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: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
Published date grouping:March 2016 Date: Title: SEC Charges Microcap Company CEO for Touting Bogus “Clean Energy” Contracts With Foreign Governments Release No.:2016-53
Published date grouping:March 2016 Date: Title: AIG Affiliates Charged With Mutual Fund Shares Conflicts Release No.:2016-52
Published date grouping:March 2016 Date: Title: SEC Approves 2016 PCAOB Budget and Accounting Support Fee Release No.:2016-51
Published date grouping:March 2016 Date: Title: SEC: California Businessman Attempted Cover Up of Stolen Investor Funds Release No.:2016-50
Published date grouping:March 2016 Date: Title: SEC Charges Oregon-Based Investment Group and Executives With Defrauding Investors Release No.:2016-49
Published date grouping:March 2016 Date: Title: SEC Charges Company and Executives for Faulty Evaluations of Internal Controls Release No.:2016-48
Published date grouping:March 2016 Date: Title: Anthony Kelly Named Co-Chief of Asset Management Unit Release No.:2016-47
Published date grouping:March 2016 Date: Title: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Release No.:2016-46
Published date grouping:March 2016 Date: Title: SEC: Tech Company Misled Investors About Key Product Release No.:2016-45
Published date grouping:March 2016 Date: Title: Insider Traders Returning Illegal Profits and Kickbacks Release No.:2016-44
Published date grouping:March 2016 Date: Title: California Water District to Pay Penalty for Misleading Investors Release No.:2016-43
Published date grouping:March 2016 Date: Title: Money Returning to Investors Harmed by Unregistered Broker Release No.:2016-42
Published date grouping:March 2016 Date: Title: SEC Awarding Nearly $2 Million to Three Whistleblowers Release No.:2016-41
Published date grouping:March 2016 Date: Title: SEC Announces Charges Against Unregistered Fund Manager Accused of Hiding Criminal Past Release No.:2016-40
Published date grouping:March 2016 Date: Title: Robert M. Fisher Named Managing Executive of the Office of Compliance Inspections and Examinations Release No.:2016-39
Published date grouping:March 2016 Date: Title: SEC Announces Creation of Office of Risk and Strategy for its National Exam Program Release No.:2016-38
Published date grouping:March 2016 Date: Title: SEC Charges Rhode Island Agency and Wells Fargo With Fraud in 38 Studios Bond Offering Release No.:2016-37
Published date grouping:March 2016 Date: Title: SEC: Qualcomm Hired Relatives of Chinese Officials to Obtain Business Release No.:2016-36
Published date grouping:February 2016 Date: Title: Fee Rate Advisory #4 for Fiscal Year 2016 Release No.:2016-35
Published date grouping:February 2016 Date: Title: VimpelCom to Pay $795 Million in Global Settlement for FCPA Violations Release No.:2016-34
Published date grouping:February 2016 Date: Title: Daniel Kahl Named as Chief Counsel of National Exam Program Release No.:2016-33
Published date grouping:February 2016 Date: Title: SEC Charges Biopesticide Company and Former Executive With Accounting Fraud Release No.:2016-32
Published date grouping:February 2016 Date: Title: SEC Announces Agenda for February 25 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2016-31
Published date grouping:February 2016 Date: Title: SEC: Deutsche Bank Analyst Issued Stock Rating Inconsistent With Personal View Release No.:2016-30
Published date grouping:February 2016 Date: Title: SEC: Tech Company Bribed Chinese Officials Release No.:2016-29
Published date grouping:February 2016 Date: Title: SEC: California Man Sold Investors Phony Stock to Pay Gambling Debts Release No.:2016-28
Published date grouping:February 2016 Date: Title: SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S. Release No.:2016-27
Published date grouping:February 2016 Date: Title: SEC Names C. Dabney O’Riordan and Alka Patel as Associate Regional Directors in Los Angeles Office Release No.:2016-26
Published date grouping:February 2016 Date: Title: Monsanto Paying $80 Million Penalty for Accounting Violations Release No.:2016-25
Published date grouping:February 2016 Date: Title: SEC Charges Company Executive With Insider Trading Release No.:2016-24
Published date grouping:February 2016 Date: Title: SEC: Miami Firm Broke Anti-Money Laundering Protocols Release No.:2016-23
Published date grouping:February 2016 Date: Title: SEC Announces Advisory Committee on Small and Emerging Companies Members Release No.:2016-22
Published date grouping:February 2016 Date: Title: SEC Charges Lending Company and Brokerage Firm With Fraud Release No.:2016-21
Published date grouping:February 2016 Date: Title: SEC Names Jane Jarcho as Deputy Director of National Exam Program Release No.:2016-20
Published date grouping:February 2016 Date: Title: SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers Release No.:2016-19
Published date grouping:February 2016 Date: Title: SEC Completes Muni-Underwriter Enforcement Sweep Release No.:2016-18
Published date grouping:February 2016 Date: Title: SEC Charges Software Company With FCPA Violations Release No.:2016-17
Published date grouping:January 2016 Date: Title: Barclays, Credit Suisse Charged With Dark Pool Violations Release No.:2016-16
Published date grouping:January 2016 Date: Title: SEC Announces Agenda for February 2 Meeting of the Equity Market Structure Advisory Committee Release No.:2016-15
Published date grouping:January 2016 Date: Title: Hedge Fund Manager Agrees to Reimburse Investor Losses Release No.:2016-14
Published date grouping:January 2016 Date: Title: Ocwen Paying Penalty for Misstated Financial Results Release No.:2016-13
Published date grouping:January 2016 Date: Title: Susan Nash, Associate Director in Division of Investment Management, to Leave SEC After 26 Years of Service Release No.:2016-12
Published date grouping:January 2016 Date: Title: SEC: Alternative Fund Manager Overcharged Fees, Misled Investors Release No.:2016-11
Published date grouping:January 2016 Date: Title: SEC Awards Whistleblower More Than $700,000 for Detailed Analysis Release No.:2016-10
Published date grouping:January 2016 Date: Title: SEC Charges Goldman Sachs With Improper Securities Lending Practices Release No.:2016-9
Published date grouping:January 2016 Date: Title: SEC Charges State Street for Pay-to-Play Scheme Release No.:2016-8
Published date grouping:January 2016 Date: Title: SEC Charges 11 Bank Officers and Directors With Fraud Release No.:2016-7
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