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 2012 Date: Title: CPSS and IOSCO Issue Final Report on Principles for Financial Market Infrastructures and Seek Comment on Two Consultative Documents Release No.:2012-65
Published date grouping:April 2012 Date: Title: SEC Charges optionsXpress and Five Individuals Involved in Abusive Naked Short Selling Scheme Release No.:2012-66
Published date grouping:April 2012 Date: Title: SEC Shuts Down Ponzi Scheme Targeting Persian-Jewish Community in Los Angeles Release No.:2012-64
Published date grouping:April 2012 Date: Title: SEC Charges Goldman, Sachs & Co. Lacked Adequate Policies and Procedures for Research "Huddles" Release No.:2012-61
Published date grouping:April 2012 Date: Title: Matthew Solomon Named Deputy Chief Litigation Counsel in SEC Enforcement Division Release No.:2012-63
Published date grouping:April 2012 Date: Title: SEC Charges Ponzi Schemer Targeting Church Congregations Release No.:2012-62
Published date grouping:April 2012 Date: Title: SEC Seeks Public Comment Prior to JOBS Act Rulemaking Release No.:2012-60
Published date grouping:April 2012 Date: Title: SEC Charges China-Based Company and Others with Stock Manipulation Release No.:2012-59
Published date grouping:April 2012 Date: Title: SEC Announces Members of New Investor Advisory Committee Release No.:2012-58
Published date grouping:April 2012 Date: Title: SEC Settles Fraud Charges Against Silicon Valley Man Release No.:2012-57
Published date grouping:April 2012 Date: Title: SEC Charges South Florida Man in Investment Fraud Scheme Release No.:2012-56
Published date grouping:April 2012 Date: Title: SEC Freezes Accounts of Six Chinese Citizens and One Offshore Entity Charged with Insider Trading Release No.:2012-54
Published date grouping:April 2012 Date: Title: SEC Charges Texas Bank Holding Company's CEO and CFO with Misleading Investors About Loan Quality and Financial Health During the Financial Crisis Release No.:2012-55
Published date grouping:April 2012 Date: Title: SEC Seeks Comment on Investor Testing Regarding Target Date Retirement Funds Release No.:2012-53
Published date grouping:April 2012 Date: Title: U.S. and Canadian Securities Regulators Discuss Closer Cooperation on Cross-Border Oversight Release No.:2012-52
Published date grouping:April 2012 Date: Title: SEC Sues Two Executives in Texas to Recover Bonuses and Stock Profits Received During Accounting Fraud Release No.:2012-51
Published date grouping:March 2012 Date: Title: SEC Charges Medical Device Company Biomet with Foreign Bribery Release No.:2012-50
Published date grouping:March 2012 Date: Title: SEC Establishes New Supervisory Cooperation Arrangements with Foreign Counterparts Release No.:2012-49
Published date grouping:March 2012 Date: Title: SEC Issues Risk Alert on Strengthening Practices for Underwriting of Municipal Securities, and Investor Bulletin on Municipal Bonds Release No.:2012-48
Published date grouping:March 2012 Date: Title: SEC Charges Senior Executives at California-Based Firm in Stock Lending Scheme Release No.:2012-46
Published date grouping:March 2012 Date: Title: SEC Charges Chicago-Based Management Consultant With Insider Trading Release No.:2012-44
Published date grouping:March 2012 Date: Title: Availability of Staff Analysis of Market Data Related to Credit Default Swap Transactions Release No.:2012-47
Published date grouping:March 2012 Date: Title: SEC Charges Bay Area Investment Adviser for Defrauding Investors With Bogus Audit Report Release No.:2012-45
Published date grouping:March 2012 Date: Title: SEC Announces Charges from Investigation of Secondary Market Trading of Private Company Shares Release No.:2012-43
Published date grouping:March 2012 Date: Title: SEC Charges Three Mortgage Executives With Fraudulent Accounting Maneuvers in Midst of Financial Crisis Release No.:2012-42
Published date grouping:March 2012 Date: Title: SEC Charges Five With Insider Trading on Confidential Merger Negotiations Between Philadelphia Company and Japanese Firm Release No.:2012-41
Published date grouping:March 2012 Date: Title: SEC Charges Former Executive at Coca-Cola Bottling Company with Insider Trading Release No.:2012-40
Published date grouping:March 2012 Date: Title: SEC Charges CEO of Las Vegas-Based Penny Stock Company and Several Consultants in Pump-and-Dump Scheme Release No.:2012-39
Published date grouping:March 2012 Date: Title: SEC Obtains Asset Freeze Against Long Island Investment Adviser Charged with Defrauding Investors Release No.:2012-38
Published date grouping:March 2012 Date: Title: Marshall Gandy Named Head of Examinations Program in SEC's Fort Worth Regional Office Release No.:2012-36
Published date grouping:March 2012 Date: Title: Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC Case Release No.:2012-37
Published date grouping:March 2012 Date: Title: Fee Rate Advisory #6 for Fiscal Year 2012 Release No.:2012-35
Published date grouping:February 2012 Date: Title: SEC Proposes Rules To Help Prevent And Detect Identity Theft Release No.:2012-34
Published date grouping:February 2012 Date: Title: SEC Releases Risk Alert on Unauthorized Trading Release No.:2012-33
Published date grouping:February 2012 Date: Title: SEC Charges Three Oil Services Executives With Bribing Customs Officials in Nigeria Release No.:2012-32
Published date grouping:February 2012 Date: Title: SEC Charges China-Based Executives with Securities Fraud Release No.:2012-31
Published date grouping:February 2012 Date: Title: SEC Charges Oregon-Based Expert Consulting Firm and Owner with Insider Trading in Technology Sector Release No.:2012-30
Published date grouping:February 2012 Date: Title: SEC Tightens Rules on Advisory Performance Fee Charges Release No.:2012-29
Published date grouping:February 2012 Date: Title: Director of L.A. Office Rosalind Tyson to Retire after 30 Years of SEC Service Release No.:2012-28
Published date grouping:February 2012 Date: Title: SEC Charges California Hedge Fund Manager Connected to Galleon Insider Trading Case Release No.:2012-27
Published date grouping:February 2012 Date: Title: SEC Charges Former Pharmaceutical Company Employee with Insider Trading on Biotech Deals Release No.:2012-26
Published date grouping:February 2012 Date: Title: SEC Charges Smith & Nephew PLC with Foreign Bribery Release No.:2012-25
Published date grouping:February 2012 Date: Title: SEC Names Jeanette M. Franzel to the Public Company Accounting Oversight Board Release No.:2012-24
Published date grouping:February 2012 Date: Title: SEC Charges Former Credit Suisse Investment Bankers in Subprime Bond Pricing Scheme During Credit Crisis Release No.:2012-23
Published date grouping:January 2012 Date: Title: SEC Charges Brothers With Short Selling Violations Release No.:2012-22
Published date grouping:January 2012 Date: Title: SEC Charges Former Executives and Accountants With Fraud at British Subsidiary of Medical Devices Company Release No.:2012-21
Published date grouping:January 2012 Date: Title: SEC Deputy Inspector General to Serve as Agency's Interim Inspector General Release No.:2012-20
Published date grouping:January 2012 Date: Title: SEC Charges Latvian Trader in Pervasive Brokerage Account Hijacking Scheme Release No.:2012-17
Published date grouping:January 2012 Date: Title: SEC Charges Boiler Room Operators in Florida-Based Penny Stock Manipulation Scheme Release No.:2012-18
Published date grouping:January 2012 Date: Title: SEC Advisory Committee on Small And Emerging Companies to Meet Wednesday Release No.:2012-19
Published date grouping:January 2012 Date: Title: Diamondback Capital Agrees to Settle SEC Insider Trading Charges Release No.:2012-16
Published date grouping:January 2012 Date: Title: Fee Rate Advisory #5 for Fiscal Year 2012 Release No.:2012-15
Published date grouping:January 2012 Date: Title: SEC Obtains Emergency Relief Against St. Louis-Based Private Investment Funds after Charging Them and Their Principal with Fraud Release No.:2012-14
Published date grouping:January 2012 Date: Title: SEC Seeks Public Comment for Financial Literacy Study Mandated by Dodd-Frank Act Release No.:2012-12
Published date grouping:January 2012 Date: Title: SEC Charges Fund Managers and Analysts in Insider Trading Scheme Release No.:2012-11
Published date grouping:January 2012 Date: Title: SEC Charges Florida Bank Holding Company and CEO with Misleading Investors about Loan Risks During Financial Crisis Release No.:2012-13
Published date grouping:January 2012 Date: Title: SEC Names Jane Norberg as Deputy Chief of Whistleblower Office Release No.:2012-10
Published date grouping:January 2012 Date: Title: SEC Inspector General H. David Kotz to Leave Commission Release No.:2012-9
Published date grouping:January 2012 Date: Title: SEC Charges UBS Global Asset Management for Pricing Violations in Mutual Fund Portfolios Release No.:2012-8
Published date grouping:January 2012 Date: Title: SEC Names Robert Fisher as Deputy Director in Office of International Affairs Release No.:2012-6
Published date grouping:January 2012 Date: Title: Texas-Based Accountant Pleads Guilty to Lying to SEC Investigators Release No.:2012-7
Published date grouping:January 2012 Date: Title: Administrative Law Judge Robert G. Mahony Retires After 46 Years of Federal Service Release No.:2012-5
Published date grouping:January 2012 Date: Title: SEC Charges Illinois-Based Adviser in Social Media Scam Release No.:2012-3
Published date grouping:January 2012 Date: Title: SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting Release No.:2012-4
Published date grouping:January 2012 Date: Title: SEC Names Pamela A. Gibbs as Director of the Office of Minority and Women Inclusion Release No.:2012-1
Published date grouping:January 2012 Date: Title: SEC Charges Life Settlements Firm and Three Executives with Disclosure and Accounting Fraud Release No.:2012-2
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