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:December 2016 Date: Title: SEC Charges Lawyer With Stealing Investor Money in EB-5 Offerings Release No.:2016-281
Published date grouping:December 2016 Date: Title: Chinese Traders Charged With Trading on Hacked Nonpublic Information Stolen From Two Law Firms Release No.:2016-280
Published date grouping:December 2016 Date: Title: SEC Names Timothy Husson Associate Director in the Division of Investment Management’s Risk and Examinations Office Release No.:2016-279
Published date grouping:December 2016 Date: Title: SEC Names Sara P. Crovitz Deputy Chief Counsel in the Division of Investment Management’s Chief Counsel’s Office Release No.:2016-278
Published date grouping:December 2016 Date: Title: Teva Pharmaceutical Paying $519 Million to Settle FCPA Charges Release No.:2016-277
Published date grouping:December 2016 Date: Title: SEC Issues Annual Staff Reports on Credit Rating Agencies Release No.:2016-276
Published date grouping:December 2016 Date: Title: G. Jeffrey Boujoukos Named Director of Philadelphia Regional Office Release No.:2016-275
Published date grouping:December 2016 Date: Title: Sharon Binger, Director of Philadelphia Regional Office, to Leave SEC Release No.:2016-274
Published date grouping:December 2016 Date: Title: SEC Charges Operators of Fake Day-Trading Firm With Defrauding Inexperienced Investors Release No.:2016-273
Published date grouping:December 2016 Date: Title: SEC Charges Former New York Pension Official and Two Brokers in Pay-to-Play Scheme Release No.:2016-272
Published date grouping:December 2016 Date: Title: Petrochemical Manufacturer Braskem S.A. to Pay $957 Million to Settle FCPA Charges Release No.:2016-271
Published date grouping:December 2016 Date: Title: Company Settles Charges in Whistleblower Retaliation Case Release No.:2016-270
Published date grouping:December 2016 Date: Title: SEC Charges Morgan Stanley With Customer Protection Rule Violations Release No.:2016-269
Published date grouping:December 2016 Date: Title: Company Violated Rule Aimed at Protecting Potential Whistleblowers Release No.:2016-268
Published date grouping:December 2016 Date: Title: SEC Charges Platinum Funds and Founder With Defrauding Investors Release No.:2016-267
Published date grouping:December 2016 Date: Title: SEC Charges Three Individuals and Broker-Dealer With Violating Market Structure Rules Release No.:2016-266
Published date grouping:December 2016 Date: Title: SEC Charges Gatekeepers in Microcap Frauds Release No.:2016-265
Published date grouping:December 2016 Date: Title: Deutsche Bank Settles Charges of Misleading Clients About Order Router Release No.:2016-264
Published date grouping:December 2016 Date: Title: SEC Approves 2017 PCAOB Budget and Accounting Support Fee Release No.:2016-263
Published date grouping:December 2016 Date: Title: SEC Names Dr. Narahari Phatak Associate Director for Policy in the Division of Economic and Risk Analysis Release No.:2016-262
Published date grouping:December 2016 Date: Title: SEC Files Charges in $26 Million Stock Manipulation Scheme Release No.:2016-261
Published date grouping:December 2016 Date: Title: SEC Awards Nearly $1 Million to Whistleblower Release No.:2016-260
Published date grouping:December 2016 Date: Title: Enforcement Director Andrew J. Ceresney to Leave SEC Release No.:2016-259
Published date grouping:December 2016 Date: Title: Division of Corporation Finance Director Keith Higgins to Leave SEC Release No.:2016-258
Published date grouping:December 2016 Date: Title: Firm Settles Charges for Selling Unregistered Swaps Involving Pre-IPO Companies Release No.:2016-257
Published date grouping:December 2016 Date: Title: IT Specialist Settles Charges of Insider Trading on Hacked Nonpublic Information Release No.:2016-256
Published date grouping:December 2016 Date: Title: SEC Awards $3.5 Million to Whistleblower Release No.:2016-255
Published date grouping:December 2016 Date: Title: Chief Economist and Division of Economic and Risk Analysis Director Mark Flannery to Leave SEC Release No.:2016-254
Published date grouping:December 2016 Date: Title: United Settles Charges in Case of Flight Route to Benefit Public Official Release No.:2016-253
Published date grouping:December 2016 Date: Title: PIMCO Settles Charges of Misleading Investors About ETF Performance Release No.:2016-252
Published date grouping:December 2016 Date: Title: SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting on December 7 Release No.:2016-251
Published date grouping:December 2016 Date: Title: SEC Charges Asset Management Fund and Manager Release No.:2016-250
Published date grouping:November 2016 Date: Title: SEC Votes to Renew Equity Market Structure Advisory Committee Release No.:2016-249
Published date grouping:November 2016 Date: Title: SEC Announces Agenda for Nov. 29 Meeting of the Equity Market Structure Advisory Committee Release No.:2016-248
Published date grouping:November 2016 Date: Title: SEC Names Wesley R. Bricker as Chief Accountant Release No.:2016-247
Published date grouping:November 2016 Date: Title: Chief Accountant James Schnurr to Leave SEC Release No.:2016-246
Published date grouping:November 2016 Date: Title: Trading and Markets Director Stephen Luparello to Leave SEC Release No.:2016-245
Published date grouping:November 2016 Date: Title: Chief Litigation Counsel Matthew C. Solomon to Leave SEC Release No.:2016-244
Published date grouping:November 2016 Date: Title: SEC Announces Agenda for December 8 Investor Advisory Committee Meeting Release No.:2016-243
Published date grouping:November 2016 Date: Title: SEC Charges Renewable Energy Company, CEO, and Others With Defrauding Investors Release No.:2016-242
Published date grouping:November 2016 Date: Title: JPMorgan Chase Paying $264 Million to Settle FCPA Charges Release No.:2016-241
Published date grouping:November 2016 Date: Title: SEC Approves Plan to Create Consolidated Audit Trail Release No.:2016-240
Published date grouping:November 2016 Date: Title: SEC Announces Agenda and Panelists for the 35th Annual Small Business Forum Release No.:2016-239
Published date grouping:November 2016 Date: Title: SEC Chair Mary Jo White Announces Departure Plans Release No.:2016-238
Published date grouping:November 2016 Date: Title: SEC Issues $20 Million Whistleblower Award Release No.:2016-237
Published date grouping:November 2016 Date: Title: Firm Charged With Misleading Investors About Binary Options Profitability Release No.:2016-236
Published date grouping:November 2016 Date: Title: Movie Producer Charged With Defrauding Hedge Fund Investors Release No.:2016-235
Published date grouping:November 2016 Date: Title: SEC Announces Agenda, Panelists for Nov. 14 Fintech Forum Release No.:2016-234
Published date grouping:November 2016 Date: Title: SEC Names Marc A. Panucci as Deputy Chief Accountant Release No.:2016-233
Published date grouping:November 2016 Date: Title: SEC Staff Provides Additional Economic Analysis on Proposed Derivatives Rule Release No.:2016-232
Published date grouping:October 2016 Date: Title: Company Co-Founder Charged in Manipulation Scheme Release No.:2016-231
Published date grouping:October 2016 Date: Title: Audit Partner Charged in Failed Audits of Venture Capital Fund Release No.:2016-230
Published date grouping:October 2016 Date: Title: Firm and Partner Charged With Issuing Fraudulent Audit Reports Release No.:2016-229
Published date grouping:October 2016 Date: Title: SEC: Investment Adviser Fraudulently Overbilled Clients, Stole Assets for Personal Expenses Release No.:2016-228
Published date grouping:October 2016 Date: Title: SEC to Hold Annual Government-Business Forum on Small Business Capital Formation on November 17 Release No.:2016-227
Published date grouping:October 2016 Date: Title: SEC Adopts Final Rules to Facilitate Intrastate and Regional Securities Offerings Release No.:2016-226
Published date grouping:October 2016 Date: Title: SEC Proposes Amendments to Require Use of Universal Proxy Cards Release No.:2016-225
Published date grouping:October 2016 Date: Title: Embraer Paying $205 Million to Settle FCPA Charges Release No.:2016-224
Published date grouping:October 2016 Date: Title: John W. Berry Named Associate Regional Director for Enforcement in Los Angeles Office Release No.:2016-223
Published date grouping:October 2016 Date: Title: SEC Charges Board Member With Insider Trading During and After Board Meeting Release No.:2016-222
Published date grouping:October 2016 Date: Title: Company and Former Executives Paying Penalties for Accounting Violations Release No.:2016-221
Published date grouping:October 2016 Date: Title: SEC Charges Bank Leumi With Conducting Unregistered U.S. Cross-Border Business Release No.:2016-220
Published date grouping:October 2016 Date: Title: Ernst & Young to Pay $11.8 Million for Audit Failures Release No.:2016-219
Published date grouping:October 2016 Date: Title: SEC Charges Energy Services Company and Executives With Accounting Fraud Release No.:2016-218
Published date grouping:October 2016 Date: Title: Melissa Hodgman Named Associate Director in SEC Enforcement Division Release No.:2016-217
Published date grouping:October 2016 Date: Title: Company to Pay Penalty for Stock Picking Game That Was An Unregistered Swap Release No.:2016-216
Published date grouping:October 2016 Date: Title: SEC Adopts Rules to Modernize Information Reported by Funds, Require Liquidity Risk Management Programs, and Permit Swing Pricing Release No.:2016-215
Published date grouping:October 2016 Date: Title: Hedge Fund Firm and Supervisor Charged With Failing to Prevent Insider Trading Release No.:2016-214
Published date grouping:October 2016 Date: Title: SEC: Deutsche Bank Failed to Properly Safeguard Research Information Release No.:2016-213
Published date grouping:October 2016 Date: Title: SEC Announces Enforcement Results for FY 2016 Release No.:2016-212
Published date grouping:October 2016 Date: Title: David Saltiel Named to Head Office of Analytics and Research in the Division of Trading and Markets Release No.:2016-211
Published date grouping:October 2016 Date: Title: Credit Suisse Paying $90 Million Penalty for Misrepresenting Performance Metric Release No.:2016-210
Published date grouping:October 2016 Date: Title: Investment Adviser Charged With Cherry-Picking and Misleading Clients Release No.:2016-209
Published date grouping:October 2016 Date: Title: SEC, FINRA and MSRB to Hold Compliance Outreach Program for Municipal Advisors Release No.:2016-208
Published date grouping:September 2016 Date: Title: Aaron W. Lipson Named as Associate Regional Director for Enforcement in the SEC’s Atlanta Regional Office Release No.:2016-207
Published date grouping:September 2016 Date: Title: Fee Rate Advisory #2 for Fiscal Year 2017 Release No.:2016-206
Published date grouping:September 2016 Date: Title: Biotech Employee Charged With Insider Trading Ahead of Company’s Announcements About Breast Cancer Drug Release No.:2016-205
Published date grouping:September 2016 Date: Title: SEC: Casino-Gaming Company Retaliated Against Whistleblower Release No.:2016-204
Published date grouping:September 2016 Date: Title: Och-Ziff Hedge Fund Settles FCPA Charges Release No.:2016-203
Published date grouping:September 2016 Date: Title: SEC Announces Agenda for October 5 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2016-202
Published date grouping:September 2016 Date: Title: Jane Norberg Named Chief of SEC Whistleblower Office Release No.:2016-201
Published date grouping:September 2016 Date: Title: SEC Proposes Rule Amendment to Expedite Process for Settling Securities Transactions Release No.:2016-200
Published date grouping:September 2016 Date: Title: SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies Release No.:2016-199
Published date grouping:September 2016 Date: Title: SEC Files Insider Trading Charges Against Peruvian Traders Using Overseas Accounts Release No.:2016-198
Published date grouping:September 2016 Date: Title: SEC Charges UBS With Supervisory Failures in Sale of Complex Products to Retail Investors Release No.:2016-197
Published date grouping:September 2016 Date: Title: SEC Charges Anheuser-Busch InBev With Violating FCPA and Whistleblower Protection Laws Release No.:2016-196
Published date grouping:September 2016 Date: Title: SEC to Hold Forum to Discuss Fintech Innovation in the Financial Services Industry Release No.:2016-195
Published date grouping:September 2016 Date: Title: Oil Services Company Paying $140 Million Penalty for Accounting Fraud Release No.:2016-194
Published date grouping:September 2016 Date: Title: SEC Charges CEO and Boiler Room Operator With Fraud Release No.:2016-193
Published date grouping:September 2016 Date: Title: Merrill Lynch Charged With Trading Controls Failures That Led to Mini-Flash Crashes Release No.:2016-192
Published date grouping:September 2016 Date: Title: ''Movie Studio'' Executives Charged With Microcap Fraud Release No.:2016-191
Published date grouping:September 2016 Date: Title: Blank Check Company Manufacturer Charged With Fraud Release No.:2016-190
Published date grouping:September 2016 Date: Title: SEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading Release No.:2016-189
Published date grouping:September 2016 Date: Title: SEC Issues $4 Million Whistleblower Award Release No.:2016-188
Published date grouping:September 2016 Date: Title: Ernst & Young, Former Partners Charged With Violating Auditor Independence Rules Release No.:2016-187
Published date grouping:September 2016 Date: Title: Marijuana-Related Company Charged with Scheming Investors Release No.:2016-186
Published date grouping:September 2016 Date: Title: Jennifer Marietta-Westberg, Deputy Director and Deputy Chief Economist of the Division of Economic and Risk Analysis, to Leave SEC after Ten Years of Service Release No.:2016-185
Published date grouping:September 2016 Date: Title: “Stock Trading Whiz Kid” to Pay $1.5 Million to Settle Stock Newsletter Fraud Charges Release No.:2016-184
Published date grouping:September 2016 Date: Title: SEC: Company Failed to Disclose Credit Risk in Investments Release No.:2016-183
Published date grouping:September 2016 Date: Title: BOK Financial, Senior Executive Charged With Turning Blind Eye to Investment Scheme Release No.:2016-182
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