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:January 2020 Date: Title: SEC to Report on State of Small Business Capital Formation in the U.S. Release No.:2020-13
Published date grouping:January 2020 Date: Title: SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Fake Identity Release No.:2020-12
Published date grouping:January 2020 Date: Title: Austin Gerig Named as SEC’s Chief Data Officer Release No.:2020-11
Published date grouping:January 2020 Date: Title: SEC Obtains Emergency Asset Freeze, Charges Businessman With Operating a Ponzi-Like Scheme Release No.:2020-10
Published date grouping:January 2020 Date: Title: SEC Names Allen Blume as Deputy Chief Financial Officer Release No.:2020-9
Published date grouping:January 2020 Date: Title: 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: Title: Fee Rate Advisory #2 for Fiscal Year 2020 Release No.:2020-7
Published date grouping:January 2020 Date: Title: SEC Issues Agenda for Inaugural Meeting of the Asset Management Advisory Committee Release No.:2020-6
Published date grouping:January 2020 Date: Title: SEC Proposes Improvements to Governance of Market Data Plans Release No.:2020-5
Published date grouping:January 2020 Date: Title: SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities Release No.:2020-4
Published date grouping:January 2020 Date: Title: SEC Investor Advisory Committee to Hold Jan. 24 Telephone Meeting Release No.:2020-3
Published date grouping:January 2020 Date: Title: Longfin CEO Settles Fraud Action Release No.:2020-2
Published date grouping:January 2020 Date: Title: SEC Charges Six Individuals in International Microcap Fraud Schemes Release No.:2020-1
Published date grouping:December 2019 Date: Title: SEC Proposes to Codify Certain Consultations and Modernize Auditor Independence Rules Release No.:2019-276
Published date grouping:December 2019 Date: Title: 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: Title: SEC Charges Recidivist Investment Adviser With Defrauding Retirees Release No.:2019-274
Published date grouping:December 2019 Date: Title: SEC Announces Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion Release No.:2019-273
Published date grouping:December 2019 Date: Title: Small Business Advocate Releases First Annual Report Release No.:2019-272
Published date grouping:December 2019 Date: Title: SEC Files Charges in Ponzi Scheme Targeting Hispanic Community Release No.:2019-271
Published date grouping:December 2019 Date: Title: SEC Names David Bottom as Chief Information Officer Release No.:2019-270
Published date grouping:December 2019 Date: Title: MetLife to Pay $10 Million for Longstanding Internal Control Failures Release No.:2019-269
Published date grouping:December 2019 Date: Title: SEC Charges Broker-Dealers With Illicitly Profiting in Partial Tender Offer Release No.:2019-268
Published date grouping:December 2019 Date: Title: Issuer Settles Unregistered ICO Charges, Agrees to Return Funds and Register Tokens Release No.:2019-267
Published date grouping:December 2019 Date: Title: SEC Approves 2020 PCAOB Budget and Accounting Support Fee Release No.:2019-266
Published date grouping:December 2019 Date: Title: SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments Release No.:2019-265
Published date grouping:December 2019 Date: Title: SEC Proposes Rules to Implement the Statutory Mandate to Adopt Resource Extraction Disclosure Rules Release No.:2019-264
Published date grouping:December 2019 Date: Title: SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime Release No.:2019-263
Published date grouping:December 2019 Date: Title: SEC Adopts Risk Mitigation Techniques for Uncleared Security-Based Swaps Release No.:2019-262
Published date grouping:December 2019 Date: Title: Silicon Valley IT Administrator and Friends Charged in Multimillion Dollar Insider Trading Ring Release No.:2019-261
Published date grouping:December 2019 Date: Title: SEC Charges Former Goldman Sachs Executive With FCPA Violations Release No.:2019-260
Published date grouping:December 2019 Date: Title: SEC Charges Founder, Digital-Asset Issuer With Fraudulent ICO Release No.:2019-259
Published date grouping:December 2019 Date: Title: SEC Obtains Asset Freeze to Halt Alleged Offering Fraud Release No.:2019-258
Published date grouping:December 2019 Date: Title: Former Congressman and Two Others Settle Insider Trading Charges Release No.:2019-257
Published date grouping:December 2019 Date: Title: Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs Release No.:2019-256
Published date grouping:December 2019 Date: Title: SEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock Promoter Release No.:2019-255
Published date grouping:December 2019 Date: Title: SEC Charges Multinational Telecommunications Company With FCPA Violations Release No.:2019-254
Published date grouping:December 2019 Date: Title: SEC Charges Trucking Executives With Accounting Fraud Release No.:2019-253
Published date grouping:December 2019 Date: Title: SEC Releases Report on 38th Annual Small Business Forum Release No.:2019-252
Published date grouping:December 2019 Date: Title: SEC Charges Iconix Brand Group and Former Top Executives With Accounting Fraud Release No.:2019-251
Published date grouping:December 2019 Date: Title: SEC Issues Agenda for Dec. 11 Meeting of Small Business Capital Formation Advisory Committee Release No.:2019-250
Published date grouping:December 2019 Date: Title: SEC Names Paul Munter as Deputy Chief Accountant Release No.:2019-249
Published date grouping:December 2019 Date: Title: SEC Names John Vanosdall as Deputy Chief Accountant Release No.:2019-248
Published date grouping:December 2019 Date: Title: Kristina Littman Named Chief of the Cyber Unit Release No.:2019-247
Published date grouping:November 2019 Date: Title: Chief Administrative Law Judge Brenda Murray to Retire Release No.:2019-246
Published date grouping:November 2019 Date: Title: SEC Halts Penny Stock Scheme Targeting Seniors Release No.:2019-245
Published date grouping:November 2019 Date: Title: SEC Revokes Registration of Adviser Engaged in $60 Million Fraud Release No.:2019-244
Published date grouping:November 2019 Date: Title: SEC Charges Biotech Company and Executives With Accounting Fraud Release No.:2019-243
Published date grouping:November 2019 Date: Title: 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: Title: SEC Charges Former Top Executives of Healthcare Advertising Company With $487 Million Fraud Release No.:2019-241
Published date grouping:November 2019 Date: Title: SEC Announces Conference on Macroeconomic and Structural Trends and Dynamics Affecting the Capital Markets Release No.:2019-240
Published date grouping:November 2019 Date: Title: SEC Halts Ponzi scheme Targeting Seniors and Small Business Owners Release No.:2019-239
Published date grouping:November 2019 Date: Title: SEC Awards Over $260,000 to Whistleblowers for Their Help in Spotting Securities Fraud Release No.:2019-238
Published date grouping:November 2019 Date: Title: Marie-Louise Huth Named Chief Counsel in Division of Economic and Risk Analysis Release No.:2019-237
Published date grouping:November 2019 Date: Title: SEC Wins Jury Trial in Layering, Manipulative Trading Case Release No.:2019-236
Published date grouping:November 2019 Date: Title: SEC Issues Agenda for Nov. 12 Meeting of Small Business Capital Formation Advisory Committee Release No.:2019-235
Published date grouping:November 2019 Date: Title: SEC Charges Adviser for Running Ponzi Scheme Targeting Haitian Community Release No.:2019-234
Published date grouping:November 2019 Date: Title: SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019 Release No.:2019-233
Published date grouping:November 2019 Date: Title: SEC Proposes Amendments to Modernize Shareholder Proposal Rule Release No.:2019-232
Published date grouping:November 2019 Date: Title: SEC Proposes Rule Amendments to Improve Accuracy and Transparency of Proxy Voting Advice Release No.:2019-231
Published date grouping:November 2019 Date: Title: SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers Release No.:2019-230
Published date grouping:November 2019 Date: Title: 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: Title: 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: Title: SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints Release No.:2019-227
Published date grouping:October 2019 Date: Title: SEC Charges International Dealer That Sold Security-Based Swaps to U.S. Investors Release No.:2019-226
Published date grouping:October 2019 Date: Title: 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: Title: SEC to Host Veterans Day Program for Active Duty Service Members and Veterans Release No.:2019-224
Published date grouping:October 2019 Date: Title: 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: Title: 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: Title: U.S. Financial Regulatory Agencies Join the Global Financial Innovation Network Release No.:2019-221
Published date grouping:October 2019 Date: Title: SEC Investor Advisory Committee to Meet on Nov. 7 Release No.:2019-220
Published date grouping:October 2019 Date: Title: SEC Proposes Amendments to Exemptive Applications Procedures Release No.:2019-219
Published date grouping:October 2019 Date: Title: SEC and Morehouse College Announce Atlanta Event for Minority Entrepreneurs Release No.:2019-218
Published date grouping:October 2019 Date: Title: SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities Release No.:2019-217
Published date grouping:October 2019 Date: Title: SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme Release No.:2019-216
Published date grouping:October 2019 Date: Title: SEC Promotes Teacher Investment Outreach Release No.:2019-215
Published date grouping:October 2019 Date: Title: Supervisor Charged for Role in Brokerage Firm’s Improper Handling of ADRs Release No.:2019-214
Published date grouping:October 2019 Date: Title: 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: 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