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:April 2018 Date: Title: 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: Title: SEC Charges Additional Defendant in Fraudulent ICO Scheme Release No.:2018-70
Published date grouping:April 2018 Date: Title: 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: Title: 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: Title: Fee Rate Advisory #3 for Fiscal Year 2018 Release No.:2018-67
Published date grouping:April 2018 Date: Title: SEC Unveils Public Service Announcement to Promote Background Checks on Investor.gov Release No.:2018-66
Published date grouping:April 2018 Date: Title: SEC Staff to Host Roundtable on Market Structure for Thinly-Traded Securities Release No.:2018-65
Published date grouping:April 2018 Date: Title: SEC Awards Whistleblower More Than $2.1 Million Release No.:2018-64
Published date grouping:April 2018 Date: Title: SEC Charges Texas Company, Principals in Multimillion Dollar Ponzi Scheme Targeting Seniors Release No.:2018-63
Published date grouping:April 2018 Date: Title: SEC Orders Three Investment Advisers to Pay $12 Million to Harmed Clients Release No.:2018-62
Published date grouping:April 2018 Date: Title: 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: Title: 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: Title: SEC Charges Medical Device Company The Eye Machine and Founder Pocklington With Fraud Release No.:2018-59
Published date grouping:April 2018 Date: Title: 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: Title: Joel R. Levin Named Director of Chicago Regional Office Release No.:2018-57
Published date grouping:April 2018 Date: Title: SEC Names Peter Henry as Director of the Office of Equal Employment Opportunity Release No.:2018-56
Published date grouping:April 2018 Date: Title: SEC Warns of Government Impersonators Release No.:2018-55
Published date grouping:April 2018 Date: Title: SEC Promotes Investor Awareness During National Financial Capability Month Release No.:2018-54
Published date grouping:April 2018 Date: Title: SEC Halts Fraudulent Scheme Involving Unregistered ICO Release No.:2018-53
Published date grouping:April 2018 Date: Title: SEC Charges Fintech Company Founder With Scheme to Defraud Investors and Misappropriate Funds Release No.:2018-52
Published date grouping:March 2018 Date: Title: SEC Charges Prominent Pastor, Financial Planner in Scheme to Defraud Elderly Investors Release No.:2018-51
Published date grouping:March 2018 Date: Title: Broker-Dealer Admits It Failed to File SARs Release No.:2018-50
Published date grouping:March 2018 Date: Title: SEC Charges Recidivist Broker-Dealer in Employee’s Long-Running Pump-and-Dump Fraud Release No.:2018-49
Published date grouping:March 2018 Date: Title: SEC Charges Energy Storage Company, Former Executive in Fraudulent Scheme to Inflate Financial Results Release No.:2018-48
Published date grouping:March 2018 Date: Title: Kinross Gold Charged With FCPA Violations Release No.:2018-47
Published date grouping:March 2018 Date: Title: SEC Stops Ponzi-Schemer Targeting Retail Investors and Obtains Preliminary Injunction and Asset Freeze Release No.:2018-46
Published date grouping:March 2018 Date: Title: Broker Charged With Repeatedly Putting Customer Assets At Risk Release No.:2018-45
Published date grouping:March 2018 Date: Title: SEC Announces Its Largest-Ever Whistleblower Awards Release No.:2018-44
Published date grouping:March 2018 Date: Title: SEC Proposes Transaction Fee Pilot for NMS Stocks Release No.:2018-43
Published date grouping:March 2018 Date: Title: SEC Proposes Targeted Changes to Public Liquidity Risk Management Disclosure Release No.:2018-42
Published date grouping:March 2018 Date: Title: Theranos, CEO Holmes, and Former President Balwani Charged With Massive Fraud Release No.:2018-41
Published date grouping:March 2018 Date: Title: Former Equifax Executive Charged With Insider Trading Release No.:2018-40
Published date grouping:March 2018 Date: Title: Foreign Affiliates of KPMG, Deloitte, BDO Charged in Improper Audits Release No.:2018-39
Published date grouping:March 2018 Date: Title: SEC Charges Penny Stock “Mailman” With Scalping Investors In Gold Mining Stocks Release No.:2018-38
Published date grouping:March 2018 Date: Title: SEC Foils Penny Stock Executive’s Plan to Pump Stock and Exploit Investors Release No.:2018-37
Published date grouping:March 2018 Date: Title: Investment Adviser Settles Charges for Cheating Clients in Fraudulent Cherry-Picking Scheme Release No.:2018-36
Published date grouping:March 2018 Date: Title: 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: Title: SEC Obtains Partial Asset Freeze of Proceeds in Alleged Fraudulent Touting Scheme Release No.:2018-34
Published date grouping:March 2018 Date: Title: SEC Charges Company and Executives in Oil-and-Gas Offering Fraud Release No.:2018-33
Published date grouping:March 2018 Date: Title: Merrill Lynch Charged With Gatekeeping Failures in the Unregistered Sales of Securities Release No.:2018-32
Published date grouping:March 2018 Date: Title: NYSE to Pay $14 Million Penalty for Multiple Violations Release No.:2018-31
Published date grouping:March 2018 Date: Title: SEC Charges Unregistered Broker for Illegally Brokering Sales of EB-5 Securities Release No.:2018-30
Published date grouping:March 2018 Date: Title: SEC Celebrates African American History Month Release No.:2018-29
Published date grouping:March 2018 Date: Title: 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: Title: 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: Title: SEC Charges Ameriprise With Overcharging Retirement Account Customers for Mutual Fund Shares Release No.:2018-26
Published date grouping:February 2018 Date: Title: SEC Announces Agenda for March 8 Investor Advisory Committee Meeting Release No.:2018-25
Published date grouping:February 2018 Date: Title: SEC Votes to Modify Compliance Date for Open-End Fund Liquidity Classification Release No.:2018-24
Published date grouping:February 2018 Date: Title: SEC Charges Former Bitcoin-Denominated Exchange and Operator With Fraud Release No.:2018-23
Published date grouping:February 2018 Date: Title: SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures Release No.:2018-22
Published date grouping:February 2018 Date: Title: SEC Obtains Bars and Suspensions Against Individuals and Accounting Firm in Shell Factory Scheme Release No.:2018-21
Published date grouping:February 2018 Date: Title: SEC Suspends Trading in Three Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology Release No.:2018-20
Published date grouping:February 2018 Date: Title: Kyle Moffatt Named Chief Accountant in Division of Corporation Finance Release No.:2018-19
Published date grouping:February 2018 Date: Title: 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: Title: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Release No.:2018-17
Published date grouping:February 2018 Date: Title: Alberto Arevalo, Associate Director in the Office of International Affairs, to Retire From SEC Release No.:2018-16
Published date grouping:February 2018 Date: Title: 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: Title: Investor Protection, Capital Formation and Market Integrity Are Top Priorities in SEC Budget Request Release No.:2018-14
Published date grouping:February 2018 Date: Title: Deutsche Bank to Repay Misled Customers Release No.:2018-13
Published date grouping:February 2018 Date: Title: SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities Release No.:2018-12
Published date grouping:February 2018 Date: Title: SEC Halts Ongoing Fraud by Purported Hedge Fund Manager Release No.:2018-11
Published date grouping:February 2018 Date: Title: 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: Title: Michael Maloney, Enforcement’s Chief Accountant, to Leave SEC Release No.:2018-9
Published date grouping:January 2018 Date: Title: SEC Halts Alleged Initial Coin Offering Scam Release No.:2018-8
Published date grouping:January 2018 Date: Title: SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices Release No.:2018-7
Published date grouping:January 2018 Date: Title: 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: Title: Robert Jackson and Hester Peirce Sworn In as SEC Commissioners Release No.:2018-5
Published date grouping:January 2018 Date: Title: Dr. Timothy Timura Named Deputy Chief Economist Release No.:2018-4
Published date grouping:January 2018 Date: Title: SEC and NYU to Host Jan. 19 Forum on Relationship Between Companies and Shareholders Release No.:2018-3
Published date grouping:January 2018 Date: Title: SEC Names Richard Best As Regional Director of Atlanta Office Release No.:2018-2
Published date grouping:January 2018 Date: Title: SEC Issues Agenda for Inaugural Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2018-1
Published date grouping:December 2017 Date: Title: Annual Staff Reports on Credit Rating Agencies Show Improvements Release No.:2017-238
Published date grouping:December 2017 Date: Title: 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: Title: 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: Title: SEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street Investors Release No.:2017-235
Published date grouping:December 2017 Date: Title: Broker Charged With Giving Special Access to IPOs for Cash Kickbacks Release No.:2017-234
Published date grouping:December 2017 Date: Title: Marc P. Berger Named Director of New York Regional Office Release No.:2017-233
Published date grouping:December 2017 Date: Title: SEC Names Kenneth A. Johnson as Chief Operating Officer Release No.:2017-232
Published date grouping:December 2017 Date: Title: Division of Trading and Markets Deputy Director Gary Barnett to Retire Release No.:2017-231
Published date grouping:December 2017 Date: Title: SEC Appoints New Chairman and Board Members to PCAOB Release No.:2017-230
Published date grouping:December 2017 Date: Title: SEC Charges Biopharmaceutical Company With Failing to Properly Disclose Perks for Executives Release No.:2017-229
Published date grouping:December 2017 Date: Title: Stock Trader Charged in Insider Trading Ring Release No.:2017-228
Published date grouping:December 2017 Date: Title: Company Halts ICO After SEC Raises Registration Concerns Release No.:2017-227
Published date grouping:December 2017 Date: Title: SEC Modifies Approach to Form N-PORT Filing Requirements Release No.:2017-226
Published date grouping:December 2017 Date: Title: Daniel Michael Named Chief of Enforcement Division’s Complex Financial Instruments Unit Release No.:2017-225
Published date grouping:December 2017 Date: Title: Broker Charged With Defrauding Investors Release No.:2017-224
Published date grouping:December 2017 Date: Title: SEC Continues Crackdown on Brokers Defrauding Customers Release No.:2017-223
Published date grouping:December 2017 Date: Title: Former Company Insider Earns More Than $4.1 Million for Whistleblower Tip Release No.:2017-222
Published date grouping:December 2017 Date: Title: Digital Display Advertising Firm, Executives Charged With Bilking Investors Release No.:2017-221
Published date grouping:December 2017 Date: Title: Audit Firm Charged With Fraud Relating to Auditing of Penny Stock Companies Release No.:2017-220
Published date grouping:December 2017 Date: Title: SEC Emergency Action Halts ICO Scam Release No.:2017-219
Published date grouping:November 2017 Date: Title: 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: Title: Division of Corporation Finance Chief Accountant Mark Kronforst to Leave SEC Release No.:2017-217
Published date grouping:November 2017 Date: Title: More Than $16 Million Awarded to Two Whistleblowers Release No.:2017-216
Published date grouping:November 2017 Date: Title: SEC Ratifies Appointment of Administrative Law Judges Release No.:2017-215
Published date grouping:November 2017 Date: Title: SEC Announces Agenda for December 7 Investor Advisory Committee Meeting Release No.:2017-214
Published date grouping:November 2017 Date: Title: Long Island Town and Former Top Official Charged With Defrauding Municipal Investors Release No.:2017-213
Published date grouping:November 2017 Date: Title: SEC Names Paul G. Cellupica as Deputy Director of the Division of Investment Management Release No.:2017-212
Published date grouping:November 2017 Date: Title: SEC Announces Agenda and Panelists for the 36th Annual Small Business Forum Release No.:2017-211
Published date grouping:November 2017 Date: Title: SEC Enforcement Division Issues Report on Priorities and FY 2017 Results Release No.:2017-210
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