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
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Date
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Title
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Release No.
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| 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 |
| 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 |
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