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.

Email Subscription E-mail Updates: To sign up for updates, please enter your e-mail address below.

Published date grouping
Date
Title
Release No.
Published date grouping:November 2012 Date: Title: SEC Charges Executives and Auditor of Electronic Game Card Company with Fraud Release No.:2012-223
Published date grouping:November 2012 Date: Title: SEC Announces Agenda and Panelists for Small Business Forum Release No.:2012-221
Published date grouping:November 2012 Date: Title: SEC Announces Assistance to Filers Affected by Hurricane Sandy Release No.:2012-220
Published date grouping:October 2012 Date: Title: Chairman Schapiro Statement on Reopening of Securities Markets Release No.:2012-219
Published date grouping:October 2012 Date: Title: Stop Order Proceedings Instituted Against Caribbean Pacific Marketing Release No.:2012-218
Published date grouping:October 2012 Date: Title: SEC Charges Silicon Valley Executive for Role in Galleon Insider Trading Scheme Release No.:2012-216
Published date grouping:October 2012 Date: Title: SEC Charges Denver-Based Insurance Executive with Insider Trading Release No.:2012-217
Published date grouping:October 2012 Date: Title: SEC Adopts Standards for Risk Management and Operations of Clearing Agencies Release No.:2012-215
Published date grouping:October 2012 Date: Title: More Than 1,500 Private Fund Advisers Registered With the SEC Since Passage of the Financial Reform Law Release No.:2012-214
Published date grouping:October 2012 Date: Title: Hong Kong Firm to Pay $14 Million to Settle Insider Trading Charges Release No.:2012-212
Published date grouping:October 2012 Date: Title: SEC Charges Trio in ".44 MAGNUM" Investment Scheme Release No.:2012-213
Published date grouping:October 2012 Date: Title: SEC Charges Hedge Fund Adviser and Two Executives With Fraud in Continuing Probe of Suspicious Fund Performance Release No.:2012-209
Published date grouping:October 2012 Date: Title: Andrew Calamari Named Director of New York Regional Office Release No.:2012-211
Published date grouping:October 2012 Date: Title: SEC Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2012-210
Published date grouping:October 2012 Date: Title: Pamela Dyson Named SEC's Deputy Chief Information Officer Release No.:2012-208
Published date grouping:October 2012 Date: Title: SEC Charges Four Brokers With Defrauding Customers in $18.7 Million Scheme Release No.:2012-207
Published date grouping:October 2012 Date: Title: SEC Charges Hedge Fund Managers with Defrauding Investors Release No.:2012-206
Published date grouping:October 2012 Date: Title: SEC Charges Boston-Based Dark Pool Operator for Failing to Protect Confidential Information Release No.:2012-204
Published date grouping:October 2012 Date: Title: SEC Charges Repeat Violator in South Florida with Fraudulently Offering Investments Tied to Oil Drilling Projects Release No.:2012-205
Published date grouping:September 2012 Date: Title: SEC Announces Panelists for Market Technology Roundtable on October 2 Release No.:2012-202
Published date grouping:September 2012 Date: Title: SEC Charges Financial Executive in Minnesota with Diverting Company Dollars to Pay Unauthorized Entertainment Expenses Release No.:2012-203
Published date grouping:September 2012 Date: Title: SEC Charges Goldman Sachs and Former Vice President in Pay-to-Play Probe Involving Contributions to Former Massachusetts State Treasurer Release No.:2012-199
Published date grouping:September 2012 Date: Title: SEC Charges Investment Bank Analyst with Illegally Tipping College Friend About Nonpublic Merger Deals Release No.:2012-201
Published date grouping:September 2012 Date: Title: SEC Issues Report on Brokerage Firms' Handling of Confidential Information Release No.:2012-200
Published date grouping:September 2012 Date: Title: SEC Charges Bank Executives in Nebraska With Understating Losses During Financial Crisis Release No.:2012-198
Published date grouping:September 2012 Date: Title: SEC Charges N.Y.-Based Brokerage Firm with Layering Release No.:2012-197
Published date grouping:September 2012 Date: Title: SEC Charges Tyco for Illicit Payments to Foreign Officials Release No.:2012-196
Published date grouping:September 2012 Date: Title: SEC to Hold Annual Government-Business Forum on Small Business Capital Formation Release No.:2012-194
Published date grouping:September 2012 Date: Title: SEC Freezes Assets of Insider Trader in Burger King Stock Release No.:2012-195
Published date grouping:September 2012 Date: Title: SEC Charges Three in North Carolina With Insider Trading Release No.:2012-193
Published date grouping:September 2012 Date: Title: SEC Charges Atlanta-Based Adviser with Operating Ponzi-Like Scheme Involving Private Investment Funds Release No.:2012-192
Published date grouping:September 2012 Date: Title: SEC Charges Chicago-Based Investment Firm with Misleading Investors in Private Equity Offerings Release No.:2012-191
Published date grouping:September 2012 Date: Title: SEC Charges Former Systemax Director in Compensation Scheme Release No.:2012-190
Published date grouping:September 2012 Date: Title: SEC Charges New York Stock Exchange for Improper Distribution of Market Data Release No.:2012-189
Published date grouping:September 2012 Date: Title: SEC Charges Connecticut-Based Broker with Stealing Investor Funds to Pay Mortgage and Shopping Bills Release No.:2012-188
Published date grouping:September 2012 Date: Title: Andrew Bowden Named Deputy Director in the SEC's Office of Compliance Inspections and Examinations Release No.:2012-187
Published date grouping:September 2012 Date: Title: SEC Charges Atlanta-Based Firm for Compliance Failures as Brokers Churned Customer Accounts Release No.:2012-186
Published date grouping:September 2012 Date: Title: SEC Charges Asset Manager Lied to Investors, Hid Major Losses While Boasting Remarkable Performance During Financial Crisis Release No.:2012-185
Published date grouping:September 2012 Date: Title: SEC Shuts Down San Diego-Based Real Estate Investment Fraud Release No.:2012-183
Published date grouping:September 2012 Date: Title: N.Y.-Based Investment Advisory Firm and Founder Settle SEC Charges for Fraudulent Management of CDOS Release No.:2012-184
Published date grouping:September 2012 Date: Title: SEC Charges Solar Manufacturer With Concealing Agreement to Transfer Ownership Stake in Its Chinese Subsidiary Release No.:2012-181
Published date grouping:September 2012 Date: Title: SEC Charges Oregon-Based Investment Adviser for Failing to Disclose Revenue Sharing Payments Release No.:2012-180
Published date grouping:September 2012 Date: Title: SEC Reschedules Date of Market Technology Roundtable Release No.:2012-182
Published date grouping:September 2012 Date: Title: SEC Charges Attorney and Two Other South Florida Residents in $27.5 Million Investment Fraud Release No.:2012-178
Published date grouping:September 2012 Date: Title: SEC Charges Public Relations Executive With Insider Trading in Client's Stock Release No.:2012-179
Published date grouping:September 2012 Date: Title: SEC Charges Radio Personality for Conducting Misleading Investment Seminars Release No.:2012-177
Published date grouping:September 2012 Date: Title: SEC Charges California Man for Illegal Tips to Hedge Fund Manager Release No.:2012-176
Published date grouping:September 2012 Date: Title: SEC Charges China-Based Company and Top Executive with Inflating Financial Results through Phony Sales Release No.:2012-175
Published date grouping:August 2012 Date: Title: SEC Issues Risk Alert on "Pay-To-Play" Prohibitions Under MSRB Rules Release No.:2012-173
Published date grouping:August 2012 Date: Title: Fee Rate Advisory #1 for Fiscal Year 2013 Release No.:2012-174
Published date grouping:August 2012 Date: Title: SEC Issues Financial Literacy Study Mandated by the Dodd-Frank Act Release No.:2012-172
Published date grouping:August 2012 Date: Title: SEC Charges Florida Brokers for Defrauding Brazilian Public Pension Funds in Markup Scheme Release No.:2012-168
Published date grouping:August 2012 Date: Title: SEC Proposes Rules to Implement JOBS Act Provision About General Solicitation and Advertising in Securities Offerings Release No.:2012-170
Published date grouping:August 2012 Date: Title: SEC Announces Advisory Committee Meeting in San Francisco to Discuss Small Business Issues Release No.:2012-169
Published date grouping:August 2012 Date: Title: SEC Announces Agenda For Market Technology Roundtable Release No.:2012-171
Published date grouping:August 2012 Date: Title: SEC Charges Eight in Georgia-Based Insider Trading Ring Release No.:2012-167
Published date grouping:August 2012 Date: Title: SEC Charges New York-Based Firm and Owner in Penny Stock Scheme Release No.:2012-165
Published date grouping:August 2012 Date: Title: SEC Adopts Rule for Disclosing Use of Conflict Minerals Release No.:2012-163
Published date grouping:August 2012 Date: Title: Statement of SEC Chairman Mary L. Schapiro on Money Market Fund Reform Release No.:2012-166
Published date grouping:August 2012 Date: Title: SEC Adopts Rules Requiring Payment Disclosures by Resource Extraction Issuers Release No.:2012-164
Published date grouping:August 2012 Date: Title: SEC Issues First Whistleblower Program Award Release No.:2012-162
Published date grouping:August 2012 Date: Title: SEC Brings Charges in Puerto Rico-Based Ponzi Scheme Targeting Evangelical Christians and Factory Workers Release No.:2012-161
Published date grouping:August 2012 Date: Title: SEC Shuts Down $600 Million Online Pyramid and Ponzi Scheme Release No.:2012-160
Published date grouping:August 2012 Date: Title: New Charges in Insider Trading Case Include Former CEO and Professional Baseball Player Release No.:2012-159
Published date grouping:August 2012 Date: Title: SEC Charges Oracle Corporation With FCPA Violations Related to Secret Side Funds in India Release No.:2012-158
Published date grouping:August 2012 Date: Title: SEC Charges College Football Hall of Fame Coach in $80 Million Ponzi Scheme Release No.:2012-157
Published date grouping:August 2012 Date: Title: SEC Halts Denver-Based Ponzi Scheme Release No.:2012-156
Published date grouping:August 2012 Date: Title: SEC Charges Wells Fargo for Selling Complex Investments Without Disclosing Risks Release No.:2012-155
Published date grouping:August 2012 Date: Title: SEC Charges Mutual Fund Adviser With Failing to Turn Over Records to SEC Examiners Release No.:2012-154
Published date grouping:August 2012 Date: Title: SEC to Host Market Technology Roundtable Release No.:2012-153
Published date grouping:August 2012 Date: Title: SEC Charges Pfizer with FCPA Violations Release No.:2012-152
Published date grouping:August 2012 Date: Title: Chairman Schapiro Statement on Knight Capital Group Trading Issue Release No.:2012-151
Published date grouping:August 2012 Date: Title: SEC Charges Bristol-Myers Squibb Executive With Insider Trading in Stock Options of Potential Acquisition Targets Release No.:2012-148
Published date grouping:August 2012 Date: Title: SEC Names John Cross Director of Municipal Securities Office Release No.:2012-149
Published date grouping:August 2012 Date: Title: Deputy Director of Division of Investment Management Robert E. Plaze Retiring After Almost 30 Years at SEC Release No.:2012-150
Published date grouping:July 2012 Date: Title: SEC Recommends Improvements to Help Investors in Municipal Securities Market Release No.:2012-147
Published date grouping:July 2012 Date: Title: SEC Charges N.Y.-Based Fund Manager and Others With Securities Law Violations Related to Chinese Reverse Merger Company Release No.:2012-146
Published date grouping:July 2012 Date: Title: SEC Freezes Assets of Insider Traders in Nexen Acquisition Release No.:2012-145
Published date grouping:July 2012 Date: Title: SEC Charges Close Friend of Staffing Company CEO with Insider Trading Around Acquisition Release No.:2012-143
Published date grouping:July 2012 Date: Title: SEC Charges Phony Company President for Role in Facilitating Fake Investment in Penny Stock Company Release No.:2012-144
Published date grouping:July 2012 Date: Title: SEC Charges Chicago-Based Consulting Firm and Executives With Accounting Violations Release No.:2012-142
Published date grouping:July 2012 Date: Title: SEC Veteran Michele Wein Layne Named Director of Los Angeles Office Release No.:2012-140
Published date grouping:July 2012 Date: Title: SEC Charges CEO With Insider Trading in Secondary Offering of Company Stock Release No.:2012-141
Published date grouping:July 2012 Date: Title: SEC Charges Mizuho Securities USA with Misleading Investors by Obtaining False Credit Ratings for CDO Release No.:2012-139
Published date grouping:July 2012 Date: Title: SEC Announces Deferred Prosecution Agreement with Amish Fund Release No.:2012-138
Published date grouping:July 2012 Date: Title: Short Selling Brothers Agree to Pay $14.5 Million to Settle SEC Charges Release No.:2012-137
Published date grouping:July 2012 Date: Title: Paul A. Beswick Named Acting Chief Accountant Release No.:2012-136
Published date grouping:July 2012 Date: Title: SEC Staff Publishes Final Report on Work Plan for Global Accounting Standards Release No.:2012-135
Published date grouping:July 2012 Date: Title: SEC Approves New Rule Requiring Consolidated Audit Trail to Monitor and Analyze Trading Activity Release No.:2012-134
Published date grouping:July 2012 Date: Title: SEC Charges Five Physicians With Insider Trading in Stock of Medical Professional Liability Insurer Release No.:2012-132
Published date grouping:July 2012 Date: Title: SEC Charges Orthofix International With FCPA Violations Release No.:2012-133
Published date grouping:July 2012 Date: Title: SEC Approves Rules and Interpretations on Key Terms for Regulating Derivatives Release No.:2012-130
Published date grouping:July 2012 Date: Title: Paula Drake Named Chief Counsel and Chief Compliance and Ethics Officer of SEC's Office Of Compliance Inspections and Examinations Release No.:2012-131
Published date grouping:July 2012 Date: Title: SEC Names Norm Champ as Director of Division of Investment Management Release No.:2012-129
Published date grouping:July 2012 Date: Title: Ken C. Joseph Named Head of Investment Adviser/Investment Company Examination Program in SEC's New York Regional Office Release No.:2012-128
Published date grouping:July 2012 Date: Title: SEC Freezes Assets of Missing Georgia-Based Investment Adviser Release No.:2012-127
Published date grouping:June 2012 Date: Title: SEC Charges Peter Madoff With Fraud and False Statements to Regulators Release No.:2012-126
Published date grouping:June 2012 Date: Title: SEC Shuts Down $42 Million Ponzi-Like Scheme Release No.:2012-125
Published date grouping:June 2012 Date: Title: SEC Adopts New Procedures for Reviewing Clearing Submissions Under Dodd-Frank Act Release No.:2012-124
Published date grouping:June 2012 Date: Title: SEC Charges Long Island Software Company in Connection With Bribery Scheme Release No.:2012-123
  • Show
  • Items
1401 to 1500 of 1622 items