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 2013 Date: Title: SEC Says Social Media OK for Company Announcements if Investors Are Alerted Release No.:2013-51
Published date grouping:March 2013 Date: Title: SEC Charges Sigma Capital Portfolio Manager with Insider Trading Release No.:2013-49
Published date grouping:March 2013 Date: Title: Foreign Traders Agree to Pay $3.3 Million to Settle Charges in Nexen Insider Trading Case Release No.:2013-50
Published date grouping:March 2013 Date: Title: SEC Announces Agenda for Fixed Income Roundtable Release No.:2013-48
Published date grouping:March 2013 Date: Title: SEC Charges California-Based Hedge Fund Analyst and Two Others with Insider Trading Release No.:2013-47
Published date grouping:March 2013 Date: Title: SEC Charges Hedge Fund Manager and Brokerage CEO with Fraud Release No.:2013-46
Published date grouping:March 2013 Date: Title: SEC Charges Rengan Rajaratnam with Insider Trading Release No.:2013-45
Published date grouping:March 2013 Date: Title: SEC Charges Financier with Stealing Investor Funds in Purported Offerings of Pre-IPO Facebook Shares Release No.:2013-44
Published date grouping:March 2013 Date: Title: SEC Obtains Asset Freeze Against Massachusetts-Based Investment Adviser Stealing Money from Clients Release No.:2013-43
Published date grouping:March 2013 Date: Title: SEC Charges Hedge Fund Firm Sigma Capital with Insider Trading Release No.:2013-42
Published date grouping:March 2013 Date: Title: SEC Charges San Diego Lawyers and Others in an International Market Manipulation Scheme Release No.:2013-39
Published date grouping:March 2013 Date: Title: CR Intrinsic Agrees to Pay More than $600 Million in Largest-Ever Settlement for Insider Trading Case Release No.:2013-41
Published date grouping:March 2013 Date: Title: SEC Issues Guidance Update on Social Media Filings by Investment Companies Release No.:2013-40
Published date grouping:March 2013 Date: Title: SEC Charges Private Equity Firm, Former Executive, and Consultant for Improperly Soliciting Investments Release No.:2013-36
Published date grouping:March 2013 Date: Title: SEC Charges Illinois for Misleading Pension Disclosures Release No.:2013-37
Published date grouping:March 2013 Date: Title: SEC Charges New York-Based Private Equity Fund Advisers with Misleading Investors about Valuation and Performance Release No.:2013-38
Published date grouping:March 2013 Date: Title: SEC Charges California-Based Lawyer with Issuing Fraudulent Legal Opinion Letters Release No.:2013-34
Published date grouping:March 2013 Date: Title: SEC Proposes Rules to Improve Systems Compliance and Integrity Release No.:2013-35
Published date grouping:March 2013 Date: Title: SEC Issues Risk Alert and Investor Bulletin on Investment Adviser Custody Rule Release No.:2013-33
Published date grouping:March 2013 Date: Title: Steven Harris and Jay Hanson Reappointed to PCAOB Release No.:2013-31
Published date grouping:March 2013 Date: Title: SEC Seeks Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisers Release No.:2013-32
Published date grouping:February 2013 Date: Title: China-Based Company and Former CFO to Pay Penalties for Disclosure and Accounting Violations Release No.:2013-30
Published date grouping:February 2013 Date: Title: SEC to Hold Fixed Income Roundtable Release No.:2013-29
Published date grouping:February 2013 Date: Title: SEC to Host Credit Ratings Roundtable Release No.:2013-27
Published date grouping:February 2013 Date: Title: SEC Charges Connecticut-Based Hedge Fund Managers with Fraud Release No.:2013-28
Published date grouping:February 2013 Date: Title: SEC Announces 2013 Examination Priorities Release No.:2013-26
Published date grouping:February 2013 Date: Title: SEC Charges Virgin Islands-Based Investment Adviser with Defrauding Clients Release No.:2013-25
Published date grouping:February 2013 Date: Title: SEC Freezes Assets in Swiss-Based Account Used in Suspected Insider Trading Ahead of Heinz Acquisition Release No.:2013-24
Published date grouping:February 2013 Date: Title: Director of International Affairs Ethiopis Tafara to Leave SEC Release No.:2013-22
Published date grouping:February 2013 Date: Title: SEC Charges N.Y.-Based Brokerage Firm with Defrauding Investors in a Clean Energy Company to Earn Lucrative Commissions Release No.:2013-23
Published date grouping:February 2013 Date: Title: SEC Approves 2013 PCAOB Budget and Accounting Support Fee Release No.:2013-21
Published date grouping:February 2013 Date: Title: SEC Halts $150 Million Investment Scheme to Dupe Foreign Investors and Exploit Immigration Program Release No.:2013-20
Published date grouping:February 2013 Date: Title: SEC Charges Husband and Wife in Florida with Defrauding Seniors Investing in Purported Charity Release No.:2013-19
Published date grouping:January 2013 Date: Title: David P. Bergers Named Acting Deputy Director of Enforcement Release No.:2013-18
Published date grouping:January 2013 Date: Title: George S. Canellos Named Acting Director of Enforcement Release No.:2013-17
Published date grouping:January 2013 Date: Title: SEC Announces Panelists for Roundtable on Decimalization Release No.:2013-16
Published date grouping:January 2013 Date: Title: SEC Charges Real Estate Executives in Florida-Based $300 Million Investment Scheme Release No.:2013-15
Published date grouping:January 2013 Date: Title: SEC Charges Trader in Houston-Area Investment Scheme Targeting Lebanese and Druze Communities Release No.:2013-13
Published date grouping:January 2013 Date: Title: SEC Names Carl W. Hoecker as Inspector General Release No.:2013-14
Published date grouping:January 2013 Date: Title: SEC Charges Former Jefferies Executive with Defrauding Investors in Mortgage-Backed Securities Release No.:2013-12
Published date grouping:January 2013 Date: Title: SEC Announces Agenda for Feb. 1 Meeting of Advisory Committee on Small and Emerging Companies Release No.:2013-11
Published date grouping:January 2013 Date: Title: SEC Charges Florida-Based Financial Adviser with Illegally Tipping Inside Information Release No.:2013-10
Published date grouping:January 2013 Date: Title: SEC to Hold National Compliance Event for Broker-Dealers Release No.:2013-9
Published date grouping:January 2013 Date: Title: Egan-Jones and Founder Sean Egan Agree to 18-Month Bars from Rating Asset-Backed and Government Securities Issuers as NRSRO Release No.:2013-7
Published date grouping:January 2013 Date: Title: Vincente Martinez Named Chief of SEC's Office of Market Intelligence Release No.:2013-8
Published date grouping:January 2013 Date: Title: SEC Names Gregg E. Berman as Associate Director of the Office of Analytics and Research Release No.:2013-6
Published date grouping:January 2013 Date: Title: David Grim Named Deputy Director of SEC's Division of Investment Management Release No.:2013-5
Published date grouping:January 2013 Date: Title: SEC Charges Two KPMG Auditors for Failed Audit of Nebraska Bank Hiding Loan Losses During Financial Crisis Release No.:2013-2
Published date grouping:January 2013 Date: Title: SEC Charges Three Former Bank Executives in Virginia for Understating Loan Losses During Financial Crisis Release No.:2013-4
Published date grouping:January 2013 Date: Title: Enforcement Director Robert Khuzami to Leave SEC Release No.:2013-3
Published date grouping:January 2013 Date: Title: SEC Names Geoffrey Aronow as General Counsel Release No.:2013-1
Published date grouping:December 2012 Date: Title: SEC Charges Research Analyst with Trading and Tipping Ahead of IBM-SPSS Merger Release No.:2012-280
Published date grouping:December 2012 Date: Title: SEC Issues Investor Bulletin to Help Investors Assess Municipal Bond Credit Risk Release No.:2012-279
Published date grouping:December 2012 Date: Title: SEC Approves New Rules Regarding Lost Holders of Securities Release No.:2012-277
Published date grouping:December 2012 Date: Title: SEC Announces Agenda for Roundtable on Decimalization Release No.:2012-274
Published date grouping:December 2012 Date: Title: Paul Beswick Named SEC Chief Accountant Release No.:2012-275
Published date grouping:December 2012 Date: Title: SEC Charges Four Penny Stock Purchasers with Fraud Release No.:2012-278
Published date grouping:December 2012 Date: Title: SEC Bans Arizona-Based Investment Adviser from Securities Industry for Fraudulent Actions in Mutual Fund Collapse Release No.:2012-276
Published date grouping:December 2012 Date: Title: SEC Charges Eli Lilly and Company with FCPA Violations Release No.:2012-273
Published date grouping:December 2012 Date: Title: SEC Charges Advisory Firms and Portfolio Managers for Roles in Collapse of Midwest-Based Closed-End Fund Release No.:2012-272
Published date grouping:December 2012 Date: Title: SEC Charges Financial Media Company and Executives Involved in Accounting Fraud Release No.:2012-270
Published date grouping:December 2012 Date: Title: SEC Revokes Registration of Toronto-Based Broker and Bans Two Executives from U.S. Securities Industry for Allowing Layering Release No.:2012-271
Published date grouping:December 2012 Date: Title: John Ramsay Named Acting Director of SEC's Division of Trading and Markets Release No.:2012-268
Published date grouping:December 2012 Date: Title: Lona Nallengara Named Acting Director of SEC's Division of Corporation Finance Release No.:2012-269
Published date grouping:December 2012 Date: Title: SEC Charges Connecticut-Based Adviser for "Skin in the Game" Misstatements About CDOs Release No.:2012-267
Published date grouping:December 2012 Date: Title: SEC Charges Germany-Based Allianz SE with FCPA Violations Release No.:2012-266
Published date grouping:December 2012 Date: Title: Danforth Townley Named Attorney Fellow in SEC's Division of Investment Management Release No.:2012-265
Published date grouping:December 2012 Date: Title: SEC Chief of Staff Didem A. Nisanci to Leave Agency Release No.:2012-263
Published date grouping:December 2012 Date: Title: Hedge Fund Manager to Pay $44 Million for Illegal Trading in Chinese Bank Stocks Release No.:2012-264
Published date grouping:December 2012 Date: Title: SEC Charges New York-Based Fund Manager with Conducting Fraudulent Trading Schemes Release No.:2012-261
Published date grouping:December 2012 Date: Title: Jennifer McHugh Named Senior Advisor in SEC's Division of Investment Management Release No.:2012-260
Published date grouping:December 2012 Date: Title: SEC Charges Eight Mutual Fund Directors for Failure to Properly Oversee Asset Valuation Release No.:2012-259
Published date grouping:December 2012 Date: Title: SEC Charges New Jersey-Based Consultant to Chinese Reverse Merger Companies with Violating Securities Laws Release No.:2012-262
Published date grouping:December 2012 Date: Title: SEC Charges Florida-Based Lawyer with Forging Attorney Opinion Letters for Microcap Stocks Release No.:2012-257
Published date grouping:December 2012 Date: Title: SEC Charges Prominent Entrepreneur in Miami-Based Scheme Release No.:2012-258
Published date grouping:December 2012 Date: Title: SEC Completes 18th Annual International Enforcement Institute Release No.:2012-256
Published date grouping:December 2012 Date: Title: Trading and Markets Director Robert Cook to Leave SEC Release No.:2012-253
Published date grouping:December 2012 Date: Title: SEC Charges 10 in Insider Trading Ring Around Investment Banker's Illegal Tips on Impending Mergers Release No.:2012-255
Published date grouping:December 2012 Date: Title: General Counsel Mark Cahn to Leave SEC Release No.:2012-254
Published date grouping:December 2012 Date: Title: Joint Press Statement of Leaders on Operating Principles and Areas of Exploration in the Regulation of the Cross-Border OTC Derivatives Market Release No.:2012-251
Published date grouping:December 2012 Date: Title: Division of Corporation Finance Director Meredith Cross to Leave SEC Release No.:2012-252
Published date grouping:December 2012 Date: Title: SEC Charges China Affiliates of Big Four Accounting Firms with Violating U.S. Securities Laws in Refusing to Produce Documents Release No.:2012-249
Published date grouping:December 2012 Date: Title: SEC Staff to Host Decimalization Roundtable Release No.:2012-250
Published date grouping:November 2012 Date: Title: SEC Charges Connecticut-Based Business Executive with Insider Trading During Bidding Process Release No.:2012-247
Published date grouping:November 2012 Date: Title: Brazilian Ex-Banker to Pay $5.1 Million for Insider Trading in Burger King Stock Release No.:2012-248
Published date grouping:November 2012 Date: Title: SEC Charges Two Brokers with Insider Trading Ahead of IBM-SPSS Merger for $1 Million Profit Release No.:2012-245
Published date grouping:November 2012 Date: Title: SEC Charges Chicago-Based Investment Adviser With Defrauding Investors In Failing Private Equity Fund Release No.:2012-244
Published date grouping:November 2012 Date: Title: SEC Names Todd K. Scharf as Chief Information Security Officer and Associate Director in Its Office of Information Technology Release No.:2012-246
Published date grouping:November 2012 Date: Title: SEC Charges Oil Company CEO as Source in Insider Trading Case Release No.:2012-243
Published date grouping:November 2012 Date: Title: SEC Charges New York-Based Fund Executives for Overvaluing Assets During Financial Crisis Release No.:2012-242
Published date grouping:November 2012 Date: Title: SEC Charges Four India-Based Brokerage Firms with Violating U.S. Registration Requirements Release No.:2012-241
Published date grouping:November 2012 Date: Title: SEC Chairman Mary Schapiro to Step Down Next Month Release No.:2012-240
Published date grouping:November 2012 Date: Title: Lorraine Echavarria Named Associate Regional Director to Lead Enforcement Program in SEC's Los Angeles Office Release No.:2012-239
Published date grouping:November 2012 Date: Title: SEC Charges Hedge Fund Firm CR Intrinsic and Two Others in $276 Million Insider Trading Scheme Involving Alzheimer's Drug Release No.:2012-237
Published date grouping:November 2012 Date: Title: SEC Sanctions Two Investment Advisers for Impeding Examinations Release No.:2012-238
Published date grouping:November 2012 Date: Title: SEC Charges New York-Based Fraudster Who Spent Investor Funds on Drugs and Gambling Release No.:2012-235
Published date grouping:November 2012 Date: Title: SEC Halts Prime Bank Scheme in Georgia Release No.:2012-236
Published date grouping:November 2012 Date: Title: SEC Charges Ring of High School Buddies with Insider Trading in Health Care Stocks Release No.:2012-234
Published date grouping:November 2012 Date: Title: SEC Charges J.P. Morgan and Credit Suisse With Misleading Investors in RMBS Offerings Release No.:2012-233
Published date grouping:November 2012 Date: Title: MassMutual to Pay $1.625 Million after SEC Investigation Highlights Prior Insufficient Disclosures about Annuity Product Release No.:2012-230
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