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: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
Published date grouping:January 2016 Date: Title: SEC Adopts Rules Implementing FAST Act Provisions Release No.:2016-6
Published date grouping:January 2016 Date: Title: Julie M. Riewe, Co-Chief of Asset Management Unit, to Leave SEC After 10 Years of Service Release No.:2016-5
Published date grouping:January 2016 Date: Title: SEC Announces 2016 Examination Priorities Release No.:2016-4
Published date grouping:January 2016 Date: Title: Steven A. Cohen Barred From Supervisory Hedge Fund Role Release No.:2016-3
Published date grouping:January 2016 Date: Title: Fee Rate Advisory #3 for Fiscal Year 2016 Release No.:2016-2
Published date grouping:January 2016 Date: Title: SEC: J.P. Morgan Misled Customers on Broker Compensation Release No.:2016-1
Published date grouping:December 2015 Date: Title: Traders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case Release No.:2015-290
Published date grouping:December 2015 Date: Title: SEC Issues Annual Staff Reports on Credit Rating Agencies Release No.:2015-289
Published date grouping:December 2015 Date: Title: SEC Seeks Public Comment on Transfer Agent Rules Release No.:2015-288
Published date grouping:December 2015 Date: Title: Morgan Stanley Settles Charges in “Parking” Scheme Release No.:2015-287
Published date grouping:December 2015 Date: Title: SEC Charges Financial Advisor in Market Manipulation Case Release No.:2015-286
Published date grouping:December 2015 Date: Title: Convicted Fraudster Using Aliases Charged Again for Defrauding Investors Release No.:2015-285
Published date grouping:December 2015 Date: Title: SEC Issues Staff Report on Accredited Investor Definition Release No.:2015-284
Published date grouping:December 2015 Date: Title: J.P. Morgan to Pay $267 Million for Disclosure Failures Release No.:2015-283
Published date grouping:December 2015 Date: Title: SEC Charges Martin Shkreli With Fraud Release No.:2015-282
Published date grouping:December 2015 Date: Title: SEC: Hedge Fund Adviser Lied to Investors Release No.:2015-281
Published date grouping:December 2015 Date: Title: SEC Announces Fraud Charges Against Investment Adviser Release No.:2015-280
Published date grouping:December 2015 Date: Title: SEC Files Charges in Multi-Million Dollar Market Manipulation Release No.:2015-279
Published date grouping:December 2015 Date: Title: SEC: Sports Team Offering Is A Penny Stock Fraud Release No.:2015-278
Published date grouping:December 2015 Date: Title: SEC Proposes Rules for Resource Extraction Issuers Under Dodd-Frank Act Release No.:2015-277
Published date grouping:December 2015 Date: Title: SEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies Release No.:2015-276
Published date grouping:December 2015 Date: Title: SEC Suspends Public Accountants for Bad Auditing Release No.:2015-275
Published date grouping:December 2015 Date: Title: SEC: Lawyers Offered EB-5 Investments as Unregistered Brokers Release No.:2015-274
Published date grouping:December 2015 Date: Title: SEC Announces Charges for Spoofing and Order Mismarking Release No.:2015-273
Published date grouping:December 2015 Date: Title: SEC: Grant Thornton Ignored Red Flags in Audits Release No.:2015-272
Published date grouping:December 2015 Date: Title: SEC Charges Bitcoin Mining Companies Release No.:2015-271
Published date grouping:December 2015 Date: Title: SEC, FINRA, MSRB to Hold Compliance Outreach Program for Municipal Advisors Release No.:2015-270
Published date grouping:November 2015 Date: Title: SEC Names Katherine Martin as Associate Director in the Office of International Affairs Release No.:2015-269
Published date grouping:November 2015 Date: Title: Standard Bank to Pay $4.2 Million to Settle SEC Charges Release No.:2015-268
Published date grouping:November 2015 Date: Title: Former Goldman Employee Charged With Insider Trading Before Mergers Release No.:2015-267
Published date grouping:November 2015 Date: Title: SEC Charges Political Intelligence Firm Release No.:2015-266
Published date grouping:November 2015 Date: Title: SEC: Stockbroker Stole Investor Money for Home Renovations Release No.:2015-265
Published date grouping:November 2015 Date: Title: Atlanta Businessman Charged in Nursing Home Investment Scheme Release No.:2015-264
Published date grouping:November 2015 Date: Title: Assets Frozen in Alleged Immigration Scam Release No.:2015-263
Published date grouping:November 2015 Date: Title: Custody Rule Violators Settle Charges Release No.:2015-262
Published date grouping:November 2015 Date: Title: SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems Release No.:2015-261
Published date grouping:November 2015 Date: Title: SEC Announces Agenda and Panelists for Small Business Forum Release No.:2015-260
Published date grouping:November 2015 Date: Title: SEC Charges Pump-and-Dump in Marley Coffee Stock Release No.:2015-259
Published date grouping:November 2015 Date: Title: Mutual Fund Adviser Advertised False Performance Claims Release No.:2015-258
Published date grouping:November 2015 Date: Title: Sanket Bulsara Named Deputy General Counsel for Appellate Litigation and Adjudication Release No.:2015-257
Published date grouping:November 2015 Date: Title: Marc Wyatt Named Director of the Office of Compliance Inspections and Examinations Release No.:2015-256
Published date grouping:November 2015 Date: Title: Olivier Girod Named SEC Deputy Director of Office of Support Operations Release No.:2015-255
Published date grouping:November 2015 Date: Title: SEC Charges: False Tweets Sent Two Stocks Reeling in Market Manipulation Release No.:2015-254
Published date grouping:November 2015 Date: Title: Bryan Bennett Named to Head Exam Program in Los Angeles Office Release No.:2015-253
Published date grouping:November 2015 Date: Title: SEC Announces Whistleblower Award of More Than $325,000 Release No.:2015-252
Published date grouping:November 2015 Date: Title: SEC Identifies More Alleged Corrupt Brokers in Stock Manipulation Case Release No.:2015-251
Published date grouping:November 2015 Date: Title: SEC Charges Private Equity Firm and Four Executives With Failing to Disclose Conflicts of Interest Release No.:2015-250
Published date grouping:October 2015 Date: Title: SEC Adopts Rules to Permit Crowdfunding Release No.:2015-249
Published date grouping:October 2015 Date: Title: SEC Bars Brokers Who Played Favorites to Double Their Commissions Release No.:2015-248
Published date grouping:October 2015 Date: Title: Developer, Former Top Execs Charged for Improper Accounting of Real Estate Assets During Financial Crisis Release No.:2015-247
Published date grouping:October 2015 Date: Title: SEC Charges Credit Rating Agency With Misrepresenting Surveillance Methodology Release No.:2015-246
Published date grouping:October 2015 Date: Title: SEC Announces Enforcement Results For FY 2015 Release No.:2015-245
Published date grouping:October 2015 Date: Title: SEC to Hold Annual Government-Business Forum on Small Business Capital Formation on November 19 Release No.:2015-244
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
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