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: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
Published date grouping:November 2017 Date: Title: SEC Announces the Formation and First Members of Fixed Income Market Structure Advisory Committee Release No.:2017-209
Published date grouping:November 2017 Date: Title: SEC Warns Investors About Paid-to-Click Scams Release No.:2017-208
Published date grouping:November 2017 Date: Title: SEC Charges Biotech Company, Executives With Accounting Fraud Release No.:2017-207
Published date grouping:November 2017 Date: Title: Charles Cain Named Chief of Foreign Corrupt Practices Unit Release No.:2017-206
Published date grouping:November 2017 Date: Title: David Glockner, Regional Director of Chicago Office, to Leave SEC Release No.:2017-205
Published date grouping:November 2017 Date: Title: Petroleum Engineer Settles Charges of Insider Trading Ahead of Oil Discovery Announcement Release No.:2017-204
Published date grouping:October 2017 Date: Title: Millennium Settles Charges of Illegal Short Selling in Advance of Stock Offerings Release No.:2017-203
Published date grouping:October 2017 Date: Title: Day Trader Charged in Brokerage Account Takeover Scheme Release No.:2017-202
Published date grouping:October 2017 Date: Title: SEC Names Peter B. Driscoll as Director of the Office of Compliance Inspections and Examinations Release No.:2017-201
Published date grouping:October 2017 Date: Title: SEC Announces Measures to Facilitate Cross-Border Implementation of the European Union's MiFID II's Research Provisions Release No.:2017-200
Published date grouping:October 2017 Date: Title: Former Private Equity Firm Partner Charged With Secretly Billing Clients for His Vacations and Salon Visits Release No.:2017-199
Published date grouping:October 2017 Date: Title: SEC Names Brett Redfearn as Director of the Division of Trading and Markets Release No.:2017-198
Published date grouping:October 2017 Date: Title: SEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin Release No.:2017-197
Published date grouping:October 2017 Date: Title: Rio Tinto, Former Top Executives Charged With Fraud Release No.:2017-196
Published date grouping:October 2017 Date: Title: SEC Announces Whistleblower Award of More Than a Million Dollars Release No.:2017-195
Published date grouping:October 2017 Date: Title: Lawyers Charged With Assisting a Microcap Fraud Scheme Release No.:2017-194
Published date grouping:October 2017 Date: Title: SEC Files Charges in Snack Company Investment Scam Release No.:2017-193
Published date grouping:October 2017 Date: Title: SEC Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure Release No.:2017-192
Published date grouping:October 2017 Date: Title: Walter Jospin, Regional Director of the SEC’s Atlanta Office, to Leave the Agency Release No.:2017-191
Published date grouping:October 2017 Date: Title: Robert Evans III Named Chief of the Office of International Corporate Finance in SEC’s Division of Corporation Finance Release No.:2017-190
Published date grouping:October 2017 Date: Title: Investment Adviser Charged in Multi-Million Dollar Options Trading Scheme Release No.:2017-189
Published date grouping:October 2017 Date: Title: SEC Charges Penny-Stock Operators in Push to Crack Down on Repeat Offenders Release No.:2017-188
Published date grouping:October 2017 Date: Title: World Investor Week Brings Together Securities Regulators on Six Continents to Promote Investor Education and Protection Release No.:2017-187
Published date grouping:October 2017 Date: Title: Chairman Clayton Provides Update on Review of 2016 Cyber Intrusion Involving EDGAR System Release No.:2017-186
Published date grouping:September 2017 Date: Title: SEC Exposes Two Initial Coin Offerings Purportedly Backed by Real Estate and Diamonds Release No.:2017-185
Published date grouping:September 2017 Date: Title: Former Corporate Insider, Middleman Tipper, and Six Traders Charged With Insider Trading Release No.:2017-184
Published date grouping:September 2017 Date: Title: Fee Rate Advisory #2 for Fiscal Year 2018 Release No.:2017-183
Published date grouping:September 2017 Date: Title: Barred Broker Charged in Real Estate Investment Scheme Release No.:2017-182
Published date grouping:September 2017 Date: Title: SEC Provides Regulatory Relief and Assistance for Hurricane Victims Release No.:2017-181
Published date grouping:September 2017 Date: Title: SEC Detects Brokers Defrauding Customers Release No.:2017-180
Published date grouping:September 2017 Date: Title: Andrew Calamari, Regional Director of the SEC’s New York Office, to Leave the Agency After 17 Years of Service Release No.:2017-179
Published date grouping:September 2017 Date: Title: Medical Manufacturer Settles Accounting Fraud Charges Release No.:2017-178
Published date grouping:September 2017 Date: Title: Stock Market Analyst Barred for Illegally Cashing In On His Research Reports Release No.:2017-177
Published date grouping:September 2017 Date: Title: SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors Release No.:2017-176
Published date grouping:September 2017 Date: Title: Pharmaceutical Company Paying Penalty for Misleading Investors About Sales Metric Release No.:2017-175
Published date grouping:September 2017 Date: Title: SEC Announces Agenda for October 12 Investor Advisory Committee Meeting Release No.:2017-174
Published date grouping:September 2017 Date: Title: SEC Suspends Trading in Company Purporting Involvement in Hurricane Harvey Relief Efforts Release No.:2017-173
Published date grouping:September 2017 Date: Title: SEC Adopts Interpretive Guidance on Pay Ratio Rule Release No.:2017-172
Published date grouping:September 2017 Date: Title: Telecommunications Company Paying $965 Million For FCPA Violations Release No.:2017-171
Published date grouping:September 2017 Date: Title: SEC Chairman Clayton Issues Statement on Cybersecurity Release No.:2017-170
Published date grouping:September 2017 Date: Title: Thomas J. Butler Named an Associate Regional Director for Examinations in New York Regional Office Release No.:2017-169
Published date grouping:September 2017 Date: Title: CEO Charged With Using Secret Accounts for Insider Trading in Company Stock Release No.:2017-168
Published date grouping:September 2017 Date: Title: Catherine McGuire to Retire After More Than 40 Years at the SEC Release No.:2017-167
Published date grouping:September 2017 Date: Title: Ken C. Joseph, Head of Investment Adviser/Investment Company Examination Program in SEC's New York Regional Office, to Leave SEC After 21 Years of Service Release No.:2017-166
Published date grouping:September 2017 Date: Title: SunTrust Charged With Improperly Recommending Higher-Fee Mutual Funds Release No.:2017-165
Published date grouping:September 2017 Date: Title: SEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of Hurricane Harvey Release No.:2017-164
Published date grouping:September 2017 Date: Title: Commission Statement on T+2 Implementation Release No.:2017-163
Published date grouping:September 2017 Date: Title: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors Release No.:2017-162
Published date grouping:September 2017 Date: Title: Bridget Fitzpatrick Named Chief Litigation Counsel Release No.:2017-161
Published date grouping:September 2017 Date: Title: Former Amazon Employee and College Friend Charged With Insider Trading Release No.:2017-160
Published date grouping:September 2017 Date: Title: State Street Paying Penalties to Settle Fraud Charges and Disclosure Failures Release No.:2017-159
Published date grouping:September 2017 Date: Title: SEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2017-158
Published date grouping:September 2017 Date: Title: Radio Host Charged With Concert Ticket Investment Scam Release No.:2017-157
Published date grouping:September 2017 Date: Title: Adviser Charged With Stealing Investor Funds Release No.:2017-156
Published date grouping:August 2017 Date: Title: Chairman Clayton Names Executive Staff Release No.:2017-155
Published date grouping:August 2017 Date: Title: SEC Names Jeffrey Harris as Director of the Division of Economic and Risk Analysis Release No.:2017-154
Published date grouping:August 2017 Date: Title: SEC Names Dalia Blass as Director of the Division of Investment Management Release No.:2017-153
Published date grouping:August 2017 Date: Title: SEC and NYU to Host Forum on Exchange-Traded Products Release No.:2017-152
Published date grouping:August 2017 Date: Title: Former Pharma Company Accountant, Three Others Charged With Insider Trading Release No.:2017-151
Published date grouping:August 2017 Date: Title: SEC Monitoring Market Impact of Hurricane Harvey Release No.:2017-150
Published date grouping:August 2017 Date: Title: Fee Rate Advisory #1 for Fiscal Year 2018 Release No.:2017-149
Published date grouping:August 2017 Date: Title: Muni Bond Issuer and Underwriter Charged With Disclosure Failures Release No.:2017-148
Published date grouping:August 2017 Date: Title: SEC Charges Investment Adviser With Defrauding Professional Athlete and His Wife Release No.:2017-147
Published date grouping:August 2017 Date: Title: Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading Release No.:2017-146
Published date grouping:August 2017 Date: Title: Commission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition Release No.:2017-145
Published date grouping:August 2017 Date: Title: Banca IMI Securities to Pay $35 Million for Improper Handling of ADRs in Continuing SEC Crackdown Release No.:2017-144
Published date grouping:August 2017 Date: Title: SEC Uncovers Wide-Reaching Insider Trading Scheme Release No.:2017-143
Published date grouping:August 2017 Date: Title: SEC Charges KPMG with Audit Failures Release No.:2017-142
Published date grouping:August 2017 Date: Title: SEC Files Charges in Oil Drilling Investment Scheme Release No.:2017-141
Published date grouping:August 2017 Date: Title: SEC Staff Publishes Report on Access to Capital and Market Liquidity Release No.:2017-140
Published date grouping:August 2017 Date: Title: Investment Management Director David W. Grim to Leave SEC Release No.:2017-139
Published date grouping:August 2017 Date: Title: Donna Esau Named Associate Regional Director for Examinations in Atlanta Regional Office Release No.:2017-138
Published date grouping:August 2017 Date: Title: Overseas Stock Manipulator Settles SEC Charges Release No.:2017-137
Published date grouping:July 2017 Date: Title: SEC Files Charges to Stop Fraudulent Misuse of Cancer-Fighting Investments to Fund Restaurant Businesses Release No.:2017-136
Published date grouping:July 2017 Date: Title: SEC Files Fraud Charges Against Former Brokers Targeting Federal Retirees Release No.:2017-135
Published date grouping:July 2017 Date: Title: SEC Announces Whistleblower Award of More Than $1.7 Million Release No.:2017-134
Published date grouping:July 2017 Date: Title: Halliburton Paying $29.2 Million to Settle FCPA Violations Release No.:2017-133
Published date grouping:July 2017 Date: Title: Jessica Magee Named Associate Regional Director for Enforcement in Fort Worth Office Release No.:2017-132
Published date grouping:July 2017 Date: Title: SEC Issues Investigative Report Concluding DAO Tokens, a Digital Asset, Were Securities Release No.:2017-131
Published date grouping:July 2017 Date: Title: SEC Announces $2.5 Million Whistleblower Award Release No.:2017-130
Published date grouping:July 2017 Date: Title: SEC Names Bryan Wood as Director of the Office of Legislative and Intergovernmental Affairs Release No.:2017-129
Published date grouping:July 2017 Date: Title: Federal Regulatory Agencies Announce Coordination of Reviews for Certain Foreign Funds Under Volcker Rule Release No.:2017-128
Published date grouping:July 2017 Date: Title: SEC Bars Lawyer Who Committed Fraud Release No.:2017-127
Published date grouping:July 2017 Date: Title: SEC Announces Christopher Hetner as Senior Advisor to the Chairman for Cybersecurity Policy Release No.:2017-126
Published date grouping:July 2017 Date: Title: SEC Files Insider Trading Charges Against Research Scientist Aiming to Avoid SEC Detection Release No.:2017-125
Published date grouping:July 2017 Date: Title: SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors Release No.:2017-124
Published date grouping:June 2017 Date: Title: SEC Files Fraud Charges in Bitcoin and Office Space Investment Schemes Release No.:2017-123
Published date grouping:June 2017 Date: Title: SEC Charges Information Technology Company and Former Executives With Accounting Fraud Release No.:2017-122
Published date grouping:June 2017 Date: Title: SEC's Division of Corporation Finance Expands Popular JOBS Act Benefit to All Companies Release No.:2017-121
Published date grouping:June 2017 Date: Title: SEC Charges Oil and Gas Company and Top Finance Executives with Accounting Fraud Release No.:2017-120
Published date grouping:June 2017 Date: Title: Additional Charges Announced in Case Involving Pre-Released ADRs Release No.:2017-119
Published date grouping:June 2017 Date: Title: Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance Release No.:2017-118
Published date grouping:June 2017 Date: Title: Kelly L. Gibson Named as Associate Regional Director for Enforcement in the SEC’s Philadelphia Office Release No.:2017-117
Published date grouping:June 2017 Date: Title: Kathryn A. Pyszka Named as Associate Regional Director for Enforcement in the SEC’s Chicago Office Release No.:2017-116
Published date grouping:June 2017 Date: Title: Keith Cassidy Named Associate Director of Technology Controls Program in OCIE Release No.:2017-115
Published date grouping:June 2017 Date: Title: SEC Announces Agenda for June 22 Investor Advisory Committee Meeting Release No.:2017-114
Published date grouping:June 2017 Date: Title: SEC Names Stephanie Avakian and Steven Peikin as Co-Directors of Enforcement Release No.:2017-113
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