Official announcements highlighting recent actions taken by the SEC and other newsworthy information.  To view Press Releases prior to 2012, view the Press Release Archive.

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Published date grouping
Date
Title
Release No.
Published date grouping:September 2019 Date: Title: SEC Halts Alleged $125 Million Offering Fraud Release No.:2019-180
Published date grouping:September 2019 Date: Title: SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants Release No.:2019-179
Published date grouping:September 2019 Date: Title: Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors Release No.:2019-178
Published date grouping:September 2019 Date: Title: 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: Title: 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: Title: SEC Charges Silicon Valley-Based Issuer With Misleading Disclosure Violations Release No.:2019-175
Published date grouping:September 2019 Date: Title: 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: Title: SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan Release No.:2019-173
Published date grouping:September 2019 Date: Title: Chandler Smith Costello Named Deputy Director for Public Affairs Release No.:2019-172
Published date grouping:September 2019 Date: Title: 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: Title: SEC Names Monique Winkler as Associate Regional Director in San Francisco Office Release No.:2019-170
Published date grouping:August 2019 Date: Title: SEC Monitoring Impact of Hurricane Dorian on Capital Markets Release No.:2019-169
Published date grouping:August 2019 Date: Title: SEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal Release No.:2019-168
Published date grouping:August 2019 Date: Title: SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players Release No.:2019-167
Published date grouping:August 2019 Date: Title: SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme Release No.:2019-166
Published date grouping:August 2019 Date: Title: SEC Awards More Than $1.8 Million to Whistleblower Release No.:2019-165
Published date grouping:August 2019 Date: Title: 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: Title: SEC Investor Advisory Committee to Meet on Sept. 19 Release No.:2019-163
Published date grouping:August 2019 Date: Title: SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud Release No.:2019-162
Published date grouping:August 2019 Date: Title: RSM US LLP Charged With Violating Auditor Independence Rules Release No.:2019-161
Published date grouping:August 2019 Date: Title: Fee Rate Advisory #1 for Fiscal Year 2020 Release No.:2019-160
Published date grouping:August 2019 Date: Title: 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: Title: 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: Title: 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: Title: SEC Charges TherapeuticsMD With Regulation FD Violations Release No.:2019-156
Published date grouping:August 2019 Date: Title: Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs Release No.:2019-155
Published date grouping:August 2019 Date: Title: SEC Charges Former CFO of Cash Advance Company With Defrauding Retail Investors Release No.:2019-154
Published date grouping:August 2019 Date: Title: SEC Releases Videos for Investors on Choosing and Working with a Financial Professional Release No.:2019-153
Published date grouping:August 2019 Date: Title: SEC Wins Jury Trial Against Broker Charged with Insider Trading Release No.:2019-152
Published date grouping:August 2019 Date: Title: SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors Release No.:2019-151
Published date grouping:August 2019 Date: Title: 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: Title: SEC Charges Investment Banking Analyst with Insider Trading Release No.:2019-149
Published date grouping:August 2019 Date: Title: 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: Title: SEC Investor Advisory Committee to Hold Telephone Meeting on Sept. 5 Release No.:2019-147
Published date grouping:August 2019 Date: Title: SEC Announces Agenda and Panelists for 2019 Small Business Forum in Omaha Release No.:2019-146
Published date grouping:August 2019 Date: Title: SEC Adopts Amendments to Codify Exemption to Credit Rating Agency Rule Release No.:2019-145
Published date grouping:August 2019 Date: Title: SEC Chairman Clayton Announces Event for Main Street Investors in Chicago Release No.:2019-144
Published date grouping:August 2019 Date: Title: SEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud Release No.:2019-143
Published date grouping:July 2019 Date: Title: Robert A. Cohen, Cyber Unit Chief, to Leave SEC After 15 Years of Service Release No.:2019-142
Published date grouping:July 2019 Date: Title: 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: Title: 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: Title: Emily Westerberg Russell Named Chief Counsel of Division of Trading and Markets Release No.:2019-139
Published date grouping:July 2019 Date: Title: SEC Awards Half-Million Dollars to Overseas Whistleblower Release No.:2019-138
Published date grouping:July 2019 Date: Title: SEC Charges Engine Manufacturing Company Executives With Accounting Fraud Release No.:2019-137
Published date grouping:July 2019 Date: Title: SEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors Release No.:2019-136
Published date grouping:July 2019 Date: Title: SEC Charges Portfolio Manager with Mispricing Fund Investments Release No.:2019-135
Published date grouping:July 2019 Date: Title: SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud Release No.:2019-134
Published date grouping:July 2019 Date: Title: Former REIT Manager and Executives to Settle SEC Charges for More Than $60 Million Release No.:2019-133
Published date grouping:July 2019 Date: Title: SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments Release No.:2019-132
Published date grouping:July 2019 Date: Title: Nomura to Pay Misled Bond Customers $25 Million to Settle SEC Charges Release No.:2019-131
Published date grouping:July 2019 Date: Title: SEC Charges Securities Lawyer and Microcap Agent with Fraud Release No.:2019-130
Published date grouping:July 2019 Date: Title: 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: Title: SEC Monitoring Impact of Tropical Storm Barry on Capital Markets Release No.:2019-128
Published date grouping:July 2019 Date: Title: SEC Investor Advisory Committee to Meet on July 25 Release No.:2019-127
Published date grouping:July 2019 Date: Title: SEC Charges Accountant and Friend in $6.2 Million Insider Trading Scheme Release No.:2019-126
Published date grouping:July 2019 Date: Title: 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: Title: Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule Release No.:2019-124
Published date grouping:July 2019 Date: Title: SEC Announces August 13 Meeting of Small Business Capital Formation Advisory Committee Release No.:2019-123
Published date grouping:July 2019 Date: Title: Julie A. Erhardt, Deputy Chief Accountant, to Leave the SEC Release No.:2019-122
Published date grouping:July 2019 Date: Title: Allison Herren Lee Sworn In As SEC Commissioner Release No.:2019-121
Published date grouping:July 2019 Date: Title: 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: Title: John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency Release No.:2019-119
Published date grouping:July 2019 Date: Title: SEC Names Sagar Teotia As Chief Accountant Release No.:2019-118
Published date grouping:July 2019 Date: Title: 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: Title: SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month Release No.:2019-116
Published date grouping:July 2019 Date: Title: SEC Charges Investment Adviser With Fraud Release No.:2019-115
Published date grouping:June 2019 Date: Title: State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses Release No.:2019-114
Published date grouping:June 2019 Date: Title: SEC Charges New Defendant in $43 Million Tribal Bonds Scheme Release No.:2019-113
Published date grouping:June 2019 Date: Title: Chairman Clayton Highlights New Members of Executive Staff Release No.:2019-112
Published date grouping:June 2019 Date: Title: 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: Title: SEC Names Bryan Wood as Deputy Chief of Staff Release No.:2019-110
Published date grouping:June 2019 Date: Title: SEC Names Sean Memon as Chief of Staff Release No.:2019-109
Published date grouping:June 2019 Date: Title: SEC Chief of Staff Lucas Moskowitz to Leave the Agency Release No.:2019-108
Published date grouping:June 2019 Date: Title: SEC Names Vanessa Countryman to Lead the Office of the Secretary Release No.:2019-107
Published date grouping:June 2019 Date: Title: Joint Statement on Opportunistic Strategies in the Credit Derivatives Market Release No.:2019-106
Published date grouping:June 2019 Date: Title: 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: Title: SEC Wins Jury Trial Against Broker Charged With Defrauding Customers Release No.:2019-104
Published date grouping:June 2019 Date: Title: SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors Release No.:2019-103
Published date grouping:June 2019 Date: Title: Walmart Charged With FCPA Violations Release No.:2019-102
Published date grouping:June 2019 Date: Title: SEC Freezes Assets in International Manipulative Trading Scheme Release No.:2019-101
Published date grouping:June 2019 Date: Title: SEC Chairman Clayton Announces Events for Main Street Investors in Boston Release No.:2019-100
Published date grouping:June 2019 Date: Title: Wedbush to Pay More Than $8.1 Million for Improper Handling of ADRs Release No.:2019-99
Published date grouping:June 2019 Date: Title: 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: Title: SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions Release No.:2019-97
Published date grouping:June 2019 Date: Title: 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: Title: 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: Title: 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: Title: SEC Announces 2019 Government-Business Forum to Be Held in Omaha Release No.:2019-93
Published date grouping:June 2019 Date: Title: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2019-92
Published date grouping:June 2019 Date: Title: David Peavler Named Director of Fort Worth Office Release No.:2019-91
Published date grouping:June 2019 Date: Title: SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant Release No.:2019-90
Published date grouping:June 2019 Date: Title: 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: Title: Marshall Gandy Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program Release No.:2019-88
Published date grouping:June 2019 Date: Title: SEC Charges Issuer With Conducting $100 Million Unregistered ICO Release No.:2019-87
Published date grouping:June 2019 Date: Title: 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: Title: SEC Announces Enforcement and Investor Education Initiatives to Protect Teachers and Military Service Members Release No.:2019-85
Published date grouping:June 2019 Date: Title: SEC Seeks Emergency Relief to Halt Ponzi Scheme Run From College Fraternity House Release No.:2019-84
Published date grouping:June 2019 Date: Title: Ahmed Abonamah Named Deputy Director of the Office of Municipal Securities Release No.:2019-83
Published date grouping:June 2019 Date: Title: SEC Announces Kevin Zerrusen as Senior Advisor to the Chairman for Cybersecurity Policy Release No.:2019-82
Published date grouping:June 2019 Date: Title: SEC Awards $3 Million to Joint Whistleblowers Release No.:2019-81
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