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: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: 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:August 2012 Date: Title: SEC Names John Cross Director of Municipal Securities Office Release No.:2012-149
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 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 Chicago-Based Consulting Firm and Executives With Accounting Violations Release No.:2012-142
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 Two New Jersey-Based Firms and Owner in Stock-Lending Scheme Release No.:2012-117
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 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: James Burns Named Deputy Director in SEC's Division of Trading and Markets Release No.:2012-96
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: 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 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 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 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 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
Published date grouping:May 2012 Date: Title: SEC Charges Florida Stock Scheme Mastermind and 10 Cohorts Release No.:2012-82
Published date grouping:May 2012 Date: Title: SEC Charges UBS Puerto Rico and Two Executives with Defrauding Fund Customers Release No.:2012-81
Published date grouping:April 2012 Date: Title: SEC Charges Mother, Daughter, and Their Attorney in Illegal Penny Stock Scheme Release No.:2012-80
Published date grouping:April 2012 Date: Title: George Canellos Named Deputy Director of SEC Enforcement Division Release No.:2012-79
Published date grouping:April 2012 Date: Title: Attorney, Wall Street Trader, and Middleman Settle SEC Charges in $32 Million Insider Trading Case Release No.:2012-77
Published date grouping:April 2012 Date: Title: SEC Charges Former Morgan Stanley Executive with FCPA Violations and Investment Adviser Fraud Release No.:2012-78
Published date grouping:April 2012 Date: Title: Egan-Jones Ratings Co. and Sean Egan Charged with Making Material Misrepresentations to SEC Release No.:2012-75
Published date grouping:April 2012 Date: Title: H&R Block Subsidiary Agrees to Pay $28.2 Million to Settle SEC Charges Related to Subprime Mortgage Investments Release No.:2012-76
Published date grouping:April 2012 Date: Title: SEC Charges Former CalPERS CEO and Friend With Falsifying Letters in $20 Million Placement Agent Fee Scheme Release No.:2012-73
Published date grouping:April 2012 Date: Title: SEC Charges Chinese Company and Executives with Lying About Asset Values and Use of IPO Proceeds Release No.:2012-74
Published date grouping:April 2012 Date: Title: SEC Charges British Twin Brothers Touting "Stock Picking Robot" in Internet Pump-and-Dump Scheme Release No.:2012-72
Published date grouping:April 2012 Date: Title: SEC Charges Father-and-Son Hedge Fund Managers Who Agree to Pay $4.8 Million to Settle Fraud Case Release No.:2012-71
Published date grouping:April 2012 Date: Title: SEC Names Diane C. Blizzard as Associate Director for Regulatory Policy and Investment Adviser Regulation Release No.:2012-69
Published date grouping:April 2012 Date: Title: Volcker Rule Conformance Period Clarified Release No.:2012-70
Published date grouping:April 2012 Date: Title: SEC Charges Ox Trading, optionsXpress, and Former CFO With Registration Violations Release No.:2012-68
Published date grouping:April 2012 Date: Title: SEC Adopts Rule Defining Swaps-Related Terms for Regulating Derivatives Release No.:2012-67
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
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