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:May 2019 Date: Title: 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: Title: SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements Release No.:2019-69
Published date grouping:May 2019 Date: Title: SEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions Release No.:2019-68
Published date grouping:May 2019 Date: Title: SEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend Release No.:2019-67
Published date grouping:May 2019 Date: Title: SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud Release No.:2019-66
Published date grouping:May 2019 Date: Title: SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses Release No.:2019-65
Published date grouping:May 2019 Date: Title: Adam S. Aderton Named Co-Chief of the Asset Management Unit Release No.:2019-64
Published date grouping:April 2019 Date: Title: 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: Title: SEC Announces Fraud Charges in Ticket Resale Investment Scam Release No.:2019-62
Published date grouping:April 2019 Date: Title: SEC Announces Members of Small Business Capital Formation Advisory Committee Release No.:2019-61
Published date grouping:April 2019 Date: Title: SEC Charges Truckload Freight Company With Accounting Fraud Release No.:2019-60
Published date grouping:April 2019 Date: Title: SEC Staff Announces Agenda for May 31 FinTech Forum Release No.:2019-59
Published date grouping:April 2019 Date: Title: Silicon Valley Company Settles Fraud Charge for Misstating Returns to Investors Release No.:2019-58
Published date grouping:April 2019 Date: Title: 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: Title: 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: Title: SEC Charges Former Woodbridge Directors of Investment With Fraud Release No.:2019-55
Published date grouping:April 2019 Date: Title: 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: Title: SEC Charges Former SeaWorld Associate General Counsel With Insider Trading Release No.:2019-53
Published date grouping:April 2019 Date: Title: New SEC Campaign Educates Investors on Where and How to Get Answers Release No.:2019-52
Published date grouping:April 2019 Date: Title: SEC Charges Transportation Company Executives With Accounting Fraud Release No.:2019-51
Published date grouping:April 2019 Date: Title: SEC Charges Former CEO of Silicon Valley Startup With Defrauding Investors Release No.:2019-50
Published date grouping:April 2019 Date: Title: 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: Title: SEC Charges Medical Device Company With FCPA Violations Release No.:2019-48
Published date grouping:March 2019 Date: Title: 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: Title: SEC Charges College Official for Fraudulently Concealing Financial Troubles From Municipal Bond Investors Release No.:2019-46
Published date grouping:March 2019 Date: Title: Investment Adviser Charged With Stealing Millions From Private Fund Release No.:2019-45
Published date grouping:March 2019 Date: Title: SEC Charges New Jersey Man With Fraudulently Causing Advisory Firm to Overbill Clients Release No.:2019-44
Published date grouping:March 2019 Date: Title: SEC Names Danae M. Serrano as Ethics Counsel Release No.:2019-43
Published date grouping:March 2019 Date: Title: SEC Awards $50 Million to Two Whistleblowers Release No.:2019-42
Published date grouping:March 2019 Date: Title: 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: Title: Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs Release No.:2019-40
Published date grouping:March 2019 Date: Title: SEC Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds Release No.:2019-39
Published date grouping:March 2019 Date: Title: SEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure Release No.:2019-38
Published date grouping:March 2019 Date: Title: Justin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office Release No.:2019-37
Published date grouping:March 2019 Date: Title: SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client Release No.:2019-36
Published date grouping:March 2019 Date: Title: SEC Staff to Hold Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets Release No.:2019-35
Published date grouping:March 2019 Date: Title: SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During "Clean Diesel" Emissions Fraud Release No.:2019-34
Published date grouping:March 2019 Date: Title: Jason J. Burt Named Associate Regional Director for Enforcement in SEC's Denver Office Release No.:2019-33
Published date grouping:March 2019 Date: Title: Wedbush Settles Failure to Supervise Charge Release No.:2019-32
Published date grouping:March 2019 Date: Title: SEC Announces March 28 Meeting of Investor Advisory Committee Release No.:2019-31
Published date grouping:March 2019 Date: Title: Fee Rate Advisory #2 for Fiscal Year 2019 Release No.:2019-30
Published date grouping:March 2019 Date: Title: SEC Charges Lumber Liquidators With Fraud Release No.:2019-29
Published date grouping:March 2019 Date: Title: SEC Share Class Initiative Returning More Than $125 Million to Investors Release No.:2019-28
Published date grouping:March 2019 Date: Title: Mobile TeleSystems Settles FCPA Violations Release No.:2019-27
Published date grouping:March 2019 Date: Title: 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: Title: SEC Celebrates African American History Month with Presentation by Award-Winning Filmmaker Release No.:2019-25
Published date grouping:February 2019 Date: Title: SEC Names Gabriel Benincasa As Its First Chief Risk Officer Release No.:2019-24
Published date grouping:February 2019 Date: Title: 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: Title: SEC Names Vanessa Countryman Acting Secretary Release No.:2019-22
Published date grouping:February 2019 Date: Title: Brent J. Fields Named Associate Director in the Division of Investment Management Release No.:2019-21
Published date grouping:February 2019 Date: Title: 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: Title: SEC Halts South Florida Alternative Investments Scheme Targeting Retail Investors Release No.:2019-19
Published date grouping:February 2019 Date: Title: Giles Cohen Named Acting Chief Counsel, Office of the Chief Accountant Release No.:2019-18
Published date grouping:February 2019 Date: Title: SEC Names James P. McNamara as Chief Human Capital Officer Release No.:2019-17
Published date grouping:February 2019 Date: Title: SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud Release No.:2019-16
Published date grouping:February 2019 Date: Title: Company Settles Unregistered ICO Charges After Self-Reporting to SEC Release No.:2019-15
Published date grouping:February 2019 Date: Title: SEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers Release No.:2019-14
Published date grouping:February 2019 Date: Title: SEC Files Charges in Elaborate Microcap Stock Fraud Release No.:2019-13
Published date grouping:February 2019 Date: Title: SEC Charges Cognizant and Two Former Executives With FCPA Violations Release No.:2019-12
Published date grouping:February 2019 Date: Title: 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: Title: SEC Charges Former Senior Attorney at Apple With Insider Trading Release No.:2019-10
Published date grouping:February 2019 Date: Title: Deloitte Japan Charged With Violating Auditor Independence Rules Release No.:2019-9
Published date grouping:February 2019 Date: Title: SEC Charges Founder of Online Gaming Company With Defrauding Investors Release No.:2019-8
Published date grouping:February 2019 Date: Title: Elizabeth McFadden Named Deputy General Counsel Release No.:2019-7
Published date grouping:January 2019 Date: Title: SEC Charges Four Public Companies With Longstanding ICFR Failures Release No.:2019-6
Published date grouping:January 2019 Date: Title: 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: Title: 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: Title: Court Orders $1 Billion Judgment Against Operators of Woodbridge Ponzi Scheme Targeting Retail Investors Release No.:2019-3
Published date grouping:January 2019 Date: Title: SEC Emergency Action Charges Texas Real Estate Developer for Multi-Million Dollar Offering Fraud Release No.:2019-2
Published date grouping:January 2019 Date: Title: SEC Brings Charges in EDGAR Hacking Case Release No.:2019-1
Published date grouping:December 2018 Date: Title: JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs Release No.:2018-306
Published date grouping:December 2018 Date: Title: Agencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule Release No.:2018-305
Published date grouping:December 2018 Date: Title: Martha Miller Named Advocate for Small Business Capital Formation Release No.:2018-304
Published date grouping:December 2018 Date: Title: Two Advisory Firms, CEO Charged With Mutual Fund Share Class Disclosure Violations Release No.:2018-303
Published date grouping:December 2018 Date: Title: SEC Charges Audit Firm and Suspends Accountants for Deficient Audits Release No.:2018-302
Published date grouping:December 2018 Date: Title: SEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions Release No.:2018-301
Published date grouping:December 2018 Date: Title: SEC Charges Two Robo-Advisers With False Disclosures Release No.:2018-300
Published date grouping:December 2018 Date: Title: SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities Release No.:2018-299
Published date grouping:December 2018 Date: Title: SEC Adopts Transaction Fee Pilot for NMS Stocks Release No.:2018-298
Published date grouping:December 2018 Date: Title: SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A Release No.:2018-297
Published date grouping:December 2018 Date: Title: SEC Charges Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors Release No.:2018-296
Published date grouping:December 2018 Date: Title: SEC Proposes Rule Changes for Fund of Funds Arrangements Release No.:2018-295
Published date grouping:December 2018 Date: Title: SEC Proposes Risk Mitigation Techniques for Uncleared Security-Based Swaps Release No.:2018-294
Published date grouping:December 2018 Date: Title: SEC Adopts Rule of Practice 194 Release No.:2018-293
Published date grouping:December 2018 Date: Title: SEC Approves 2019 PCAOB Budget and Accounting Support Fee Release No.:2018-292
Published date grouping:December 2018 Date: Title: SEC Adopts Final Rules for Disclosure of Hedging Policies Release No.:2018-291
Published date grouping:December 2018 Date: Title: SEC Charges Former Panasonic Executives Release No.:2018-290
Published date grouping:December 2018 Date: Title: 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: Title: Daniel Kahl Named Deputy Director of the Office of Compliance Inspections and Examinations Release No.:2018-288
Published date grouping:December 2018 Date: Title: SEC Solicits Public Comment on Earnings Releases and Quarterly Reports Release No.:2018-287
Published date grouping:December 2018 Date: Title: 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: Title: BNY Mellon to Pay More Than $54 Million for Improper Handling of ADRs Release No.:2018-285
Published date grouping:December 2018 Date: Title: Jeffrey S. Mooney Named Associate Director in the Office of Clearance and Settlement Release No.:2018-284
Published date grouping:December 2018 Date: Title: SEC Charges Former New York Investment Advisor and Daughter With Conducting a Ponzi Scheme Release No.:2018-283
Published date grouping:December 2018 Date: Title: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors Release No.:2018-282
Published date grouping:December 2018 Date: Title: 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: Title: Executives Settle ICO Scam Charges Release No.:2018-280
Published date grouping:December 2018 Date: Title: Three Developers Settle Charges of Fraudulent EB-5 Offering Release No.:2018-279
Published date grouping:December 2018 Date: Title: SEC Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official Release No.:2018-278
Published date grouping:December 2018 Date: Title: SEC Charges The Hain Celestial Group with Internal Controls Failures Release No.:2018-277
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