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: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 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 Reschedules Date of Market Technology Roundtable Release No.:2012-182
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 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 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 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 Florida Brokers for Defrauding Brazilian Public Pension Funds in Markup Scheme Release No.:2012-168
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 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: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: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 Announces Deferred Prosecution Agreement with Amish Fund Release No.:2012-138
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: 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 Adopts New Procedures for Reviewing Clearing Submissions Under Dodd-Frank Act Release No.:2012-124
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 Charges Long Island Software Company in Connection With Bribery Scheme Release No.:2012-123
Published date grouping:June 2012 Date: Title: Philip A. Falcone and Harbinger Charged with Securities Fraud Release No.:2012-122
Published date grouping:June 2012 Date: Title: SEC Charges Founder of Equity Research Firm with Insider Trading Release No.:2012-121
Published date grouping:June 2012 Date: Title: SEC Sues Fund Adviser for Fees Charged in Breach of Duty Under the Investment Company Act Release No.:2012-120
Published date grouping:June 2012 Date: Title: SEC Halts $100 Million Real-Estate Based Ponzi Scheme Release No.:2012-119
Published date grouping:June 2012 Date: Title: SEC Charges Florida Broker in Astrology-Based Ponzi Scheme Release No.:2012-118
Published date grouping:June 2012 Date: Title: SEC Charges Two New Jersey-Based Firms and Owner in Stock-Lending Scheme Release No.:2012-117
Published date grouping:June 2012 Date: Title: SEC Chief Accountant James Kroeker to Leave the Commission Release No.:2012-116
Published date grouping:June 2012 Date: Title: SEC Adopts Rule Requiring Listing Standards for Compensation Committees and Compensation Advisers Release No.:2012-115
Published date grouping:June 2012 Date: Title: SEC Names Thomas Butler as Director of New Office of Credit Ratings Release No.:2012-113
Published date grouping:June 2012 Date: Title: Director of Division of Investment Management Eileen Rominger to Retire Release No.:2012-114
Published date grouping:June 2012 Date: Title: SEC Charges 14 Sales Agents In $415 Million Long Island-Based Ponzi Scheme Release No.:2012-112
Published date grouping:June 2012 Date: Title: SEC Issues "Roadmap" on Phase in of Derivatives Regulation Release No.:2012-111
Published date grouping:June 2012 Date: Title: OppenheimerFunds to Pay $35 Million to Settle SEC Charges for Misleading Statements During Financial Crisis Release No.:2012-110
Published date grouping:June 2012 Date: Title: SEC Advisory Committee on Small and Emerging Companies to Meet on June 8 Release No.:2012-109
Published date grouping:June 2012 Date: Title: SEC Charges Company Officers and Penny Stock Promoters in Kickback and Market Manipulation Schemes Release No.:2012-108
Published date grouping:June 2012 Date: Title: SEC Approves Proposals to Address Extraordinary Volatility in Individual Stocks and Broader Stock Market Release No.:2012-107
Published date grouping:May 2012 Date: Title: Jon Rymer Named Interim Inspector General Release No.:2012-106
Published date grouping:May 2012 Date: Title: SEC Charges Phoenix-Based Investment Adviser and Firm With Fraud Release No.:2012-105
Published date grouping:May 2012 Date: Title: Miami Hedge Fund Adviser Charged for Misleading Investors About "Skin in the Game" and Related-Party Deals Release No.:2012-104
Published date grouping:May 2012 Date: Title: SEC Halts Fraudulent Investment Scheme by New York-Based Fund Manager Release No.:2012-103
Published date grouping:May 2012 Date: Title: SEC Charges Northern California Fund Manager in $60 Million Scheme Release No.:2012-101
Published date grouping:May 2012 Date: Title: SEC Bars Former Staffer From Practice Before the Commission Release No.:2012-102
Published date grouping:May 2012 Date: Title: SEC Charges Two Feeders for One of South Florida's Largest-Ever Ponzi Schemes Release No.:2012-100
Published date grouping:May 2012 Date: Title: SEC Charges Former Yahoo Executive and Former Ameriprise Manager with Insider Trading Release No.:2012-99
Published date grouping:May 2012 Date: Title: James McNamara Named Managing Executive of SEC's Division of Trading And Markets Release No.:2012-98
Published date grouping:May 2012 Date: Title: SEC Charges New Jersey Man in Real Estate Investment Scam Release No.:2012-94
Published date grouping:May 2012 Date: Title: SEC Charges Seattle-Based Fund Manager for Secretly Diverting Client Funds to His Own Start-Up Companies Release No.:2012-95
Published date grouping:May 2012 Date: Title: James Burns Named Deputy Director in SEC's Division of Trading and Markets Release No.:2012-96
Published date grouping:May 2012 Date: Title: Erica Williams Named SEC's Deputy Chief of Staff Release No.:2012-97
Published date grouping:May 2012 Date: Title: SEC Charges U.S. Perpetrators in $35 Million International Boiler Room Scheme Release No.:2012-93
Published date grouping:May 2012 Date: Title: SEC Charges China-Based Company and Executive for Concealing Loans to Benefit His Family Release No.:2012-92
Published date grouping:May 2012 Date: Title: SEC Microcap Fraud-Fighting Initiative Expels 379 Dormant Shell Companies to Protect Investors From Potential Scams Release No.:2012-91
Published date grouping:May 2012 Date: Title: SEC Charges Scotland-Based Firm for Improperly Boosting Hedge Fund Client at Expense of U.S. Fund Investors Release No.:2012-90
Published date grouping:May 2012 Date: Title: SEC Charges Deloitte & Touche in Shanghai with Violating U.S. Securities Laws in Refusal to Produce Documents Release No.:2012-87
Published date grouping:May 2012 Date: Title: SEC Charges New York Man With Manipulating Biopharmaceutical Stocks and Conducting Unregistered Sales of Securities Release No.:2012-89
Published date grouping:May 2012 Date: Title: SEC Charges Former Detroit Officials and Investment Adviser to City Pension Funds in Influence Peddling Scheme Release No.:2012-88
Published date grouping:May 2012 Date: Title: SEC Charges Movie Producer and Ring of Relatives and Business Partners with Insider Trading Release No.:2012-86
Published date grouping:May 2012 Date: Title: Joint Statement on Regulation of OTC Derivatives Markets Release No.:2012-85
Published date grouping:May 2012 Date: Title: SEC Charges Montana-Based Paralegal and Her Father in Insider Trading Scheme Release No.:2012-84
Published date grouping:May 2012 Date: Title: SEC Reopens Comment Period for Proposed Amendments to Its Net Capital, Customer Protection, Books and Records, and Notification Rules for Broker-Dealers Release No.:2012-83
  • Show
  • Items
1501 to 1600 of 1682 items