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.

Email Subscription E-mail Updates: To sign up for updates, please enter your e-mail address below.

Published date grouping
Date
Title
Release No.
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
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
  • Show
  • Items
301 to 400 of 1570 items
Return to Top