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:October 2019 Date: Title: SEC Halts Alleged $1.7 Billion Unregistered Digital Token Offering Release No.:2019-212
Published date grouping:October 2019 Date: Title: 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: Title: PCAOB Board Member Kathleen Hamm to Complete Term Release No.:2019-210
Published date grouping:October 2019 Date: Title: SEC Educational Videos Aim to Help Investors Spot and Avoid Fraud Release No.:2019-209
Published date grouping:October 2019 Date: Title: SEC Announces the Formation of Asset Management Advisory Committee Release No.:2019-208
Published date grouping:October 2019 Date: Title: Agencies Finalize Changes to Simplify Volcker Rule Release No.:2019-207
Published date grouping:October 2019 Date: Title: SEC Names Katharine E. Zoladz as Associate Regional Director in Los Angeles Office Release No.:2019-206
Published date grouping:October 2019 Date: Title: SEC Obtains Final Judgments Against Lek Securities and CEO in Layering, Manipulation Case Release No.:2019-205
Published date grouping:October 2019 Date: Title: 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: Title: SEC’s Message for 2019 World Investor Week: Start Early Release No.:2019-203
Published date grouping:September 2019 Date: Title: SEC Orders Blockchain Company to Pay $24 Million Penalty for Unregistered ICO Release No.:2019-202
Published date grouping:September 2019 Date: Title: SEC Charges Hedge Fund Adviser and Top Executives With Fraud Release No.:2019-201
Published date grouping:September 2019 Date: Title: 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: Title: 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: Title: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2019-198
Published date grouping:September 2019 Date: Title: SEC Charges Canadian Clean Fuel Technology Company and Former CEO with FCPA Violations Release No.:2019-197
Published date grouping:September 2019 Date: Title: Automaker to Pay $40 Million for Misleading Investors Release No.:2019-196
Published date grouping:September 2019 Date: Title: Herbalife to Pay $20 Million for Misleading Investors Release No.:2019-195
Published date grouping:September 2019 Date: Title: Mylan to Pay $30 Million for Disclosure and Accounting Failure Relating to EpiPen Release No.:2019-194
Published date grouping:September 2019 Date: Title: SEC Charges Marketing and Printing Services Provider with FCPA Violations Release No.:2019-193
Published date grouping:September 2019 Date: Title: SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud Release No.:2019-192
Published date grouping:September 2019 Date: Title: 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: Title: SEC Adopts New Rule to Modernize Regulation of Exchange-Traded Funds Release No.:2019-190
Published date grouping:September 2019 Date: Title: SEC Proposes Amendments to Enhance Retail Investor Protections Release No.:2019-189
Published date grouping:September 2019 Date: Title: SEC Adopts New Rule to Allow All Issuers to “Test-the-Waters” Release No.:2019-188
Published date grouping:September 2019 Date: Title: SEC Charges TMC Bonds With Failing to Protect Confidential Subscriber Information Release No.:2019-187
Published date grouping:September 2019 Date: Title: SEC Charges Comscore Inc. and Former CEO with Accounting and Disclosure Fraud Release No.:2019-186
Published date grouping:September 2019 Date: Title: SEC Brings New Charges in Multimillion Dollar Boiler Room Schemes Release No.:2019-185
Published date grouping:September 2019 Date: Title: 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: Title: 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: Title: SEC Adopts New Rules and Amendments under Title VII of Dodd-Frank Release No.:2019-182
Published date grouping:September 2019 Date: Title: SEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity Release No.:2019-181
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
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