: July 18, 2018
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: July 17, 2018
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: July 16, 2018
Headline: SEC Charges Oil Company CEO, Board Member With Hiding Personal Loans
Release No.: 2018-133
Published date grouping: July 2018
Date: July 13, 2018
Headline: SEC Files Charges in Busted Microcap Schemes
Release No.: 2018-132
Published date grouping: July 2018
Date: July 11, 2018
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: July 11, 2018
Headline: SEC Files Additional Charges in Fitbit Stock Manipulation Scheme
Release No.: 2018-130
Published date grouping: July 2018
Date: July 6, 2018
Headline: Former CEO and CFO of ITT Barred and Ordered to Pay Penalties
Release No.: 2018-129
Published date grouping: July 2018
Date: July 5, 2018
Headline: SEC Charges Credit Suisse With FCPA Violations
Release No.: 2018-128
Published date grouping: July 2018
Date: July 2, 2018
Headline: SEC Charges KBR for Inflating Key Performance Metric and Accounting Controls Deficiencies
Release No.: 2018-127
Published date grouping: July 2018
Date: July 2, 2018
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: June 29, 2018
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: June 29, 2018
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: June 29, 2018
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: June 28, 2018
Headline: SEC Celebrates Lesbian, Gay, Bisexual and Transgender Pride Month
Release No.: 2018-122
Published date grouping: June 2018
Date: June 28, 2018
Headline: SEC Approves Final and Proposed Rules in Latest Open Meeting
Release No.: 2018-121
Published date grouping: June 2018
Date: June 28, 2018
Headline: SEC Proposes Whistleblower Rule Amendments
Release No.: 2018-120
Published date grouping: June 2018
Date: June 28, 2018
Headline: SEC Adopts Targeted Changes to Public Liquidity Risk Management Disclosure
Release No.: 2018-119
Published date grouping: June 2018
Date: June 28, 2018
Headline: SEC Proposes New Approval Process for Certain Exchange-Traded Funds
Release No.: 2018-118
Published date grouping: June 2018
Date: June 28, 2018
Headline: SEC Adopts Inline XBRL for Tagged Data
Release No.: 2018-117
Published date grouping: June 2018
Date: June 28, 2018
Headline: SEC Expands the Scope of Smaller Public Companies that Qualify for Scaled Disclosures
Release No.: 2018-116
Published date grouping: June 2018
Date: June 28, 2018
Headline: Former Equifax Manager Charged With Insider Trading
Release No.: 2018-115
Published date grouping: June 2018
Date: June 28, 2018
Headline: SEC and CFTC Announce Approval of New MOU
Release No.: 2018-114
Published date grouping: June 2018
Date: June 26, 2018
Headline: SEC Charges Credit Ratings Analyst and Two Friends With Insider Trading
Release No.: 2018-113
Published date grouping: June 2018
Date: June 25, 2018
Headline: Wells Fargo Advisors Settles SEC Charges for Improper Sales of Complex Financial Products
Release No.: 2018-112
Published date grouping: June 2018
Date: June 21, 2018
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: June 19, 2018
Headline: SEC Shuts Down $102 Million Ponzi Scheme
Release No.: 2018-110
Published date grouping: June 2018
Date: June 19, 2018
Headline: Investors, Innovation, and Performance Top SEC's Draft Strategic Plan
Release No.: 2018-109
Published date grouping: June 2018
Date: June 19, 2018
Headline: Merrill Lynch Admits to Misleading Customers about Trading Venues
Release No.: 2018-108
Published date grouping: June 2018
Date: June 18, 2018
Headline: Daniel J. Wadley Named as Regional Director of Salt Lake Office
Release No.: 2018-107
Published date grouping: June 2018
Date: June 15, 2018
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: June 12, 2018
Headline: SEC Charges Merrill Lynch for Failure to Supervise RMBS Traders
Release No.: 2018-105
Published date grouping: June 2018
Date: June 8, 2018
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: June 5, 2018
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: June 4, 2018
Headline: SEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation
Release No.: 2018-102
Published date grouping: June 2018
Date: June 4, 2018
Headline: SEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients
Release No.: 2018-101
Published date grouping: June 2018
Date: June 1, 2018
Headline: SEC Charges 13 Private Fund Advisers for Repeated Filing Failures
Release No.: 2018-100
Published date grouping: May 2018
Date: May 31, 2018
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: May 31, 2018
Headline: SEC Names Julie A. Erhardt Acting Chief Risk Officer
Release No.: 2018-98
Published date grouping: May 2018
Date: May 31, 2018
Headline: SEC Charges Investment Banker in Insider Trading Scheme
Release No.: 2018-97
Published date grouping: May 2018
Date: May 30, 2018
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: May 30, 2018
Headline: SEC Announces Agenda for June 14 Investor Advisory Committee Meeting in Atlanta
Release No.: 2018-95
Published date grouping: May 2018
Date: May 29, 2018
Headline: SEC Obtains Emergency Order Halting Fraudulent Coin Offering Scheme
Release No.: 2018-94
Published date grouping: May 2018
Date: May 29, 2018
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: May 23, 2018
Headline: SEC Proposes FAIR Act Rules to Promote Research Reports on Investment Funds
Release No.: 2018-92
Published date grouping: May 2018
Date: May 23, 2018
Headline: Investing in America: SEC Commissioners are Heading to Atlanta to Interact with Investors
Release No.: 2018-91
Published date grouping: May 2018
Date: May 16, 2018
Headline: SEC Charges Three Former Healthcare Executives With Fraud
Release No.: 2018-90
Published date grouping: May 2018
Date: May 16, 2018
Headline: SEC Charges Owner of Alternative Investment Firm in Belize Airport Financing Scam
Release No.: 2018-89
Published date grouping: May 2018
Date: May 16, 2018
Headline: The SEC Has an Opportunity You Won’t Want to Miss: Act Now!
Release No.: 2018-88
Published date grouping: May 2018
Date: May 16, 2018
Headline: SEC Charges Brokerage Firms and AML Officer With Anti-Money Laundering Violations
Release No.: 2018-87
Published date grouping: May 2018
Date: May 15, 2018
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: May 15, 2018
Headline: SEC Files Charges in International Manipulation Scheme
Release No.: 2018-85
Published date grouping: May 2018
Date: May 15, 2018
Headline: SEC Names Caryn E. Kauffman as Chief Financial Officer
Release No.: 2018-84
Published date grouping: May 2018
Date: May 9, 2018
Headline: SEC Charges Hedge Fund Adviser With Deceiving Investors by Inflating Fund Performance
Release No.: 2018-83
Published date grouping: May 2018
Date: May 9, 2018
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: May 8, 2018
Headline: Hedge Fund Firm Charged for Asset Mismarking and Insider Trading
Release No.: 2018-81
Published date grouping: May 2018
Date: May 7, 2018
Headline: SEC Names Jessica Kane Director of Office of Credit Ratings
Release No.: 2018-80
Published date grouping: May 2018
Date: May 4, 2018
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: May 2, 2018
Headline: SEC Launches Additional Investor Protection Search Tool
Release No.: 2018-78
Published date grouping: May 2018
Date: May 1, 2018
Headline: SEC Shuts Down $85 Million Ponzi Scheme and Obtains Asset Freeze
Release No.: 2018-77
Published date grouping: May 2018
Date: May 1, 2018
Headline: SEC Names Raquel Fox Director of the Office of International Affairs
Release No.: 2018-76
Published date grouping: May 2018
Date: May 1, 2018
Headline: SEC Enforcement Division Issues FAQs for Share Class Selection Disclosure Initiative
Release No.: 2018-75
Published date grouping: April 2018
Date: April 30, 2018
Headline: Office of International Affairs Director Paul A. Leder to Leave SEC
Release No.: 2018-74
Published date grouping: April 2018
Date: April 30, 2018
Headline: Panasonic Charged With FCPA and Accounting Fraud Violations
Release No.: 2018-73
Published date grouping: April 2018
Date: April 25, 2018
Headline: Eric R. Werner Named Associate Regional Director for Enforcement in Fort Worth Office
Release No.: 2018-72
Published date grouping: April 2018
Date: April 24, 2018
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: April 20, 2018
Headline: SEC Charges Additional Defendant in Fraudulent ICO Scheme
Release No.: 2018-70
Published date grouping: April 2018
Date: April 20, 2018
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: April 18, 2018
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: April 17, 2018
Headline: Fee Rate Advisory #3 for Fiscal Year 2018
Release No.: 2018-67
Published date grouping: April 2018
Date: April 16, 2018
Headline: SEC Unveils Public Service Announcement to Promote Background Checks on Investor.gov
Release No.: 2018-66
Published date grouping: April 2018
Date: April 13, 2018
Headline: SEC Staff to Host Roundtable on Market Structure for Thinly-Traded Securities
Release No.: 2018-65
Published date grouping: April 2018
Date: April 12, 2018
Headline: SEC Awards Whistleblower More Than $2.1 Million
Release No.: 2018-64
Published date grouping: April 2018
Date: April 9, 2018
Headline: SEC Charges Texas Company, Principals in Multimillion Dollar Ponzi Scheme Targeting Seniors
Release No.: 2018-63
Published date grouping: April 2018
Date: April 6, 2018
Headline: SEC Orders Three Investment Advisers to Pay $12 Million to Harmed Clients
Release No.: 2018-62
Published date grouping: April 2018
Date: April 6, 2018
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: April 5, 2018
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: April 5, 2018
Headline: SEC Charges Medical Device Company The Eye Machine and Founder Pocklington With Fraud
Release No.: 2018-59
Published date grouping: April 2018
Date: April 5, 2018
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: April 5, 2018
Headline: Joel R. Levin Named Director of Chicago Regional Office
Release No.: 2018-57
Published date grouping: April 2018
Date: April 4, 2018
Headline: SEC Names Peter Henry as Director of the Office of Equal Employment Opportunity
Release No.: 2018-56
Published date grouping: April 2018
Date: April 4, 2018
Headline: SEC Warns of Government Impersonators
Release No.: 2018-55
Published date grouping: April 2018
Date: April 3, 2018
Headline: SEC Promotes Investor Awareness During National Financial Capability Month
Release No.: 2018-54
Published date grouping: April 2018
Date: April 2, 2018
Headline: SEC Halts Fraudulent Scheme Involving Unregistered ICO
Release No.: 2018-53
Published date grouping: April 2018
Date: April 2, 2018
Headline: SEC Charges Fintech Company Founder With Scheme to Defraud Investors and Misappropriate Funds
Release No.: 2018-52
Published date grouping: March 2018
Date: March 30, 2018
Headline: SEC Charges Prominent Pastor, Financial Planner in Scheme to Defraud Elderly Investors
Release No.: 2018-51
Published date grouping: March 2018
Date: March 28, 2018
Headline: Broker-Dealer Admits It Failed to File SARs
Release No.: 2018-50
Published date grouping: March 2018
Date: March 27, 2018
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: March 27, 2018
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: March 26, 2018
Headline: Kinross Gold Charged With FCPA Violations
Release No.: 2018-47
Published date grouping: March 2018
Date: March 23, 2018
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: March 19, 2018
Headline: Broker Charged With Repeatedly Putting Customer Assets At Risk
Release No.: 2018-45
Published date grouping: March 2018
Date: March 19, 2018
Headline: SEC Announces Its Largest-Ever Whistleblower Awards
Release No.: 2018-44
Published date grouping: March 2018
Date: March 14, 2018
Headline: SEC Proposes Transaction Fee Pilot for NMS Stocks
Release No.: 2018-43
Published date grouping: March 2018
Date: March 14, 2018
Headline: SEC Proposes Targeted Changes to Public Liquidity Risk Management Disclosure
Release No.: 2018-42
Published date grouping: March 2018
Date: March 14, 2018
Headline: Theranos, CEO Holmes, and Former President Balwani Charged With Massive Fraud
Release No.: 2018-41
Published date grouping: March 2018
Date: March 14, 2018
Headline: Former Equifax Executive Charged With Insider Trading
Release No.: 2018-40
Published date grouping: March 2018
Date: March 13, 2018
Headline: Foreign Affiliates of KPMG, Deloitte, BDO Charged in Improper Audits
Release No.: 2018-39
Published date grouping: March 2018
Date: March 9, 2018
Headline: SEC Charges Penny Stock “Mailman” With Scalping Investors In Gold Mining Stocks
Release No.: 2018-38
Published date grouping: March 2018
Date: March 9, 2018
Headline: SEC Foils Penny Stock Executive’s Plan to Pump Stock and Exploit Investors
Release No.: 2018-37
Published date grouping: March 2018
Date: March 8, 2018
Headline: Investment Adviser Settles Charges for Cheating Clients in Fraudulent Cherry-Picking Scheme
Release No.: 2018-36
Published date grouping: March 2018
Date: March 8, 2018
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: March 8, 2018
Headline: SEC Obtains Partial Asset Freeze of Proceeds in Alleged Fraudulent Touting Scheme
Release No.: 2018-34
Published date grouping: March 2018
Date: March 8, 2018
Headline: SEC Charges Company and Executives in Oil-and-Gas Offering Fraud
Release No.: 2018-33
Published date grouping: March 2018
Date: March 8, 2018
Headline: Merrill Lynch Charged With Gatekeeping Failures in the Unregistered Sales of Securities
Release No.: 2018-32
Published date grouping: March 2018
Date: March 6, 2018
Headline: NYSE to Pay $14 Million Penalty for Multiple Violations
Release No.: 2018-31
Published date grouping: March 2018
Date: March 5, 2018
Headline: SEC Charges Unregistered Broker for Illegally Brokering Sales of EB-5 Securities
Release No.: 2018-30
Published date grouping: March 2018
Date: March 2, 2018
Headline: SEC Celebrates African American History Month
Release No.: 2018-29
Published date grouping: March 2018
Date: March 2, 2018
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: Feb. 28, 2018
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: Feb. 28, 2018
Headline: SEC Charges Ameriprise With Overcharging Retirement Account Customers for Mutual Fund Shares
Release No.: 2018-26
Published date grouping: February 2018
Date: Feb. 27, 2018
Headline: SEC Announces Agenda for March 8 Investor Advisory Committee Meeting
Release No.: 2018-25
Published date grouping: February 2018
Date: Feb. 21, 2018
Headline: SEC Votes to Modify Compliance Date for Open-End Fund Liquidity Classification
Release No.: 2018-24
Published date grouping: February 2018
Date: Feb. 21, 2018
Headline: SEC Charges Former Bitcoin-Denominated Exchange and Operator With Fraud
Release No.: 2018-23
Published date grouping: February 2018
Date: Feb. 21, 2018
Headline: SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures
Release No.: 2018-22
Published date grouping: February 2018
Date: Feb. 16, 2018
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: Feb. 16, 2018
Headline: SEC Suspends Trading in Three Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
Release No.: 2018-20
Published date grouping: February 2018
Date: Feb. 15, 2018
Headline: Kyle Moffatt Named Chief Accountant in Division of Corporation Finance
Release No.: 2018-19
Published date grouping: February 2018
Date: Feb. 15, 2018
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: Feb. 13, 2018
Headline: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Release No.: 2018-17
Published date grouping: February 2018
Date: Feb. 13, 2018
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: Feb. 12, 2018
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: Feb. 12, 2018
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: Feb. 12, 2018
Headline: Deutsche Bank to Repay Misled Customers
Release No.: 2018-13
Published date grouping: February 2018
Date: Feb. 7, 2018
Headline: SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities
Release No.: 2018-12
Published date grouping: February 2018
Date: Feb. 2, 2018
Headline: SEC Halts Ongoing Fraud by Purported Hedge Fund Manager
Release No.: 2018-11
Published date grouping: February 2018
Date: Feb. 2, 2018
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: Jan. 30, 2018
Headline: Michael Maloney, Enforcement’s Chief Accountant, to Leave SEC
Release No.: 2018-9
Published date grouping: January 2018
Date: Jan. 30, 2018
Headline: SEC Halts Alleged Initial Coin Offering Scam
Release No.: 2018-8
Published date grouping: January 2018
Date: Jan. 25, 2018
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: Jan. 22, 2018
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: Jan. 11, 2018
Headline: Robert Jackson and Hester Peirce Sworn In as SEC Commissioners
Release No.: 2018-5
Published date grouping: January 2018
Date: Jan. 11, 2018
Headline: Dr. Timothy Timura Named Deputy Chief Economist
Release No.: 2018-4
Published date grouping: January 2018
Date: Jan. 11, 2018
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: Jan. 10, 2018
Headline: SEC Names Richard Best As Regional Director of Atlanta Office
Release No.: 2018-2
Published date grouping: January 2018
Date: Jan. 8, 2018
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: Dec. 29, 2017
Headline: Annual Staff Reports on Credit Rating Agencies Show Improvements
Release No.: 2017-238
Published date grouping: December 2017
Date: Dec. 22, 2017
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: Dec. 21, 2017
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: Dec. 21, 2017
Headline: SEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street Investors
Release No.: 2017-235
Published date grouping: December 2017
Date: Dec. 19, 2017
Headline: Broker Charged With Giving Special Access to IPOs for Cash Kickbacks
Release No.: 2017-234
Published date grouping: December 2017
Date: Dec. 18, 2017
Headline: Marc P. Berger Named Director of New York Regional Office
Release No.: 2017-233
Published date grouping: December 2017
Date: Dec. 14, 2017
Headline: SEC Names Kenneth A. Johnson as Chief Operating Officer
Release No.: 2017-232
Published date grouping: December 2017
Date: Dec. 13, 2017
Headline: Division of Trading and Markets Deputy Director Gary Barnett to Retire
Release No.: 2017-231
Published date grouping: December 2017
Date: Dec. 12, 2017
Headline: SEC Appoints New Chairman and Board Members to PCAOB
Release No.: 2017-230
Published date grouping: December 2017
Date: Dec. 12, 2017
Headline: SEC Charges Biopharmaceutical Company With Failing to Properly Disclose Perks for Executives
Release No.: 2017-229
Published date grouping: December 2017
Date: Dec. 11, 2017
Headline: Stock Trader Charged in Insider Trading Ring
Release No.: 2017-228
Published date grouping: December 2017
Date: Dec. 11, 2017
Headline: Company Halts ICO After SEC Raises Registration Concerns
Release No.: 2017-227
Published date grouping: December 2017
Date: Dec. 8, 2017
Headline: SEC Modifies Approach to Form N-PORT Filing Requirements
Release No.: 2017-226
Published date grouping: December 2017
Date: Dec. 7, 2017
Headline: Daniel Michael Named Chief of Enforcement Division’s Complex Financial Instruments Unit
Release No.: 2017-225
Published date grouping: December 2017
Date: Dec. 7, 2017
Headline: Broker Charged With Defrauding Investors
Release No.: 2017-224
Published date grouping: December 2017
Date: Dec. 6, 2017
Headline: SEC Continues Crackdown on Brokers Defrauding Customers
Release No.: 2017-223
Published date grouping: December 2017
Date: Dec. 5, 2017
Headline: Former Company Insider Earns More Than $4.1 Million for Whistleblower Tip
Release No.: 2017-222
Published date grouping: December 2017
Date: Dec. 4, 2017
Headline: Digital Display Advertising Firm, Executives Charged With Bilking Investors
Release No.: 2017-221
Published date grouping: December 2017
Date: Dec. 4, 2017
Headline: Audit Firm Charged With Fraud Relating to Auditing of Penny Stock Companies
Release No.: 2017-220
Published date grouping: December 2017
Date: Dec. 4, 2017
Headline: SEC Emergency Action Halts ICO Scam
Release No.: 2017-219
Published date grouping: November 2017
Date: Nov. 30, 2017
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: Nov. 30, 2017
Headline: Division of Corporation Finance Chief Accountant Mark Kronforst to Leave SEC
Release No.: 2017-217
Published date grouping: November 2017
Date: Nov. 30, 2017
Headline: More Than $16 Million Awarded to Two Whistleblowers
Release No.: 2017-216
Published date grouping: November 2017
Date: Nov. 30, 2017
Headline: SEC Ratifies Appointment of Administrative Law Judges
Release No.: 2017-215
Published date grouping: November 2017
Date: Nov. 27, 2017
Headline: SEC Announces Agenda for December 7 Investor Advisory Committee Meeting
Release No.: 2017-214
Published date grouping: November 2017
Date: Nov. 21, 2017
Headline: Long Island Town and Former Top Official Charged With Defrauding Municipal Investors
Release No.: 2017-213
Published date grouping: November 2017
Date: Nov. 20, 2017
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: Nov. 16, 2017
Headline: SEC Announces Agenda and Panelists for the 36th Annual Small Business Forum
Release No.: 2017-211
Published date grouping: November 2017
Date: Nov. 15, 2017
Headline: SEC Enforcement Division Issues Report on Priorities and FY 2017 Results
Release No.: 2017-210
Published date grouping: November 2017
Date: Nov. 9, 2017
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: Nov. 7, 2017
Headline: SEC Warns Investors About Paid-to-Click Scams
Release No.: 2017-208
Published date grouping: November 2017
Date: Nov. 2, 2017
Headline: SEC Charges Biotech Company, Executives With Accounting Fraud
Release No.: 2017-207
Published date grouping: November 2017
Date: Nov. 2, 2017
Headline: Charles Cain Named Chief of Foreign Corrupt Practices Unit
Release No.: 2017-206
Published date grouping: November 2017
Date: Nov. 1, 2017
Headline: David Glockner, Regional Director of Chicago Office, to Leave SEC
Release No.: 2017-205
Published date grouping: November 2017
Date: Nov. 1, 2017
Headline: Petroleum Engineer Settles Charges of Insider Trading Ahead of Oil Discovery Announcement
Release No.: 2017-204
Published date grouping: October 2017
Date: Oct. 31, 2017
Headline: Millennium Settles Charges of Illegal Short Selling in Advance of Stock Offerings
Release No.: 2017-203
Published date grouping: October 2017
Date: Oct. 30, 2017
Headline: Day Trader Charged in Brokerage Account Takeover Scheme
Release No.: 2017-202
Published date grouping: October 2017
Date: Oct. 26, 2017
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: Oct. 26, 2017
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: Oct. 25, 2017
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: Oct. 18, 2017
Headline: SEC Names Brett Redfearn as Director of the Division of Trading and Markets
Release No.: 2017-198
Published date grouping: October 2017
Date: Oct. 18, 2017
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: Oct. 17, 2017
Headline: Rio Tinto, Former Top Executives Charged With Fraud
Release No.: 2017-196
Published date grouping: October 2017
Date: Oct. 12, 2017
Headline: SEC Announces Whistleblower Award of More Than a Million Dollars
Release No.: 2017-195
Published date grouping: October 2017
Date: Oct. 11, 2017
Headline: Lawyers Charged With Assisting a Microcap Fraud Scheme
Release No.: 2017-194
Published date grouping: October 2017
Date: Oct. 11, 2017
Headline: SEC Files Charges in Snack Company Investment Scam
Release No.: 2017-193
Published date grouping: October 2017
Date: Oct. 11, 2017
Headline: SEC Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure
Release No.: 2017-192
Published date grouping: October 2017
Date: Oct. 10, 2017
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: Oct. 6, 2017
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: Oct. 5, 2017
Headline: Investment Adviser Charged in Multi-Million Dollar Options Trading Scheme
Release No.: 2017-189
Published date grouping: October 2017
Date: Oct. 3, 2017
Headline: SEC Charges Penny-Stock Operators in Push to Crack Down on Repeat Offenders
Release No.: 2017-188
Published date grouping: October 2017
Date: Oct. 2, 2017
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: Oct. 2, 2017
Headline: Chairman Clayton Provides Update on Review of 2016 Cyber Intrusion Involving EDGAR System
Release No.: 2017-186
Published date grouping: September 2017
Date: Sept. 29, 2017
Headline: SEC Exposes Two Initial Coin Offerings Purportedly Backed by Real Estate and Diamonds
Release No.: 2017-185
Published date grouping: September 2017
Date: Sept. 29, 2017
Headline: Former Corporate Insider, Middleman Tipper, and Six Traders Charged With Insider Trading
Release No.: 2017-184
Published date grouping: September 2017
Date: Sept. 29, 2017
Headline: Fee Rate Advisory #2 for Fiscal Year 2018
Release No.: 2017-183
Published date grouping: September 2017
Date: Sept. 29, 2017
Headline: Barred Broker Charged in Real Estate Investment Scheme
Release No.: 2017-182
Published date grouping: September 2017
Date: Sept. 28, 2017
Headline: SEC Provides Regulatory Relief and Assistance for Hurricane Victims
Release No.: 2017-181
Published date grouping: September 2017
Date: Sept. 28, 2017
Headline: SEC Detects Brokers Defrauding Customers
Release No.: 2017-180
Published date grouping: September 2017
Date: Sept. 28, 2017
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: Sept. 28, 2017
Headline: Medical Manufacturer Settles Accounting Fraud Charges
Release No.: 2017-178
Published date grouping: September 2017
Date: Sept. 26, 2017
Headline: Stock Market Analyst Barred for Illegally Cashing In On His Research Reports
Release No.: 2017-177
Published date grouping: September 2017
Date: Sept. 25, 2017
Headline: SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors
Release No.: 2017-176
Published date grouping: September 2017
Date: Sept. 22, 2017
Headline: Pharmaceutical Company Paying Penalty for Misleading Investors About Sales Metric
Release No.: 2017-175
Published date grouping: September 2017
Date: Sept. 22, 2017
Headline: SEC Announces Agenda for October 12 Investor Advisory Committee Meeting
Release No.: 2017-174
Published date grouping: September 2017
Date: Sept. 22, 2017
Headline: SEC Suspends Trading in Company Purporting Involvement in Hurricane Harvey Relief Efforts
Release No.: 2017-173
Published date grouping: September 2017
Date: Sept. 21, 2017
Headline: SEC Adopts Interpretive Guidance on Pay Ratio Rule
Release No.: 2017-172
Published date grouping: September 2017
Date: Sept. 21, 2017
Headline: Telecommunications Company Paying $965 Million For FCPA Violations
Release No.: 2017-171
Published date grouping: September 2017
Date: Sept. 20, 2017
Headline: SEC Chairman Clayton Issues Statement on Cybersecurity
Release No.: 2017-170
Published date grouping: September 2017
Date: Sept. 20, 2017
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: Sept. 20, 2017
Headline: CEO Charged With Using Secret Accounts for Insider Trading in Company Stock
Release No.: 2017-168
Published date grouping: September 2017
Date: Sept. 19, 2017
Headline: Catherine McGuire to Retire After More Than 40 Years at the SEC
Release No.: 2017-167
Published date grouping: September 2017
Date: Sept. 15, 2017
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: Sept. 14, 2017
Headline: SunTrust Charged With Improperly Recommending Higher-Fee Mutual Funds
Release No.: 2017-165
Published date grouping: September 2017
Date: Sept. 13, 2017
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: Sept. 11, 2017
Headline: Commission Statement on T+2 Implementation
Release No.: 2017-163
Published date grouping: September 2017
Date: Sept. 11, 2017
Headline: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
Release No.: 2017-162
Published date grouping: September 2017
Date: Sept. 7, 2017
Headline: Bridget Fitzpatrick Named Chief Litigation Counsel
Release No.: 2017-161
Published date grouping: September 2017
Date: Sept. 7, 2017
Headline: Former Amazon Employee and College Friend Charged With Insider Trading
Release No.: 2017-160
Published date grouping: September 2017
Date: Sept. 7, 2017
Headline: State Street Paying Penalties to Settle Fraud Charges and Disclosure Failures
Release No.: 2017-159
Published date grouping: September 2017
Date: Sept. 6, 2017
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: Sept. 6, 2017
Headline: Radio Host Charged With Concert Ticket Investment Scam
Release No.: 2017-157
Published date grouping: September 2017
Date: Sept. 6, 2017
Headline: Adviser Charged With Stealing Investor Funds
Release No.: 2017-156
Published date grouping: August 2017
Date: Aug. 31, 2017
Headline: Chairman Clayton Names Executive Staff
Release No.: 2017-155
Published date grouping: August 2017
Date: Aug. 31, 2017
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: Aug. 31, 2017
Headline: SEC Names Dalia Blass as Director of the Division of Investment Management
Release No.: 2017-153
Published date grouping: August 2017
Date: Aug. 31, 2017
Headline: SEC and NYU to Host Forum on Exchange-Traded Products
Release No.: 2017-152
Published date grouping: August 2017
Date: Aug. 31, 2017
Headline: Former Pharma Company Accountant, Three Others Charged With Insider Trading
Release No.: 2017-151
Published date grouping: August 2017
Date: Aug. 30, 2017
Headline: SEC Monitoring Market Impact of Hurricane Harvey
Release No.: 2017-150
Published date grouping: August 2017
Date: Aug. 24, 2017
Headline: Fee Rate Advisory #1 for Fiscal Year 2018
Release No.: 2017-149
Published date grouping: August 2017
Date: Aug. 23, 2017
Headline: Muni Bond Issuer and Underwriter Charged With Disclosure Failures
Release No.: 2017-148
Published date grouping: August 2017
Date: Aug. 22, 2017
Headline: SEC Charges Investment Adviser With Defrauding Professional Athlete and His Wife
Release No.: 2017-147
Published date grouping: August 2017
Date: Aug. 21, 2017
Headline: Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading
Release No.: 2017-146
Published date grouping: August 2017
Date: Aug. 18, 2017
Headline: Commission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition
Release No.: 2017-145
Published date grouping: August 2017
Date: Aug. 18, 2017
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: Aug. 16, 2017
Headline: SEC Uncovers Wide-Reaching Insider Trading Scheme
Release No.: 2017-143
Published date grouping: August 2017
Date: Aug. 15, 2017
Headline: SEC Charges KPMG with Audit Failures
Release No.: 2017-142
Published date grouping: August 2017
Date: Aug. 11, 2017
Headline: SEC Files Charges in Oil Drilling Investment Scheme
Release No.: 2017-141
Published date grouping: August 2017
Date: Aug. 8, 2017
Headline: SEC Staff Publishes Report on Access to Capital and Market Liquidity
Release No.: 2017-140
Published date grouping: August 2017
Date: Aug. 3, 2017
Headline: Investment Management Director David W. Grim to Leave SEC
Release No.: 2017-139
Published date grouping: August 2017
Date: Aug. 2, 2017
Headline: Donna Esau Named Associate Regional Director for Examinations in Atlanta Regional Office
Release No.: 2017-138
Published date grouping: August 2017
Date: Aug. 2, 2017
Headline: Overseas Stock Manipulator Settles SEC Charges
Release No.: 2017-137
Published date grouping: July 2017
Date: July 31, 2017
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: July 31, 2017
Headline: SEC Files Fraud Charges Against Former Brokers Targeting Federal Retirees
Release No.: 2017-135
Published date grouping: July 2017
Date: July 27, 2017
Headline: SEC Announces Whistleblower Award of More Than $1.7 Million
Release No.: 2017-134
Published date grouping: July 2017
Date: July 27, 2017
Headline: Halliburton Paying $29.2 Million to Settle FCPA Violations
Release No.: 2017-133
Published date grouping: July 2017
Date: July 26, 2017
Headline: Jessica Magee Named Associate Regional Director for Enforcement in Fort Worth Office
Release No.: 2017-132
Published date grouping: July 2017
Date: July 25, 2017
Headline: SEC Issues Investigative Report Concluding DAO Tokens, a Digital Asset, Were Securities
Release No.: 2017-131
Published date grouping: July 2017
Date: July 25, 2017
Headline: SEC Announces $2.5 Million Whistleblower Award
Release No.: 2017-130
Published date grouping: July 2017
Date: July 24, 2017
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: July 21, 2017
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: July 19, 2017
Headline: SEC Bars Lawyer Who Committed Fraud
Release No.: 2017-127
Published date grouping: July 2017
Date: July 18, 2017
Headline: SEC Announces Christopher Hetner as Senior Advisor to the Chairman for Cybersecurity Policy
Release No.: 2017-126
Published date grouping: July 2017
Date: July 12, 2017
Headline: SEC Files Insider Trading Charges Against Research Scientist Aiming to Avoid SEC Detection
Release No.: 2017-125
Published date grouping: July 2017
Date: July 12, 2017
Headline: SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors
Release No.: 2017-124
Published date grouping: June 2017
Date: June 30, 2017
Headline: SEC Files Fraud Charges in Bitcoin and Office Space Investment Schemes
Release No.: 2017-123
Published date grouping: June 2017
Date: June 30, 2017
Headline: SEC Charges Information Technology Company and Former Executives With Accounting Fraud
Release No.: 2017-122
Published date grouping: June 2017
Date: June 29, 2017
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: June 28, 2017
Headline: SEC Charges Oil and Gas Company and Top Finance Executives with Accounting Fraud
Release No.: 2017-120
Published date grouping: June 2017
Date: June 22, 2017
Headline: Additional Charges Announced in Case Involving Pre-Released ADRs
Release No.: 2017-119
Published date grouping: June 2017
Date: June 20, 2017
Headline: Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance
Release No.: 2017-118
Published date grouping: June 2017
Date: June 20, 2017
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: June 20, 2017
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: June 15, 2017
Headline: Keith Cassidy Named Associate Director of Technology Controls Program in OCIE
Release No.: 2017-115
Published date grouping: June 2017
Date: June 14, 2017
Headline: SEC Announces Agenda for June 22 Investor Advisory Committee Meeting
Release No.: 2017-114
Published date grouping: June 2017
Date: June 8, 2017
Headline: SEC Names Stephanie Avakian and Steven Peikin as Co-Directors of Enforcement
Release No.: 2017-113
Published date grouping: June 2017
Date: June 5, 2017
Headline: SEC Charges Brokerage Firm With Failing to Comply With Anti-Money Laundering Laws
Release No.: 2017-112
Published date grouping: May 2017
Date: May 31, 2017
Headline: Fee Rate Advisory #3 for Fiscal Year 2017
Release No.: 2017-111
Published date grouping: May 2017
Date: May 25, 2017
Headline: SEC Names Peter Uhlmann Managing Executive in Chairman's Office
Release No.: 2017-110
Published date grouping: May 2017
Date: May 24, 2017
Headline: SEC Files Charges in Trading Scheme Involving Confidential Government Information
Release No.: 2017-109
Published date grouping: May 2017
Date: May 23, 2017
Headline: SEC and MSRB to Hold Webinar on Series 50 Exam for Municipal Advisors
Release No.: 2017-108
Published date grouping: May 2017
Date: May 19, 2017
Headline: SEC Charges Fake Filer With Manipulating Fitbit Stock
Release No.: 2017-107
Published date grouping: May 2017
Date: May 19, 2017
Headline: David Peavler, Associate Director of Enforcement in Fort Worth Office, to Leave SEC
Release No.: 2017-106
Published date grouping: May 2017
Date: May 15, 2017
Headline: SEC Names Robert B. Stebbins as General Counsel
Release No.: 2017-105
Published date grouping: May 2017
Date: May 15, 2017
Headline: SEC Names Jaime Klima Chief Counsel
Release No.: 2017-104
Published date grouping: May 2017
Date: May 15, 2017
Headline: SEC Names Sean Memon Deputy Chief of Staff
Release No.: 2017-103
Published date grouping: May 2017
Date: May 15, 2017
Headline: SEC Charges Former Head Traders at Nomura With Fraud
Release No.: 2017-102
Published date grouping: May 2017
Date: May 11, 2017
Headline: SEC Names Lucas Moskowitz Chief of Staff
Release No.: 2017-101
Published date grouping: May 2017
Date: May 11, 2017
Headline: Law Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme
Release No.: 2017-100
Published date grouping: May 2017
Date: May 11, 2017
Headline: SEC Charges CEO With Failing to Disclose Perks to Shareholders
Release No.: 2017-99
Published date grouping: May 2017
Date: May 10, 2017
Headline: Barclays to Pay $97 Million for Overcharging Clients
Release No.: 2017-98
Published date grouping: May 2017
Date: May 9, 2017
Headline: William Hinman Named Director of Division of Corporation Finance
Release No.: 2017-97
Published date grouping: May 2017
Date: May 9, 2017
Headline: SEC Charges Former Staffer With Securities Fraud Violations
Release No.: 2017-96
Published date grouping: May 2017
Date: May 5, 2017
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: May 4, 2017
Headline: Jay Clayton Sworn in as Chairman of SEC
Release No.: 2017-94
Published date grouping: May 2017
Date: May 4, 2017
Headline: Firm, CEO Settle Charges in Ponzi-Like Scheme Involving Life Settlements
Release No.: 2017-93
Published date grouping: May 2017
Date: May 3, 2017
Headline: SEC Staff Supplements Quarterly Private Funds Statistics
Release No.: 2017-92
Published date grouping: May 2017
Date: May 3, 2017
Headline: SEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers
Release No.: 2017-91
Published date grouping: May 2017
Date: May 2, 2017
Headline: Whistleblower Award of More Than Half-Million Dollars for Company Insider
Release No.: 2017-90
Published date grouping: May 2017
Date: May 2, 2017
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: May 1, 2017
Headline: Semiconductor Company and Former CFO Settle Accounting Fraud Charges
Release No.: 2017-88
Published date grouping: April 2017
Date: April 28, 2017
Headline: SEC Charges EB-5 Operator With Securities Fraud
Release No.: 2017-87
Published date grouping: April 2017
Date: April 28, 2017
Headline: Executives Charged in Connection With Accounting Failures at Government Contractor
Release No.: 2017-86
Published date grouping: April 2017
Date: April 25, 2017
Headline: Broker Charged With Defrauding Customers
Release No.: 2017-85
Published date grouping: April 2017
Date: April 25, 2017
Headline: SEC Awards Nearly $4 Million to Whistleblower
Release No.: 2017-84
Published date grouping: April 2017
Date: April 24, 2017
Headline: Investment Bank VP Charged With Insider Trading
Release No.: 2017-83
Published date grouping: April 2017
Date: April 24, 2017
Headline: Portfolio Manager Charged With Diverting Nearly $2 Million to Personal Account
Release No.: 2017-82
Published date grouping: April 2017
Date: April 24, 2017
Headline: Telecom Executives Agree to Pay Penalties for FCPA Violations
Release No.: 2017-81
Published date grouping: April 2017
Date: April 14, 2017
Headline: SEC Freezes Brokerage Accounts Behind Alleged Insider Trading
Release No.: 2017-80
Published date grouping: April 2017
Date: April 10, 2017
Headline: SEC: Payments for Bullish Articles on Stocks Must Be Disclosed to Investors
Release No.: 2017-79
Published date grouping: April 2017
Date: April 5, 2017
Headline: SEC Adopts JOBS Act Amendments to Help Entrepreneurs and Investors
Release No.: 2017-78
Published date grouping: April 2017
Date: April 5, 2017
Headline: SEC Charges Muni Bond Underwriter With Gatekeeper Failures
Release No.: 2017-77
Published date grouping: April 2017
Date: April 4, 2017
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: March 30, 2017
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: March 30, 2017
Headline: SEC Charges Pastor With Defrauding Retirees
Release No.: 2017-74
Published date grouping: March 2017
Date: March 30, 2017
Headline: SEC Names Sagar S. Teotia as Deputy Chief Accountant
Release No.: 2017-73
Published date grouping: March 2017
Date: March 27, 2017
Headline: SEC Halts Fraud Targeting Seniors
Release No.: 2017-72
Published date grouping: March 2017
Date: March 27, 2017
Headline: SEC Halts Boiler Room Scheme Involving State Lottery Tickets
Release No.: 2017-71
Published date grouping: March 2017
Date: March 24, 2017
Headline: Overseas Traders Paying Back All Profits Plus Penalties in Insider Trading Case
Release No.: 2017-70
Published date grouping: March 2017
Date: March 23, 2017
Headline: SEC Announces 2017 Compliance Outreach Program Seminars for Investment Companies and Investment Advisers
Release No.: 2017-69
Published date grouping: March 2017
Date: March 22, 2017
Headline: SEC Adopts T+2 Settlement Cycle for Securities Transactions
Release No.: 2017-68
Published date grouping: March 2017
Date: March 14, 2017
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: March 14, 2017
Headline: Auditor Charged With Insider Trading on Client’s Nonpublic Information
Release No.: 2017-66
Published date grouping: March 2017
Date: March 13, 2017
Headline: SEC FOIA Office Receives Award for Exceptional Service
Release No.: 2017-65
Published date grouping: March 2017
Date: March 10, 2017
Headline: Executives Charged With Manipulating Company's Accounting Systems to Steal Money
Release No.: 2017-64
Published date grouping: March 2017
Date: March 10, 2017
Headline: SEC Charges Firms Involved in Layering, Manipulation Schemes
Release No.: 2017-63
Published date grouping: March 2017
Date: March 9, 2017
Headline: SEC Charges Marijuana-Related Company and Executives With Touting Bogus Revenues
Release No.: 2017-62
Published date grouping: March 2017
Date: March 6, 2017
Headline: SEC Economist Receives Award for Academic Work on Market Insights
Release No.: 2017-61
Published date grouping: March 2017
Date: March 2, 2017
Headline: SEC Charges Mexico-Based Homebuilder in $3.3 Billion Accounting Fraud
Release No.: 2017-60
Published date grouping: March 2017
Date: March 2, 2017
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: March 1, 2017
Headline: SEC Proposes Rule Amendments to Improve Municipal Securities Disclosures
Release No.: 2017-57
Published date grouping: March 2017
Date: March 1, 2017
Headline: SEC Proposes Inline XBRL Filing of Tagged Data
Release No.: 2017-56
Published date grouping: March 2017
Date: March 1, 2017
Headline: SEC Approves Rules to Ease Investor Access to Exhibits in Company Filings
Release No.: 2017-55
Published date grouping: March 2017
Date: March 1, 2017
Headline: SEC Votes to Seek Public Input on Possible Change to Industry Guide 3
Release No.: 2017-54
Published date grouping: February 2017
Date: Feb. 23, 2017
Headline: SEC Announces Agenda for March 9 Investor Advisory Committee Meeting
Release No.: 2017-53
Published date grouping: February 2017
Date: Feb. 23, 2017
Headline: SEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers
Release No.: 2017-52
Published date grouping: February 2017
Date: Feb. 21, 2017
Headline: SEC to Host Crowdfunding Dialogue February 28
Release No.: 2017-51
Published date grouping: February 2017
Date: Feb. 17, 2017
Headline: SEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings
Release No.: 2017-50
Published date grouping: February 2017
Date: Feb. 14, 2017
Headline: SEC Charges Fuel Cell Company and Officers With Defrauding Investors
Release No.: 2017-49
Published date grouping: February 2017
Date: Feb. 14, 2017
Headline: SEC Announces Cases Related to Disclosures During Battles for Corporate Control
Release No.: 2017-48
Published date grouping: February 2017
Date: Feb. 14, 2017
Headline: Purported Real Estate Investment Manager Settles Fraud Charges
Release No.: 2017-47
Published date grouping: February 2017
Date: Feb. 14, 2017
Headline: Morgan Stanley Settles Charges Related to ETF Investments
Release No.: 2017-46
Published date grouping: February 2017
Date: Feb. 13, 2017
Headline: Brokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures
Release No.: 2017-45
Published date grouping: February 2017
Date: Feb. 10, 2017
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: Feb. 8, 2017
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: Feb. 7, 2017
Headline: Private Equity Adviser Barred From Industry for Improper Withdrawal From Funds
Release No.: 2017-42
Published date grouping: February 2017
Date: Feb. 3, 2017
Headline: SEC Charges Financial Adviser With Stealing From Client Accounts
Release No.: 2017-41
Published date grouping: February 2017
Date: Feb. 2, 2017
Headline: SEC Charges Investment Adviser With Stealing Investor Funds
Release No.: 2017-40
Published date grouping: January 2017
Date: Jan. 30, 2017
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: Jan. 30, 2017
Headline: OCIE Director Marc Wyatt to Leave SEC
Release No.: 2017-38
Published date grouping: January 2017
Date: Jan. 27, 2017
Headline: SEC Announces Charges in Hamilton Ticket Resale Ponzi Scheme
Release No.: 2017-37
Published date grouping: January 2017
Date: Jan. 27, 2017
Headline: Chief Operating Officer Jeffery Heslop to Leave SEC
Release No.: 2017-36
Published date grouping: January 2017
Date: Jan. 26, 2017
Headline: Citigroup Paying $18 Million for Overbilling Clients
Release No.: 2017-35
Published date grouping: January 2017
Date: Jan. 26, 2017
Headline: SEC Charges Two Former Och-Ziff Executives With FCPA Violations
Release No.: 2017-34
Published date grouping: January 2017
Date: Jan. 25, 2017
Headline: Brokerage Firm Charged With Gatekeeper Failures Related to Pump-and-Dump Scheme
Release No.: 2017-33
Published date grouping: January 2017
Date: Jan. 25, 2017
Headline: SEC Uncovers Cherry-Picking Scheme, Charges Investment Adviser Behind It
Release No.: 2017-32
Published date grouping: January 2017
Date: Jan. 24, 2017
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: Jan. 24, 2017
Headline: Morgan Stanley, Citigroup Charged With Misleading Investors About Forex Trading Program
Release No.: 2017-30
Published date grouping: January 2017
Date: Jan. 23, 2017
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: Jan. 23, 2017
Headline: SEC Announces Fraud Charges, Asset Freeze in Alleged Nursing Home Investment Scheme
Release No.: 2017-28
Published date grouping: January 2017
Date: Jan. 23, 2017
Headline: SEC Announces $7 Million Whistleblower Award
Release No.: 2017-27
Published date grouping: January 2017
Date: Jan. 19, 2017
Headline: SEC Establishes Supervisory Cooperation Arrangement With Hong Kong SFC
Release No.: 2017-26
Published date grouping: January 2017
Date: Jan. 19, 2017
Headline: Jennifer Diamantis Named Chief of Office of Market Intelligence
Release No.: 2017-25
Published date grouping: January 2017
Date: Jan. 19, 2017
Headline: Financial Company Charged With Improper Accounting and Impeding Whistleblowers
Release No.: 2017-24
Published date grouping: January 2017
Date: Jan. 19, 2017
Headline: SEC Chief of Staff Andrew J. Donohue to Leave Agency
Release No.: 2017-23
Published date grouping: January 2017
Date: Jan. 18, 2017
Headline: General Counsel Anne K. Small to Leave SEC
Release No.: 2017-22
Published date grouping: January 2017
Date: Jan. 18, 2017
Headline: Company Settles Charges Over Undisclosed Perks and Improper Use of Non-GAAP Measures
Release No.: 2017-21
Published date grouping: January 2017
Date: Jan. 18, 2017
Headline: SEC Deputy Chief of Staff Nathaniel Stankard to Leave Agency
Release No.: 2017-20
Published date grouping: January 2017
Date: Jan. 18, 2017
Headline: General Motors Charged With Accounting Control Failures
Release No.: 2017-19
Published date grouping: January 2017
Date: Jan. 18, 2017
Headline: Medical Device Company Charged With Accounting Failures and FCPA Violations
Release No.: 2017-18
Published date grouping: January 2017
Date: Jan. 17, 2017
Headline: SEC Charges Businessman With Misusing EB-5 Investments
Release No.: 2017-17
Published date grouping: January 2017
Date: Jan. 17, 2017
Headline: Allergan Paying $15 Million Penalty for Disclosure Failures During Merger Talks
Release No.: 2017-16
Published date grouping: January 2017
Date: Jan. 17, 2017
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: Jan. 17, 2017
Headline: BlackRock Charged With Removing Whistleblower Incentives in Separation Agreements
Release No.: 2017-14
Published date grouping: January 2017
Date: Jan. 13, 2017
Headline: Chemical and Mining Company in Chile Paying $30 Million to Resolve FCPA Cases
Release No.: 2017-13
Published date grouping: January 2017
Date: Jan. 13, 2017
Headline: Morgan Stanley Paying $13 Million Penalty for Overbilling Clients and Violating Custody Rule
Release No.: 2017-12
Published date grouping: January 2017
Date: Jan. 13, 2017
Headline: Citadel Securities Paying $22 Million for Misleading Clients About Pricing Trades
Release No.: 2017-11
Published date grouping: January 2017
Date: Jan. 12, 2017
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: Jan. 12, 2017
Headline: BNY Mellon Settles Charges Stemming From Miscalculations of Regulatory Capital Figures
Release No.: 2017-9
Published date grouping: January 2017
Date: Jan. 12, 2017
Headline: Biomet Charged With Repeating FCPA Violations
Release No.: 2017-8
Published date grouping: January 2017
Date: Jan. 12, 2017
Headline: SEC Announces 2017 Examination Priorities
Release No.: 2017-7
Published date grouping: January 2017
Date: Jan. 12, 2017
Headline: ITG Paying $24 Million for Improper Handling of ADRs
Release No.: 2017-6
Published date grouping: January 2017
Date: Jan. 11, 2017
Headline: SEC Charges Government Contractor With Inadequate Controls and Books and Records Violations
Release No.: 2017-5
Published date grouping: January 2017
Date: Jan. 10, 2017
Headline: SEC: Port Authority Omitted Risks to Investors in Roadway Projects
Release No.: 2017-4
Published date grouping: January 2017
Date: Jan. 9, 2017
Headline: Investment Adviser, Lawyer Settle Charges in Secret Referral Fee Scheme
Release No.: 2017-3
Published date grouping: January 2017
Date: Jan. 9, 2017
Headline: SEC Charges Two Brokers With Defrauding Customers
Release No.: 2017-2
Published date grouping: January 2017
Date: Jan. 6, 2017
Headline: SEC Awards $5.5 Million to Whistleblower
Release No.: 2017-1
Published date grouping: December 2016
Date: Dec. 29, 2016
Headline: Wire and Cable Manufacturer Settles FCPA and Accounting Charges
Release No.: 2016-283
Published date grouping: December 2016
Date: Dec. 28, 2016
Headline: Businessman Settles Charges of Fraudulent EB-5 Offering
Release No.: 2016-282
Published date grouping: December 2016
Date: Dec. 27, 2016
Headline: SEC Charges Lawyer With Stealing Investor Money in EB-5 Offerings
Release No.: 2016-281
Published date grouping: December 2016
Date: Dec. 27, 2016
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: Dec. 22, 2016
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: Dec. 22, 2016
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: Dec. 22, 2016
Headline: Teva Pharmaceutical Paying $519 Million to Settle FCPA Charges
Release No.: 2016-277
Published date grouping: December 2016
Date: Dec. 21, 2016
Headline: SEC Issues Annual Staff Reports on Credit Rating Agencies
Release No.: 2016-276
Published date grouping: December 2016
Date: Dec. 21, 2016
Headline: G. Jeffrey Boujoukos Named Director of Philadelphia Regional Office
Release No.: 2016-275
Published date grouping: December 2016
Date: Dec. 21, 2016
Headline: Sharon Binger, Director of Philadelphia Regional Office, to Leave SEC
Release No.: 2016-274
Published date grouping: December 2016
Date: Dec. 21, 2016
Headline: SEC Charges Operators of Fake Day-Trading Firm With Defrauding Inexperienced Investors
Release No.: 2016-273
Published date grouping: December 2016
Date: Dec. 21, 2016
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: Dec. 21, 2016
Headline: Petrochemical Manufacturer Braskem S.A. to Pay $957 Million to Settle FCPA Charges
Release No.: 2016-271
Published date grouping: December 2016
Date: Dec. 20, 2016
Headline: Company Settles Charges in Whistleblower Retaliation Case
Release No.: 2016-270
Published date grouping: December 2016
Date: Dec. 20, 2016
Headline: SEC Charges Morgan Stanley With Customer Protection Rule Violations
Release No.: 2016-269
Published date grouping: December 2016
Date: Dec. 19, 2016
Headline: Company Violated Rule Aimed at Protecting Potential Whistleblowers
Release No.: 2016-268
Published date grouping: December 2016
Date: Dec. 19, 2016
Headline: SEC Charges Platinum Funds and Founder With Defrauding Investors
Release No.: 2016-267
Published date grouping: December 2016
Date: Dec. 16, 2016
Headline: SEC Charges Three Individuals and Broker-Dealer With Violating Market Structure Rules
Release No.: 2016-266
Published date grouping: December 2016
Date: Dec. 16, 2016
Headline: SEC Charges Gatekeepers in Microcap Frauds
Release No.: 2016-265
Published date grouping: December 2016
Date: Dec. 16, 2016
Headline: Deutsche Bank Settles Charges of Misleading Clients About Order Router
Release No.: 2016-264
Published date grouping: December 2016
Date: Dec. 14, 2016
Headline: SEC Approves 2017 PCAOB Budget and Accounting Support Fee
Release No.: 2016-263
Published date grouping: December 2016
Date: Dec. 12, 2016
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: Dec. 12, 2016
Headline: SEC Files Charges in $26 Million Stock Manipulation Scheme
Release No.: 2016-261
Published date grouping: December 2016
Date: Dec. 9, 2016
Headline: SEC Awards Nearly $1 Million to Whistleblower
Release No.: 2016-260
Published date grouping: December 2016
Date: Dec. 8, 2016
Headline: Enforcement Director Andrew J. Ceresney to Leave SEC
Release No.: 2016-259
Published date grouping: December 2016
Date: Dec. 6, 2016
Headline: Division of Corporation Finance Director Keith Higgins to Leave SEC
Release No.: 2016-258
Published date grouping: December 2016
Date: Dec. 6, 2016
Headline: Firm Settles Charges for Selling Unregistered Swaps Involving Pre-IPO Companies
Release No.: 2016-257
Published date grouping: December 2016
Date: Dec. 5, 2016
Headline: IT Specialist Settles Charges of Insider Trading on Hacked Nonpublic Information
Release No.: 2016-256
Published date grouping: December 2016
Date: Dec. 5, 2016
Headline: SEC Awards $3.5 Million to Whistleblower
Release No.: 2016-255
Published date grouping: December 2016
Date: Dec. 2, 2016
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: Dec. 2, 2016
Headline: United Settles Charges in Case of Flight Route to Benefit Public Official
Release No.: 2016-253
Published date grouping: December 2016
Date: Dec. 1, 2016
Headline: PIMCO Settles Charges of Misleading Investors About ETF Performance
Release No.: 2016-252
Published date grouping: December 2016
Date: Dec. 1, 2016
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: Dec. 1, 2016
Headline: SEC Charges Asset Management Fund and Manager
Release No.: 2016-250
Published date grouping: November 2016
Date: Nov. 29, 2016
Headline: SEC Votes to Renew Equity Market Structure Advisory Committee
Release No.: 2016-249
Published date grouping: November 2016
Date: Nov. 23, 2016
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: Nov. 22, 2016
Headline: SEC Names Wesley R. Bricker as Chief Accountant
Release No.: 2016-247
Published date grouping: November 2016
Date: Nov. 22, 2016
Headline: Chief Accountant James Schnurr to Leave SEC
Release No.: 2016-246
Published date grouping: November 2016
Date: Nov. 21, 2016
Headline: Trading and Markets Director Stephen Luparello to Leave SEC
Release No.: 2016-245
Published date grouping: November 2016
Date: Nov. 21, 2016
Headline: Chief Litigation Counsel Matthew C. Solomon to Leave SEC
Release No.: 2016-244
Published date grouping: November 2016
Date: Nov. 21, 2016
Headline: SEC Announces Agenda for December 8 Investor Advisory Committee Meeting
Release No.: 2016-243
Published date grouping: November 2016
Date: Nov. 17, 2016
Headline: SEC Charges Renewable Energy Company, CEO, and Others With Defrauding Investors
Release No.: 2016-242
Published date grouping: November 2016
Date: Nov. 17, 2016
Headline: JPMorgan Chase Paying $264 Million to Settle FCPA Charges
Release No.: 2016-241
Published date grouping: November 2016
Date: Nov. 15, 2016
Headline: SEC Approves Plan to Create Consolidated Audit Trail
Release No.: 2016-240
Published date grouping: November 2016
Date: Nov. 15, 2016
Headline: SEC Announces Agenda and Panelists for the 35th Annual Small Business Forum
Release No.: 2016-239
Published date grouping: November 2016
Date: Nov. 14, 2016
Headline: SEC Chair Mary Jo White Announces Departure Plans
Release No.: 2016-238
Published date grouping: November 2016
Date: Nov. 14, 2016
Headline: SEC Issues $20 Million Whistleblower Award
Release No.: 2016-237
Published date grouping: November 2016
Date: Nov. 10, 2016
Headline: Firm Charged With Misleading Investors About Binary Options Profitability
Release No.: 2016-236
Published date grouping: November 2016
Date: Nov. 9, 2016
Headline: Movie Producer Charged With Defrauding Hedge Fund Investors
Release No.: 2016-235
Published date grouping: November 2016
Date: Nov. 3, 2016
Headline: SEC Announces Agenda, Panelists for Nov. 14 Fintech Forum
Release No.: 2016-234
Published date grouping: November 2016
Date: Nov. 2, 2016
Headline: SEC Names Marc A. Panucci as Deputy Chief Accountant
Release No.: 2016-233
Published date grouping: November 2016
Date: Nov. 1, 2016
Headline: SEC Staff Provides Additional Economic Analysis on Proposed Derivatives Rule
Release No.: 2016-232
Published date grouping: October 2016
Date: Oct. 31, 2016
Headline: Company Co-Founder Charged in Manipulation Scheme
Release No.: 2016-231
Published date grouping: October 2016
Date: Oct. 31, 2016
Headline: Audit Partner Charged in Failed Audits of Venture Capital Fund
Release No.: 2016-230
Published date grouping: October 2016
Date: Oct. 31, 2016
Headline: Firm and Partner Charged With Issuing Fraudulent Audit Reports
Release No.: 2016-229
Published date grouping: October 2016
Date: Oct. 27, 2016
Headline: SEC: Investment Adviser Fraudulently Overbilled Clients, Stole Assets for Personal Expenses
Release No.: 2016-228
Published date grouping: October 2016
Date: Oct. 27, 2016
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: Oct. 26, 2016
Headline: SEC Adopts Final Rules to Facilitate Intrastate and Regional Securities Offerings
Release No.: 2016-226
Published date grouping: October 2016
Date: Oct. 26, 2016
Headline: SEC Proposes Amendments to Require Use of Universal Proxy Cards
Release No.: 2016-225
Published date grouping: October 2016
Date: Oct. 24, 2016
Headline: Embraer Paying $205 Million to Settle FCPA Charges
Release No.: 2016-224
Published date grouping: October 2016
Date: Oct. 21, 2016
Headline: John W. Berry Named Associate Regional Director for Enforcement in Los Angeles Office
Release No.: 2016-223
Published date grouping: October 2016
Date: Oct. 21, 2016
Headline: SEC Charges Board Member With Insider Trading During and After Board Meeting
Release No.: 2016-222
Published date grouping: October 2016
Date: Oct. 20, 2016
Headline: Company and Former Executives Paying Penalties for Accounting Violations
Release No.: 2016-221
Published date grouping: October 2016
Date: Oct. 18, 2016
Headline: SEC Charges Bank Leumi With Conducting Unregistered U.S. Cross-Border Business
Release No.: 2016-220
Published date grouping: October 2016
Date: Oct. 18, 2016
Headline: Ernst & Young to Pay $11.8 Million for Audit Failures
Release No.: 2016-219
Published date grouping: October 2016
Date: Oct. 17, 2016
Headline: SEC Charges Energy Services Company and Executives With Accounting Fraud
Release No.: 2016-218
Published date grouping: October 2016
Date: Oct. 14, 2016
Headline: Melissa Hodgman Named Associate Director in SEC Enforcement Division
Release No.: 2016-217
Published date grouping: October 2016
Date: Oct. 13, 2016
Headline: Company to Pay Penalty for Stock Picking Game That Was An Unregistered Swap
Release No.: 2016-216
Published date grouping: October 2016
Date: Oct. 13, 2016
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: Oct. 13, 2016
Headline: Hedge Fund Firm and Supervisor Charged With Failing to Prevent Insider Trading
Release No.: 2016-214
Published date grouping: October 2016
Date: Oct. 12, 2016
Headline: SEC: Deutsche Bank Failed to Properly Safeguard Research Information
Release No.: 2016-213
Published date grouping: October 2016
Date: Oct. 11, 2016
Headline: SEC Announces Enforcement Results for FY 2016
Release No.: 2016-212
Published date grouping: October 2016
Date: Oct. 6, 2016
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: Oct. 5, 2016
Headline: Credit Suisse Paying $90 Million Penalty for Misrepresenting Performance Metric
Release No.: 2016-210
Published date grouping: October 2016
Date: Oct. 4, 2016
Headline: Investment Adviser Charged With Cherry-Picking and Misleading Clients
Release No.: 2016-209
Published date grouping: October 2016
Date: Oct. 3, 2016
Headline: SEC, FINRA and MSRB to Hold Compliance Outreach Program for Municipal Advisors
Release No.: 2016-208
Published date grouping: September 2016
Date: Sept. 30, 2016
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: Sept. 30, 2016
Headline: Fee Rate Advisory #2 for Fiscal Year 2017
Release No.: 2016-206
Published date grouping: September 2016
Date: Sept. 29, 2016
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: Sept. 29, 2016
Headline: SEC: Casino-Gaming Company Retaliated Against Whistleblower
Release No.: 2016-204
Published date grouping: September 2016
Date: Sept. 29, 2016
Headline: Och-Ziff Hedge Fund Settles FCPA Charges
Release No.: 2016-203
Published date grouping: September 2016
Date: Sept. 29, 2016
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: Sept. 28, 2016
Headline: Jane Norberg Named Chief of SEC Whistleblower Office
Release No.: 2016-201
Published date grouping: September 2016
Date: Sept. 28, 2016
Headline: SEC Proposes Rule Amendment to Expedite Process for Settling Securities Transactions
Release No.: 2016-200
Published date grouping: September 2016
Date: Sept. 28, 2016
Headline: SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies
Release No.: 2016-199
Published date grouping: September 2016
Date: Sept. 28, 2016
Headline: SEC Files Insider Trading Charges Against Peruvian Traders Using Overseas Accounts
Release No.: 2016-198
Published date grouping: September 2016
Date: Sept. 28, 2016
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: Sept. 28, 2016
Headline: SEC Charges Anheuser-Busch InBev With Violating FCPA and Whistleblower Protection Laws
Release No.: 2016-196
Published date grouping: September 2016
Date: Sept. 27, 2016
Headline: SEC to Hold Forum to Discuss Fintech Innovation in the Financial Services Industry
Release No.: 2016-195
Published date grouping: September 2016
Date: Sept. 27, 2016
Headline: Oil Services Company Paying $140 Million Penalty for Accounting Fraud
Release No.: 2016-194
Published date grouping: September 2016
Date: Sept. 26, 2016
Headline: SEC Charges CEO and Boiler Room Operator With Fraud
Release No.: 2016-193
Published date grouping: September 2016
Date: Sept. 26, 2016
Headline: Merrill Lynch Charged With Trading Controls Failures That Led to Mini-Flash Crashes
Release No.: 2016-192
Published date grouping: September 2016
Date: Sept. 23, 2016
Headline: ''Movie Studio'' Executives Charged With Microcap Fraud
Release No.: 2016-191
Published date grouping: September 2016
Date: Sept. 21, 2016
Headline: Blank Check Company Manufacturer Charged With Fraud
Release No.: 2016-190
Published date grouping: September 2016
Date: Sept. 21, 2016
Headline: SEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading
Release No.: 2016-189
Published date grouping: September 2016
Date: Sept. 20, 2016
Headline: SEC Issues $4 Million Whistleblower Award
Release No.: 2016-188
Published date grouping: September 2016
Date: Sept. 19, 2016
Headline: Ernst & Young, Former Partners Charged With Violating Auditor Independence Rules
Release No.: 2016-187
Published date grouping: September 2016
Date: Sept. 16, 2016
Headline: Marijuana-Related Company Charged with Scheming Investors
Release No.: 2016-186
Published date grouping: September 2016
Date: Sept. 15, 2016
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: Sept. 13, 2016
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: Sept. 13, 2016
Headline: SEC: Company Failed to Disclose Credit Risk in Investments
Release No.: 2016-183
Published date grouping: September 2016
Date: Sept. 9, 2016
Headline: BOK Financial, Senior Executive Charged With Turning Blind Eye to Investment Scheme
Release No.: 2016-182
Published date grouping: September 2016
Date: Sept. 8, 2016
Headline: Two Firms Charged With Compliance Failures in Wrap Fee Programs
Release No.: 2016-181
Published date grouping: September 2016
Date: Sept. 8, 2016
Headline: Executives Charged With Inflating Performance of Real Estate Investment Trust
Release No.: 2016-180
Published date grouping: September 2016
Date: Sept. 7, 2016
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: Sept. 6, 2016
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: Sept. 1, 2016
Headline: SEC Charges Alabama Attorney and His Companies in Purported Waste-To-Energy Ventures
Release No.: 2016-177
Published date grouping: August 2016
Date: Aug. 31, 2016
Headline: SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings
Release No.: 2016-176
Published date grouping: August 2016
Date: Aug. 31, 2016
Headline: Fee Rate Advisory #1 for Fiscal Year 2017
Release No.: 2016-175
Published date grouping: August 2016
Date: Aug. 31, 2016
Headline: RBC to Pay $2.5 Million for Proxy Statement Disclosure Violations
Release No.: 2016-174
Published date grouping: August 2016
Date: Aug. 30, 2016
Headline: SEC Whistleblower Program Surpasses $100 Million in Awards
Release No.: 2016-173
Published date grouping: August 2016
Date: Aug. 30, 2016
Headline: $22 Million Whistleblower Award for Company Insider Who Helped Uncover Fraud
Release No.: 2016-172
Published date grouping: August 2016
Date: Aug. 29, 2016
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: Aug. 26, 2016
Headline: SEC: Purported Green Technology Company Defrauding Investors
Release No.: 2016-170
Published date grouping: August 2016
Date: Aug. 25, 2016
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: Aug. 25, 2016
Headline: SEC Adopts Rules to Enhance Information Reported by Investment Advisers
Release No.: 2016-168
Published date grouping: August 2016
Date: Aug. 25, 2016
Headline: Investment Advisers Paying Penalties for Advertising False Performance Claims
Release No.: 2016-167
Published date grouping: August 2016
Date: Aug. 24, 2016
Headline: SEC Charges 71 Municipal Issuers in Muni Bond Disclosure Initiative
Release No.: 2016-166
Published date grouping: August 2016
Date: Aug. 23, 2016
Headline: Apollo Charged With Disclosure and Supervisory Failures
Release No.: 2016-165
Published date grouping: August 2016
Date: Aug. 16, 2016
Headline: Company Punished for Severance Agreements That Removed Financial Incentives for Whistleblowing
Release No.: 2016-164
Published date grouping: August 2016
Date: Aug. 16, 2016
Headline: Former Goldman Sachs Trader Settles Fraud Charges
Release No.: 2016-163
Published date grouping: August 2016
Date: Aug. 15, 2016
Headline: Hedge Fund Manager Charged in Scheme Involving Terminally Ill
Release No.: 2016-162
Published date grouping: August 2016
Date: Aug. 11, 2016
Headline: SEC: Investment Adviser Boasted Phony Assets and Track Record, Stole From Client
Release No.: 2016-161
Published date grouping: August 2016
Date: Aug. 11, 2016
Headline: SEC Charges Stockbroker and Friend With Insider Trading
Release No.: 2016-160
Published date grouping: August 2016
Date: Aug. 10, 2016
Headline: SEC Charges Former Professional Football Player With Running $10 Million Fraud
Release No.: 2016-159
Published date grouping: August 2016
Date: Aug. 10, 2016
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: Aug. 10, 2016
Headline: Company Paying Penalty for Violating Key Whistleblower Protection Rule
Release No.: 2016-157
Published date grouping: August 2016
Date: Aug. 4, 2016
Headline: SEC Charges Cardiologist With Insider Trading on Confidential Drug Trial Developments
Release No.: 2016-156
Published date grouping: August 2016
Date: Aug. 2, 2016
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: July 28, 2016
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: July 28, 2016
Headline: SEC Obtains Asset Freeze in Case of Investor Funds Stolen for Shopping Sprees
Release No.: 2016-153
Published date grouping: July 2016
Date: July 26, 2016
Headline: SEC: State Street Misled Custody Clients About Prices for Foreign Currency Exchange Trades
Release No.: 2016-152
Published date grouping: July 2016
Date: July 25, 2016
Headline: LAN Airlines Settles FCPA Charges
Release No.: 2016-151
Published date grouping: July 2016
Date: July 22, 2016
Headline: Vincente L. Martinez, Chief of Office of Market Intelligence, to Leave SEC
Release No.: 2016-150
Published date grouping: July 2016
Date: July 22, 2016
Headline: Deputy Chief Accountant Brian T. Croteau to Leave SEC
Release No.: 2016-149
Published date grouping: July 2016
Date: July 22, 2016
Headline: SEC Halts Ongoing Fraudulent Stock Scheme
Release No.: 2016-148
Published date grouping: July 2016
Date: July 22, 2016
Headline: Accountant Suspended for Failing to Spot Fraud in Company Audit
Release No.: 2016-147
Published date grouping: July 2016
Date: July 21, 2016
Headline: Wesley R. Bricker Named Interim Chief Accountant
Release No.: 2016-146
Published date grouping: July 2016
Date: July 20, 2016
Headline: Kurt Gottschall Named Associate Regional Director in the SEC's Denver Regional Office
Release No.: 2016-145
Published date grouping: July 2016
Date: July 14, 2016
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: July 14, 2016
Headline: SEC Charges Investment Adviser With Failing to Clearly Disclose Additional Costs to Investors
Release No.: 2016-143
Published date grouping: July 2016
Date: July 13, 2016
Headline: SEC Adopts Amendments to Rules of Practice for Administrative Proceedings
Release No.: 2016-142
Published date grouping: July 2016
Date: July 13, 2016
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: July 13, 2016
Headline: SEC Proposes Rules to Enhance Order Handling Information Available to Investors
Release No.: 2016-140
Published date grouping: July 2016
Date: July 13, 2016
Headline: SEC Adopts Additional Rules Related to Security-Based Swap Transaction Reporting
Release No.: 2016-139
Published date grouping: July 2016
Date: July 12, 2016
Headline: SEC: Citigroup Provided Incomplete Blue Sheet Data for 15 Years
Release No.: 2016-138
Published date grouping: July 2016
Date: July 12, 2016
Headline: SEC Announces New Investor Advisory Committee Members
Release No.: 2016-137
Published date grouping: July 2016
Date: July 8, 2016
Headline: Sean McKessy, Chief of Whistleblower Office, to Leave SEC
Release No.: 2016-136
Published date grouping: June 2016
Date: June 29, 2016
Headline: Paul Dudek, Chief of Office of International Corporate Finance, to Leave Agency
Release No.: 2016-135
Published date grouping: June 2016
Date: June 28, 2016
Headline: C. Dabney O’Riordan Named as Co-Chief of the Asset Management Unit
Release No.: 2016-134
Published date grouping: June 2016
Date: June 28, 2016
Headline: SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans
Release No.: 2016-133
Published date grouping: June 2016
Date: June 27, 2016
Headline: SEC Adopts Rules for Resource Extraction Issuers Under Dodd-Frank Act
Release No.: 2016-132
Published date grouping: June 2016
Date: June 27, 2016
Headline: SEC Proposes Amendments to Smaller Reporting Company Definition
Release No.: 2016-131
Published date grouping: June 2016
Date: June 24, 2016
Headline: SEC Charges “Frack Master” With Running an $80 Million Oil and Gas Fraud
Release No.: 2016-130
Published date grouping: June 2016
Date: June 23, 2016
Headline: Merrill Lynch Paying $10 Million Penalty for Misleading Investors in Structured Notes
Release No.: 2016-129
Published date grouping: June 2016
Date: June 23, 2016
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: June 22, 2016
Headline: SEC Sues UK-Based Trader for Account Intrusion Scheme
Release No.: 2016-127
Published date grouping: June 2016
Date: June 21, 2016
Headline: SEC Charges Medical Device Manufacturer With FCPA Violations
Release No.: 2016-126
Published date grouping: June 2016
Date: June 21, 2016
Headline: Former CEO of Chicago Charter School Operator Settles Muni-Bond Fraud Charges
Release No.: 2016-125
Published date grouping: June 2016
Date: June 21, 2016
Headline: SEC Halts Scheme Defrauding Pro Athletes
Release No.: 2016-124
Published date grouping: June 2016
Date: June 17, 2016
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: June 16, 2016
Headline: SEC Proposes Rules to Modernize Property Disclosures for Mining Registrants
Release No.: 2016-122
Published date grouping: June 2016
Date: June 16, 2016
Headline: Software Executive and Three Friends Charged With Insider Trading
Release No.: 2016-121
Published date grouping: June 2016
Date: June 16, 2016
Headline: Private Fund Administrator Charged With Gatekeeper Failures
Release No.: 2016-120
Published date grouping: June 2016
Date: June 15, 2016
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: June 13, 2016
Headline: SEC: Muni Advisors Acted Deceptively With California School Districts
Release No.: 2016-118
Published date grouping: June 2016
Date: June 13, 2016
Headline: SEC to Permit Voluntary Filing Using Inline XBRL
Release No.: 2016-117
Published date grouping: June 2016
Date: June 10, 2016
Headline: Investment Fraud Victims Include Online Daters
Release No.: 2016-116
Published date grouping: June 2016
Date: June 9, 2016
Headline: Consultant to Chinese Private Equity Firms Settles Insider Trading Charges
Release No.: 2016-115
Published date grouping: June 2016
Date: June 9, 2016
Headline: SEC Issues $17 Million Whistleblower Award
Release No.: 2016-114
Published date grouping: June 2016
Date: June 8, 2016
Headline: SEC: Ethiopia’s Electric Utility Sold Unregistered Bonds in U.S.
Release No.: 2016-113
Published date grouping: June 2016
Date: June 8, 2016
Headline: SEC: Morgan Stanley Failed to Safeguard Customer Data
Release No.: 2016-112
Published date grouping: June 2016
Date: June 8, 2016
Headline: SEC Adopts Trade Acknowledgment and Verification Rules for Security-Based Swap Transactions
Release No.: 2016-111
Published date grouping: June 2016
Date: June 8, 2016
Headline: SEC Bars Corporate VP and Controller for False Accounting
Release No.: 2016-110
Published date grouping: June 2016
Date: June 7, 2016
Headline: SEC Announces Two Non-Prosecution Agreements in FCPA Cases
Release No.: 2016-109
Published date grouping: June 2016
Date: June 3, 2016
Headline: Childhood Friends Charged With Insider Trading in Pharmaceutical Stocks
Release No.: 2016-108
Published date grouping: June 2016
Date: June 3, 2016
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: June 2, 2016
Headline: SEC: Forex Trader Misrepresented Track Record and Hid Massive Losses
Release No.: 2016-106
Published date grouping: June 2016
Date: June 2, 2016
Headline: SEC Halts EB-5 Scheme Stealing Investments in Cancer Center
Release No.: 2016-105
Published date grouping: June 2016
Date: June 2, 2016
Headline: SEC: Adviser Steered Investor Money to His Own Companies
Release No.: 2016-104
Published date grouping: June 2016
Date: June 2, 2016
Headline: SEC Names Christopher Hetner as Senior Advisor to the Chair for Cybersecurity Policy
Release No.: 2016-103
Published date grouping: June 2016
Date: June 1, 2016
Headline: Brokerage Firm Charged With Anti-Money Laundering Failures
Release No.: 2016-102
Published date grouping: June 2016
Date: June 1, 2016
Headline: SEC Adopts Amendment to Form 10-K Implementing FAST Act Provision
Release No.: 2016-101
Published date grouping: June 2016
Date: June 1, 2016
Headline: SEC: Private Equity Fund Adviser Acted As Unregistered Broker
Release No.: 2016-100
Published date grouping: May 2016
Date: May 31, 2016
Headline: SEC Halts Ponzi Scheme Aimed at Middle Class
Release No.: 2016-99
Published date grouping: May 2016
Date: May 31, 2016
Headline: SEC: Nashville Firm Schemed to Collect Extra Fees From Hedge Funds
Release No.: 2016-98
Published date grouping: May 2016
Date: May 31, 2016
Headline: Mortgage Company and Executives Settle Fraud Charges
Release No.: 2016-97
Published date grouping: May 2016
Date: May 31, 2016
Headline: Investment Banker and Plumber Charged With Insider Trading
Release No.: 2016-96
Published date grouping: May 2016
Date: May 24, 2016
Headline: SEC Prevents Trader’s Profits From False Filing
Release No.: 2016-95
Published date grouping: May 2016
Date: May 20, 2016
Headline: Two Individuals Share Whistleblower Award of More Than $450,000
Release No.: 2016-94
Published date grouping: May 2016
Date: May 19, 2016
Headline: Mayor in Illinois Settles Muni Bond Fraud Charges
Release No.: 2016-93
Published date grouping: May 2016
Date: May 19, 2016
Headline: SEC Announces Insider Trading Charges in Case Involving Sports Gambler and Board Member
Release No.: 2016-92
Published date grouping: May 2016
Date: May 17, 2016
Headline: SEC Awards More Than $5 Million to Whistleblower
Release No.: 2016-91
Published date grouping: May 2016
Date: May 16, 2016
Headline: Statement on Trade Reporting in the U.S. Treasury Market
Release No.: 2016-90
Published date grouping: May 2016
Date: May 16, 2016
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: May 13, 2016
Headline: Whistleblower Earns $3.5 Million Award for Bolstering Ongoing Investigation
Release No.: 2016-88
Published date grouping: May 2016
Date: May 13, 2016
Headline: SEC Charges Two Attorneys With Defrauding Escrow Clients
Release No.: 2016-87
Published date grouping: May 2016
Date: May 12, 2016
Headline: SEC Charges Shell Factory Operators With Fraud
Release No.: 2016-86
Published date grouping: May 2016
Date: May 11, 2016
Headline: SEC Charges Father, Son, Others in Tribal Bonds Scheme
Release No.: 2016-85
Published date grouping: May 2016
Date: May 11, 2016
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: May 6, 2016
Headline: SEC: Financial Adviser Defrauded Pro Athletes and Lied to SEC Examiners
Release No.: 2016-83
Published date grouping: May 2016
Date: May 4, 2016
Headline: SEC Charges Unregistered Brokers with Pocketing Investor Money
Release No.: 2016-82
Published date grouping: May 2016
Date: May 3, 2016
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: May 3, 2016
Headline: SEC and Law Enforcement Partners Crack Stock Promotion and Kickback Schemes
Release No.: 2016-80
Published date grouping: May 2016
Date: May 2, 2016
Headline: Silicon Valley Executive Settles Insider Trading Charges
Release No.: 2016-79
Published date grouping: April 2016
Date: April 29, 2016
Headline: SEC: Accounting Firm, Partner Conducted Deficient Surprise Exams
Release No.: 2016-78
Published date grouping: April 2016
Date: April 27, 2016
Headline: SEC Seeks Public Comment on Plan to Create A Consolidated Audit Trail
Release No.: 2016-77
Published date grouping: April 2016
Date: April 21, 2016
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: April 21, 2016
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: April 19, 2016
Headline: SEC Announces Financial Fraud Cases
Release No.: 2016-74
Published date grouping: April 2016
Date: April 18, 2016
Headline: SEC Offers Online Tool to Help Companies Estimate Registration Fees
Release No.: 2016-73
Published date grouping: April 2016
Date: April 15, 2016
Headline: SEC Charges Litigation Marketing Company With Bilking Retirees
Release No.: 2016-72
Published date grouping: April 2016
Date: April 15, 2016
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: April 15, 2016
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: April 14, 2016
Headline: SEC Case Freezes Assets of Ski Resort Steeped in Fraudulent EB-5 Offerings
Release No.: 2016-69
Published date grouping: April 2016
Date: April 14, 2016
Headline: SEC: Town Officials in New York Hid Financial Troubles From Bond Investors
Release No.: 2016-68
Published date grouping: April 2016
Date: April 13, 2016
Headline: SEC: Research Analyst Is Insider Trading in Mother’s Brokerage Account
Release No.: 2016-67
Published date grouping: April 2016
Date: April 11, 2016
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: April 11, 2016
Headline: SEC: Company Misled Investors About Energy-Efficient Technology
Release No.: 2016-65
Published date grouping: April 2016
Date: April 7, 2016
Headline: Las Vegas Sands Paying Penalty for FCPA Violations
Release No.: 2016-64
Published date grouping: April 2016
Date: April 4, 2016
Headline: SEC Charges Four in Fraudulent “Free Dinner” Scheme
Release No.: 2016-63
Published date grouping: March 2016
Date: March 31, 2016
Headline: SEC: Navistar International and Former CEO Misled Investors About Advanced Technology Engine
Release No.: 2016-62
Published date grouping: March 2016
Date: March 30, 2016
Headline: SEC: Biotech Venture Capitalist Stole Investor Funds for Personal Use
Release No.: 2016-61
Published date grouping: March 2016
Date: March 29, 2016
Headline: Former TV Commentator Settles Penny Stock Fraud Charges
Release No.: 2016-60
Published date grouping: March 2016
Date: March 29, 2016
Headline: SEC: Biotech Company Misled Investors About New Drug's Status With FDA
Release No.: 2016-59
Published date grouping: March 2016
Date: March 28, 2016
Headline: Securities Professional Charged With Defrauding Institutional Investors
Release No.: 2016-58
Published date grouping: March 2016
Date: March 25, 2016
Headline: SEC Halts Fraud by Manager of Investments in Pre-IPO Companies
Release No.: 2016-57
Published date grouping: March 2016
Date: March 21, 2016
Headline: Keith E. Cassidy Named Director of Legislative and Intergovernmental Affairs Office
Release No.: 2016-56
Published date grouping: March 2016
Date: March 15, 2016
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: March 15, 2016
Headline: Municipal Advisor Charged for Failing to Disclose Conflict
Release No.: 2016-54
Published date grouping: March 2016
Date: March 14, 2016
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: March 14, 2016
Headline: AIG Affiliates Charged With Mutual Fund Shares Conflicts
Release No.: 2016-52
Published date grouping: March 2016
Date: March 14, 2016
Headline: SEC Approves 2016 PCAOB Budget and Accounting Support Fee
Release No.: 2016-51
Published date grouping: March 2016
Date: March 11, 2016
Headline: SEC: California Businessman Attempted Cover Up of Stolen Investor Funds
Release No.: 2016-50
Published date grouping: March 2016
Date: March 10, 2016
Headline: SEC Charges Oregon-Based Investment Group and Executives With Defrauding Investors
Release No.: 2016-49
Published date grouping: March 2016
Date: March 10, 2016
Headline: SEC Charges Company and Executives for Faulty Evaluations of Internal Controls
Release No.: 2016-48
Published date grouping: March 2016
Date: March 10, 2016
Headline: Anthony Kelly Named Co-Chief of Asset Management Unit
Release No.: 2016-47
Published date grouping: March 2016
Date: March 9, 2016
Headline: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Release No.: 2016-46
Published date grouping: March 2016
Date: March 9, 2016
Headline: SEC: Tech Company Misled Investors About Key Product
Release No.: 2016-45
Published date grouping: March 2016
Date: March 9, 2016
Headline: Insider Traders Returning Illegal Profits and Kickbacks
Release No.: 2016-44
Published date grouping: March 2016
Date: March 9, 2016
Headline: California Water District to Pay Penalty for Misleading Investors
Release No.: 2016-43
Published date grouping: March 2016
Date: March 9, 2016
Headline: Money Returning to Investors Harmed by Unregistered Broker
Release No.: 2016-42
Published date grouping: March 2016
Date: March 8, 2016
Headline: SEC Awarding Nearly $2 Million to Three Whistleblowers
Release No.: 2016-41
Published date grouping: March 2016
Date: March 8, 2016
Headline: SEC Announces Charges Against Unregistered Fund Manager Accused of Hiding Criminal Past
Release No.: 2016-40
Published date grouping: March 2016
Date: March 8, 2016
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: March 8, 2016
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: March 7, 2016
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: March 1, 2016
Headline: SEC: Qualcomm Hired Relatives of Chinese Officials to Obtain Business
Release No.: 2016-36
Published date grouping: February 2016
Date: Feb. 25, 2016
Headline: Fee Rate Advisory #4 for Fiscal Year 2016
Release No.: 2016-35
Published date grouping: February 2016
Date: Feb. 18, 2016
Headline: VimpelCom to Pay $795 Million in Global Settlement for FCPA Violations
Release No.: 2016-34
Published date grouping: February 2016
Date: Feb. 17, 2016
Headline: Daniel Kahl Named as Chief Counsel of National Exam Program
Release No.: 2016-33
Published date grouping: February 2016
Date: Feb. 17, 2016
Headline: SEC Charges Biopesticide Company and Former Executive With Accounting Fraud
Release No.: 2016-32
Published date grouping: February 2016
Date: Feb. 17, 2016
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: Feb. 17, 2016
Headline: SEC: Deutsche Bank Analyst Issued Stock Rating Inconsistent With Personal View
Release No.: 2016-30
Published date grouping: February 2016
Date: Feb. 16, 2016
Headline: SEC: Tech Company Bribed Chinese Officials
Release No.: 2016-29
Published date grouping: February 2016
Date: Feb. 11, 2016
Headline: SEC: California Man Sold Investors Phony Stock to Pay Gambling Debts
Release No.: 2016-28
Published date grouping: February 2016
Date: Feb. 10, 2016
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: Feb. 9, 2016
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: Feb. 9, 2016
Headline: Monsanto Paying $80 Million Penalty for Accounting Violations
Release No.: 2016-25
Published date grouping: February 2016
Date: Feb. 5, 2016
Headline: SEC Charges Company Executive With Insider Trading
Release No.: 2016-24
Published date grouping: February 2016
Date: Feb. 4, 2016
Headline: SEC: Miami Firm Broke Anti-Money Laundering Protocols
Release No.: 2016-23
Published date grouping: February 2016
Date: Feb. 4, 2016
Headline: SEC Announces Advisory Committee on Small and Emerging Companies Members
Release No.: 2016-22
Published date grouping: February 2016
Date: Feb. 3, 2016
Headline: SEC Charges Lending Company and Brokerage Firm With Fraud
Release No.: 2016-21
Published date grouping: February 2016
Date: Feb. 3, 2016
Headline: SEC Names Jane Jarcho as Deputy Director of National Exam Program
Release No.: 2016-20
Published date grouping: February 2016
Date: Feb. 2, 2016
Headline: SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers
Release No.: 2016-19
Published date grouping: February 2016
Date: Feb. 2, 2016
Headline: SEC Completes Muni-Underwriter Enforcement Sweep
Release No.: 2016-18
Published date grouping: February 2016
Date: Feb. 1, 2016
Headline: SEC Charges Software Company With FCPA Violations
Release No.: 2016-17
Published date grouping: January 2016
Date: Jan. 31, 2016
Headline: Barclays, Credit Suisse Charged With Dark Pool Violations
Release No.: 2016-16
Published date grouping: January 2016
Date: Jan. 29, 2016
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: Jan. 28, 2016
Headline: Hedge Fund Manager Agrees to Reimburse Investor Losses
Release No.: 2016-14
Published date grouping: January 2016
Date: Jan. 20, 2016
Headline: Ocwen Paying Penalty for Misstated Financial Results
Release No.: 2016-13
Published date grouping: January 2016
Date: Jan. 20, 2016
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: Jan. 19, 2016
Headline: SEC: Alternative Fund Manager Overcharged Fees, Misled Investors
Release No.: 2016-11
Published date grouping: January 2016
Date: Jan. 15, 2016
Headline: SEC Awards Whistleblower More Than $700,000 for Detailed Analysis
Release No.: 2016-10
Published date grouping: January 2016
Date: Jan. 14, 2016
Headline: SEC Charges Goldman Sachs With Improper Securities Lending Practices
Release No.: 2016-9
Published date grouping: January 2016
Date: Jan. 14, 2016
Headline: SEC Charges State Street for Pay-to-Play Scheme
Release No.: 2016-8
Published date grouping: January 2016
Date: Jan. 13, 2016
Headline: SEC Charges 11 Bank Officers and Directors With Fraud
Release No.: 2016-7
Published date grouping: January 2016
Date: Jan. 13, 2016
Headline: SEC Adopts Rules Implementing FAST Act Provisions
Release No.: 2016-6
Published date grouping: January 2016
Date: Jan. 11, 2016
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: Jan. 11, 2016
Headline: SEC Announces 2016 Examination Priorities
Release No.: 2016-4
Published date grouping: January 2016
Date: Jan. 8, 2016
Headline: Steven A. Cohen Barred From Supervisory Hedge Fund Role
Release No.: 2016-3
Published date grouping: January 2016
Date: Jan. 7, 2016
Headline: Fee Rate Advisory #3 for Fiscal Year 2016
Release No.: 2016-2
Published date grouping: January 2016
Date: Jan. 6, 2016
Headline: SEC: J.P. Morgan Misled Customers on Broker Compensation
Release No.: 2016-1
Published date grouping: December 2015
Date: Dec. 28, 2015
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: Dec. 28, 2015
Headline: SEC Issues Annual Staff Reports on Credit Rating Agencies
Release No.: 2015-289
Published date grouping: December 2015
Date: Dec. 22, 2015
Headline: SEC Seeks Public Comment on Transfer Agent Rules
Release No.: 2015-288
Published date grouping: December 2015
Date: Dec. 22, 2015
Headline: Morgan Stanley Settles Charges in “Parking” Scheme
Release No.: 2015-287
Published date grouping: December 2015
Date: Dec. 21, 2015
Headline: SEC Charges Financial Advisor in Market Manipulation Case
Release No.: 2015-286
Published date grouping: December 2015
Date: Dec. 18, 2015
Headline: Convicted Fraudster Using Aliases Charged Again for Defrauding Investors
Release No.: 2015-285
Published date grouping: December 2015
Date: Dec. 18, 2015
Headline: SEC Issues Staff Report on Accredited Investor Definition
Release No.: 2015-284
Published date grouping: December 2015
Date: Dec. 18, 2015
Headline: J.P. Morgan to Pay $267 Million for Disclosure Failures
Release No.: 2015-283
Published date grouping: December 2015
Date: Dec. 17, 2015
Headline: SEC Charges Martin Shkreli With Fraud
Release No.: 2015-282
Published date grouping: December 2015
Date: Dec. 16, 2015
Headline: SEC: Hedge Fund Adviser Lied to Investors
Release No.: 2015-281
Published date grouping: December 2015
Date: Dec. 15, 2015
Headline: SEC Announces Fraud Charges Against Investment Adviser
Release No.: 2015-280
Published date grouping: December 2015
Date: Dec. 15, 2015
Headline: SEC Files Charges in Multi-Million Dollar Market Manipulation
Release No.: 2015-279
Published date grouping: December 2015
Date: Dec. 11, 2015
Headline: SEC: Sports Team Offering Is A Penny Stock Fraud
Release No.: 2015-278
Published date grouping: December 2015
Date: Dec. 11, 2015
Headline: SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act
Release No.: 2015-277
Published date grouping: December 2015
Date: Dec. 11, 2015
Headline: SEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies
Release No.: 2015-276
Published date grouping: December 2015
Date: Dec. 10, 2015
Headline: SEC Suspends Public Accountants for Bad Auditing
Release No.: 2015-275
Published date grouping: December 2015
Date: Dec. 7, 2015
Headline: SEC: Lawyers Offered EB-5 Investments as Unregistered Brokers
Release No.: 2015-274
Published date grouping: December 2015
Date: Dec. 3, 2015
Headline: SEC Announces Charges for Spoofing and Order Mismarking
Release No.: 2015-273
Published date grouping: December 2015
Date: Dec. 2, 2015
Headline: SEC: Grant Thornton Ignored Red Flags in Audits
Release No.: 2015-272
Published date grouping: December 2015
Date: Dec. 1, 2015
Headline: SEC Charges Bitcoin Mining Companies
Release No.: 2015-271
Published date grouping: December 2015
Date: Dec. 1, 2015
Headline: SEC, FINRA, MSRB to Hold Compliance Outreach Program for Municipal Advisors
Release No.: 2015-270
Published date grouping: November 2015
Date: Nov. 30, 2015
Headline: SEC Names Katherine Martin as Associate Director in the Office of International Affairs
Release No.: 2015-269
Published date grouping: November 2015
Date: Nov. 30, 2015
Headline: Standard Bank to Pay $4.2 Million to Settle SEC Charges
Release No.: 2015-268
Published date grouping: November 2015
Date: Nov. 25, 2015
Headline: Former Goldman Employee Charged With Insider Trading Before Mergers
Release No.: 2015-267
Published date grouping: November 2015
Date: Nov. 24, 2015
Headline: SEC Charges Political Intelligence Firm
Release No.: 2015-266
Published date grouping: November 2015
Date: Nov. 23, 2015
Headline: SEC: Stockbroker Stole Investor Money for Home Renovations
Release No.: 2015-265
Published date grouping: November 2015
Date: Nov. 20, 2015
Headline: Atlanta Businessman Charged in Nursing Home Investment Scheme
Release No.: 2015-264
Published date grouping: November 2015
Date: Nov. 19, 2015
Headline: Assets Frozen in Alleged Immigration Scam
Release No.: 2015-263
Published date grouping: November 2015
Date: Nov. 19, 2015
Headline: Custody Rule Violators Settle Charges
Release No.: 2015-262
Published date grouping: November 2015
Date: Nov. 18, 2015
Headline: SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems
Release No.: 2015-261
Published date grouping: November 2015
Date: Nov. 17, 2015
Headline: SEC Announces Agenda and Panelists for Small Business Forum
Release No.: 2015-260
Published date grouping: November 2015
Date: Nov. 17, 2015
Headline: SEC Charges Pump-and-Dump in Marley Coffee Stock
Release No.: 2015-259
Published date grouping: November 2015
Date: Nov. 16, 2015
Headline: Mutual Fund Adviser Advertised False Performance Claims
Release No.: 2015-258
Published date grouping: November 2015
Date: Nov. 13, 2015
Headline: Sanket Bulsara Named Deputy General Counsel for Appellate Litigation and Adjudication
Release No.: 2015-257
Published date grouping: November 2015
Date: Nov. 12, 2015
Headline: Marc Wyatt Named Director of the Office of Compliance Inspections and Examinations
Release No.: 2015-256
Published date grouping: November 2015
Date: Nov. 12, 2015
Headline: Olivier Girod Named SEC Deputy Director of Office of Support Operations
Release No.: 2015-255
Published date grouping: November 2015
Date: Nov. 5, 2015
Headline: SEC Charges: False Tweets Sent Two Stocks Reeling in Market Manipulation
Release No.: 2015-254
Published date grouping: November 2015
Date: Nov. 5, 2015
Headline: Bryan Bennett Named to Head Exam Program in Los Angeles Office
Release No.: 2015-253
Published date grouping: November 2015
Date: Nov. 4, 2015
Headline: SEC Announces Whistleblower Award of More Than $325,000
Release No.: 2015-252
Published date grouping: November 2015
Date: Nov. 4, 2015
Headline: SEC Identifies More Alleged Corrupt Brokers in Stock Manipulation Case
Release No.: 2015-251
Published date grouping: November 2015
Date: Nov. 3, 2015
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: Oct. 30, 2015
Headline: SEC Adopts Rules to Permit Crowdfunding
Release No.: 2015-249
Published date grouping: October 2015
Date: Oct. 28, 2015
Headline: SEC Bars Brokers Who Played Favorites to Double Their Commissions
Release No.: 2015-248
Published date grouping: October 2015
Date: Oct. 27, 2015
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: Oct. 26, 2015
Headline: SEC Charges Credit Rating Agency With Misrepresenting Surveillance Methodology
Release No.: 2015-246
Published date grouping: October 2015
Date: Oct. 22, 2015
Headline: SEC Announces Enforcement Results For FY 2015
Release No.: 2015-245
Published date grouping: October 2015
Date: Oct. 21, 2015
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: Oct. 20, 2015
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: Oct. 19, 2015
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: Oct. 19, 2015
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: Oct. 16, 2015
Headline: SEC Staff Publishes Private Funds Statistics Report
Release No.: 2015-240
Published date grouping: October 2015
Date: Oct. 14, 2015
Headline: SEC Charges Six Firms for Short Selling Violations in Advance of Stock Offerings
Release No.: 2015-239
Published date grouping: October 2015
Date: Oct. 13, 2015
Headline: UBS to Pay $19.5 Million Settlement Involving Notes Linked to Currency Index
Release No.: 2015-238
Published date grouping: October 2015
Date: Oct. 8, 2015
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: Oct. 8, 2015
Headline: SEC Charges Firm and Owner With Manipulative Trading
Release No.: 2015-236
Published date grouping: October 2015
Date: Oct. 7, 2015
Headline: Blackstone Charged With Disclosure Failures
Release No.: 2015-235
Published date grouping: October 2015
Date: Oct. 6, 2015
Headline: SEC Charges Former Executives With Accounting Fraud and Other Accounting Failures
Release No.: 2015-234
Published date grouping: October 2015
Date: Oct. 5, 2015
Headline: Michael Liftik Named SEC Deputy Chief of Staff
Release No.: 2015-233
Published date grouping: October 2015
Date: Oct. 5, 2015
Headline: SEC Deputy Chief of Staff Erica Williams to Leave Agency
Release No.: 2015-232
Published date grouping: October 2015
Date: Oct. 5, 2015
Headline: SEC Charges Florida Investment Adviser and His Company With Defrauding Investors
Release No.: 2015-231
Published date grouping: October 2015
Date: Oct. 5, 2015
Headline: SEC Charges Home Loan Servicing Solutions for Misstatements and Inadequate Internal Controls
Release No.: 2015-230
Published date grouping: October 2015
Date: Oct. 5, 2015
Headline: SEC Charges Bristol-Myers Squibb With FCPA Violations
Release No.: 2015-229
Published date grouping: October 2015
Date: Oct. 2, 2015
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: Oct. 1, 2015
Headline: SEC Halts $32 Million Scheme That Promised Riches From Amber Mining
Release No.: 2015-227
Published date grouping: October 2015
Date: Oct. 1, 2015
Headline: SEC Charges New Jersey Fund Manager With Securities Fraud
Release No.: 2015-226
Published date grouping: October 2015
Date: Oct. 1, 2015
Headline: SEC Charges Two Grant Thornton Firms With Violating Auditor Independence Rules
Release No.: 2015-225
Published date grouping: September 2015
Date: Sept. 30, 2015
Headline: SEC Charges Executives for Defrauding Investors in Financial Fraud Scheme
Release No.: 2015-224
Published date grouping: September 2015
Date: Sept. 30, 2015
Headline: China-Based Company and CEO To Pay $55.6 Million for Inaccurate Disclosures
Release No.: 2015-223
Published date grouping: September 2015
Date: Sept. 30, 2015
Headline: Fee Rate Advisory #2 for Fiscal Year 2016
Release No.: 2015-222
Published date grouping: September 2015
Date: Sept. 30, 2015
Headline: Latour Trading Charged With Market Structure Rule Violations
Release No.: 2015-221
Published date grouping: September 2015
Date: Sept. 30, 2015
Headline: SEC Sanctions 22 Underwriting Firms for Fraudulent Municipal Bond Offerings
Release No.: 2015-220
Published date grouping: September 2015
Date: Sept. 29, 2015
Headline: SEC Names William Royer to Lead Exam Program in Atlanta Office
Release No.: 2015-219
Published date grouping: September 2015
Date: Sept. 29, 2015
Headline: SEC Charges Investment Adviser With Fraud
Release No.: 2015-218
Published date grouping: September 2015
Date: Sept. 29, 2015
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: Sept. 29, 2015
Headline: SEC to Hold Equity Market Structure Advisory Committee Meeting on October 27
Release No.: 2015-216
Published date grouping: September 2015
Date: Sept. 28, 2015
Headline: SEC Charges Trinity Capital Corporation and Former Bank Executives With Accounting Fraud
Release No.: 2015-215
Published date grouping: September 2015
Date: Sept. 28, 2015
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: Sept. 28, 2015
Headline: SEC Charges Five With Insider Trading, Including Two Attorneys and an Accountant
Release No.: 2015-213
Published date grouping: September 2015
Date: Sept. 28, 2015
Headline: SEC Charges Hitachi With FCPA Violations
Release No.: 2015-212
Published date grouping: September 2015
Date: Sept. 25, 2015
Headline: SEC Publishes Request for Comment on Regulation S-X
Release No.: 2015-211
Published date grouping: September 2015
Date: Sept. 25, 2015
Headline: SEC Charges Former Officers of SMF Energy With Fraud
Release No.: 2015-210
Published date grouping: September 2015
Date: Sept. 24, 2015
Headline: SEC Proposes to Amend Rules Governing Administrative Proceedings
Release No.: 2015-209
Published date grouping: September 2015
Date: Sept. 24, 2015
Headline: SEC Charges Six in Stock Fraud Scheme
Release No.: 2015-208
Published date grouping: September 2015
Date: Sept. 24, 2015
Headline: SEC Charges Individual and Firm for Manipulative Press Release Announcing Takeover Bid
Release No.: 2015-207
Published date grouping: September 2015
Date: Sept. 23, 2015
Headline: SEC Approves Renewal of Advisory Committee on Small and Emerging Companies
Release No.: 2015-206
Published date grouping: September 2015
Date: Sept. 23, 2015
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: Sept. 23, 2015
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: Sept. 22, 2015
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: Sept. 22, 2015
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: Sept. 22, 2015
Headline: SEC Proposes Liquidity Management Rules For Mutual Funds And ETFs
Release No.: 2015-201
Published date grouping: September 2015
Date: Sept. 22, 2015
Headline: SEC Charges Retailer for Improper Valuation and Inadequate Internal Accounting Controls
Release No.: 2015-200
Published date grouping: September 2015
Date: Sept. 21, 2015
Headline: SEC Charges Two Men in Stock Manipulation Scheme
Release No.: 2015-199
Published date grouping: September 2015
Date: Sept. 21, 2015
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: Sept. 18, 2015
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: Sept. 18, 2015
Headline: Attorney and Auditors Settle Charges in Microcap Scheme Involving Purported Mining Companies
Release No.: 2015-196
Published date grouping: September 2015
Date: Sept. 17, 2015
Headline: SEC Charges Florida-Based CPA with Fraud for Issuing Bogus Audit Opinions
Release No.: 2015-195
Published date grouping: September 2015
Date: Sept. 17, 2015
Headline: SEC Charges Clearing Firm Officials for Improper Margin Loans, Accounting and Disclosure Failures
Release No.: 2015-194
Published date grouping: September 2015
Date: Sept. 16, 2015
Headline: SEC Removes References to Credit Ratings in Money Market Fund Rule and Form
Release No.: 2015-193
Published date grouping: September 2015
Date: Sept. 14, 2015
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: Sept. 14, 2015
Headline: SEC Obtains $30 Million From Traders Who Profited on Hacked News Releases
Release No.: 2015-191
Published date grouping: September 2015
Date: Sept. 11, 2015
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: Sept. 10, 2015
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: Sept. 10, 2015
Headline: Robert Cohen and Joseph Sansone Named Market Abuse Unit Co-Chiefs
Release No.: 2015-188
Published date grouping: September 2015
Date: Sept. 9, 2015
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: Sept. 9, 2015
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: Sept. 9, 2015
Headline: SEC Charges Father and Son and Friend With Insider Trading
Release No.: 2015-185
Published date grouping: September 2015
Date: Sept. 9, 2015
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: Sept. 8, 2015
Headline: SEC Charges Video Management Company Executives With Accounting Fraud
Release No.: 2015-183
Published date grouping: September 2015
Date: Sept. 8, 2015
Headline: Smeeta Ramarathnam Named Deputy Director in the Office of Credit Ratings
Release No.: 2015-182
Published date grouping: September 2015
Date: Sept. 8, 2015
Headline: SEC Charges Three RMBS Traders With Defrauding Investors
Release No.: 2015-181
Published date grouping: September 2015
Date: Sept. 8, 2015
Headline: SEC Charges Bankrate and Former Executives With Accounting Fraud
Release No.: 2015-180
Published date grouping: September 2015
Date: Sept. 8, 2015
Headline: SEC Charges Sports Nutrition Company With Failing to Properly Disclose Perks for Executives
Release No.: 2015-179
Published date grouping: September 2015
Date: Sept. 4, 2015
Headline: SEC Charges Seattle-Area Hedge Fund Adviser With Taking Unearned Management Fees
Release No.: 2015-178
Published date grouping: September 2015
Date: Sept. 2, 2015
Headline: SEC Charges Advisory Firm With Fraud for Improperly Retaining Fees
Release No.: 2015-177
Published date grouping: September 2015
Date: Sept. 2, 2015
Headline: SEC Halts Ongoing Fraud in Minnesota
Release No.: 2015-176
Published date grouping: August 2015
Date: Aug. 27, 2015
Headline: Fee Rate Advisory #1 for Fiscal Year 2016
Release No.: 2015-175
Published date grouping: August 2015
Date: Aug. 25, 2015
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: Aug. 25, 2015
Headline: SEC Announces Asset Freeze Against Alleged EB-5 Fraudster in Seattle Area
Release No.: 2015-173
Published date grouping: August 2015
Date: Aug. 19, 2015
Headline: Shelly Luisi Named Associate Director in the Division of Corporation Finance
Release No.: 2015-172
Published date grouping: August 2015
Date: Aug. 19, 2015
Headline: SEC Charges Citigroup Global Markets for Compliance and Surveillance Failures
Release No.: 2015-171
Published date grouping: August 2015
Date: Aug. 18, 2015
Headline: SEC Charges BNY Mellon With FCPA Violations
Release No.: 2015-170
Published date grouping: August 2015
Date: Aug. 18, 2015
Headline: SEC Names Shamoil T. Shipchandler as Regional Director of Fort Worth Office
Release No.: 2015-169
Published date grouping: August 2015
Date: Aug. 17, 2015
Headline: Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charges
Release No.: 2015-168
Published date grouping: August 2015
Date: Aug. 13, 2015
Headline: Three Maryland Men Settle Charges They Defrauded Investors in Real Estate Investment Company
Release No.: 2015-167
Published date grouping: August 2015
Date: Aug. 13, 2015
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: Aug. 12, 2015
Headline: SEC Charges Former Software Executive With FCPA Violations
Release No.: 2015-165
Published date grouping: August 2015
Date: Aug. 12, 2015
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: Aug. 11, 2015
Headline: SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases
Release No.: 2015-163
Published date grouping: August 2015
Date: Aug. 10, 2015
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: Aug. 6, 2015
Headline: Miller Energy Resources, Former CFO, Current COO Charged With Accounting Fraud
Release No.: 2015-161
Published date grouping: August 2015
Date: Aug. 5, 2015
Headline: SEC Adopts Rule for Pay Ratio Disclosure
Release No.: 2015-160
Published date grouping: August 2015
Date: Aug. 5, 2015
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: Aug. 3, 2015
Headline: SEC Charges Houston-Area Businessman in Ponzi Scheme
Release No.: 2015-158
Published date grouping: July 2015
Date: July 31, 2015
Headline: SEC Charges Man With Microcap Fraud Involving Shares of Cynk Technology Corp.
Release No.: 2015-157
Published date grouping: July 2015
Date: July 30, 2015
Headline: SEC Charges Operators of Fraud Based in Upstate New York
Release No.: 2015-156
Published date grouping: July 2015
Date: July 29, 2015
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: July 28, 2015
Headline: SEC Charges Mead Johnson Nutrition With FCPA Violations
Release No.: 2015-154
Published date grouping: July 2015
Date: July 23, 2015
Headline: Former Oppenheimer Employees Settle Charges Involving Unregistered Sales of Penny Stocks
Release No.: 2015-153
Published date grouping: July 2015
Date: July 21, 2015
Headline: SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes
Release No.: 2015-152
Published date grouping: July 2015
Date: July 17, 2015
Headline: Michele Anderson Named Associate Director in the Division of Corporation Finance
Release No.: 2015-151
Published date grouping: July 2015
Date: July 17, 2015
Headline: SEC Pays More Than $3 Million to Whistleblower
Release No.: 2015-150
Published date grouping: July 2015
Date: July 16, 2015
Headline: SEC Charges Pennsylvania Attorney with Insider Trading in Advance of Merger Announcement
Release No.: 2015-149
Published date grouping: July 2015
Date: July 16, 2015
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: July 15, 2015
Headline: SEC Chair White, Federal Agencies Join Forces for Military Consumer Protection Day 2015
Release No.: 2015-147
Published date grouping: July 2015
Date: July 14, 2015
Headline: SEC Charges 34 Defendants in Microcap Market Manipulation Schemes
Release No.: 2015-146
Published date grouping: July 2015
Date: July 14, 2015
Headline: OZ Management LP Admits Providing Inaccurate Data, Impacting Brokers’ Records and “Blue Sheets”
Release No.: 2015-145
Published date grouping: July 2015
Date: July 13, 2015
Headline: Release of Joint Staff Report on October 15, 2014
Release No.: 2015-144
Published date grouping: July 2015
Date: July 13, 2015
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: July 8, 2015
Headline: SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting
Release No.: 2015-142
Published date grouping: July 2015
Date: July 6, 2015
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: July 2, 2015
Headline: SEC Reappoints Lewis H. Ferguson to Second Term on PCAOB
Release No.: 2015-140
Published date grouping: July 2015
Date: July 2, 2015
Headline: SEC Halts Pyramid/Ponzi Scheme Targeting Spanish and Portuguese Communities
Release No.: 2015-139
Published date grouping: July 2015
Date: July 1, 2015
Headline: SEC Solicits Public Comment on Audit Committee Disclosures
Release No.: 2015-138
Published date grouping: July 2015
Date: July 1, 2015
Headline: SEC Charges Deloitte & Touche With Violating Auditor Independence Rules
Release No.: 2015-137
Published date grouping: July 2015
Date: July 1, 2015
Headline: SEC Proposes Rules Requiring Companies to Adopt Clawback Policies on Executive Compensation
Release No.: 2015-136
Published date grouping: July 2015
Date: July 1, 2015
Headline: SEC Charges Former Stockbroker With Conducting Ponzi Scheme
Release No.: 2015-135
Published date grouping: July 2015
Date: July 1, 2015
Headline: SEC Charges Hedge Fund Advisory Firm With Conducting Fraudulent Fund Valuation Scheme
Release No.: 2015-134
Published date grouping: June 2015
Date: June 30, 2015
Headline: SEC Charges Goldman Sachs With Violating Market Access Rule
Release No.: 2015-133
Published date grouping: June 2015
Date: June 29, 2015
Headline: SEC Announces Cherry-Picking Charges Against Investment Manager
Release No.: 2015-132
Published date grouping: June 2015
Date: June 29, 2015
Headline: SEC Charges KKR With Misallocating Broken Deal Expenses
Release No.: 2015-131
Published date grouping: June 2015
Date: June 25, 2015
Headline: John Roeser Named Associate Director of the Office of Market Supervision
Release No.: 2015-130
Published date grouping: June 2015
Date: June 23, 2015
Headline: SEC Charges Microcap Promoter With Illegally Selling Penny Stock Shares
Release No.: 2015-129
Published date grouping: June 2015
Date: June 23, 2015
Headline: SEC Obtains Asset Freeze Against China-Based Trader for Suspicious Activity Last Week
Release No.: 2015-128
Published date grouping: June 2015
Date: June 23, 2015
Headline: SEC Charges Unregistered Brokers in EB-5 Immigrant Investor Program
Release No.: 2015-127
Published date grouping: June 2015
Date: June 18, 2015
Headline: SEC Charges Microcap Oil Company, CEO, and Stock Promoter With Defrauding Investors
Release No.: 2015-126
Published date grouping: June 2015
Date: June 18, 2015
Headline: SEC Charges 36 Firms for Fraudulent Municipal Bond Offerings
Release No.: 2015-125
Published date grouping: June 2015
Date: June 17, 2015
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: June 17, 2015
Headline: SEC Announces Enforcement Action for Illegal Offering of Security-Based Swaps
Release No.: 2015-123
Published date grouping: June 2015
Date: June 17, 2015
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: June 16, 2015
Headline: SEC Announces Charges Against Retirement Plan Custodian in Connection With Ponzi Scheme
Release No.: 2015-121
Published date grouping: June 2015
Date: June 15, 2015
Headline: Investment Advisory Firm’s Former President Charged With Stealing Client Funds
Release No.: 2015-120
Published date grouping: June 2015
Date: June 15, 2015
Headline: Swiss Trader to Pay $2.8 Million to Settle Insider Trading Charges
Release No.: 2015-119
Published date grouping: June 2015
Date: June 12, 2015
Headline: SEC Publishes Request for Public Comment on Exchange-Traded Products
Release No.: 2015-118
Published date grouping: June 2015
Date: June 10, 2015
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: June 9, 2015
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: June 9, 2015
Headline: Trader to Pay $1 Million for Short Selling Violations
Release No.: 2015-115
Published date grouping: June 2015
Date: June 9, 2015
Headline: Agencies Issue Final Standards for Assessing Diversity Policies and Practices of Regulated Entities
Release No.: 2015-114
Published date grouping: June 2015
Date: June 8, 2015
Headline: SEC Names Richard R. Best as Regional Director of Salt Lake Office
Release No.: 2015-113
Published date grouping: June 2015
Date: June 5, 2015
Headline: Daniel Gregus Named Associate Director for Broker-Dealer Exam Program in Chicago
Release No.: 2015-112
Published date grouping: June 2015
Date: June 5, 2015
Headline: SEC Charges CSC and Former Executives With Accounting Fraud
Release No.: 2015-111
Published date grouping: June 2015
Date: June 4, 2015
Headline: SEC Freezes Profits From Scheme to Manipulate Avon Stock
Release No.: 2015-110
Published date grouping: June 2015
Date: June 4, 2015
Headline: SEC Staff Provides Additional Analysis Related to Proposed Pay Ratio Disclosure Rules
Release No.: 2015-109
Published date grouping: June 2015
Date: June 3, 2015
Headline: SEC Warns of Purported Financial Professionals Using False Credentials to Attract Investors
Release No.: 2015-108
Published date grouping: June 2015
Date: June 3, 2015
Headline: SEC Charges Four With Insider Trading Ahead of Secondary Offerings
Release No.: 2015-107
Published date grouping: June 2015
Date: June 1, 2015
Headline: SEC Charges Investment Adviser With Defrauding Retired Teachers
Release No.: 2015-106
Published date grouping: June 2015
Date: June 1, 2015
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: May 28, 2015
Headline: SEC Charges Two Stock Promoters With Conducting Market Manipulation Schemes
Release No.: 2015-104
Published date grouping: May 2015
Date: May 28, 2015
Headline: SEC Names Andrew J. Donohue as Chief of Staff
Release No.: 2015-103
Published date grouping: May 2015
Date: May 28, 2015
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: May 28, 2015
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: May 26, 2015
Headline: SEC Charges New York Lawyer and Two Promoters With Market Manipulation
Release No.: 2015-100
Published date grouping: May 2015
Date: May 26, 2015
Headline: SEC Charges Deutsche Bank With Misstating Financial Reports During Financial Crisis
Release No.: 2015-99
Published date grouping: May 2015
Date: May 21, 2015
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: May 20, 2015
Headline: SEC Names Rebecca Olsen Deputy Director of Municipal Securities Office
Release No.: 2015-97
Published date grouping: May 2015
Date: May 20, 2015
Headline: SEC Names Jessica Kane Director of Municipal Securities Office
Release No.: 2015-96
Published date grouping: May 2015
Date: May 20, 2015
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: May 20, 2015
Headline: SEC Charges Brokerage Firm Co-Owners With Defrauding Investors
Release No.: 2015-94
Published date grouping: May 2015
Date: May 20, 2015
Headline: SEC Charges BHP Billiton With Violating FCPA at Olympic Games
Release No.: 2015-93
Published date grouping: May 2015
Date: May 19, 2015
Headline: SEC Chief of Staff Lona Nallengara to Leave Agency
Release No.: 2015-92
Published date grouping: May 2015
Date: May 18, 2015
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: May 14, 2015
Headline: SEC Charges Father and Son in $1.1 Million Insider Trading Scheme
Release No.: 2015-90
Published date grouping: May 2015
Date: May 14, 2015
Headline: SEC Charges Nationwide Life Insurance Company With Pricing Violations
Release No.: 2015-89
Published date grouping: May 2015
Date: May 14, 2015
Headline: SEC Names Wesley R. Bricker as Deputy Chief Accountant
Release No.: 2015-88
Published date grouping: May 2015
Date: May 14, 2015
Headline: Deputy Chief Accountant Dan Murdock to Leave SEC
Release No.: 2015-87
Published date grouping: May 2015
Date: May 12, 2015
Headline: SEC Announces Fraud Charges Against ITT Educational Services
Release No.: 2015-86
Published date grouping: May 2015
Date: May 11, 2015
Headline: SEC Sues Retirement Planners for Making False Claims to Investors
Release No.: 2015-85
Published date grouping: May 2015
Date: May 8, 2015
Headline: SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers
Release No.: 2015-84
Published date grouping: May 2015
Date: May 8, 2015
Headline: David Grim Named as Director of the Division of Investment Management
Release No.: 2015-83
Published date grouping: May 2015
Date: May 6, 2015
Headline: SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies
Release No.: 2015-82
Published date grouping: May 2015
Date: May 6, 2015
Headline: SEC Charges Four Former Officers of Delaware Bank Holding Company With Disclosure Fraud
Release No.: 2015-81
Published date grouping: May 2015
Date: May 5, 2015
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: April 30, 2015
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: April 29, 2015
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: April 29, 2015
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: April 29, 2015
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: April 28, 2015
Headline: SEC Announces Award to Whistleblower in First Retaliation Case
Release No.: 2015-75
Published date grouping: April 2015
Date: April 22, 2015
Headline: SEC Charges Issuer for Failing to Make Public Filings
Release No.: 2015-74
Published date grouping: April 2015
Date: April 22, 2015
Headline: SEC Announces Million-Dollar Whistleblower Award to Compliance Officer
Release No.: 2015-73
Published date grouping: April 2015
Date: April 20, 2015
Headline: Fort Worth Regional Director David Woodcock to Leave SEC
Release No.: 2015-72
Published date grouping: April 2015
Date: April 20, 2015
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: April 17, 2015
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: April 16, 2015
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: April 16, 2015
Headline: SEC Charges New York-Based Financial Advisor With Stealing $20 Million From Customers
Release No.: 2015-68
Published date grouping: April 2015
Date: April 15, 2015
Headline: SEC Staff and FINRA Issue Report on National Senior Investor Initiative
Release No.: 2015-67
Published date grouping: April 2015
Date: April 14, 2015
Headline: SEC Halts Investment Scheme Targeting Military Personnel
Release No.: 2015-66
Published date grouping: April 2015
Date: April 9, 2015
Headline: SEC Announces Fraud Charges Against Former Accounting Executive at Japanese Subsidiary
Release No.: 2015-65
Published date grouping: April 2015
Date: April 9, 2015
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: April 9, 2015
Headline: SEC Halts Microcap Scheme in South Florida
Release No.: 2015-63
Published date grouping: April 2015
Date: April 8, 2015
Headline: SEC Charges Oregon-Based Defense Contractor With FCPA Violations
Release No.: 2015-62
Published date grouping: April 2015
Date: April 8, 2015
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: April 7, 2015
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: April 7, 2015
Headline: OCIE Director Andrew Bowden to Leave SEC
Release No.: 2015-59
Published date grouping: April 2015
Date: April 7, 2015
Headline: SEC Obtains Asset Freeze in Ponzi Scheme Involving Loans to Professional Athletes
Release No.: 2015-58
Published date grouping: April 2015
Date: April 6, 2015
Headline: SEC Charges Firms and Individuals for Defrauding Investors in Cellular Licensing Scheme
Release No.: 2015-57
Published date grouping: April 2015
Date: April 2, 2015
Headline: SEC Charges Friends With Insider Trading on Acquisition of Cooper Tire
Release No.: 2015-56
Published date grouping: April 2015
Date: April 1, 2015
Headline: SEC Charges North Carolina Executive With Fraud
Release No.: 2015-55
Published date grouping: April 2015
Date: April 1, 2015
Headline: SEC: Companies Cannot Stifle Whistleblowers in Confidentiality Agreements
Release No.: 2015-54
Published date grouping: March 2015
Date: March 31, 2015
Headline: SEC Charges Former Polycom CEO With Hiding Perks From Investors
Release No.: 2015-53
Published date grouping: March 2015
Date: March 30, 2015
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: March 27, 2015
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: March 26, 2015
Headline: SEC Charges Nearly Two Dozen Unregistered Broker-Dealers
Release No.: 2015-50
Published date grouping: March 2015
Date: March 25, 2015
Headline: SEC Adopts Rules to Facilitate Smaller Companies’ Access to Capital
Release No.: 2015-49
Published date grouping: March 2015
Date: March 25, 2015
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: March 13, 2015
Headline: Corporate Insiders Charged for Failing to Update Disclosures Involving “Going Private” Transactions
Release No.: 2015-47
Published date grouping: March 2015
Date: March 4, 2015
Headline: SEC Charges Texas-Based Brokerage Firm With Violating Supervisory and Customer Protection Rules
Release No.: 2015-46
Published date grouping: March 2015
Date: March 2, 2015
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: March 2, 2015
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: Feb. 27, 2015
Headline: SEC Halts Ponzi-Like Scheme by Purported Venture Capital Fund Manager in Buffalo
Release No.: 2015-43
Published date grouping: February 2015
Date: Feb. 27, 2015
Headline: Fee Rate Advisory #4 for Fiscal Year 2015
Release No.: 2015-42
Published date grouping: February 2015
Date: Feb. 27, 2015
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: Feb. 26, 2015
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: Feb. 26, 2015
Headline: SEC Salt Lake Office Director Karen Martinez to Retire From Public Service
Release No.: 2015-39
Published date grouping: February 2015
Date: Feb. 24, 2015
Headline: SEC Charges Goodyear With FCPA Violations
Release No.: 2015-38
Published date grouping: February 2015
Date: Feb. 19, 2015
Headline: SEC Charges Brothers-in-Law in Louisiana With Insider Trading
Release No.: 2015-37
Published date grouping: February 2015
Date: Feb. 19, 2015
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: Feb. 18, 2015
Headline: SEC Halts Colorado-Based Pyramid Scheme
Release No.: 2015-35
Published date grouping: February 2015
Date: Feb. 13, 2015
Headline: SEC Announces Fraud Charges Against Purported Hedge Fund Manager
Release No.: 2015-34
Published date grouping: February 2015
Date: Feb. 12, 2015
Headline: Pamela C. Dyson Named SEC Chief Information Officer
Release No.: 2015-33
Published date grouping: February 2015
Date: Feb. 12, 2015
Headline: SEC Announces Agenda, Panelists for Proxy Voting Roundtable
Release No.: 2015-32
Published date grouping: February 2015
Date: Feb. 12, 2015
Headline: SEC Charges Mutual Fund Adviser in Connection With Improper Handling of Fund Assets
Release No.: 2015-31
Published date grouping: February 2015
Date: Feb. 11, 2015
Headline: Heather Seidel Named Chief Counsel in SEC’s Division of Trading and Markets
Release No.: 2015-30
Published date grouping: February 2015
Date: Feb. 11, 2015
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: Feb. 10, 2015
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: Feb. 10, 2015
Headline: SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme
Release No.: 2015-27
Published date grouping: February 2015
Date: Feb. 9, 2015
Headline: SEC Proposes Rules for Hedging Disclosure
Release No.: 2015-26
Published date grouping: February 2015
Date: Feb. 6, 2015
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: Feb. 5, 2015
Headline: SEC Charges Chicago-Area Alternative Energy Company for Accounting and Disclosure Violations
Release No.: 2015-24
Published date grouping: February 2015
Date: Feb. 5, 2015
Headline: SEC Charges Four in California Insider Trading Ring
Release No.: 2015-23
Published date grouping: February 2015
Date: Feb. 4, 2015
Headline: SEC Approves 2015 PCAOB Budget and Accounting Support Fee
Release No.: 2015-22
Published date grouping: February 2015
Date: Feb. 3, 2015
Headline: SEC Names David Grim as Acting Director of the Division of Investment Management
Release No.: 2015-21
Published date grouping: February 2015
Date: Feb. 3, 2015
Headline: SEC Alerts Investors, Industry on Cybersecurity
Release No.: 2015-20
Published date grouping: January 2015
Date: Jan. 30, 2015
Headline: SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting
Release No.: 2015-19
Published date grouping: January 2015
Date: Jan. 29, 2015
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: Jan. 29, 2015
Headline: Robert E. Rice, Chief Counsel to SEC Chair, to Leave SEC
Release No.: 2015-17
Published date grouping: January 2015
Date: Jan. 28, 2015
Headline: SEC Names Erin Schneider as Associate Regional Director in San Francisco Office
Release No.: 2015-16
Published date grouping: January 2015
Date: Jan. 27, 2015
Headline: SEC to Hold Roundtable on Proxy Voting
Release No.: 2015-15
Published date grouping: January 2015
Date: Jan. 27, 2015
Headline: SEC Charges Oppenheimer With Securities Law Violations Related to Improper Penny Stock Sales
Release No.: 2015-14
Published date grouping: January 2015
Date: Jan. 22, 2015
Headline: SEC Charges Former Executive at Tampa-Based Engineering Firm With FCPA Violations
Release No.: 2015-13
Published date grouping: January 2015
Date: Jan. 21, 2015
Headline: SEC Charges Investment Adviser and Manager in South Florida-Based Fraud
Release No.: 2015-12
Published date grouping: January 2015
Date: Jan. 21, 2015
Headline: Investment Management Director Norm Champ to Leave SEC
Release No.: 2015-11
Published date grouping: January 2015
Date: Jan. 21, 2015
Headline: SEC Announces Charges Against Standard & Poor’s for Fraudulent Ratings Misconduct
Release No.: 2015-10
Published date grouping: January 2015
Date: Jan. 15, 2015
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: Jan. 15, 2015
Headline: Fee Rate Advisory #3 for Fiscal Year 2015
Release No.: 2015-8
Published date grouping: January 2015
Date: Jan. 15, 2015
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: Jan. 14, 2015
Headline: SEC Adopts Rules to Increase Transparency in Security-Based Swap Market
Release No.: 2015-6
Published date grouping: January 2015
Date: Jan. 13, 2015
Headline: SEC Announces Members of New Equity Market Structure Advisory Committee
Release No.: 2015-5
Published date grouping: January 2015
Date: Jan. 13, 2015
Headline: SEC Charges Canadian Man With Conducting Fraudulent Trading Scheme
Release No.: 2015-4
Published date grouping: January 2015
Date: Jan. 13, 2015
Headline: SEC Announces 2015 Examination Priorities
Release No.: 2015-3
Published date grouping: January 2015
Date: Jan. 12, 2015
Headline: SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types
Release No.: 2015-2
Published date grouping: January 2015
Date: Jan. 8, 2015
Headline: SEC Names Walter Jospin as Regional Director of Atlanta Office
Release No.: 2015-1
Published date grouping: December 2014
Date: Dec. 30, 2014
Headline: SEC Announces Program to Facilitate Analysis of Corporate Financial Data
Release No.: 2014-295
Published date grouping: December 2014
Date: Dec. 29, 2014
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: Dec. 23, 2014
Headline: SEC Issues Annual Staff Reports on Credit Rating Agencies
Release No.: 2014-293
Published date grouping: December 2014
Date: Dec. 23, 2014
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: Dec. 22, 2014
Headline: SEC Charges Two Traders in Chile With Insider Trading
Release No.: 2014-291
Published date grouping: December 2014
Date: Dec. 22, 2014
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: Dec. 22, 2014
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: Dec. 18, 2014
Headline: SEC Proposes Amendments to Implement JOBS Act Mandate for Exchange Act Registration Requirements
Release No.: 2014-288
Published date grouping: December 2014
Date: Dec. 18, 2014
Headline: SEC Charges Staten Island-Based Firm With Operating Boiler Room Scheme Targeting Seniors
Release No.: 2014-287
Published date grouping: December 2014
Date: Dec. 17, 2014
Headline: SEC Names Deputy Directors in the Division of Trading and Markets
Release No.: 2014-286
Published date grouping: December 2014
Date: Dec. 17, 2014
Headline: SEC Charges Avon With FCPA Violations
Release No.: 2014-285
Published date grouping: December 2014
Date: Dec. 17, 2014
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: Dec. 16, 2014
Headline: SEC Announces Charges in Alleged Gold Mining Investment Scheme
Release No.: 2014-283
Published date grouping: December 2014
Date: Dec. 16, 2014
Headline: SEC Announces Charges Against Owner of Equity Research Firm Accused of Manipulative Trading
Release No.: 2014-282
Published date grouping: December 2014
Date: Dec. 15, 2014
Headline: SEC Charges New Orleans-Based Energy Company and Executives With Fraudulent Stock Manipulation
Release No.: 2014-281
Published date grouping: December 2014
Date: Dec. 15, 2014
Headline: SEC Charges Massachusetts-Based Scientific Instruments Manufacturer with FCPA Violations
Release No.: 2014-280
Published date grouping: December 2014
Date: Dec. 12, 2014
Headline: SEC Charges Manhattan-Based Attorney With Conducting Ponzi Scheme
Release No.: 2014-279
Published date grouping: December 2014
Date: Dec. 12, 2014
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: Dec. 11, 2014
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: Dec. 10, 2014
Headline: SEC Names Karol Pollock to Lead Exam Program in Los Angeles Office
Release No.: 2014-276
Published date grouping: December 2014
Date: Dec. 10, 2014
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: Dec. 10, 2014
Headline: SEC Penalizes Morgan Stanley for Violating Market Access Rule
Release No.: 2014-274
Published date grouping: December 2014
Date: Dec. 8, 2014
Headline: SEC Sanctions Operator of Bitcoin-Related Stock Exchange for Registration Violations
Release No.: 2014-273
Published date grouping: December 2014
Date: Dec. 8, 2014
Headline: SEC Sanctions Eight Audit Firms for Violating Auditor Independence Rules
Release No.: 2014-272
Published date grouping: December 2014
Date: Dec. 5, 2014
Headline: SEC Charges Virginia Beach-Based Bank Holding Company With Accounting Violations
Release No.: 2014-271
Published date grouping: December 2014
Date: Dec. 4, 2014
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: Dec. 3, 2014
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: Dec. 2, 2014
Headline: SEC Charges California Resident With Fraudulent Sales of Stock
Release No.: 2014-268
Published date grouping: November 2014
Date: Nov. 26, 2014
Headline: SEC Names Kevin Kelcourse as Associate Director for Exam Program in Boston
Release No.: 2014-267
Published date grouping: November 2014
Date: Nov. 25, 2014
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: Nov. 21, 2014
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: Nov. 21, 2014
Headline: SEC Charges CEO and Close Friend With Insider Trading Ahead of Company Sale
Release No.: 2014-264
Published date grouping: November 2014
Date: Nov. 20, 2014
Headline: Wedbush Securities and Two Officials Agree to Settle SEC Case
Release No.: 2014-263
Published date grouping: November 2014
Date: Nov. 20, 2014
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: Nov. 19, 2014
Headline: SEC Announces Next Meeting of the Advisory Committee on Small and Emerging Companies
Release No.: 2014-261
Published date grouping: November 2014
Date: Nov. 19, 2014
Headline: SEC Adopts Rules to Improve Systems Compliance and Integrity
Release No.: 2014-260
Published date grouping: November 2014
Date: Nov. 18, 2014
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: Nov. 18, 2014
Headline: SEC Staff Releases Accounting Bulletin to Update Guidance on Pushdown Accounting
Release No.: 2014-258
Published date grouping: November 2014
Date: Nov. 17, 2014
Headline: SEC Sanctions Two Former Defense Contractor Employees for FCPA Violations
Release No.: 2014-257
Published date grouping: November 2014
Date: Nov. 17, 2014
Headline: SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes
Release No.: 2014-256
Published date grouping: November 2014
Date: Nov. 17, 2014
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: Nov. 14, 2014
Headline: SEC Charges Business Owner and Stockbroker in Maryland-Based Offering Fraud
Release No.: 2014-254
Published date grouping: November 2014
Date: Nov. 14, 2014
Headline: SEC Announces Agenda and Panelists for Small Business Forum
Release No.: 2014-253
Published date grouping: November 2014
Date: Nov. 14, 2014
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: Nov. 12, 2014
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: Nov. 6, 2014
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: Nov. 6, 2014
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: Nov. 5, 2014
Headline: SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution
Release No.: 2014-248
Published date grouping: November 2014
Date: Nov. 3, 2014
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: Nov. 3, 2014
Headline: SEC Sanctions 13 Firms for Improper Sales of Puerto Rico Junk Bonds
Release No.: 2014-246
Published date grouping: November 2014
Date: Nov. 3, 2014
Headline: SEC Charges California-Based Bio-Rad Laboratories With FCPA Violations
Release No.: 2014-245
Published date grouping: October 2014
Date: Oct. 31, 2014
Headline: SEC Announces Fraud Charges Against New York Businessman
Release No.: 2014-244
Published date grouping: October 2014
Date: Oct. 30, 2014
Headline: SEC and FINRA Warn Investors About Penny Stock Scams Hyping Dormant Shell Companies
Release No.: 2014-243
Published date grouping: October 2014
Date: Oct. 29, 2014
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: Oct. 28, 2014
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: Oct. 27, 2014
Headline: SEC Charges Texas-Based Layne Christensen Company With FCPA Violations
Release No.: 2014-240
Published date grouping: October 2014
Date: Oct. 24, 2014
Headline: SEC Sanctions Florida-Based Auditor for Circumventing Rules
Release No.: 2014-239
Published date grouping: October 2014
Date: Oct. 24, 2014
Headline: SEC Charges New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies
Release No.: 2014-238
Published date grouping: October 2014
Date: Oct. 23, 2014
Headline: Rengan Rajaratnam Agrees to Settle Insider Trading Charges
Release No.: 2014-237
Published date grouping: October 2014
Date: Oct. 22, 2014
Headline: Six Federal Agencies Jointly Approve Final Risk Retention Rule
Release No.: 2014-236
Published date grouping: October 2014
Date: Oct. 21, 2014
Headline: Office of Municipal Securities Director John Cross to Leave SEC
Release No.: 2014-235
Published date grouping: October 2014
Date: Oct. 20, 2014
Headline: SEC Names Marc Wyatt as Deputy Director of National Exam Program
Release No.: 2014-234
Published date grouping: October 2014
Date: Oct. 17, 2014
Headline: Availability of Staff Analysis on Reporting and Dissemination of Security-Based Swap Information
Release No.: 2014-233
Published date grouping: October 2014
Date: Oct. 17, 2014
Headline: SEC Charges Staten Island Man With Conducting Fraudulent Offerings and Stealing Investor Funds
Release No.: 2014-232
Published date grouping: October 2014
Date: Oct. 16, 2014
Headline: SEC Announces Date for Annual Government-Business Forum on Small Business Capital Formation
Release No.: 2014-231
Published date grouping: October 2014
Date: Oct. 16, 2014
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: Oct. 16, 2014
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: Oct. 15, 2014
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: Oct. 14, 2014
Headline: SEC Announces Insider Trading Charges Against Former Financial Analyst at Pharmaceutical Company
Release No.: 2014-227
Published date grouping: October 2014
Date: Oct. 9, 2014
Headline: SEC Staff Issue Risk Alert and FAQs on Customer Sales of Securities
Release No.: 2014-226
Published date grouping: October 2014
Date: Oct. 9, 2014
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: Oct. 1, 2014
Headline: SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors
Release No.: 2014-224
Published date grouping: September 2014
Date: Sept. 30, 2014
Headline: Fee Rate Advisory #2 for Fiscal Year 2015
Release No.: 2014-223
Published date grouping: September 2014
Date: Sept. 30, 2014
Headline: SEC Charges Two with Insider Trading on Pershing Square’s Announcement on Herbalife
Release No.: 2014-222
Published date grouping: September 2014
Date: Sept. 29, 2014
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: Sept. 29, 2014
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: Sept. 29, 2014
Headline: SEC Charges Two Florida Men With Defrauding Investors in Purported Television Network
Release No.: 2014-219
Published date grouping: September 2014
Date: Sept. 26, 2014
Headline: SEC Charges Four Insurance Agents in Securities Fraud Targeting Elderly Investors
Release No.: 2014-218
Published date grouping: September 2014
Date: Sept. 26, 2014
Headline: SEC Announces Cases Targeting International Pyramid Scheme Operators
Release No.: 2014-217
Published date grouping: September 2014
Date: Sept. 25, 2014
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: Sept. 25, 2014
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: Sept. 24, 2014
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: Sept. 23, 2014
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: Sept. 23, 2014
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: Sept. 23, 2014
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: Sept. 23, 2014
Headline: SEC Names Liban Jama as Director of Atlanta Regional Office
Release No.: 2014-210
Published date grouping: September 2014
Date: Sept. 23, 2014
Headline: Rhea Dignam Named as Senior Counsel To OCIE Director
Release No.: 2014-209
Published date grouping: September 2014
Date: Sept. 22, 2014
Headline: SEC Announces Arrival of New Administrative Law Judge
Release No.: 2014-208
Published date grouping: September 2014
Date: Sept. 22, 2014
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: Sept. 22, 2014
Headline: SEC Announces Largest-Ever Whistleblower Award
Release No.: 2014-206
Published date grouping: September 2014
Date: Sept. 22, 2014
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: Sept. 19, 2014
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: Sept. 18, 2014
Headline: Jim Burns, Deputy Director of Trading and Markets, to Leave SEC
Release No.: 2014-203
Published date grouping: September 2014
Date: Sept. 18, 2014
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: Sept. 18, 2014
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: Sept. 17, 2014
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: Sept. 17, 2014
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: Sept. 16, 2014
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: Sept. 16, 2014
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: Sept. 16, 2014
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: Sept. 16, 2014
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: Sept. 15, 2014
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: Sept. 11, 2014
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: Sept. 11, 2014
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: Sept. 10, 2014
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: Sept. 10, 2014
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: Sept. 9, 2014
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: Sept. 8, 2014
Headline: SEC Names Victor Valdez As Enforcement Division’s Chief Operating Officer
Release No.: 2014-188
Published date grouping: September 2014
Date: Sept. 8, 2014
Headline: SEC Charges Minneapolis-Based Hedge Fund Manager With Bilking Investors and Portfolio Pumping
Release No.: 2014-187
Published date grouping: September 2014
Date: Sept. 5, 2014
Headline: Tracey L. McNeil Named as SEC’s First Ombudsman
Release No.: 2014-186
Published date grouping: September 2014
Date: Sept. 5, 2014
Headline: SEC Names Brent J. Fields to Lead Office of the Secretary
Release No.: 2014-185
Published date grouping: September 2014
Date: Sept. 3, 2014
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: Sept. 2, 2014
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: Aug. 29, 2014
Headline: Fee Rate Advisory #1 for Fiscal Year 2015
Release No.: 2014-182
Published date grouping: August 2014
Date: Aug. 29, 2014
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: Aug. 29, 2014
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: Aug. 28, 2014
Headline: SEC Charges Two Information Technology Executives With Mischaracterizing Resale Transactions to Increase Revenue
Release No.: 2014-179
Published date grouping: August 2014
Date: Aug. 27, 2014
Headline: SEC Adopts Credit Rating Agency Reform Rules
Release No.: 2014-178
Published date grouping: August 2014
Date: Aug. 27, 2014
Headline: SEC Adopts Asset-Backed Securities Reform Rules
Release No.: 2014-177
Published date grouping: August 2014
Date: Aug. 26, 2014
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: Aug. 26, 2014
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: Aug. 26, 2014
Headline: SEC Names James Schnurr As Chief Accountant
Release No.: 2014-174
Published date grouping: August 2014
Date: Aug. 22, 2014
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: Aug. 21, 2014
Headline: Bank of America Admits Disclosure Failures to Settle SEC Charges
Release No.: 2014-172
Published date grouping: August 2014
Date: Aug. 20, 2014
Headline: Chief Information Officer Thomas Bayer to Leave SEC
Release No.: 2014-171
Published date grouping: August 2014
Date: Aug. 19, 2014
Headline: SEC Announces Municipal Advisor Exam Initiative
Release No.: 2014-170
Published date grouping: August 2014
Date: Aug. 18, 2014
Headline: SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition
Release No.: 2014-169
Published date grouping: August 2014
Date: Aug. 15, 2014
Headline: SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking
Release No.: 2014-168
Published date grouping: August 2014
Date: Aug. 14, 2014
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: Aug. 14, 2014
Headline: SEC Charges Atlanta-Based Accountant With Insider Trading on Confidential Information From Client
Release No.: 2014-166
Published date grouping: August 2014
Date: Aug. 12, 2014
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: Aug. 11, 2014
Headline: SEC Charges Kansas for Understating Municipal Bond Exposure to Unfunded Pension Liability
Release No.: 2014-164
Published date grouping: August 2014
Date: Aug. 8, 2014
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: Aug. 8, 2014
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: Aug. 8, 2014
Headline: SEC Names Thomas M. Piccone to Lead National Exam Program in Denver Office
Release No.: 2014-161
Published date grouping: August 2014
Date: Aug. 7, 2014
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: Aug. 5, 2014
Headline: SEC Charges Four Promoters with Manipulating Marijuana-Related Stocks and Other Microcap Companies
Release No.: 2014-159
Published date grouping: August 2014
Date: Aug. 4, 2014
Headline: SEC Announces Oil-and-Gas Fraud Charges Against Houston-Based Company and CEO
Release No.: 2014-158
Published date grouping: August 2014
Date: Aug. 1, 2014
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: July 31, 2014
Headline: SEC Enforcement Division Modifies Municipalities Disclosure Initiative
Release No.: 2014-156
Published date grouping: July 2014
Date: July 31, 2014
Headline: SEC Charges Virginia-Based Broker With Stealing Funds From Elderly Customers
Release No.: 2014-155
Published date grouping: July 2014
Date: July 31, 2014
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: July 31, 2014
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: July 30, 2014
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: July 30, 2014
Headline: SEC Names Alberto Arevalo as Associate Director in the Office of International Affairs
Release No.: 2014-151
Published date grouping: July 2014
Date: July 29, 2014
Headline: SEC Announces Charges in “Solar Farm” Penny Stock Scheme
Release No.: 2014-150
Published date grouping: July 2014
Date: July 28, 2014
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: July 28, 2014
Headline: SEC Charges Smith & Wesson With FCPA Violations
Release No.: 2014-148
Published date grouping: July 2014
Date: July 25, 2014
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: July 24, 2014
Headline: SEC Charges Florida-Based Transfer Agent and Owner with Defrauding Investors
Release No.: 2014-146
Published date grouping: July 2014
Date: July 24, 2014
Headline: SEC Announces Additional Charges in Football-Related Boiler Room Scheme
Release No.: 2014-145
Published date grouping: July 2014
Date: July 24, 2014
Headline: Morgan Stanley to Pay $275 Million for Misleading Investors in Subprime RMBS Offerings
Release No.: 2014-144
Published date grouping: July 2014
Date: July 23, 2014
Headline: SEC Adopts Money Market Fund Reform Rules
Release No.: 2014-143
Published date grouping: July 2014
Date: July 22, 2014
Headline: SEC Charges Investor Relations Executive With Insider Trading While Preparing Clients’ Press Releases
Release No.: 2014-142
Published date grouping: July 2014
Date: July 21, 2014
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: July 18, 2014
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: July 17, 2014
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: July 17, 2014
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: July 16, 2014
Headline: SEC Announces Charges in Scheme to Secretly Enable Lawbreakers to Run Microcap Company
Release No.: 2014-137
Published date grouping: July 2014
Date: July 14, 2014
Headline: SEC Charges Ernst & Young With Violating Auditor Independence Rules in Lobbying Activities
Release No.: 2014-136
Published date grouping: July 2014
Date: July 11, 2014
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: July 11, 2014
Headline: SEC Charges Group of Amateur Golfers in Insider Trading Ring
Release No.: 2014-134
Published date grouping: July 2014
Date: July 8, 2014
Headline: SEC Charges California School District with Misleading Investors
Release No.: 2014-133
Published date grouping: July 2014
Date: July 7, 2014
Headline: SEC Names Thomas J. Krysa as Associate Regional Director in Denver Office
Release No.: 2014-132
Published date grouping: July 2014
Date: July 2, 2014
Headline: SEC Charges Five Traders with Short Selling Violations
Release No.: 2014-131
Published date grouping: July 2014
Date: July 2, 2014
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: June 30, 2014
Headline: SEC Announces New Hires in the Office of Administrative Law Judges
Release No.: 2014-129
Published date grouping: June 2014
Date: June 27, 2014
Headline: Enforcement Division’s Chief Operating Officer Adam Storch to Leave SEC
Release No.: 2014-128
Published date grouping: June 2014
Date: June 27, 2014
Headline: Geoffrey Aronow, Chief Counsel, Office of International Affairs, to Leave SEC
Release No.: 2014-127
Published date grouping: June 2014
Date: June 25, 2014
Headline: SEC Announces Order for Tick Size Pilot Plan
Release No.: 2014-126
Published date grouping: June 2014
Date: June 25, 2014
Headline: SEC Announces Fraud Charges Against Three Former Regions Bank Executives in Accounting Scheme
Release No.: 2014-125
Published date grouping: June 2014
Date: June 25, 2014
Headline: SEC Charges Former Brokers with Trading Ahead of IBM-SPSS Acquisition
Release No.: 2014-124
Published date grouping: June 2014
Date: June 25, 2014
Headline: SEC Adopts Cross-Border Security-Based Swap Rules
Release No.: 2014-123
Published date grouping: June 2014
Date: June 25, 2014
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: June 23, 2014
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: June 20, 2014
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: June 18, 2014
Headline: Cicely LaMothe Named Associate Director in the Division of Corporation Finance
Release No.: 2014-119
Published date grouping: June 2014
Date: June 16, 2014
Headline: SEC Charges Hedge Fund Adviser With Conducting Conflicted Transactions and Retaliating Against Whistleblower
Release No.: 2014-118
Published date grouping: June 2014
Date: June 13, 2014
Headline: SEC Charges Four California Residents in $12 Million Insider Trading Scheme
Release No.: 2014-117
Published date grouping: June 2014
Date: June 11, 2014
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: June 6, 2014
Headline: SEC Announces Charges Against Wedbush Securities and Two Officials for Market Access Violations
Release No.: 2014-115
Published date grouping: June 2014
Date: June 6, 2014
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: June 3, 2014
Headline: SEC Awards $875,000 to Two Whistleblowers Who Aided Agency Investigation
Release No.: 2014-113
Published date grouping: June 2014
Date: June 3, 2014
Headline: SEC Charges Albany, N.Y.-Based Investment Adviser With Defrauding Clients
Release No.: 2014-112
Published date grouping: June 2014
Date: June 3, 2014
Headline: SEC Charges Bitcoin Entrepreneur With Offering Unregistered Securities
Release No.: 2014-111
Published date grouping: June 2014
Date: June 2, 2014
Headline: SEC Charges Charter School Operator in Chicago With Defrauding Bond Investors
Release No.: 2014-110
Published date grouping: May 2014
Date: May 29, 2014
Headline: SEC Names Stephanie Avakian as Deputy Director of Enforcement
Release No.: 2014-109
Published date grouping: May 2014
Date: May 29, 2014
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: May 28, 2014
Headline: SEC Obtains Asset Freeze to Halt Fraud at Illinois-Based Transfer Agent
Release No.: 2014-107
Published date grouping: May 2014
Date: May 27, 2014
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: May 22, 2014
Headline: SEC Announces Latest Charges in Joint Law Enforcement Effort Uncovering Penny Stock Schemes
Release No.: 2014-105
Published date grouping: May 2014
Date: May 22, 2014
Headline: SEC Charges Vitamin Company's Former Board Member and Brothers With Insider Trading
Release No.: 2014-104
Published date grouping: May 2014
Date: May 21, 2014
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: May 20, 2014
Headline: SEC Charges Former Deloitte Chief Risk Officer for Violations of Auditor Independence Rules
Release No.: 2014-102
Published date grouping: May 2014
Date: May 19, 2014
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: May 19, 2014
Headline: SEC Charges Two Clinical Drug Trial Doctors With Insider Trading
Release No.: 2014-100
Published date grouping: May 2014
Date: May 16, 2014
Headline: SEC Warns Investors About Marijuana-Related Investments Amid Recent Trading Suspensions
Release No.: 2014-99
Published date grouping: May 2014
Date: May 15, 2014
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: May 15, 2014
Headline: SEC Charges Rafferty Capital Markets With Illegally Facilitating Trades for Unregistered Firm
Release No.: 2014-97
Published date grouping: May 2014
Date: May 15, 2014
Headline: Chief Accountant Paul Beswick to Leave SEC
Release No.: 2014-96
Published date grouping: May 2014
Date: May 14, 2014
Headline: SEC Names Gina Talamona as Communications Director
Release No.: 2014-95
Published date grouping: May 2014
Date: May 12, 2014
Headline: SEC Charges Three Sales Managers With Insider Trading Ahead of Major Acquisition
Release No.: 2014-94
Published date grouping: May 2014
Date: May 12, 2014
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: May 7, 2014
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: May 5, 2014
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: May 5, 2014
Headline: SEC Charges Ohio-Based Investment Adviser and President for Fraudulently Hiding Account Shortfall
Release No.: 2014-90
Published date grouping: May 2014
Date: May 2, 2014
Headline: SEC Issues Partial Stay of Conflict Minerals Rules
Release No.: 2014-89
Published date grouping: May 2014
Date: May 2, 2014
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: May 1, 2014
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: April 30, 2014
Headline: SEC Charges Utah-Based Retirement Plan Administrator With Defrauding Investors
Release No.: 2014-86
Published date grouping: April 2014
Date: April 25, 2014
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: April 23, 2014
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: April 23, 2014
Headline: SEC Charges Former Stock Promoter With Defrauding Investors in Florida Real Estate Venture
Release No.: 2014-83
Published date grouping: April 2014
Date: April 23, 2014
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: April 23, 2014
Headline: Mauri Osheroff to Retire After Nearly 40 Years at SEC
Release No.: 2014-81
Published date grouping: April 2014
Date: April 21, 2014
Headline: SEC Charges a Former Biopharmaceutical Company Executive and Two Others with Insider Trading
Release No.: 2014-80
Published date grouping: April 2014
Date: April 17, 2014
Headline: SEC Halts Pyramid Scheme Targeting Dominican and Brazilian Immigrants
Release No.: 2014-79
Published date grouping: April 2014
Date: April 17, 2014
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: April 17, 2014
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: April 15, 2014
Headline: SEC Charges San Diego-Based Investment Adviser
Release No.: 2014-76
Published date grouping: April 2014
Date: April 15, 2014
Headline: SEC Names David Gottesman as Deputy Chief Litigation Counsel
Release No.: 2014-75
Published date grouping: April 2014
Date: April 14, 2014
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: April 9, 2014
Headline: SEC Charges Hewlett-Packard With FCPA Violations
Release No.: 2014-73
Published date grouping: April 2014
Date: April 8, 2014
Headline: SEC Announces Charges Against Honolulu Woman Defrauding Investors Through Social Media
Release No.: 2014-72
Published date grouping: April 2014
Date: April 8, 2014
Headline: SEC Charges Las Vegas-Based Transfer Agent With Disclosure Failures in Registration Forms
Release No.: 2014-71
Published date grouping: April 2014
Date: April 8, 2014
Headline: SEC, Criminal Authorities Halt Florida-Based Ponzi Scheme Targeting Investors Through YouTube Videos
Release No.: 2014-70
Published date grouping: April 2014
Date: April 8, 2014
Headline: SEC Charges CVS With Misleading Investors and Committing Accounting Violations
Release No.: 2014-69
Published date grouping: April 2014
Date: April 4, 2014
Headline: SEC Announces Additional $150,000 Payment to Recipient of First Whistleblower Award
Release No.: 2014-68
Published date grouping: April 2014
Date: April 4, 2014
Headline: SEC Charges Owner of N.J.-Based Brokerage Firm With Manipulative Trading
Release No.: 2014-67
Published date grouping: April 2014
Date: April 3, 2014
Headline: SEC Seeks Comment on Investor Advisory Committee Recommendation Regarding Target Date Funds
Release No.: 2014-66
Published date grouping: April 2014
Date: April 3, 2014
Headline: SEC Charges Two Friends With Insider Trading Ahead of Impending Acquisition
Release No.: 2014-65
Published date grouping: April 2014
Date: April 3, 2014
Headline: SEC Charges Transamerica Financial Advisors With Improperly Calculating Advisory Fees and Overcharging Clients
Release No.: 2014-64
Published date grouping: April 2014
Date: April 2, 2014
Headline: Rebecca Olsen Named Chief Counsel in the Office of Municipal Securities
Release No.: 2014-63
Published date grouping: April 2014
Date: April 2, 2014
Headline: Jessica Kane Named Deputy Director in the Office of Municipal Securities
Release No.: 2014-62
Published date grouping: March 2014
Date: March 31, 2014
Headline: SEC Charges Two Men With Insider Trading on Confidential Information From Their Wives
Release No.: 2014-61
Published date grouping: March 2014
Date: March 28, 2014
Headline: SEC Halts Pyramid Scheme Targeting Asian and Latino Communities
Release No.: 2014-60
Published date grouping: March 2014
Date: March 27, 2014
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: March 25, 2014
Headline: SEC Names Jeffrey Boujoukos as Associate Regional Director in Philadelphia Office
Release No.: 2014-58
Published date grouping: March 2014
Date: March 24, 2014
Headline: SEC Announces Agenda, Panelists for Cybersecurity Roundtable
Release No.: 2014-57
Published date grouping: March 2014
Date: March 24, 2014
Headline: Staff Analysis of Data and Academic Literature Related to Money Market Fund Reform
Release No.: 2014-56
Published date grouping: March 2014
Date: March 19, 2014
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: March 18, 2014
Headline: SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers
Release No.: 2014-54
Published date grouping: March 2014
Date: March 13, 2014
Headline: SEC Charges CR Intrinsic Analyst with Insider Trading
Release No.: 2014-53
Published date grouping: March 2014
Date: March 13, 2014
Headline: SEC Obtains Asset Freeze Against Promoter Behind Microcap Stock Scalping Scheme
Release No.: 2014-52
Published date grouping: March 2014
Date: March 13, 2014
Headline: SEC Charges Lions Gate With Disclosure Failures While Preventing Hostile Takeover
Release No.: 2014-51
Published date grouping: March 2014
Date: March 13, 2014
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: March 12, 2014
Headline: SEC Proposes Rules for Systemically Important and Security-Based Swap Clearing Agencies
Release No.: 2014-49
Published date grouping: March 2014
Date: March 12, 2014
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: March 11, 2014
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: March 10, 2014
Headline: SEC Launches Enforcement Cooperation Initiative for Municipal Issuers and Underwriters
Release No.: 2014-46
Published date grouping: March 2014
Date: March 6, 2014
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: March 5, 2014
Headline: SEC Halts International Pyramid Scheme Being Promoted Through Facebook and Twitter
Release No.: 2014-44
Published date grouping: March 2014
Date: March 5, 2014
Headline: SEC Announces Largest Monetary Sanction for Rule 105 Short Selling Violations
Release No.: 2014-43
Published date grouping: February 2014
Date: Feb. 28, 2014
Headline: Fee Rate Advisory #4 for Fiscal Year 2014
Release No.: 2014-42
Published date grouping: February 2014
Date: Feb. 25, 2014
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: Feb. 21, 2014
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: Feb. 21, 2014
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: Feb. 20, 2014
Headline: Division of Trading And Markets Acting Director John Ramsay to Leave SEC
Release No.: 2014-38
Published date grouping: February 2014
Date: Feb. 20, 2014
Headline: Stephen Luparello Named as Director of SEC’s Division of Trading and Markets
Release No.: 2014-37
Published date grouping: February 2014
Date: Feb. 20, 2014
Headline: SEC Charges Three California Residents Behind Movie Investment Scam
Release No.: 2014-36
Published date grouping: February 2014
Date: Feb. 20, 2014
Headline: SEC Announces Initiative Directed at Never-Before Examined Registered Investment Advisers
Release No.: 2014-35
Published date grouping: February 2014
Date: Feb. 20, 2014
Headline: SEC Names Sharon Binger as Director of Philadelphia Regional Office
Release No.: 2014-34
Published date grouping: February 2014
Date: Feb. 14, 2014
Headline: Elizabeth Murphy Named as Associate Director in the Division of Corporation Finance
Release No.: 2014-33
Published date grouping: February 2014
Date: Feb. 14, 2014
Headline: SEC to Hold Cybersecurity Roundtable
Release No.: 2014-32
Published date grouping: February 2014
Date: Feb. 14, 2014
Headline: SEC Approves 2014 PCAOB Budget and Accounting Support Fee
Release No.: 2014-31
Published date grouping: February 2014
Date: Feb. 12, 2014
Headline: Fee Rate Advisory #3 for Fiscal Year 2014
Release No.: 2014-30
Published date grouping: February 2014
Date: Feb. 12, 2014
Headline: David Fredrickson Named Chief Counsel in the Division of Corporation Finance
Release No.: 2014-29
Published date grouping: February 2014
Date: Feb. 12, 2014
Headline: Paul A. Leder Named as Director of SEC’s Office Of International Affairs
Release No.: 2014-28
Published date grouping: February 2014
Date: Feb. 12, 2014
Headline: SEC Names Rick Fleming as Investor Advocate
Release No.: 2014-27
Published date grouping: February 2014
Date: Feb. 11, 2014
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: Feb. 11, 2014
Headline: SEC Names Michael Maloney As New Chief Accountant in Enforcement Division
Release No.: 2014-25
Published date grouping: February 2014
Date: Feb. 4, 2014
Headline: SEC Announces Fraud Charges Against Two Wall Street Traders Involved in Parking Scheme
Release No.: 2014-24
Published date grouping: February 2014
Date: Feb. 3, 2014
Headline: SEC Publishes Draft Strategic Plan For Public Comment
Release No.: 2014-23
Published date grouping: February 2014
Date: Feb. 3, 2014
Headline: SEC Seeks Stop Orders Against 20 Purported Mining Companies With Misleading Registration Statements
Release No.: 2014-22
Published date grouping: February 2014
Date: Feb. 3, 2014
Headline: SEC Continues Microcap Fraud Crackdown, Proactively Suspends Trading in 255 Dormant Shell Companies
Release No.: 2014-21
Published date grouping: January 2014
Date: Jan. 31, 2014
Headline: SEC Charges Two College Professors in Naked Short Selling Scheme
Release No.: 2014-20
Published date grouping: January 2014
Date: Jan. 30, 2014
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: Jan. 30, 2014
Headline: SEC Charges N.Y.-Based Money Manager and Firm for Misleading Advertisements
Release No.: 2014-18
Published date grouping: January 2014
Date: Jan. 29, 2014
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: Jan. 29, 2014
Headline: SEC Charges Chicago-Based Accountant With Insider Trading in Wife’s Account
Release No.: 2014-16
Published date grouping: January 2014
Date: Jan. 28, 2014
Headline: Barbara Lorenzen Named to Senior Position in National Exam Program
Release No.: 2014-15
Published date grouping: January 2014
Date: Jan. 28, 2014
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: Jan. 27, 2014
Headline: SEC Charges Legg Mason Affiliate With Defrauding Clients
Release No.: 2014-13
Published date grouping: January 2014
Date: Jan. 24, 2014
Headline: SEC Charges KPMG With Violating Auditor Independence Rules
Release No.: 2014-12
Published date grouping: January 2014
Date: Jan. 22, 2014
Headline: Former Oppenheimer Fund Manager Agrees to Settle Fraud Charges
Release No.: 2014-11
Published date grouping: January 2014
Date: Jan. 15, 2014
Headline: SEC Obtains Settlements in Penny Stock “Shell Packaging” Case
Release No.: 2014-10
Published date grouping: January 2014
Date: Jan. 14, 2014
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: Jan. 13, 2014
Headline: SEC Announces New Date for Compliance with Final Municipal Advisor Registration Rules
Release No.: 2014-8
Published date grouping: January 2014
Date: Jan. 10, 2014
Headline: Interpretive Guidance on Municipal Advisor Registration Rules
Release No.: 2014-7
Published date grouping: January 2014
Date: Jan. 10, 2014
Headline: Myron Marlin, Director of Communications, to Leave SEC
Release No.: 2014-6
Published date grouping: January 2014
Date: Jan. 9, 2014
Headline: SEC Announces 2014 Examination Priorities
Release No.: 2014-5
Published date grouping: January 2014
Date: Jan. 9, 2014
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: Jan. 9, 2014
Headline: SEC Charges Alcoa With FCPA Violations
Release No.: 2014-3
Published date grouping: January 2014
Date: Jan. 6, 2014
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: Jan. 3, 2014
Headline: Enforcement Co-Director George Canellos to Leave SEC
Release No.: 2014-1
Published date grouping: December 2013
Date: Dec. 27, 2013
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: Dec. 27, 2013
Headline: SEC Removes References to NRSRO Ratings in Certain Rules and Forms
Release No.: 2013-274
Published date grouping: December 2013
Date: Dec. 26, 2013
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: Dec. 24, 2013
Headline: SEC Issues Annual Staff Reports on Credit Rating Agencies
Release No.: 2013-272
Published date grouping: December 2013
Date: Dec. 20, 2013
Headline: SEC Charges Archer-Daniels-Midland Company With FCPA Violations
Release No.: 2013-271
Published date grouping: December 2013
Date: Dec. 20, 2013
Headline: SEC Charges Woman and Stepson for Involvement in ZeekRewards Ponzi and Pyramid Scheme
Release No.: 2013-270
Published date grouping: December 2013
Date: Dec. 20, 2013
Headline: SEC Issues Staff Report on Public Company Disclosure
Release No.: 2013-269
Published date grouping: December 2013
Date: Dec. 19, 2013
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: Dec. 19, 2013
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: Dec. 18, 2013
Headline: SEC Charges ConvergEx Subsidiaries With Fraud for Deceiving Customers About Commissions
Release No.: 2013-266
Published date grouping: December 2013
Date: Dec. 18, 2013
Headline: SEC Proposes Rules to Increase Access to Capital for Smaller Companies
Release No.: 2013-265
Published date grouping: December 2013
Date: Dec. 17, 2013
Headline: SEC Announces Enforcement Results for FY 2013
Release No.: 2013-264
Published date grouping: December 2013
Date: Dec. 16, 2013
Headline: SEC Charges Perpetrators of Prime Bank Schemes in Las Vegas and Switzerland
Release No.: 2013-263
Published date grouping: December 2013
Date: Dec. 13, 2013
Headline: SEC to Hold Compliance Outreach Program for Investment Companies and Investment Advisers
Release No.: 2013-262
Published date grouping: December 2013
Date: Dec. 12, 2013
Headline: SEC Charges Merrill Lynch With Misleading Investors in CDOs
Release No.: 2013-261
Published date grouping: December 2013
Date: Dec. 12, 2013
Headline: SEC Charges Investment Managers for Misconduct in CDO Collateral Selection Process
Release No.: 2013-260
Published date grouping: December 2013
Date: Dec. 12, 2013
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: Dec. 10, 2013
Headline: Agencies Issue Final Rules Implementing the Volcker Rule
Release No.: 2013-258
Published date grouping: December 2013
Date: Dec. 9, 2013
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: Dec. 6, 2013
Headline: SEC Halts Texas-Based Oil and Gas Investment Scheme
Release No.: 2013-256
Published date grouping: December 2013
Date: Dec. 4, 2013
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: Dec. 3, 2013
Headline: SEC Charges Miami-Based Trader With Insider Trading and Short Selling Violations
Release No.: 2013-254
Published date grouping: November 2013
Date: Nov. 27, 2013
Headline: SEC Announces Agenda, Panelists For Roundtable On Proxy Advisory Services
Release No.: 2013-253
Published date grouping: November 2013
Date: Nov. 26, 2013
Headline: SEC Charges Weatherford International With FCPA Violations
Release No.: 2013-252
Published date grouping: November 2013
Date: Nov. 26, 2013
Headline: SEC Announces Fraud Charges Against Detroit-Based Money Market Fund Manager
Release No.: 2013-251
Published date grouping: November 2013
Date: Nov. 26, 2013
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: Nov. 25, 2013
Headline: Penny Stock Financier Agrees to Pay $1.4 Million to Settle SEC Charges
Release No.: 2013-249
Published date grouping: November 2013
Date: Nov. 21, 2013
Headline: SEC Charges Colorado Man in Scheme Targeting Elderly Investors
Release No.: 2013-248
Published date grouping: November 2013
Date: Nov. 21, 2013
Headline: SEC Charges Another Tipper in Galleon Insider Trading Scheme
Release No.: 2013-247
Published date grouping: November 2013
Date: Nov. 20, 2013
Headline: SEC Names Julie Lutz as Director of Denver Regional Office
Release No.: 2013-246
Published date grouping: November 2013
Date: Nov. 20, 2013
Headline: SEC Announces Fraud Charges Against Two Florida-Based Investment Advisers
Release No.: 2013-245
Published date grouping: November 2013
Date: Nov. 14, 2013
Headline: SEC Charges Hedge Fund Trader With Insider Trading in Carter’s Stock
Release No.: 2013-244
Published date grouping: November 2013
Date: Nov. 14, 2013
Headline: Kevin W. Goodman Named Head Of SEC’s Broker-Dealer Examination Program
Release No.: 2013-243
Published date grouping: November 2013
Date: Nov. 13, 2013
Headline: SEC Announces Agenda and Panelists for Small Business Forum
Release No.: 2013-242
Published date grouping: November 2013
Date: Nov. 12, 2013
Headline: SEC Announces First Deferred Prosecution Agreement With Individual
Release No.: 2013-241
Published date grouping: November 2013
Date: Nov. 8, 2013
Headline: SEC Names LeeAnn Gaunt as Chief of Municipal Securities and Public Pensions Unit
Release No.: 2013-240
Published date grouping: November 2013
Date: Nov. 7, 2013
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: Nov. 7, 2013
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: Nov. 5, 2013
Headline: SEC Names David Glockner as Director of Chicago Regional Office
Release No.: 2013-237
Published date grouping: November 2013
Date: Nov. 5, 2013
Headline: SEC To Hold Roundtable On Proxy Advisory Services
Release No.: 2013-236
Published date grouping: November 2013
Date: Nov. 5, 2013
Headline: SEC Charges Municipal Issuer in Washington’s Wenatchee Valley Region for Misleading Investors
Release No.: 2013-235
Published date grouping: November 2013
Date: Nov. 4, 2013
Headline: SEC Halts Ponzi Scheme Involving New Zealand Companies
Release No.: 2013-234
Published date grouping: November 2013
Date: Nov. 1, 2013
Headline: SEC Obtains Asset Freeze in California-Based Real Estate Investment Scheme
Release No.: 2013-233
Published date grouping: October 2013
Date: Oct. 31, 2013
Headline: Fee Rate Advisory #2 For Fiscal Year 2014
Release No.: 2013-232
Published date grouping: October 2013
Date: Oct. 30, 2013
Headline: SEC Rewards Whistleblower With $150,000 Payout
Release No.: 2013-231
Published date grouping: October 2013
Date: Oct. 28, 2013
Headline: SEC Charges Three Firms With Violating Custody Rule
Release No.: 2013-230
Published date grouping: October 2013
Date: Oct. 24, 2013
Headline: SEC Charges Stryker Corporation With FCPA Violations
Release No.: 2013-229
Published date grouping: October 2013
Date: Oct. 23, 2013
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: Oct. 23, 2013
Headline: SEC Issues Proposal on Crowdfunding
Release No.: 2013-227
Published date grouping: October 2013
Date: Oct. 23, 2013
Headline: SEC Sanctions Three Firms Under Compliance Program Initiative
Release No.: 2013-226
Published date grouping: October 2013
Date: Oct. 22, 2013
Headline: SEC Charges Diebold With FCPA Violations
Release No.: 2013-225
Published date grouping: October 2013
Date: Oct. 18, 2013
Headline: SEC Announces Fraud Charges Against Collateral Manager Of CDO
Release No.: 2013-224
Published date grouping: October 2013
Date: Oct. 17, 2013
Headline: SEC Halts Pyramid Scheme Targeting Asian-American Community
Release No.: 2013-223
Published date grouping: October 2013
Date: Oct. 16, 2013
Headline: SEC Charges Knight Capital With Violations of Market Access Rule
Release No.: 2013-222
Published date grouping: October 2013
Date: Oct. 11, 2013
Headline: Daniel Murdock Named SEC Deputy Chief Accountant
Release No.: 2013-221
Published date grouping: October 2013
Date: Oct. 10, 2013
Headline: Mark Kronforst Named Chief Accountant In Division Of Corporation Finance
Release No.: 2013-220
Published date grouping: October 2013
Date: Oct. 10, 2013
Headline: Previously Unknown Insider Traders in Heinz Agree to $5 Million Settlement
Release No.: 2013-219
Published date grouping: October 2013
Date: Oct. 9, 2013
Headline: Daniel M. Hawke to Step Down as Director of Philadelphia Office
Release No.: 2013-218
Published date grouping: October 2013
Date: Oct. 9, 2013
Headline: SEC Launches Market Structure Data and Analysis Website
Release No.: 2013-217
Published date grouping: October 2013
Date: Oct. 4, 2013
Headline: SEC Names Karen L. Martinez as Director of Salt Lake Regional Office
Release No.: 2013-216
Published date grouping: October 2013
Date: Oct. 3, 2013
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: Oct. 3, 2013
Headline: SEC Announces Date for Annual Government-Business Forum on Small Business Capital Formation
Release No.: 2013-214
Published date grouping: October 2013
Date: Oct. 3, 2013
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: Oct. 2, 2013
Headline: SEC Announces Renewal of Advisory Committee on Small and Emerging Companies
Release No.: 2013-212
Published date grouping: October 2013
Date: Oct. 2, 2013
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: Oct. 1, 2013
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: Oct. 1, 2013
Headline: SEC Awards More Than $14 Million to Whistleblower
Release No.: 2013-209
Published date grouping: September 2013
Date: Sept. 30, 2013
Headline: Public Feedback on OFR Study on Asset Management Issues
Release No.: 2013-208
Published date grouping: September 2013
Date: Sept. 30, 2013
Headline: SEC Charges Three Auditors in Continuing Crackdown on Violations or Failures By Gatekeepers
Release No.: 2013-207
Published date grouping: September 2013
Date: Sept. 30, 2013
Headline: SEC Charges South Florida Woman Behind Ponzi Scheme Targeting Colombian-American Community
Release No.: 2013-206
Published date grouping: September 2013
Date: Sept. 30, 2013
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: Sept. 27, 2013
Headline: Matthew Solomon Named SEC Chief Litigation Counsel
Release No.: 2013-204
Published date grouping: September 2013
Date: Sept. 27, 2013
Headline: Chief Litigation Counsel Matthew Martens to Leave SEC
Release No.: 2013-203
Published date grouping: September 2013
Date: Sept. 26, 2013
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: Sept. 26, 2013
Headline: SEC Freezes Assets in Ponzi Scheme Targeting Investors in Japan
Release No.: 2013-201
Published date grouping: September 2013
Date: Sept. 26, 2013
Headline: SEC Charges China-Based Executives With Fraud and Insider Trading
Release No.: 2013-200
Published date grouping: September 2013
Date: Sept. 26, 2013
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: Sept. 25, 2013
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: Sept. 24, 2013
Headline: SEC Charges Former President of California-Based Investment Firm With Fraud
Release No.: 2013-197
Published date grouping: September 2013
Date: Sept. 24, 2013
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: Sept. 24, 2013
Headline: Federal Regulators Issue Guidance on Reporting Financial Abuse of Older Adults
Release No.: 2013-195
Published date grouping: September 2013
Date: Sept. 23, 2013
Headline: SEC Charges 10 Brokers for Roles in McGinn Smith Ponzi Scheme
Release No.: 2013-194
Published date grouping: September 2013
Date: Sept. 23, 2013
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: Sept. 23, 2013
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: Sept. 23, 2013
Headline: SEC Charges Independent Filmmaker With Insider Trading
Release No.: 2013-191
Published date grouping: September 2013
Date: Sept. 20, 2013
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: Sept. 20, 2013
Headline: SEC Charges Former Technology Company Executive for Role in Rajaratnam Insider Trading Scheme
Release No.: 2013-189
Published date grouping: September 2013
Date: Sept. 20, 2013
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: Sept. 19, 2013
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: Sept. 18, 2013
Headline: SEC Proposes Rules for Pay Ratio Disclosure
Release No.: 2013-186
Published date grouping: September 2013
Date: Sept. 18, 2013
Headline: SEC Approves Registration Rules for Municipal Advisors
Release No.: 2013-185
Published date grouping: September 2013
Date: Sept. 18, 2013
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: Sept. 18, 2013
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: Sept. 17, 2013
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: Sept. 13, 2013
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: Sept. 13, 2013
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: Sept. 12, 2013
Headline: SEC Names Paul Levenson as Director of Boston Regional Office
Release No.: 2013-179
Published date grouping: September 2013
Date: Sept. 12, 2013
Headline: SEC Chair White Statement on Meeting With Leaders of Exchanges
Release No.: 2013-178
Published date grouping: September 2013
Date: Sept. 11, 2013
Headline: SEC Names Jina L. Choi as Director of San Francisco Regional Office
Release No.: 2013-177
Published date grouping: September 2013
Date: Sept. 10, 2013
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: Sept. 9, 2013
Headline: SEC Halts Florida-Based Prime Bank Investment Scheme
Release No.: 2013-175
Published date grouping: September 2013
Date: Sept. 6, 2013
Headline: SEC Charges Former Vice President of Investor Relations With Violating Fair Disclosure Rules
Release No.: 2013-174
Published date grouping: September 2013
Date: Sept. 5, 2013
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: Sept. 4, 2013
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: Sept. 3, 2013
Headline: SEC Charges Purported Money Manager With Defrauding Investors and Brokerage Firms
Release No.: 2013-171
Published date grouping: August 2013
Date: Aug. 30, 2013
Headline: Fee Rate Advisory #1 for Fiscal Year 2014
Release No.: 2013-170
Published date grouping: August 2013
Date: Aug. 30, 2013
Headline: SEC Rewards Three Whistleblowers Who Helped Stop Sham Hedge Fund
Release No.: 2013-169
Published date grouping: August 2013
Date: Aug. 30, 2013
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: Aug. 28, 2013
Headline: Agencies Request Comment on Proposed Risk Retention Rule
Release No.: 2013-167
Published date grouping: August 2013
Date: Aug. 27, 2013
Headline: SEC Issues Risk Alert on Investment Advisers’ Business Continuity and Disaster Recovery Planning
Release No.: 2013-166
Published date grouping: August 2013
Date: Aug. 27, 2013
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: Aug. 26, 2013
Headline: SEC Charges Indiana Resident With Conducting Ponzi Scheme Targeting Retirement Savings of Investors
Release No.: 2013-164
Published date grouping: August 2013
Date: Aug. 22, 2013
Headline: SEC Stops California Company With Misleading Registration Statement From Issuing Public Stock
Release No.: 2013-163
Published date grouping: August 2013
Date: Aug. 21, 2013
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: Aug. 20, 2013
Headline: Jane Jarcho Named Head of SEC’s Investment Adviser/Investment Company Examination Program
Release No.: 2013-161
Published date grouping: August 2013
Date: Aug. 20, 2013
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: Aug. 19, 2013
Headline: Philip Falcone and Harbinger Capital Agree to Settlement
Release No.: 2013-159
Published date grouping: August 2013
Date: Aug. 16, 2013
Headline: Regulators Issue Joint Staff Review of Firms’ Business Continuity and Disaster Recovery Planning
Release No.: 2013-158
Published date grouping: August 2013
Date: Aug. 15, 2013
Headline: Michael Piwowar Sworn in as SEC Commissioner
Release No.: 2013-157
Published date grouping: August 2013
Date: Aug. 15, 2013
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: Aug. 14, 2013
Headline: SEC Announces Charges Against Florida-Based Penny Stock Schemes
Release No.: 2013-155
Published date grouping: August 2013
Date: Aug. 14, 2013
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: Aug. 9, 2013
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: Aug. 9, 2013
Headline: Kara Stein Sworn in as SEC Commissioner
Release No.: 2013-152
Published date grouping: August 2013
Date: Aug. 9, 2013
Headline: SEC Issues Risk Alert On Options Trading Used To Evade Short-Sale Requirements
Release No.: 2013-151
Published date grouping: August 2013
Date: Aug. 8, 2013
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: Aug. 6, 2013
Headline: SEC Halts Ex-Marine’s Hedge Fund Fraud Targeting Fellow Military
Release No.: 2013-149
Published date grouping: August 2013
Date: Aug. 6, 2013
Headline: SEC Charges Bank of America With Fraud in RMBS Offering
Release No.: 2013-148
Published date grouping: August 2013
Date: Aug. 6, 2013
Headline: UBS to Pay $50 Million to Settle SEC Charges of Misleading CDO Investors
Release No.: 2013-146
Published date grouping: August 2013
Date: Aug. 5, 2013
Headline: Statement By SEC Commissioner Paredes upon Departure from the Commission
Release No.: 2013-145
Published date grouping: August 2013
Date: Aug. 2, 2013
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: Aug. 1, 2013
Headline: Deputy Chief Economist Kathleen Weiss Hanley to Leave SEC
Release No.: 2013-142
Published date grouping: August 2013
Date: Aug. 1, 2013
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: July 31, 2013
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: July 31, 2013
Headline: SEC Adopts Amendments to Financial Responsibility Rules for Broker-Dealers
Release No.: 2013-140
Published date grouping: July 2013
Date: July 31, 2013
Headline: SEC Sanctions Two Investment Advisers for Best Execution Failures
Release No.: 2013-139
Published date grouping: July 2013
Date: July 30, 2013
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: July 30, 2013
Headline: SEC Charges Tipper of Confidential Information to S.A.C. Capital Portfolio Manager
Release No.: 2013-137
Published date grouping: July 2013
Date: July 29, 2013
Headline: SEC Charges School District and Muni Bond Underwriter in Indiana With Defrauding Investors
Release No.: 2013-136
Published date grouping: July 2013
Date: July 26, 2013
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: July 25, 2013
Headline: SEC Charges Former Portfolio Manager at S.A.C. Capital With Insider Trading
Release No.: 2013-134
Published date grouping: July 2013
Date: July 23, 2013
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: July 23, 2013
Headline: SEC Charges Texas Man With Running Bitcoin-Denominated Ponzi Scheme
Release No.: 2013-132
Published date grouping: July 2013
Date: July 19, 2013
Headline: SEC, European Regulators Establish Supervisory Cooperation Arrangements Related to the Asset Management Industry
Release No.: 2013-131
Published date grouping: July 2013
Date: July 19, 2013
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: July 19, 2013
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: July 17, 2013
Headline: SEC Obtains $13.9 Million Penalty Against Rajat Gupta
Release No.: 2013-128
Published date grouping: July 2013
Date: July 16, 2013
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: July 16, 2013
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: July 12, 2013
Headline: SEC Halts Texas-Based Forex Trading Scheme
Release No.: 2013-125
Published date grouping: July 2013
Date: July 10, 2013
Headline: SEC Approves JOBS Act Requirement to Lift General Solicitation Ban
Release No.: 2013-124
Published date grouping: July 2013
Date: July 3, 2013
Headline: SEC Freezes Assets Of Insider Traders in Onyx Pharmaceuticals
Release No.: 2013-123
Published date grouping: July 2013
Date: July 3, 2013
Headline: SEC Obtains Freeze on Proceeds from Unlawful Distribution of Biozoom Securities
Release No.: 2013-122
Published date grouping: July 2013
Date: July 2, 2013
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: July 1, 2013
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: July 1, 2013
Headline: Julie M. Riewe and Marshall S. Sprung Named Co-Chiefs of Asset Management Unit
Release No.: 2013-118
Published date grouping: July 2013
Date: July 1, 2013
Headline: Chicago Regional Office Director Merri Jo Gillette to Leave SEC
Release No.: 2013-119
Published date grouping: June 2013
Date: June 26, 2013
Headline: SEC Charges Medical Imaging Device Company and Its CEO with Fraud
Release No.: 2013-117
Published date grouping: June 2013
Date: June 21, 2013
Headline: Elaine C. Greenberg to Leave SEC After More Than 25 Years
Release No.: 2013-116
Published date grouping: June 2013
Date: June 20, 2013
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: June 18, 2013
Headline: SEC Charges San Diego-Based Promoter in Penny Stock Scheme
Release No.: 2013-114
Published date grouping: June 2013
Date: June 17, 2013
Headline: SEC Charges Two Executives in Ponzi Scheme At Dallas-Based Medical Insurance Company
Release No.: 2013-113
Published date grouping: June 2013
Date: June 14, 2013
Headline: Amelia Cottrell Named Associate Regional Director for Enforcement in New York Office
Release No.: 2013-112
Published date grouping: June 2013
Date: June 13, 2013
Headline: SEC Charges Revlon with Misleading Shareholders in Going Private Transaction
Release No.: 2013-110
Published date grouping: June 2013
Date: June 13, 2013
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: June 12, 2013
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: June 12, 2013
Headline: SEC, FINRA Warn Investors About Pump-And-Dump Stock Spam
Release No.: 2013-108
Published date grouping: June 2013
Date: June 11, 2013
Headline: SEC Charges CBOE for Regulatory Failures
Release No.: 2013-107
Published date grouping: June 2013
Date: June 10, 2013
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: June 7, 2013
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: June 6, 2013
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: June 6, 2013
Headline: SEC Renames Division Focusing On Economic and Risk Analysis
Release No.: 2013-104
Published date grouping: June 2013
Date: June 6, 2013
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: June 5, 2013
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: June 5, 2013
Headline: SEC Proposes Money Market Fund Reforms
Release No.: 2013-101
Published date grouping: June 2013
Date: June 3, 2013
Headline: Robert E. Rice Named as Chief Counsel to SEC Chair
Release No.: 2013-98
Published date grouping: June 2013
Date: June 3, 2013
Headline: SEC Charges Fortune 200 Company for Accounting Deficiencies
Release No.: 2013-99
Published date grouping: June 2013
Date: June 3, 2013
Headline: SEC Suspends Trading of 61 Companies Ripe for Fraud in Over-The-Counter Market
Release No.: 2013-97
Published date grouping: May 2013
Date: May 30, 2013
Headline: Florida-Based Stock Promoter Charged with Lying to SEC Investigators
Release No.: 2013-96
Published date grouping: May 2013
Date: May 29, 2013
Headline: SEC Charges NASDAQ for Failures During Facebook IPO
Release No.: 2013-95
Published date grouping: May 2013
Date: May 29, 2013
Headline: SEC Charges Total S.A. for Illegal Payments to Iranian Official
Release No.: 2013-94
Published date grouping: May 2013
Date: May 24, 2013
Headline: SEC Charges Dallas-Based Trader With Front Running
Release No.: 2013-93
Published date grouping: May 2013
Date: May 23, 2013
Headline: SEC Charges Institutional Shareholder Services in Breach of Clients' Confidential Proxy Voting Information
Release No.: 2013-92
Published date grouping: May 2013
Date: May 22, 2013
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: May 16, 2013
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: May 15, 2013
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: May 15, 2013
Headline: SEC Names Lona Nallengara as Chief of Staff
Release No.: 2013-88
Published date grouping: May 2013
Date: May 15, 2013
Headline: SEC Names Keith F. Higgins as Director of Division of Corporation Finance
Release No.: 2013-89
Published date grouping: May 2013
Date: May 9, 2013
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: May 9, 2013
Headline: SEC, FINRA Issue Investor Alert On Pension or Settlement Income Streams
Release No.: 2013-86
Published date grouping: May 2013
Date: May 7, 2013
Headline: SEC Charges Traders in Massive Kickback Scheme Involving Venezuelan Official
Release No.: 2013-84
Published date grouping: May 2013
Date: May 7, 2013
Headline: SEC Announces Panelists for Credit Ratings Roundtable
Release No.: 2013-83
Published date grouping: May 2013
Date: May 6, 2013
Headline: SEC Charges City of Harrisburg for Fraudulent Public Statements
Release No.: 2013-82
Published date grouping: May 2013
Date: May 2, 2013
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: May 2, 2013
Headline: National Exam Program Director Carlo V. Di Florio to Leave SEC
Release No.: 2013-80
Published date grouping: May 2013
Date: May 2, 2013
Headline: SEC Names Andrew Bowden as Director of National Exam Program
Release No.: 2013-81
Published date grouping: May 2013
Date: May 2, 2013
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: May 1, 2013
Headline: SEC Proposes Rules for Cross-Border Security-Based Swap Activities
Release No.: 2013-77
Published date grouping: April 2013
Date: April 29, 2013
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: April 29, 2013
Headline: SEC Charges City of Victorville, Underwriter, and Others with Defrauding Municipal Bond Investors
Release No.: 2013-75
Published date grouping: April 2013
Date: April 25, 2013
Headline: Fee Rate Advisory #3 for Fiscal Year 2013
Release No.: 2013-74
Published date grouping: April 2013
Date: April 25, 2013
Headline: SEC Seeks to Halt Scheme Raising Investor Funds Under Guise of JOBS Act
Release No.: 2013-73
Published date grouping: April 2013
Date: April 24, 2013
Headline: SEC Charges Capital One with Understating Auto Loan Losses
Release No.: 2013-72
Published date grouping: April 2013
Date: April 23, 2013
Headline: SEC Announces Agenda for Credit Ratings Roundtable
Release No.: 2013-71
Published date grouping: April 2013
Date: April 23, 2013
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: April 23, 2013
Headline: SEC Names Anne K. Small as General Counsel
Release No.: 2013-69
Published date grouping: April 2013
Date: April 22, 2013
Headline: George Canellos and Andrew Ceresney Named Co-Directors of Enforcement
Release No.: 2013-67
Published date grouping: April 2013
Date: April 22, 2013
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: April 22, 2013
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: April 22, 2013
Headline: SEC Announces Non-Prosecution Agreement With Ralph Lauren Corporation Involving FCPA Misconduct
Release No.: 2013-65
Published date grouping: April 2013
Date: April 18, 2013
Headline: SEC Charges Chicago-Based Investment Adviser with Defrauding CalPERS and Other Clients
Release No.: 2013-64
Published date grouping: April 2013
Date: April 16, 2013
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: April 16, 2013
Headline: SEC Charges Canada-Based Investment Banker with Insider Trading
Release No.: 2013-62
Published date grouping: April 2013
Date: April 15, 2013
Headline: SEC Charges Denver-Based Businessman with Insider Trading
Release No.: 2013-61
Published date grouping: April 2013
Date: April 15, 2013
Headline: SEC Charges Former Rochdale Securities Broker for Rogue Trades That Brought Down Firm
Release No.: 2013-60
Published date grouping: April 2013
Date: April 11, 2013
Headline: SEC Charges Former KPMG Partner and Friend with Insider Trading
Release No.: 2013-58
Published date grouping: April 2013
Date: April 11, 2013
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: April 10, 2013
Headline: SEC Adopts Rules to Help Protect Investors from Identity Theft
Release No.: 2013-57
Published date grouping: April 2013
Date: April 10, 2013
Headline: Mary Jo White Sworn in as Chair of SEC
Release No.: 2013-56
Published date grouping: April 2013
Date: April 9, 2013
Headline: SEC Announces Panelists for Roundtable on Fixed Income Markets
Release No.: 2013-55
Published date grouping: April 2013
Date: April 8, 2013
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: April 3, 2013
Headline: Marc Fagel, Director of San Francisco Office, to Leave SEC
Release No.: 2013-53
Published date grouping: April 2013
Date: April 3, 2013
Headline: SEC Streamlines Rule Filing Requirements for Dually Registered Clearing Agencies
Release No.: 2013-52
Published date grouping: April 2013
Date: April 2, 2013
Headline: SEC Says Social Media OK for Company Announcements if Investors Are Alerted
Release No.: 2013-51
Published date grouping: March 2013
Date: March 29, 2013
Headline: SEC Charges Sigma Capital Portfolio Manager with Insider Trading
Release No.: 2013-49
Published date grouping: March 2013
Date: March 29, 2013
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: March 28, 2013
Headline: SEC Announces Agenda for Fixed Income Roundtable
Release No.: 2013-48
Published date grouping: March 2013
Date: March 26, 2013
Headline: SEC Charges California-Based Hedge Fund Analyst and Two Others with Insider Trading
Release No.: 2013-47
Published date grouping: March 2013
Date: March 22, 2013
Headline: SEC Charges Hedge Fund Manager and Brokerage CEO with Fraud
Release No.: 2013-46
Published date grouping: March 2013
Date: March 21, 2013
Headline: SEC Charges Rengan Rajaratnam with Insider Trading
Release No.: 2013-45
Published date grouping: March 2013
Date: March 19, 2013
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: March 18, 2013
Headline: SEC Obtains Asset Freeze Against Massachusetts-Based Investment Adviser Stealing Money from Clients
Release No.: 2013-43
Published date grouping: March 2013
Date: March 15, 2013
Headline: SEC Charges San Diego Lawyers and Others in an International Market Manipulation Scheme
Release No.: 2013-39
Published date grouping: March 2013
Date: March 15, 2013
Headline: SEC Issues Guidance Update on Social Media Filings by Investment Companies
Release No.: 2013-40
Published date grouping: March 2013
Date: March 15, 2013
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: March 15, 2013
Headline: SEC Charges Hedge Fund Firm Sigma Capital with Insider Trading
Release No.: 2013-42
Published date grouping: March 2013
Date: March 11, 2013
Headline: SEC Charges Illinois for Misleading Pension Disclosures
Release No.: 2013-37
Published date grouping: March 2013
Date: March 11, 2013
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: March 11, 2013
Headline: SEC Charges Private Equity Firm, Former Executive, and Consultant for Improperly Soliciting Investments
Release No.: 2013-36
Published date grouping: March 2013
Date: March 7, 2013
Headline: SEC Charges California-Based Lawyer with Issuing Fraudulent Legal Opinion Letters
Release No.: 2013-34
Published date grouping: March 2013
Date: March 7, 2013
Headline: SEC Proposes Rules to Improve Systems Compliance and Integrity
Release No.: 2013-35
Published date grouping: March 2013
Date: March 4, 2013
Headline: SEC Issues Risk Alert and Investor Bulletin on Investment Adviser Custody Rule
Release No.: 2013-33
Published date grouping: March 2013
Date: March 1, 2013
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: March 2013
Date: March 1, 2013
Headline: Steven Harris and Jay Hanson Reappointed to PCAOB
Release No.: 2013-31
Published date grouping: February 2013
Date: Feb. 28, 2013
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: Feb. 27, 2013
Headline: SEC to Hold Fixed Income Roundtable
Release No.: 2013-29
Published date grouping: February 2013
Date: Feb. 26, 2013
Headline: SEC Charges Connecticut-Based Hedge Fund Managers with Fraud
Release No.: 2013-28
Published date grouping: February 2013
Date: Feb. 26, 2013
Headline: SEC to Host Credit Ratings Roundtable
Release No.: 2013-27
Published date grouping: February 2013
Date: Feb. 21, 2013
Headline: SEC Charges Virgin Islands-Based Investment Adviser with Defrauding Clients
Release No.: 2013-25
Published date grouping: February 2013
Date: Feb. 21, 2013
Headline: SEC Announces 2013 Examination Priorities
Release No.: 2013-26
Published date grouping: February 2013
Date: Feb. 15, 2013
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: Feb. 15, 2013
Headline: Director of International Affairs Ethiopis Tafara to Leave SEC
Release No.: 2013-22
Published date grouping: February 2013
Date: Feb. 15, 2013
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: Feb. 13, 2013
Headline: SEC Approves 2013 PCAOB Budget and Accounting Support Fee
Release No.: 2013-21
Published date grouping: February 2013
Date: Feb. 8, 2013
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: Feb. 4, 2013
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: Jan. 31, 2013
Headline: David P. Bergers Named Acting Deputy Director of Enforcement
Release No.: 2013-18
Published date grouping: January 2013
Date: Jan. 31, 2013
Headline: George S. Canellos Named Acting Director of Enforcement
Release No.: 2013-17
Published date grouping: January 2013
Date: Jan. 31, 2013
Headline: SEC Announces Panelists for Roundtable on Decimalization
Release No.: 2013-16
Published date grouping: January 2013
Date: Jan. 30, 2013
Headline: SEC Charges Real Estate Executives in Florida-Based $300 Million Investment Scheme
Release No.: 2013-15
Published date grouping: January 2013
Date: Jan. 29, 2013
Headline: SEC Names Carl W. Hoecker as Inspector General
Release No.: 2013-14
Published date grouping: January 2013
Date: Jan. 29, 2013
Headline: SEC Charges Trader in Houston-Area Investment Scheme Targeting Lebanese and Druze Communities
Release No.: 2013-13
Published date grouping: January 2013
Date: Jan. 28, 2013
Headline: SEC Charges Former Jefferies Executive with Defrauding Investors in Mortgage-Backed Securities
Release No.: 2013-12
Published date grouping: January 2013
Date: Jan. 28, 2013
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: Jan. 25, 2013
Headline: SEC Charges Florida-Based Financial Adviser with Illegally Tipping Inside Information
Release No.: 2013-10
Published date grouping: January 2013
Date: Jan. 23, 2013
Headline: SEC to Hold National Compliance Event for Broker-Dealers
Release No.: 2013-9
Published date grouping: January 2013
Date: Jan. 22, 2013
Headline: Vincente Martinez Named Chief of SEC's Office of Market Intelligence
Release No.: 2013-8
Published date grouping: January 2013
Date: Jan. 22, 2013
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: Jan. 15, 2013
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: Jan. 15, 2013
Headline: David Grim Named Deputy Director of SEC's Division of Investment Management
Release No.: 2013-5
Published date grouping: January 2013
Date: Jan. 9, 2013
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: Jan. 9, 2013
Headline: Enforcement Director Robert Khuzami to Leave SEC
Release No.: 2013-3
Published date grouping: January 2013
Date: Jan. 9, 2013
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: Jan. 7, 2013
Headline: SEC Names Geoffrey Aronow as General Counsel
Release No.: 2013-1
Published date grouping: December 2012
Date: Dec. 26, 2012
Headline: SEC Issues Investor Bulletin to Help Investors Assess Municipal Bond Credit Risk
Release No.: 2012-279
Published date grouping: December 2012
Date: Dec. 26, 2012
Headline: SEC Charges Research Analyst with Trading and Tipping Ahead of IBM-SPSS Merger
Release No.: 2012-280
Published date grouping: December 2012
Date: Dec. 21, 2012
Headline: SEC Approves New Rules Regarding Lost Holders of Securities
Release No.: 2012-277
Published date grouping: December 2012
Date: Dec. 21, 2012
Headline: SEC Announces Agenda for Roundtable on Decimalization
Release No.: 2012-274
Published date grouping: December 2012
Date: Dec. 21, 2012
Headline: Paul Beswick Named SEC Chief Accountant
Release No.: 2012-275
Published date grouping: December 2012
Date: Dec. 21, 2012
Headline: SEC Charges Four Penny Stock Purchasers with Fraud
Release No.: 2012-278
Published date grouping: December 2012
Date: Dec. 21, 2012
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: Dec. 20, 2012
Headline: SEC Charges Eli Lilly and Company with FCPA Violations
Release No.: 2012-273
Published date grouping: December 2012
Date: Dec. 19, 2012
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: Dec. 18, 2012
Headline: SEC Charges Financial Media Company and Executives Involved in Accounting Fraud
Release No.: 2012-270
Published date grouping: December 2012
Date: Dec. 18, 2012
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: Dec. 17, 2012
Headline: Lona Nallengara Named Acting Director of SEC's Division of Corporation Finance
Release No.: 2012-269
Published date grouping: December 2012
Date: Dec. 17, 2012
Headline: SEC Charges Connecticut-Based Adviser for "Skin in the Game" Misstatements About CDOs
Release No.: 2012-267
Published date grouping: December 2012
Date: Dec. 17, 2012
Headline: SEC Charges Germany-Based Allianz SE with FCPA Violations
Release No.: 2012-266
Published date grouping: December 2012
Date: Dec. 17, 2012
Headline: John Ramsay Named Acting Director of SEC's Division of Trading and Markets
Release No.: 2012-268
Published date grouping: December 2012
Date: Dec. 13, 2012
Headline: Danforth Townley Named Attorney Fellow in SEC's Division of Investment Management
Release No.: 2012-265
Published date grouping: December 2012
Date: Dec. 12, 2012
Headline: SEC Chief of Staff Didem A. Nisanci to Leave Agency
Release No.: 2012-263
Published date grouping: December 2012
Date: Dec. 12, 2012
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: Dec. 11, 2012
Headline: Jennifer McHugh Named Senior Advisor in SEC's Division of Investment Management
Release No.: 2012-260
Published date grouping: December 2012
Date: Dec. 11, 2012
Headline: SEC Charges New York-Based Fund Manager with Conducting Fraudulent Trading Schemes
Release No.: 2012-261
Published date grouping: December 2012
Date: Dec. 10, 2012
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: Dec. 10, 2012
Headline: SEC Charges Eight Mutual Fund Directors for Failure to Properly Oversee Asset Valuation
Release No.: 2012-259
Published date grouping: December 2012
Date: Dec. 7, 2012
Headline: SEC Charges Florida-Based Lawyer with Forging Attorney Opinion Letters for Microcap Stocks
Release No.: 2012-257
Published date grouping: December 2012
Date: Dec. 7, 2012
Headline: SEC Charges Prominent Entrepreneur in Miami-Based Scheme
Release No.: 2012-258
Published date grouping: December 2012
Date: Dec. 6, 2012
Headline: SEC Completes 18th Annual International Enforcement Institute
Release No.: 2012-256
Published date grouping: December 2012
Date: Dec. 5, 2012
Headline: General Counsel Mark Cahn to Leave SEC
Release No.: 2012-254
Published date grouping: December 2012
Date: Dec. 5, 2012
Headline: Trading and Markets Director Robert Cook to Leave SEC
Release No.: 2012-253
Published date grouping: December 2012
Date: Dec. 5, 2012
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: Dec. 4, 2012
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: Dec. 4, 2012
Headline: Division of Corporation Finance Director Meredith Cross to Leave SEC
Release No.: 2012-252
Published date grouping: December 2012
Date: Dec. 3, 2012
Headline: SEC Staff to Host Decimalization Roundtable
Release No.: 2012-250
Published date grouping: December 2012
Date: Dec. 3, 2012
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: November 2012
Date: Nov. 30, 2012
Headline: SEC Charges Connecticut-Based Business Executive with Insider Trading During Bidding Process
Release No.: 2012-247
Published date grouping: November 2012
Date: Nov. 30, 2012
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: Nov. 29, 2012
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: Nov. 29, 2012
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: Nov. 29, 2012
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: Nov. 28, 2012
Headline: SEC Charges New York-Based Fund Executives for Overvaluing Assets During Financial Crisis
Release No.: 2012-242
Published date grouping: November 2012
Date: Nov. 28, 2012
Headline: SEC Charges Oil Company CEO as Source in Insider Trading Case
Release No.: 2012-243
Published date grouping: November 2012
Date: Nov. 27, 2012
Headline: SEC Charges Four India-Based Brokerage Firms with Violating U.S. Registration Requirements
Release No.: 2012-241
Published date grouping: November 2012
Date: Nov. 26, 2012
Headline: SEC Chairman Mary Schapiro to Step Down Next Month
Release No.: 2012-240
Published date grouping: November 2012
Date: Nov. 20, 2012
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: Nov. 20, 2012
Headline: SEC Sanctions Two Investment Advisers for Impeding Examinations
Release No.: 2012-238
Published date grouping: November 2012
Date: Nov. 20, 2012
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: Nov. 19, 2012
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: Nov. 19, 2012
Headline: SEC Halts Prime Bank Scheme in Georgia
Release No.: 2012-236
Published date grouping: November 2012
Date: Nov. 19, 2012
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: Nov. 16, 2012
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: Nov. 15, 2012
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: Nov. 15, 2012
Headline: Fee Rate Advisory #2 for Fiscal Year 2013
Release No.: 2012-232
Published date grouping: November 2012
Date: Nov. 15, 2012
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: Nov. 15, 2012
Headline: SEC Issues Staff Summary Report of Examinations of Nationally Recognized Statistical Rating Organizations
Release No.: 2012-228
Published date grouping: November 2012
Date: Nov. 15, 2012
Headline: SEC Receives More Than 3,000 Whistleblower Tips in FY2012
Release No.: 2012-229
Published date grouping: November 2012
Date: Nov. 14, 2012
Headline: SEC Approves Further Regulatory Relief and Assistance for Hurricane Sandy Victims
Release No.: 2012-226
Published date grouping: November 2012
Date: Nov. 14, 2012
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: Nov. 14, 2012
Headline: SEC and Justice Department Release FCPA Guide
Release No.: 2012-225
Published date grouping: November 2012
Date: Nov. 9, 2012
Headline: SEC Charges Miami-Based Adviser with Hiding Trading Losses and Diverting Client Funds
Release No.: 2012-224
Published date grouping: November 2012
Date: Nov. 8, 2012
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: Nov. 8, 2012
Headline: SEC Charges Executives and Auditor of Electronic Game Card Company with Fraud
Release No.: 2012-223
Published date grouping: November 2012
Date: Nov. 7, 2012
Headline: SEC Announces Agenda and Panelists for Small Business Forum
Release No.: 2012-221
Published date grouping: November 2012
Date: Nov. 5, 2012
Headline: SEC Announces Assistance to Filers Affected by Hurricane Sandy
Release No.: 2012-220
Published date grouping: October 2012
Date: Oct. 31, 2012
Headline: Chairman Schapiro Statement on Reopening of Securities Markets
Release No.: 2012-219
Published date grouping: October 2012
Date: Oct. 29, 2012
Headline: Stop Order Proceedings Instituted Against Caribbean Pacific Marketing
Release No.: 2012-218
Published date grouping: October 2012
Date: Oct. 26, 2012
Headline: SEC Charges Silicon Valley Executive for Role in Galleon Insider Trading Scheme
Release No.: 2012-216
Published date grouping: October 2012
Date: Oct. 26, 2012
Headline: SEC Charges Denver-Based Insurance Executive with Insider Trading
Release No.: 2012-217
Published date grouping: October 2012
Date: Oct. 22, 2012
Headline: SEC Adopts Standards for Risk Management and Operations of Clearing Agencies
Release No.: 2012-215
Published date grouping: October 2012
Date: Oct. 19, 2012
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: Oct. 18, 2012
Headline: Hong Kong Firm to Pay $14 Million to Settle Insider Trading Charges
Release No.: 2012-212
Published date grouping: October 2012
Date: Oct. 18, 2012
Headline: SEC Charges Trio in ".44 MAGNUM" Investment Scheme
Release No.: 2012-213
Published date grouping: October 2012
Date: Oct. 17, 2012
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: Oct. 17, 2012
Headline: Andrew Calamari Named Director of New York Regional Office
Release No.: 2012-211
Published date grouping: October 2012
Date: Oct. 17, 2012
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: Oct. 11, 2012
Headline: Pamela Dyson Named SEC's Deputy Chief Information Officer
Release No.: 2012-208
Published date grouping: October 2012
Date: Oct. 5, 2012
Headline: SEC Charges Four Brokers With Defrauding Customers in $18.7 Million Scheme
Release No.: 2012-207
Published date grouping: October 2012
Date: Oct. 3, 2012
Headline: SEC Charges Hedge Fund Managers with Defrauding Investors
Release No.: 2012-206
Published date grouping: October 2012
Date: Oct. 3, 2012
Headline: SEC Charges Boston-Based Dark Pool Operator for Failing to Protect Confidential Information
Release No.: 2012-204
Published date grouping: October 2012
Date: Oct. 3, 2012
Headline: SEC Charges Repeat Violator in South Florida with Fraudulently Offering Investments Tied to Oil Drilling Projects
Release No.: 2012-205
Published date grouping: September 2012
Date: Sept. 28, 2012
Headline: SEC Announces Panelists for Market Technology Roundtable on October 2
Release No.: 2012-202
Published date grouping: September 2012
Date: Sept. 28, 2012
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: Sept. 27, 2012
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: Sept. 27, 2012
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: Sept. 27, 2012
Headline: SEC Issues Report on Brokerage Firms' Handling of Confidential Information
Release No.: 2012-200
Published date grouping: September 2012
Date: Sept. 25, 2012
Headline: SEC Charges Bank Executives in Nebraska With Understating Losses During Financial Crisis
Release No.: 2012-198
Published date grouping: September 2012
Date: Sept. 25, 2012
Headline: SEC Charges N.Y.-Based Brokerage Firm with Layering
Release No.: 2012-197
Published date grouping: September 2012
Date: Sept. 24, 2012
Headline: SEC Charges Tyco for Illicit Payments to Foreign Officials
Release No.: 2012-196
Published date grouping: September 2012
Date: Sept. 20, 2012
Headline: SEC to Hold Annual Government-Business Forum on Small Business Capital Formation
Release No.: 2012-194
Published date grouping: September 2012
Date: Sept. 20, 2012
Headline: SEC Freezes Assets of Insider Trader in Burger King Stock
Release No.: 2012-195
Published date grouping: September 2012
Date: Sept. 20, 2012
Headline: SEC Charges Three in North Carolina With Insider Trading
Release No.: 2012-193
Published date grouping: September 2012
Date: Sept. 19, 2012
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: Sept. 18, 2012
Headline: SEC Charges Chicago-Based Investment Firm with Misleading Investors in Private Equity Offerings
Release No.: 2012-191
Published date grouping: September 2012
Date: Sept. 17, 2012
Headline: SEC Charges Former Systemax Director in Compensation Scheme
Release No.: 2012-190
Published date grouping: September 2012
Date: Sept. 14, 2012
Headline: SEC Charges New York Stock Exchange for Improper Distribution of Market Data
Release No.: 2012-189
Published date grouping: September 2012
Date: Sept. 13, 2012
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: Sept. 12, 2012
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: Sept. 10, 2012
Headline: SEC Charges Atlanta-Based Firm for Compliance Failures as Brokers Churned Customer Accounts
Release No.: 2012-186
Published date grouping: September 2012
Date: Sept. 7, 2012
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: Sept. 7, 2012
Headline: SEC Shuts Down San Diego-Based Real Estate Investment Fraud
Release No.: 2012-183
Published date grouping: September 2012
Date: Sept. 7, 2012
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: Sept. 6, 2012
Headline: SEC Charges Oregon-Based Investment Adviser for Failing to Disclose Revenue Sharing Payments
Release No.: 2012-180
Published date grouping: September 2012
Date: Sept. 6, 2012
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: Sept. 6, 2012
Headline: SEC Reschedules Date of Market Technology Roundtable
Release No.: 2012-182
Published date grouping: September 2012
Date: Sept. 5, 2012
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: Sept. 5, 2012
Headline: SEC Charges Public Relations Executive With Insider Trading in Client's Stock
Release No.: 2012-179
Published date grouping: September 2012
Date: Sept. 5, 2012
Headline: SEC Charges Radio Personality for Conducting Misleading Investment Seminars
Release No.: 2012-177
Published date grouping: September 2012
Date: Sept. 4, 2012
Headline: SEC Charges California Man for Illegal Tips to Hedge Fund Manager
Release No.: 2012-176
Published date grouping: September 2012
Date: Sept. 4, 2012
Headline: SEC Charges China-Based Company and Top Executive with Inflating Financial Results through Phony Sales
Release No.: 2012-175
Published date grouping: August 2012
Date: Aug. 31, 2012
Headline: SEC Issues Risk Alert on "Pay-To-Play" Prohibitions Under MSRB Rules
Release No.: 2012-173
Published date grouping: August 2012
Date: Aug. 31, 2012
Headline: Fee Rate Advisory #1 for Fiscal Year 2013
Release No.: 2012-174
Published date grouping: August 2012
Date: Aug. 30, 2012
Headline: SEC Issues Financial Literacy Study Mandated by the Dodd-Frank Act
Release No.: 2012-172
Published date grouping: August 2012
Date: Aug. 29, 2012
Headline: SEC Charges Florida Brokers for Defrauding Brazilian Public Pension Funds in Markup Scheme
Release No.: 2012-168
Published date grouping: August 2012
Date: Aug. 29, 2012
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: Aug. 29, 2012
Headline: SEC Announces Advisory Committee Meeting in San Francisco to Discuss Small Business Issues
Release No.: 2012-169
Published date grouping: August 2012
Date: Aug. 29, 2012
Headline: SEC Announces Agenda For Market Technology Roundtable
Release No.: 2012-171
Published date grouping: August 2012
Date: Aug. 28, 2012
Headline: SEC Charges Eight in Georgia-Based Insider Trading Ring
Release No.: 2012-167
Published date grouping: August 2012
Date: Aug. 22, 2012
Headline: SEC Charges New York-Based Firm and Owner in Penny Stock Scheme
Release No.: 2012-165
Published date grouping: August 2012
Date: Aug. 22, 2012
Headline: SEC Adopts Rule for Disclosing Use of Conflict Minerals
Release No.: 2012-163
Published date grouping: August 2012
Date: Aug. 22, 2012
Headline: Statement of SEC Chairman Mary L. Schapiro on Money Market Fund Reform
Release No.: 2012-166
Published date grouping: August 2012
Date: Aug. 22, 2012
Headline: SEC Adopts Rules Requiring Payment Disclosures by Resource Extraction Issuers
Release No.: 2012-164
Published date grouping: August 2012
Date: Aug. 21, 2012
Headline: SEC Issues First Whistleblower Program Award
Release No.: 2012-162
Published date grouping: August 2012
Date: Aug. 21, 2012
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: Aug. 17, 2012
Headline: SEC Shuts Down $600 Million Online Pyramid and Ponzi Scheme
Release No.: 2012-160
Published date grouping: August 2012
Date: Aug. 17, 2012
Headline: New Charges in Insider Trading Case Include Former CEO and Professional Baseball Player
Release No.: 2012-159
Published date grouping: August 2012
Date: Aug. 16, 2012
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: Aug. 16, 2012
Headline: SEC Charges College Football Hall of Fame Coach in $80 Million Ponzi Scheme
Release No.: 2012-157
Published date grouping: August 2012
Date: Aug. 15, 2012
Headline: SEC Halts Denver-Based Ponzi Scheme
Release No.: 2012-156
Published date grouping: August 2012
Date: Aug. 14, 2012
Headline: SEC Charges Wells Fargo for Selling Complex Investments Without Disclosing Risks
Release No.: 2012-155
Published date grouping: August 2012
Date: Aug. 10, 2012
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: Aug. 8, 2012
Headline: SEC to Host Market Technology Roundtable
Release No.: 2012-153
Published date grouping: August 2012
Date: Aug. 7, 2012
Headline: SEC Charges Pfizer with FCPA Violations
Release No.: 2012-152
Published date grouping: August 2012
Date: Aug. 3, 2012
Headline: Chairman Schapiro Statement on Knight Capital Group Trading Issue
Release No.: 2012-151
Published date grouping: August 2012
Date: Aug. 2, 2012
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: Aug. 2, 2012
Headline: SEC Names John Cross Director of Municipal Securities Office
Release No.: 2012-149
Published date grouping: August 2012
Date: Aug. 2, 2012
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: July 31, 2012
Headline: SEC Recommends Improvements to Help Investors in Municipal Securities Market
Release No.: 2012-147
Published date grouping: July 2012
Date: July 30, 2012
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: July 27, 2012
Headline: SEC Freezes Assets of Insider Traders in Nexen Acquisition
Release No.: 2012-145
Published date grouping: July 2012
Date: July 25, 2012
Headline: SEC Charges Close Friend of Staffing Company CEO with Insider Trading Around Acquisition
Release No.: 2012-143
Published date grouping: July 2012
Date: July 25, 2012
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: July 19, 2012
Headline: SEC Charges Chicago-Based Consulting Firm and Executives With Accounting Violations
Release No.: 2012-142
Published date grouping: July 2012
Date: July 19, 2012
Headline: SEC Veteran Michele Wein Layne Named Director of Los Angeles Office
Release No.: 2012-140
Published date grouping: July 2012
Date: July 19, 2012
Headline: SEC Charges CEO With Insider Trading in Secondary Offering of Company Stock
Release No.: 2012-141
Published date grouping: July 2012
Date: July 18, 2012
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: July 18, 2012
Headline: SEC Announces Deferred Prosecution Agreement with Amish Fund
Release No.: 2012-138
Published date grouping: July 2012
Date: July 17, 2012
Headline: Short Selling Brothers Agree to Pay $14.5 Million to Settle SEC Charges
Release No.: 2012-137
Published date grouping: July 2012
Date: July 16, 2012
Headline: Paul A. Beswick Named Acting Chief Accountant
Release No.: 2012-136
Published date grouping: July 2012
Date: July 13, 2012
Headline: SEC Staff Publishes Final Report on Work Plan for Global Accounting Standards
Release No.: 2012-135
Published date grouping: July 2012
Date: July 11, 2012
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: July 10, 2012
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: July 10, 2012
Headline: SEC Charges Orthofix International With FCPA Violations
Release No.: 2012-133
Published date grouping: July 2012
Date: July 9, 2012
Headline: SEC Approves Rules and Interpretations on Key Terms for Regulating Derivatives
Release No.: 2012-130
Published date grouping: July 2012
Date: July 9, 2012
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: July 5, 2012
Headline: SEC Names Norm Champ as Director of Division of Investment Management
Release No.: 2012-129
Published date grouping: July 2012
Date: July 3, 2012
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: July 2, 2012
Headline: SEC Freezes Assets of Missing Georgia-Based Investment Adviser
Release No.: 2012-127
Published date grouping: June 2012
Date: June 29, 2012
Headline: SEC Charges Peter Madoff With Fraud and False Statements to Regulators
Release No.: 2012-126
Published date grouping: June 2012
Date: June 28, 2012
Headline: SEC Shuts Down $42 Million Ponzi-Like Scheme
Release No.: 2012-125
Published date grouping: June 2012
Date: June 28, 2012
Headline: SEC Adopts New Procedures for Reviewing Clearing Submissions Under Dodd-Frank Act
Release No.: 2012-124
Published date grouping: June 2012
Date: June 27, 2012
Headline: SEC Charges Long Island Software Company in Connection With Bribery Scheme
Release No.: 2012-123
Published date grouping: June 2012
Date: June 27, 2012
Headline: Philip A. Falcone and Harbinger Charged with Securities Fraud
Release No.: 2012-122
Published date grouping: June 2012
Date: June 26, 2012
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: June 26, 2012
Headline: SEC Charges Founder of Equity Research Firm with Insider Trading
Release No.: 2012-121
Published date grouping: June 2012
Date: June 25, 2012
Headline: SEC Halts $100 Million Real-Estate Based Ponzi Scheme
Release No.: 2012-119
Published date grouping: June 2012
Date: June 21, 2012
Headline: SEC Charges Florida Broker in Astrology-Based Ponzi Scheme
Release No.: 2012-118
Published date grouping: June 2012
Date: June 21, 2012
Headline: SEC Charges Two New Jersey-Based Firms and Owner in Stock-Lending Scheme
Release No.: 2012-117
Published date grouping: June 2012
Date: June 20, 2012
Headline: SEC Adopts Rule Requiring Listing Standards for Compensation Committees and Compensation Advisers
Release No.: 2012-115
Published date grouping: June 2012
Date: June 20, 2012
Headline: SEC Chief Accountant James Kroeker to Leave the Commission
Release No.: 2012-116
Published date grouping: June 2012
Date: June 15, 2012
Headline: SEC Names Thomas Butler as Director of New Office of Credit Ratings
Release No.: 2012-113
Published date grouping: June 2012
Date: June 15, 2012
Headline: Director of Division of Investment Management Eileen Rominger to Retire
Release No.: 2012-114
Published date grouping: June 2012
Date: June 12, 2012
Headline: SEC Charges 14 Sales Agents In $415 Million Long Island-Based Ponzi Scheme
Release No.: 2012-112
Published date grouping: June 2012
Date: June 11, 2012
Headline: SEC Issues "Roadmap" on Phase in of Derivatives Regulation
Release No.: 2012-111
Published date grouping: June 2012
Date: June 6, 2012
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: June 4, 2012
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: June 4, 2012
Headline: SEC Advisory Committee on Small and Emerging Companies to Meet on June 8
Release No.: 2012-109
Published date grouping: June 2012
Date: June 1, 2012
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: May 30, 2012
Headline: Jon Rymer Named Interim Inspector General
Release No.: 2012-106
Published date grouping: May 2012
Date: May 30, 2012
Headline: SEC Charges Phoenix-Based Investment Adviser and Firm With Fraud
Release No.: 2012-105
Published date grouping: May 2012
Date: May 29, 2012
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: May 25, 2012
Headline: SEC Halts Fraudulent Investment Scheme by New York-Based Fund Manager
Release No.: 2012-103
Published date grouping: May 2012
Date: May 24, 2012
Headline: SEC Charges Northern California Fund Manager in $60 Million Scheme
Release No.: 2012-101
Published date grouping: May 2012
Date: May 24, 2012
Headline: SEC Bars Former Staffer From Practice Before the Commission
Release No.: 2012-102
Published date grouping: May 2012
Date: May 22, 2012
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: May 21, 2012
Headline: SEC Charges Former Yahoo Executive and Former Ameriprise Manager with Insider Trading
Release No.: 2012-99
Published date grouping: May 2012
Date: May 18, 2012
Headline: James McNamara Named Managing Executive of SEC's Division of Trading And Markets
Release No.: 2012-98
Published date grouping: May 2012
Date: May 17, 2012
Headline: Erica Williams Named SEC's Deputy Chief of Staff
Release No.: 2012-97
Published date grouping: May 2012
Date: May 17, 2012
Headline: SEC Charges New Jersey Man in Real Estate Investment Scam
Release No.: 2012-94
Published date grouping: May 2012
Date: May 17, 2012
Headline: James Burns Named Deputy Director in SEC's Division of Trading and Markets
Release No.: 2012-96
Published date grouping: May 2012
Date: May 17, 2012
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: May 16, 2012
Headline: SEC Charges U.S. Perpetrators in $35 Million International Boiler Room Scheme
Release No.: 2012-93
Published date grouping: May 2012
Date: May 14, 2012
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: May 14, 2012
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: May 10, 2012
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: May 9, 2012
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: May 9, 2012
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: May 9, 2012
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: May 8, 2012
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: May 7, 2012
Headline: SEC Charges Montana-Based Paralegal and Her Father in Insider Trading Scheme
Release No.: 2012-84
Published date grouping: May 2012
Date: May 7, 2012
Headline: Joint Statement on Regulation of OTC Derivatives Markets
Release No.: 2012-85
Published date grouping: May 2012
Date: May 3, 2012
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: May 2, 2012
Headline: SEC Charges Florida Stock Scheme Mastermind and 10 Cohorts
Release No.: 2012-82
Published date grouping: May 2012
Date: May 1, 2012
Headline: SEC Charges UBS Puerto Rico and Two Executives with Defrauding Fund Customers
Release No.: 2012-81
Published date grouping: April 2012
Date: April 30, 2012
Headline: George Canellos Named Deputy Director of SEC Enforcement Division
Release No.: 2012-79
Published date grouping: April 2012
Date: April 30, 2012
Headline: SEC Charges Mother, Daughter, and Their Attorney in Illegal Penny Stock Scheme
Release No.: 2012-80
Published date grouping: April 2012
Date: April 25, 2012
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: April 25, 2012
Headline: SEC Charges Former Morgan Stanley Executive with FCPA Violations and Investment Adviser Fraud
Release No.: 2012-78
Published date grouping: April 2012
Date: April 24, 2012
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: April 24, 2012
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: April 23, 2012
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: April 23, 2012
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: April 20, 2012
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: April 20, 2012
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: April 19, 2012
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: April 19, 2012
Headline: Volcker Rule Conformance Period Clarified
Release No.: 2012-70
Published date grouping: April 2012
Date: April 19, 2012
Headline: SEC Charges Ox Trading, optionsXpress, and Former CFO With Registration Violations
Release No.: 2012-68
Published date grouping: April 2012
Date: April 18, 2012
Headline: SEC Adopts Rule Defining Swaps-Related Terms for Regulating Derivatives
Release No.: 2012-67
Published date grouping: April 2012
Date: April 16, 2012
Headline: SEC Charges optionsXpress and Five Individuals Involved in Abusive Naked Short Selling Scheme
Release No.: 2012-66
Published date grouping: April 2012
Date: April 16, 2012
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: April 13, 2012
Headline: SEC Shuts Down Ponzi Scheme Targeting Persian-Jewish Community in Los Angeles
Release No.: 2012-64
Published date grouping: April 2012
Date: April 12, 2012
Headline: SEC Charges Goldman, Sachs & Co. Lacked Adequate Policies and Procedures for Research "Huddles"
Release No.: 2012-61
Published date grouping: April 2012
Date: April 12, 2012
Headline: Matthew Solomon Named Deputy Chief Litigation Counsel in SEC Enforcement Division
Release No.: 2012-63
Published date grouping: April 2012
Date: April 12, 2012
Headline: SEC Charges Ponzi Schemer Targeting Church Congregations
Release No.: 2012-62
Published date grouping: April 2012
Date: April 11, 2012
Headline: SEC Charges China-Based Company and Others with Stock Manipulation
Release No.: 2012-59
Published date grouping: April 2012
Date: April 11, 2012
Headline: SEC Seeks Public Comment Prior to JOBS Act Rulemaking
Release No.: 2012-60
Published date grouping: April 2012
Date: April 9, 2012
Headline: SEC Announces Members of New Investor Advisory Committee
Release No.: 2012-58
Published date grouping: April 2012
Date: April 9, 2012
Headline: SEC Settles Fraud Charges Against Silicon Valley Man
Release No.: 2012-57
Published date grouping: April 2012
Date: April 6, 2012
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: April 6, 2012
Headline: SEC Charges South Florida Man in Investment Fraud Scheme
Release No.: 2012-56
Published date grouping: April 2012
Date: April 6, 2012
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: April 3, 2012
Headline: SEC Seeks Comment on Investor Testing Regarding Target Date Retirement Funds
Release No.: 2012-53
Published date grouping: April 2012
Date: April 3, 2012
Headline: U.S. and Canadian Securities Regulators Discuss Closer Cooperation on Cross-Border Oversight
Release No.: 2012-52
Published date grouping: April 2012
Date: April 2, 2012
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: March 26, 2012
Headline: SEC Charges Medical Device Company Biomet with Foreign Bribery
Release No.: 2012-50
Published date grouping: March 2012
Date: March 23, 2012
Headline: SEC Establishes New Supervisory Cooperation Arrangements with Foreign Counterparts
Release No.: 2012-49
Published date grouping: March 2012
Date: March 19, 2012
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: March 15, 2012
Headline: SEC Charges Bay Area Investment Adviser for Defrauding Investors With Bogus Audit Report
Release No.: 2012-45
Published date grouping: March 2012
Date: March 15, 2012
Headline: SEC Charges Senior Executives at California-Based Firm in Stock Lending Scheme
Release No.: 2012-46
Published date grouping: March 2012
Date: March 15, 2012
Headline: SEC Charges Chicago-Based Management Consultant With Insider Trading
Release No.: 2012-44
Published date grouping: March 2012
Date: March 15, 2012
Headline: Availability of Staff Analysis of Market Data Related to Credit Default Swap Transactions
Release No.: 2012-47
Published date grouping: March 2012
Date: March 14, 2012
Headline: SEC Announces Charges from Investigation of Secondary Market Trading of Private Company Shares
Release No.: 2012-43
Published date grouping: March 2012
Date: March 13, 2012
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: March 13, 2012
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: March 8, 2012
Headline: SEC Charges Former Executive at Coca-Cola Bottling Company with Insider Trading
Release No.: 2012-40
Published date grouping: March 2012
Date: March 7, 2012
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: March 6, 2012
Headline: SEC Obtains Asset Freeze Against Long Island Investment Adviser Charged with Defrauding Investors
Release No.: 2012-38
Published date grouping: March 2012
Date: March 2, 2012
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: March 2, 2012
Headline: Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC Case
Release No.: 2012-37
Published date grouping: March 2012
Date: March 1, 2012
Headline: Fee Rate Advisory #6 for Fiscal Year 2012
Release No.: 2012-35
Published date grouping: February 2012
Date: Feb. 28, 2012
Headline: SEC Proposes Rules To Help Prevent And Detect Identity Theft
Release No.: 2012-34
Published date grouping: February 2012
Date: Feb. 27, 2012
Headline: SEC Releases Risk Alert on Unauthorized Trading
Release No.: 2012-33
Published date grouping: February 2012
Date: Feb. 24, 2012
Headline: SEC Charges Three Oil Services Executives With Bribing Customs Officials in Nigeria
Release No.: 2012-32
Published date grouping: February 2012
Date: Feb. 22, 2012
Headline: SEC Charges China-Based Executives with Securities Fraud
Release No.: 2012-31
Published date grouping: February 2012
Date: Feb. 17, 2012
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: Feb. 15, 2012
Headline: SEC Tightens Rules on Advisory Performance Fee Charges
Release No.: 2012-29
Published date grouping: February 2012
Date: Feb. 13, 2012
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: Feb. 10, 2012
Headline: SEC Charges California Hedge Fund Manager Connected to Galleon Insider Trading Case
Release No.: 2012-27
Published date grouping: February 2012
Date: Feb. 9, 2012
Headline: SEC Charges Former Pharmaceutical Company Employee with Insider Trading on Biotech Deals
Release No.: 2012-26
Published date grouping: February 2012
Date: Feb. 6, 2012
Headline: SEC Charges Smith & Nephew PLC with Foreign Bribery
Release No.: 2012-25
Published date grouping: February 2012
Date: Feb. 3, 2012
Headline: SEC Names Jeanette M. Franzel to the Public Company Accounting Oversight Board
Release No.: 2012-24
Published date grouping: February 2012
Date: Feb. 1, 2012
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: Jan. 31, 2012
Headline: SEC Charges Brothers With Short Selling Violations
Release No.: 2012-22
Published date grouping: January 2012
Date: Jan. 30, 2012
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: Jan. 27, 2012
Headline: SEC Deputy Inspector General to Serve as Agency's Interim Inspector General
Release No.: 2012-20
Published date grouping: January 2012
Date: Jan. 26, 2012
Headline: SEC Charges Latvian Trader in Pervasive Brokerage Account Hijacking Scheme
Release No.: 2012-17
Published date grouping: January 2012
Date: Jan. 26, 2012
Headline: SEC Charges Boiler Room Operators in Florida-Based Penny Stock Manipulation Scheme
Release No.: 2012-18
Published date grouping: January 2012
Date: Jan. 26, 2012
Headline: SEC Advisory Committee on Small And Emerging Companies to Meet Wednesday
Release No.: 2012-19
Published date grouping: January 2012
Date: Jan. 23, 2012
Headline: Diamondback Capital Agrees to Settle SEC Insider Trading Charges
Release No.: 2012-16
Published date grouping: January 2012
Date: Jan. 20, 2012
Headline: Fee Rate Advisory #5 for Fiscal Year 2012
Release No.: 2012-15
Published date grouping: January 2012
Date: Jan. 18, 2012
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: Jan. 18, 2012
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: Jan. 18, 2012
Headline: SEC Seeks Public Comment for Financial Literacy Study Mandated by Dodd-Frank Act
Release No.: 2012-12
Published date grouping: January 2012
Date: Jan. 18, 2012
Headline: SEC Charges Fund Managers and Analysts in Insider Trading Scheme
Release No.: 2012-11
Published date grouping: January 2012
Date: Jan. 17, 2012
Headline: SEC Names Jane Norberg as Deputy Chief of Whistleblower Office
Release No.: 2012-10
Published date grouping: January 2012
Date: Jan. 17, 2012
Headline: SEC Inspector General H. David Kotz to Leave Commission
Release No.: 2012-9
Published date grouping: January 2012
Date: Jan. 17, 2012
Headline: SEC Charges UBS Global Asset Management for Pricing Violations in Mutual Fund Portfolios
Release No.: 2012-8
Published date grouping: January 2012
Date: Jan. 12, 2012
Headline: SEC Names Robert Fisher as Deputy Director in Office of International Affairs
Release No.: 2012-6
Published date grouping: January 2012
Date: Jan. 12, 2012
Headline: Texas-Based Accountant Pleads Guilty to Lying to SEC Investigators
Release No.: 2012-7
Published date grouping: January 2012
Date: Jan. 5, 2012
Headline: Administrative Law Judge Robert G. Mahony Retires After 46 Years of Federal Service
Release No.: 2012-5
Published date grouping: January 2012
Date: Jan. 4, 2012
Headline: SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting
Release No.: 2012-4
Published date grouping: January 2012
Date: Jan. 4, 2012
Headline: SEC Charges Illinois-Based Adviser in Social Media Scam
Release No.: 2012-3
Published date grouping: January 2012
Date: Jan. 3, 2012
Headline: SEC Names Pamela A. Gibbs as Director of the Office of Minority and Women Inclusion
Release No.: 2012-1
Published date grouping: January 2012
Date: Jan. 3, 2012
Headline: SEC Charges Life Settlements Firm and Three Executives with Disclosure and Accounting Fraud
Release No.: 2012-2