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:July 2016 Date: Title: SEC Obtains Asset Freeze in Case of Investor Funds Stolen for Shopping Sprees Release No.:2016-153
Published date grouping:July 2016 Date: Title: SEC: State Street Misled Custody Clients About Prices for Foreign Currency Exchange Trades Release No.:2016-152
Published date grouping:July 2016 Date: Title: LAN Airlines Settles FCPA Charges Release No.:2016-151
Published date grouping:July 2016 Date: Title: Vincente L. Martinez, Chief of Office of Market Intelligence, to Leave SEC Release No.:2016-150
Published date grouping:July 2016 Date: Title: Deputy Chief Accountant Brian T. Croteau to Leave SEC Release No.:2016-149
Published date grouping:July 2016 Date: Title: SEC Halts Ongoing Fraudulent Stock Scheme Release No.:2016-148
Published date grouping:July 2016 Date: Title: Accountant Suspended for Failing to Spot Fraud in Company Audit Release No.:2016-147
Published date grouping:July 2016 Date: Title: Wesley R. Bricker Named Interim Chief Accountant Release No.:2016-146
Published date grouping:July 2016 Date: Title: Kurt Gottschall Named Associate Regional Director in the SEC's Denver Regional Office Release No.:2016-145
Published date grouping:July 2016 Date: Title: SEC Announces Agenda for July 19 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2016-144
Published date grouping:July 2016 Date: Title: SEC Charges Investment Adviser With Failing to Clearly Disclose Additional Costs to Investors Release No.:2016-143
Published date grouping:July 2016 Date: Title: SEC Adopts Amendments to Rules of Practice for Administrative Proceedings Release No.:2016-142
Published date grouping:July 2016 Date: Title: SEC Proposes Amendments to Update and Simplify Disclosure Requirements As Part of Overall Disclosure Effectiveness Review Release No.:2016-141
Published date grouping:July 2016 Date: Title: SEC Proposes Rules to Enhance Order Handling Information Available to Investors Release No.:2016-140
Published date grouping:July 2016 Date: Title: SEC Adopts Additional Rules Related to Security-Based Swap Transaction Reporting Release No.:2016-139
Published date grouping:July 2016 Date: Title: SEC: Citigroup Provided Incomplete Blue Sheet Data for 15 Years Release No.:2016-138
Published date grouping:July 2016 Date: Title: SEC Announces New Investor Advisory Committee Members Release No.:2016-137
Published date grouping:July 2016 Date: Title: Sean McKessy, Chief of Whistleblower Office, to Leave SEC Release No.:2016-136
Published date grouping:June 2016 Date: Title: Paul Dudek, Chief of Office of International Corporate Finance, to Leave Agency Release No.:2016-135
Published date grouping:June 2016 Date: Title: C. Dabney O’Riordan Named as Co-Chief of the Asset Management Unit Release No.:2016-134
Published date grouping:June 2016 Date: Title: SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans Release No.:2016-133
Published date grouping:June 2016 Date: Title: SEC Adopts Rules for Resource Extraction Issuers Under Dodd-Frank Act Release No.:2016-132
Published date grouping:June 2016 Date: Title: SEC Proposes Amendments to Smaller Reporting Company Definition Release No.:2016-131
Published date grouping:June 2016 Date: Title: SEC Charges “Frack Master” With Running an $80 Million Oil and Gas Fraud Release No.:2016-130
Published date grouping:June 2016 Date: Title: Merrill Lynch Paying $10 Million Penalty for Misleading Investors in Structured Notes Release No.:2016-129
Published date grouping:June 2016 Date: Title: Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk Release No.:2016-128
Published date grouping:June 2016 Date: Title: SEC Sues UK-Based Trader for Account Intrusion Scheme Release No.:2016-127
Published date grouping:June 2016 Date: Title: SEC Charges Medical Device Manufacturer With FCPA Violations Release No.:2016-126
Published date grouping:June 2016 Date: Title: Former CEO of Chicago Charter School Operator Settles Muni-Bond Fraud Charges Release No.:2016-125
Published date grouping:June 2016 Date: Title: SEC Halts Scheme Defrauding Pro Athletes Release No.:2016-124
Published date grouping:June 2016 Date: Title: SEC Approves IEX Proposal to Launch National Exchange, Issues Interpretation on Automated Securities Prices Release No.:2016-123
Published date grouping:June 2016 Date: Title: SEC Proposes Rules to Modernize Property Disclosures for Mining Registrants Release No.:2016-122
Published date grouping:June 2016 Date: Title: Software Executive and Three Friends Charged With Insider Trading Release No.:2016-121
Published date grouping:June 2016 Date: Title: Private Fund Administrator Charged With Gatekeeper Failures Release No.:2016-120
Published date grouping:June 2016 Date: Title: Hedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme Release No.:2016-119
Published date grouping:June 2016 Date: Title: SEC: Muni Advisors Acted Deceptively With California School Districts Release No.:2016-118
Published date grouping:June 2016 Date: Title: SEC to Permit Voluntary Filing Using Inline XBRL Release No.:2016-117
Published date grouping:June 2016 Date: Title: Investment Fraud Victims Include Online Daters Release No.:2016-116
Published date grouping:June 2016 Date: Title: Consultant to Chinese Private Equity Firms Settles Insider Trading Charges Release No.:2016-115
Published date grouping:June 2016 Date: Title: SEC Issues $17 Million Whistleblower Award Release No.:2016-114
Published date grouping:June 2016 Date: Title: SEC: Ethiopia’s Electric Utility Sold Unregistered Bonds in U.S. Release No.:2016-113
Published date grouping:June 2016 Date: Title: SEC: Morgan Stanley Failed to Safeguard Customer Data Release No.:2016-112
Published date grouping:June 2016 Date: Title: SEC Adopts Trade Acknowledgment and Verification Rules for Security-Based Swap Transactions Release No.:2016-111
Published date grouping:June 2016 Date: Title: SEC Bars Corporate VP and Controller for False Accounting Release No.:2016-110
Published date grouping:June 2016 Date: Title: SEC Announces Two Non-Prosecution Agreements in FCPA Cases Release No.:2016-109
Published date grouping:June 2016 Date: Title: Childhood Friends Charged With Insider Trading in Pharmaceutical Stocks Release No.:2016-108
Published date grouping:June 2016 Date: Title: Stephen L. Cohen, Associate Director of Enforcement, to Leave SEC After Nearly 12 Years of Service Release No.:2016-107
Published date grouping:June 2016 Date: Title: SEC: Forex Trader Misrepresented Track Record and Hid Massive Losses Release No.:2016-106
Published date grouping:June 2016 Date: Title: SEC Halts EB-5 Scheme Stealing Investments in Cancer Center Release No.:2016-105
Published date grouping:June 2016 Date: Title: SEC: Adviser Steered Investor Money to His Own Companies Release No.:2016-104
Published date grouping:June 2016 Date: Title: SEC Names Christopher Hetner as Senior Advisor to the Chair for Cybersecurity Policy Release No.:2016-103
Published date grouping:June 2016 Date: Title: Brokerage Firm Charged With Anti-Money Laundering Failures Release No.:2016-102
Published date grouping:June 2016 Date: Title: SEC Adopts Amendment to Form 10-K Implementing FAST Act Provision Release No.:2016-101
Published date grouping:June 2016 Date: Title: SEC: Private Equity Fund Adviser Acted As Unregistered Broker Release No.:2016-100
Published date grouping:May 2016 Date: Title: SEC Halts Ponzi Scheme Aimed at Middle Class Release No.:2016-99
Published date grouping:May 2016 Date: Title: SEC: Nashville Firm Schemed to Collect Extra Fees From Hedge Funds Release No.:2016-98
Published date grouping:May 2016 Date: Title: Mortgage Company and Executives Settle Fraud Charges Release No.:2016-97
Published date grouping:May 2016 Date: Title: Investment Banker and Plumber Charged With Insider Trading Release No.:2016-96
Published date grouping:May 2016 Date: Title: SEC Prevents Trader’s Profits From False Filing Release No.:2016-95
Published date grouping:May 2016 Date: Title: Two Individuals Share Whistleblower Award of More Than $450,000 Release No.:2016-94
Published date grouping:May 2016 Date: Title: Mayor in Illinois Settles Muni Bond Fraud Charges Release No.:2016-93
Published date grouping:May 2016 Date: Title: SEC Announces Insider Trading Charges in Case Involving Sports Gambler and Board Member Release No.:2016-92
Published date grouping:May 2016 Date: Title: SEC Awards More Than $5 Million to Whistleblower Release No.:2016-91
Published date grouping:May 2016 Date: Title: Statement on Trade Reporting in the U.S. Treasury Market Release No.:2016-90
Published date grouping:May 2016 Date: Title: Agencies Invite Comment on Proposed Rule to Prohibit Incentive-Based Pay that Encourages Inappropriate Risk-Taking in Financial Institutions Release No.:2016-89
Published date grouping:May 2016 Date: Title: Whistleblower Earns $3.5 Million Award for Bolstering Ongoing Investigation Release No.:2016-88
Published date grouping:May 2016 Date: Title: SEC Charges Two Attorneys With Defrauding Escrow Clients Release No.:2016-87
Published date grouping:May 2016 Date: Title: SEC Charges Shell Factory Operators With Fraud Release No.:2016-86
Published date grouping:May 2016 Date: Title: SEC Charges Father, Son, Others in Tribal Bonds Scheme Release No.:2016-85
Published date grouping:May 2016 Date: Title: SEC Announces Agenda for May 18 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2016-84
Published date grouping:May 2016 Date: Title: SEC: Financial Adviser Defrauded Pro Athletes and Lied to SEC Examiners Release No.:2016-83
Published date grouping:May 2016 Date: Title: SEC Charges Unregistered Brokers with Pocketing Investor Money Release No.:2016-82
Published date grouping:May 2016 Date: Title: SEC Adopts Amendments to Implement JOBS Act and FAST Act Changes for Exchange Act Registration Requirements Release No.:2016-81
Published date grouping:May 2016 Date: Title: SEC and Law Enforcement Partners Crack Stock Promotion and Kickback Schemes Release No.:2016-80
Published date grouping:May 2016 Date: Title: Silicon Valley Executive Settles Insider Trading Charges Release No.:2016-79
Published date grouping:April 2016 Date: Title: SEC: Accounting Firm, Partner Conducted Deficient Surprise Exams Release No.:2016-78
Published date grouping:April 2016 Date: Title: SEC Seeks Public Comment on Plan to Create A Consolidated Audit Trail Release No.:2016-77
Published date grouping:April 2016 Date: Title: SEC Announces Agenda for April 26 Meeting of the Equity Market Structure Advisory Committee Release No.:2016-76
Published date grouping:April 2016 Date: Title: SEC Issues Order Modifying and Extending the Pilot Period for the National Market System Plan to Address Extraordinary Market Volatility Release No.:2016-75
Published date grouping:April 2016 Date: Title: SEC Announces Financial Fraud Cases Release No.:2016-74
Published date grouping:April 2016 Date: Title: SEC Offers Online Tool to Help Companies Estimate Registration Fees Release No.:2016-73
Published date grouping:April 2016 Date: Title: SEC Charges Litigation Marketing Company With Bilking Retirees Release No.:2016-72
Published date grouping:April 2016 Date: Title: SEC Adopts Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2016-71
Published date grouping:April 2016 Date: Title: SEC Solicits Public Comment on Business and Financial Disclosure Requirements in Regulation S-K Release No.:2016-70
Published date grouping:April 2016 Date: Title: SEC Case Freezes Assets of Ski Resort Steeped in Fraudulent EB-5 Offerings Release No.:2016-69
Published date grouping:April 2016 Date: Title: SEC: Town Officials in New York Hid Financial Troubles From Bond Investors Release No.:2016-68
Published date grouping:April 2016 Date: Title: SEC: Research Analyst Is Insider Trading in Mother’s Brokerage Account Release No.:2016-67
Published date grouping:April 2016 Date: Title: Marshall Sprung, Co-Chief of Asset Management Unit, to Leave SEC After 13 Years of Service Release No.:2016-66
Published date grouping:April 2016 Date: Title: SEC: Company Misled Investors About Energy-Efficient Technology Release No.:2016-65
Published date grouping:April 2016 Date: Title: Las Vegas Sands Paying Penalty for FCPA Violations Release No.:2016-64
Published date grouping:April 2016 Date: Title: SEC Charges Four in Fraudulent “Free Dinner” Scheme Release No.:2016-63
Published date grouping:March 2016 Date: Title: SEC: Navistar International and Former CEO Misled Investors About Advanced Technology Engine Release No.:2016-62
Published date grouping:March 2016 Date: Title: SEC: Biotech Venture Capitalist Stole Investor Funds for Personal Use Release No.:2016-61
Published date grouping:March 2016 Date: Title: Former TV Commentator Settles Penny Stock Fraud Charges Release No.:2016-60
Published date grouping:March 2016 Date: Title: SEC: Biotech Company Misled Investors About New Drug's Status With FDA Release No.:2016-59
Published date grouping:March 2016 Date: Title: Securities Professional Charged With Defrauding Institutional Investors Release No.:2016-58
Published date grouping:March 2016 Date: Title: SEC Halts Fraud by Manager of Investments in Pre-IPO Companies Release No.:2016-57
Published date grouping:March 2016 Date: Title: Keith E. Cassidy Named Director of Legislative and Intergovernmental Affairs Office Release No.:2016-56
Published date grouping:March 2016 Date: Title: SEC Charges Operator of Ponzi Scheme That Claimed to Offer “Bridge Loans” to Jamaican Businesses Release No.:2016-55
Published date grouping:March 2016 Date: Title: Municipal Advisor Charged for Failing to Disclose Conflict Release No.:2016-54
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