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: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 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 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 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: 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 Chief of Staff Didem A. Nisanci to Leave Agency Release No.:2012-263
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 Prominent Entrepreneur in Miami-Based Scheme Release No.:2012-258
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 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 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 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 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 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 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 J.P. Morgan and Credit Suisse With Misleading Investors in RMBS Offerings Release No.:2012-233
Published date grouping:November 2012 Date: Title: SEC Receives More Than 3,000 Whistleblower Tips in FY2012 Release No.:2012-229
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
Published date grouping:November 2012 Date: Title: Fee Rate Advisory #2 for Fiscal Year 2013 Release No.:2012-232
Published date grouping:November 2012 Date: Title: BP to Pay $525 Million Penalty to Settle SEC Charges of Securities Fraud During Deepwater Horizon Oil Spill Release No.:2012-231
Published date grouping:November 2012 Date: Title: SEC Issues Staff Summary Report of Examinations of Nationally Recognized Statistical Rating Organizations Release No.:2012-228
Published date grouping:November 2012 Date: Title: SEC and Justice Department Release FCPA Guide Release No.:2012-225
Published date grouping:November 2012 Date: Title: SEC Approves Further Regulatory Relief and Assistance for Hurricane Sandy Victims Release No.:2012-226
Published date grouping:November 2012 Date: Title: SEC's Enforcement Program Continues to Show Strong Results in Safeguarding Investors and Markets Release No.:2012-227
Published date grouping:November 2012 Date: Title: SEC Charges Miami-Based Adviser with Hiding Trading Losses and Diverting Client Funds Release No.:2012-224
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 Charges Baton Rouge-Based Investment Adviser with Hiding Losses From Mortgage-Backed Securities Investments Release No.:2012-222
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 Denver-Based Insurance Executive with Insider Trading Release No.:2012-217
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 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 Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2012-210
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: 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 Repeat Violator in South Florida with Fraudulently Offering Investments Tied to Oil Drilling Projects Release No.:2012-205
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: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 Issues Report on Brokerage Firms' Handling of Confidential Information Release No.:2012-200
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 Charges N.Y.-Based Brokerage Firm with Layering Release No.:2012-197
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 Tyco for Illicit Payments to Foreign Officials Release No.:2012-196
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 to Hold Annual Government-Business Forum on Small Business Capital Formation Release No.:2012-194
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: 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 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
  • Show
  • Items
1401 to 1500 of 1682 items