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: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
Published date grouping:September 2016 Date: Title: Two Firms Charged With Compliance Failures in Wrap Fee Programs Release No.:2016-181
Published date grouping:September 2016 Date: Title: Executives Charged With Inflating Performance of Real Estate Investment Trust Release No.:2016-180
Published date grouping:September 2016 Date: Title: SEC Names Sarah G. ten Siethoff Deputy Associate Director in the Division of Investment Management’s Rulemaking Office Release No.:2016-179
Published date grouping:September 2016 Date: Title: SEC Charges CEO and Paid Promoter With Fraudulently Promoting Stock of Las Vegas Health Products Company Release No.:2016-178
Published date grouping:September 2016 Date: Title: SEC Charges Alabama Attorney and His Companies in Purported Waste-To-Energy Ventures Release No.:2016-177
Published date grouping:August 2016 Date: Title: SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings Release No.:2016-176
Published date grouping:August 2016 Date: Title: Fee Rate Advisory #1 for Fiscal Year 2017 Release No.:2016-175
Published date grouping:August 2016 Date: Title: RBC to Pay $2.5 Million for Proxy Statement Disclosure Violations Release No.:2016-174
Published date grouping:August 2016 Date: Title: SEC Whistleblower Program Surpasses $100 Million in Awards Release No.:2016-173
Published date grouping:August 2016 Date: Title: $22 Million Whistleblower Award for Company Insider Who Helped Uncover Fraud Release No.:2016-172
Published date grouping:August 2016 Date: Title: SEC Adopts Amendments Providing Authorities Access to Data Obtained by Security-Based Swap Data Repositories Release No.:2016-171
Published date grouping:August 2016 Date: Title: SEC: Purported Green Technology Company Defrauding Investors Release No.:2016-170
Published date grouping:August 2016 Date: Title: SEC Seeks Public Comment on Disclosure Requirements Relating to Management, Security Holders and Corporate Governance Matters Release No.:2016-169
Published date grouping:August 2016 Date: Title: SEC Adopts Rules to Enhance Information Reported by Investment Advisers Release No.:2016-168
Published date grouping:August 2016 Date: Title: Investment Advisers Paying Penalties for Advertising False Performance Claims Release No.:2016-167
Published date grouping:August 2016 Date: Title: SEC Charges 71 Municipal Issuers in Muni Bond Disclosure Initiative Release No.:2016-166
Published date grouping:August 2016 Date: Title: Apollo Charged With Disclosure and Supervisory Failures Release No.:2016-165
Published date grouping:August 2016 Date: Title: Company Punished for Severance Agreements That Removed Financial Incentives for Whistleblowing Release No.:2016-164
Published date grouping:August 2016 Date: Title: Former Goldman Sachs Trader Settles Fraud Charges Release No.:2016-163
Published date grouping:August 2016 Date: Title: Hedge Fund Manager Charged in Scheme Involving Terminally Ill Release No.:2016-162
Published date grouping:August 2016 Date: Title: SEC: Investment Adviser Boasted Phony Assets and Track Record, Stole From Client Release No.:2016-161
Published date grouping:August 2016 Date: Title: SEC Charges Stockbroker and Friend With Insider Trading Release No.:2016-160
Published date grouping:August 2016 Date: Title: SEC Charges Former Professional Football Player With Running $10 Million Fraud Release No.:2016-159
Published date grouping:August 2016 Date: Title: Kristin Snyder Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program Release No.:2016-158
Published date grouping:August 2016 Date: Title: Company Paying Penalty for Violating Key Whistleblower Protection Rule Release No.:2016-157
Published date grouping:August 2016 Date: Title: SEC Charges Cardiologist With Insider Trading on Confidential Drug Trial Developments Release No.:2016-156
Published date grouping:August 2016 Date: Title: Statement Regarding Progress on the Review of the U.S. Treasury Market Structure since the July 2015 Joint Staff Report Release No.:2016-155
Published date grouping:July 2016 Date: Title: SEC Announces Agenda for August 2 Meeting of the Equity Market Structure Advisory Committee Release No.:2016-154
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
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