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 2015 Date: Title: Wenchi Hu, Christian Sabella Named Associate Directors in the Division of Trading and Markets Release No.:2015-243
Published date grouping:October 2015 Date: Title: Former Head of Coastal Investment Advisors Settles Charges, Admits He Stole Money From Investors Release No.:2015-242
Published date grouping:October 2015 Date: Title: Two UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment Strategy Release No.:2015-241
Published date grouping:October 2015 Date: Title: SEC Staff Publishes Private Funds Statistics Report Release No.:2015-240
Published date grouping:October 2015 Date: Title: SEC Charges Six Firms for Short Selling Violations in Advance of Stock Offerings Release No.:2015-239
Published date grouping:October 2015 Date: Title: UBS to Pay $19.5 Million Settlement Involving Notes Linked to Currency Index Release No.:2015-238
Published date grouping:October 2015 Date: Title: Wolverine Affiliates Charged With Failing to Maintain Policies to Prevent Misuse of Material Nonpublic Information Release No.:2015-237
Published date grouping:October 2015 Date: Title: SEC Charges Firm and Owner With Manipulative Trading Release No.:2015-236
Published date grouping:October 2015 Date: Title: Blackstone Charged With Disclosure Failures Release No.:2015-235
Published date grouping:October 2015 Date: Title: SEC Charges Former Executives With Accounting Fraud and Other Accounting Failures Release No.:2015-234
Published date grouping:October 2015 Date: Title: Michael Liftik Named SEC Deputy Chief of Staff Release No.:2015-233
Published date grouping:October 2015 Date: Title: SEC Deputy Chief of Staff Erica Williams to Leave Agency Release No.:2015-232
Published date grouping:October 2015 Date: Title: SEC Charges Florida Investment Adviser and His Company With Defrauding Investors Release No.:2015-231
Published date grouping:October 2015 Date: Title: SEC Charges Home Loan Servicing Solutions for Misstatements and Inadequate Internal Controls Release No.:2015-230
Published date grouping:October 2015 Date: Title: SEC Charges Bristol-Myers Squibb With FCPA Violations Release No.:2015-229
Published date grouping:October 2015 Date: Title: Chyhe Becker Named as Associate Director in the Division of Economic and Risk Analysis Release No.:2015-228
Published date grouping:October 2015 Date: Title: SEC Halts $32 Million Scheme That Promised Riches From Amber Mining Release No.:2015-227
Published date grouping:October 2015 Date: Title: SEC Charges New Jersey Fund Manager With Securities Fraud Release No.:2015-226
Published date grouping:October 2015 Date: Title: SEC Charges Two Grant Thornton Firms With Violating Auditor Independence Rules Release No.:2015-225
Published date grouping:September 2015 Date: Title: SEC Charges Executives for Defrauding Investors in Financial Fraud Scheme Release No.:2015-224
Published date grouping:September 2015 Date: Title: China-Based Company and CEO To Pay $55.6 Million for Inaccurate Disclosures Release No.:2015-223
Published date grouping:September 2015 Date: Title: Fee Rate Advisory #2 for Fiscal Year 2016 Release No.:2015-222
Published date grouping:September 2015 Date: Title: Latour Trading Charged With Market Structure Rule Violations Release No.:2015-221
Published date grouping:September 2015 Date: Title: SEC Sanctions 22 Underwriting Firms for Fraudulent Municipal Bond Offerings Release No.:2015-220
Published date grouping:September 2015 Date: Title: SEC Names William Royer to Lead Exam Program in Atlanta Office Release No.:2015-219
Published date grouping:September 2015 Date: Title: SEC Charges Investment Adviser With Fraud Release No.:2015-218
Published date grouping:September 2015 Date: Title: SEC Charges UBS Puerto Rico and Two Individuals in Actions Relating to Former Broker’s Fraud Release No.:2015-217
Published date grouping:September 2015 Date: Title: SEC to Hold Equity Market Structure Advisory Committee Meeting on October 27 Release No.:2015-216
Published date grouping:September 2015 Date: Title: SEC Charges Trinity Capital Corporation and Former Bank Executives With Accounting Fraud Release No.:2015-215
Published date grouping:September 2015 Date: Title: Credit Suisse to Pay $4.25 Million and Admits to Providing Deficient “Blue Sheet” Trading Data Release No.:2015-214
Published date grouping:September 2015 Date: Title: SEC Charges Five With Insider Trading, Including Two Attorneys and an Accountant Release No.:2015-213
Published date grouping:September 2015 Date: Title: SEC Charges Hitachi With FCPA Violations Release No.:2015-212
Published date grouping:September 2015 Date: Title: SEC Publishes Request for Comment on Regulation S-X Release No.:2015-211
Published date grouping:September 2015 Date: Title: SEC Charges Former Officers of SMF Energy With Fraud Release No.:2015-210
Published date grouping:September 2015 Date: Title: SEC Proposes to Amend Rules Governing Administrative Proceedings Release No.:2015-209
Published date grouping:September 2015 Date: Title: SEC Charges Six in Stock Fraud Scheme Release No.:2015-208
Published date grouping:September 2015 Date: Title: SEC Charges Individual and Firm for Manipulative Press Release Announcing Takeover Bid Release No.:2015-207
Published date grouping:September 2015 Date: Title: SEC Approves Renewal of Advisory Committee on Small and Emerging Companies Release No.:2015-206
Published date grouping:September 2015 Date: Title: SEC Charges Consultant and Friend With Insider Trading in Advance of P.F. Chang’s Merger Release No.:2015-205
Published date grouping:September 2015 Date: Title: SEC Charges Two Philadelphia Area Men For Defrauding Friends And Family In Private Equity Fund Release No.:2015-204
Published date grouping:September 2015 Date: Title: Lara Shalov Mehraban Named Associate Director for Enforcement in SEC’s New York Regional Office Release No.:2015-203
Published date grouping:September 2015 Date: Title: SEC Charges Investment Adviser With Failing to Adopt Proper Cybersecurity Policies and Procedures Prior To Breach Release No.:2015-202
Published date grouping:September 2015 Date: Title: SEC Proposes Liquidity Management Rules For Mutual Funds And ETFs Release No.:2015-201
Published date grouping:September 2015 Date: Title: SEC Charges Retailer for Improper Valuation and Inadequate Internal Accounting Controls Release No.:2015-200
Published date grouping:September 2015 Date: Title: SEC Charges Two Men in Stock Manipulation Scheme Release No.:2015-199
Published date grouping:September 2015 Date: Title: SEC Charges Investment Adviser With Improperly Using Mutual Fund Assets to Pay Distribution Fees Release No.:2015-198
Published date grouping:September 2015 Date: Title: SEC Announces Agenda for September 23 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2015-197
Published date grouping:September 2015 Date: Title: Attorney and Auditors Settle Charges in Microcap Scheme Involving Purported Mining Companies Release No.:2015-196
Published date grouping:September 2015 Date: Title: SEC Charges Florida-Based CPA with Fraud for Issuing Bogus Audit Opinions Release No.:2015-195
Published date grouping:September 2015 Date: Title: SEC Charges Clearing Firm Officials for Improper Margin Loans, Accounting and Disclosure Failures Release No.:2015-194
Published date grouping:September 2015 Date: Title: SEC Removes References to Credit Ratings in Money Market Fund Rule and Form Release No.:2015-193
Published date grouping:September 2015 Date: Title: SEC Charges Medical Diagnostics Company Chairman and Two Others Behind Scheme to Manipulate Company Stock Release No.:2015-192
Published date grouping:September 2015 Date: Title: SEC Obtains $30 Million From Traders Who Profited on Hacked News Releases Release No.:2015-191
Published date grouping:September 2015 Date: Title: SEC Charges Five Arizona Residents With Stealing Millions From Investors to Fund Travel and Entertainment Sprees Release No.:2015-190
Published date grouping:September 2015 Date: Title: SEC Announces Fraud Charges in Cross-Border Scheme to Secretly Control and Manipulate Stock of Chinese Companies After Reverse Mergers Release No.:2015-189
Published date grouping:September 2015 Date: Title: Robert Cohen and Joseph Sansone Named Market Abuse Unit Co-Chiefs Release No.:2015-188
Published date grouping:September 2015 Date: Title: SEC Halts Scheme by Trio Accused of Stealing Investor Money While Promising “Indestructible Wealth” Release No.:2015-187
Published date grouping:September 2015 Date: Title: SEC Announces Fraud Charges Against Financial Adviser Accused of Greatly Exaggerating Assets Under Management and Investment Returns on Paid Radio Program Release No.:2015-186
Published date grouping:September 2015 Date: Title: SEC Charges Father and Son and Friend With Insider Trading Release No.:2015-185
Published date grouping:September 2015 Date: Title: SEC Charges BDO and Five Partners in Connection With False and Misleading Audit Opinions Release No.:2015-184
Published date grouping:September 2015 Date: Title: SEC Charges Video Management Company Executives With Accounting Fraud Release No.:2015-183
Published date grouping:September 2015 Date: Title: Smeeta Ramarathnam Named Deputy Director in the Office of Credit Ratings Release No.:2015-182
Published date grouping:September 2015 Date: Title: SEC Charges Three RMBS Traders With Defrauding Investors Release No.:2015-181
Published date grouping:September 2015 Date: Title: SEC Charges Bankrate and Former Executives With Accounting Fraud Release No.:2015-180
Published date grouping:September 2015 Date: Title: SEC Charges Sports Nutrition Company With Failing to Properly Disclose Perks for Executives Release No.:2015-179
Published date grouping:September 2015 Date: Title: SEC Charges Seattle-Area Hedge Fund Adviser With Taking Unearned Management Fees Release No.:2015-178
Published date grouping:September 2015 Date: Title: SEC Charges Advisory Firm With Fraud for Improperly Retaining Fees Release No.:2015-177
Published date grouping:September 2015 Date: Title: SEC Halts Ongoing Fraud in Minnesota Release No.:2015-176
Published date grouping:August 2015 Date: Title: Fee Rate Advisory #1 for Fiscal Year 2016 Release No.:2015-175
Published date grouping:August 2015 Date: Title: SEC Charges Former Investment Bank Analyst and Two Others With Insider Trading in Advance of Client Deals Release No.:2015-174
Published date grouping:August 2015 Date: Title: SEC Announces Asset Freeze Against Alleged EB-5 Fraudster in Seattle Area Release No.:2015-173
Published date grouping:August 2015 Date: Title: Shelly Luisi Named Associate Director in the Division of Corporation Finance Release No.:2015-172
Published date grouping:August 2015 Date: Title: SEC Charges Citigroup Global Markets for Compliance and Surveillance Failures Release No.:2015-171
Published date grouping:August 2015 Date: Title: SEC Charges BNY Mellon With FCPA Violations Release No.:2015-170
Published date grouping:August 2015 Date: Title: SEC Names Shamoil T. Shipchandler as Regional Director of Fort Worth Office Release No.:2015-169
Published date grouping:August 2015 Date: Title: Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charges Release No.:2015-168
Published date grouping:August 2015 Date: Title: Three Maryland Men Settle Charges They Defrauded Investors in Real Estate Investment Company Release No.:2015-167
Published date grouping:August 2015 Date: Title: Edward Jones to Pay $20 Million for Overcharging Retail Customers in Municipal Bond Underwritings Release No.:2015-166
Published date grouping:August 2015 Date: Title: SEC Charges Former Software Executive With FCPA Violations Release No.:2015-165
Published date grouping:August 2015 Date: Title: SEC Charges ITG With Operating Secret Trading Desk and Misusing Dark Pool Subscriber Trading Information Release No.:2015-164
Published date grouping:August 2015 Date: Title: SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases Release No.:2015-163
Published date grouping:August 2015 Date: Title: Guggenheim Partners Investment Management LLC Settles Charges it Failed to Disclose Conflict to Clients Release No.:2015-162
Published date grouping:August 2015 Date: Title: Miller Energy Resources, Former CFO, Current COO Charged With Accounting Fraud Release No.:2015-161
Published date grouping:August 2015 Date: Title: SEC Adopts Rule for Pay Ratio Disclosure Release No.:2015-160
Published date grouping:August 2015 Date: Title: SEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2015-159
Published date grouping:August 2015 Date: Title: SEC Charges Houston-Area Businessman in Ponzi Scheme Release No.:2015-158
Published date grouping:July 2015 Date: Title: SEC Charges Man With Microcap Fraud Involving Shares of Cynk Technology Corp. Release No.:2015-157
Published date grouping:July 2015 Date: Title: SEC Charges Operators of Fraud Based in Upstate New York Release No.:2015-156
Published date grouping:July 2015 Date: Title: Daniel M. Hawke, Chief of Market Abuse Unit, to Leave SEC After 16 Years of Service Release No.:2015-155
Published date grouping:July 2015 Date: Title: SEC Charges Mead Johnson Nutrition With FCPA Violations Release No.:2015-154
Published date grouping:July 2015 Date: Title: Former Oppenheimer Employees Settle Charges Involving Unregistered Sales of Penny Stocks Release No.:2015-153
Published date grouping:July 2015 Date: Title: SEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes Release No.:2015-152
Published date grouping:July 2015 Date: Title: Michele Anderson Named Associate Director in the Division of Corporation Finance Release No.:2015-151
Published date grouping:July 2015 Date: Title: SEC Pays More Than $3 Million to Whistleblower Release No.:2015-150
Published date grouping:July 2015 Date: Title: SEC Charges Pennsylvania Attorney with Insider Trading in Advance of Merger Announcement Release No.:2015-149
Published date grouping:July 2015 Date: Title: SEC Charges Purported Investment Adviser in San Diego With Stealing Client Funds and Conducting a Ponzi Scheme Release No.:2015-148
Published date grouping:July 2015 Date: Title: SEC Chair White, Federal Agencies Join Forces for Military Consumer Protection Day 2015 Release No.:2015-147
Published date grouping:July 2015 Date: Title: SEC Charges 34 Defendants in Microcap Market Manipulation Schemes Release No.:2015-146
Published date grouping:July 2015 Date: Title: OZ Management LP Admits Providing Inaccurate Data, Impacting Brokers’ Records and “Blue Sheets” Release No.:2015-145
Published date grouping:July 2015 Date: Title: Release of Joint Staff Report on October 15, 2014 Release No.:2015-144
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