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 2019 Date: Title: Chairman Clayton Highlights New Members of Executive Staff Release No.:2019-112
Published date grouping:June 2019 Date: Title: SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs Release No.:2019-111
Published date grouping:June 2019 Date: Title: SEC Names Bryan Wood as Deputy Chief of Staff Release No.:2019-110
Published date grouping:June 2019 Date: Title: SEC Names Sean Memon as Chief of Staff Release No.:2019-109
Published date grouping:June 2019 Date: Title: SEC Chief of Staff Lucas Moskowitz to Leave the Agency Release No.:2019-108
Published date grouping:June 2019 Date: Title: SEC Names Vanessa Countryman to Lead the Office of the Secretary Release No.:2019-107
Published date grouping:June 2019 Date: Title: Joint Statement on Opportunistic Strategies in the Credit Derivatives Market Release No.:2019-106
Published date grouping:June 2019 Date: Title: SEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers Release No.:2019-105
Published date grouping:June 2019 Date: Title: SEC Wins Jury Trial Against Broker Charged With Defrauding Customers Release No.:2019-104
Published date grouping:June 2019 Date: Title: SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors Release No.:2019-103
Published date grouping:June 2019 Date: Title: Walmart Charged With FCPA Violations Release No.:2019-102
Published date grouping:June 2019 Date: Title: SEC Freezes Assets in International Manipulative Trading Scheme Release No.:2019-101
Published date grouping:June 2019 Date: Title: SEC Chairman Clayton Announces Events for Main Street Investors in Boston Release No.:2019-100
Published date grouping:June 2019 Date: Title: Wedbush to Pay More Than $8.1 Million for Improper Handling of ADRs Release No.:2019-99
Published date grouping:June 2019 Date: Title: SEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision Release No.:2019-98
Published date grouping:June 2019 Date: Title: SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions Release No.:2019-97
Published date grouping:June 2019 Date: Title: SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management Release No.:2019-96
Published date grouping:June 2019 Date: Title: KPMG Paying $50 Million Penalty for Illicit Use of PCAOB Data and Cheating on Training Exams Release No.:2019-95
Published date grouping:June 2019 Date: Title: Industrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs Release No.:2019-94
Published date grouping:June 2019 Date: Title: SEC Announces 2019 Government-Business Forum to Be Held in Omaha Release No.:2019-93
Published date grouping:June 2019 Date: Title: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2019-92
Published date grouping:June 2019 Date: Title: David Peavler Named Director of Fort Worth Office Release No.:2019-91
Published date grouping:June 2019 Date: Title: SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant Release No.:2019-90
Published date grouping:June 2019 Date: Title: SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals Release No.:2019-89
Published date grouping:June 2019 Date: Title: Marshall Gandy Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program Release No.:2019-88
Published date grouping:June 2019 Date: Title: SEC Charges Issuer With Conducting $100 Million Unregistered ICO Release No.:2019-87
Published date grouping:June 2019 Date: Title: Hedge Fund Adviser to Pay $5 Million for Compliance Failures Related to Valuation of Fund Assets Release No.:2019-86
Published date grouping:June 2019 Date: Title: SEC Announces Enforcement and Investor Education Initiatives to Protect Teachers and Military Service Members Release No.:2019-85
Published date grouping:June 2019 Date: Title: SEC Seeks Emergency Relief to Halt Ponzi Scheme Run From College Fraternity House Release No.:2019-84
Published date grouping:June 2019 Date: Title: Ahmed Abonamah Named Deputy Director of the Office of Municipal Securities Release No.:2019-83
Published date grouping:June 2019 Date: Title: SEC Announces Kevin Zerrusen as Senior Advisor to the Chairman for Cybersecurity Policy Release No.:2019-82
Published date grouping:June 2019 Date: Title: SEC Awards $3 Million to Joint Whistleblowers Release No.:2019-81
Published date grouping:May 2019 Date: Title: Sagar Teotia Named the SEC's Acting Chief Accountant Release No.:2019-80
Published date grouping:May 2019 Date: Title: Wesley R. Bricker, Chief Accountant, to Leave SEC Release No.:2019-79
Published date grouping:May 2019 Date: Title: Erin Schneider Named Director of San Francisco Office Release No.:2019-78
Published date grouping:May 2019 Date: Title: SEC Charges Investment Adviser With Fraud Release No.:2019-77
Published date grouping:May 2019 Date: Title: SEC Awards $4.5 Million to Whistleblower Whose Internal Reporting Led to Successful SEC Case and Related Action Release No.:2019-76
Published date grouping:May 2019 Date: Title: SEC, NASAA, and FINRA Issue Senior Safe Act Fact Sheet to Help promote Greater Reporting of Suspected Senior Financial Exploitation Release No.:2019-75
Published date grouping:May 2019 Date: Title: SEC Sues Alleged Perpetrator of Fraudulent Pyramid Scheme Promising Investors Cryptocurrency Riches Release No.:2019-74
Published date grouping:May 2019 Date: Title: SEC Seeks Emergency Relief to Halt Prominent New York Developer’s Ponzi-Like Real Estate Investment Scheme Release No.:2019-73
Published date grouping:May 2019 Date: Title: SEC Obtains Emergency Order Halting Alleged Diamond-Related ICO Scheme Targeting Hundreds of Investors Release No.:2019-72
Published date grouping:May 2019 Date: Title: SEC and CFTC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral Memorandum of Understanding Concerning Cross-Border Enforcement Release No.:2019-71
Published date grouping:May 2019 Date: Title: Jury Rules in SEC’s Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud Release No.:2019-70
Published date grouping:May 2019 Date: Title: SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements Release No.:2019-69
Published date grouping:May 2019 Date: Title: SEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions Release No.:2019-68
Published date grouping:May 2019 Date: Title: SEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend Release No.:2019-67
Published date grouping:May 2019 Date: Title: SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud Release No.:2019-66
Published date grouping:May 2019 Date: Title: SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses Release No.:2019-65
Published date grouping:May 2019 Date: Title: Adam S. Aderton Named Co-Chief of the Asset Management Unit Release No.:2019-64
Published date grouping:April 2019 Date: Title: SEC’s Office of the Advocate for Small Business Capital Formation to Host Roundtable to Kick Off National Small Business Week Release No.:2019-63
Published date grouping:April 2019 Date: Title: SEC Announces Fraud Charges in Ticket Resale Investment Scam Release No.:2019-62
Published date grouping:April 2019 Date: Title: SEC Announces Members of Small Business Capital Formation Advisory Committee Release No.:2019-61
Published date grouping:April 2019 Date: Title: SEC Charges Truckload Freight Company With Accounting Fraud Release No.:2019-60
Published date grouping:April 2019 Date: Title: SEC Staff Announces Agenda for May 31 FinTech Forum Release No.:2019-59
Published date grouping:April 2019 Date: Title: Silicon Valley Company Settles Fraud Charge for Misstating Returns to Investors Release No.:2019-58
Published date grouping:April 2019 Date: Title: SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019 Release No.:2019-57
Published date grouping:April 2019 Date: Title: Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management Release No.:2019-56
Published date grouping:April 2019 Date: Title: SEC Charges Former Woodbridge Directors of Investment With Fraud Release No.:2019-55
Published date grouping:April 2019 Date: Title: SEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2019-54
Published date grouping:April 2019 Date: Title: SEC Charges Former SeaWorld Associate General Counsel With Insider Trading Release No.:2019-53
Published date grouping:April 2019 Date: Title: New SEC Campaign Educates Investors on Where and How to Get Answers Release No.:2019-52
Published date grouping:April 2019 Date: Title: SEC Charges Transportation Company Executives With Accounting Fraud Release No.:2019-51
Published date grouping:April 2019 Date: Title: SEC Charges Former CEO of Silicon Valley Startup With Defrauding Investors Release No.:2019-50
Published date grouping:April 2019 Date: Title: Are You Prepared for Your Financial Future? Use the SEC’s Investor Preparedness Checklist to Find Out Release No.:2019-49
Published date grouping:March 2019 Date: Title: SEC Charges Medical Device Company With FCPA Violations Release No.:2019-48
Published date grouping:March 2019 Date: Title: The Securities and Exchange Commission and the UK Financial Conduct Authority Sign Updated Supervisory Cooperation Arrangements Release No.:2019-47
Published date grouping:March 2019 Date: Title: SEC Charges College Official for Fraudulently Concealing Financial Troubles From Municipal Bond Investors Release No.:2019-46
Published date grouping:March 2019 Date: Title: Investment Adviser Charged With Stealing Millions From Private Fund Release No.:2019-45
Published date grouping:March 2019 Date: Title: SEC Charges New Jersey Man With Fraudulently Causing Advisory Firm to Overbill Clients Release No.:2019-44
Published date grouping:March 2019 Date: Title: SEC Names Danae M. Serrano as Ethics Counsel Release No.:2019-43
Published date grouping:March 2019 Date: Title: SEC Awards $50 Million to Two Whistleblowers Release No.:2019-42
Published date grouping:March 2019 Date: Title: SEC Names Jeffrey Dinwoodie Senior Counsel and Policy Advisor for Market and Activities-Based Risk Release No.:2019-41
Published date grouping:March 2019 Date: Title: Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs Release No.:2019-40
Published date grouping:March 2019 Date: Title: SEC Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds Release No.:2019-39
Published date grouping:March 2019 Date: Title: SEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure Release No.:2019-38
Published date grouping:March 2019 Date: Title: Justin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office Release No.:2019-37
Published date grouping:March 2019 Date: Title: SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client Release No.:2019-36
Published date grouping:March 2019 Date: Title: SEC Staff to Hold Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets Release No.:2019-35
Published date grouping:March 2019 Date: Title: SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During "Clean Diesel" Emissions Fraud Release No.:2019-34
Published date grouping:March 2019 Date: Title: Jason J. Burt Named Associate Regional Director for Enforcement in SEC's Denver Office Release No.:2019-33
Published date grouping:March 2019 Date: Title: Wedbush Settles Failure to Supervise Charge Release No.:2019-32
Published date grouping:March 2019 Date: Title: SEC Announces March 28 Meeting of Investor Advisory Committee Release No.:2019-31
Published date grouping:March 2019 Date: Title: Fee Rate Advisory #2 for Fiscal Year 2019 Release No.:2019-30
Published date grouping:March 2019 Date: Title: SEC Charges Lumber Liquidators With Fraud Release No.:2019-29
Published date grouping:March 2019 Date: Title: SEC Share Class Initiative Returning More Than $125 Million to Investors Release No.:2019-28
Published date grouping:March 2019 Date: Title: Mobile TeleSystems Settles FCPA Violations Release No.:2019-27
Published date grouping:March 2019 Date: Title: BB&T to Return More Than $5 Million to Retail Investors and Pay Penalty Relating to Directed Brokerage Arrangements Release No.:2019-26
Published date grouping:March 2019 Date: Title: SEC Celebrates African American History Month with Presentation by Award-Winning Filmmaker Release No.:2019-25
Published date grouping:February 2019 Date: Title: SEC Names Gabriel Benincasa As Its First Chief Risk Officer Release No.:2019-24
Published date grouping:February 2019 Date: Title: SEC Modifies Timing for Filing Non-Public Form N-PORT Data to Align With Its Approach to Data Management and Cybersecurity Release No.:2019-23
Published date grouping:February 2019 Date: Title: SEC Names Vanessa Countryman Acting Secretary Release No.:2019-22
Published date grouping:February 2019 Date: Title: Brent J. Fields Named Associate Director in the Division of Investment Management Release No.:2019-21
Published date grouping:February 2019 Date: Title: SEC Names S.P. Kothari as Chief Economist and Director of the Division of Economic and Risk Analysis Release No.:2019-20
Published date grouping:February 2019 Date: Title: SEC Halts South Florida Alternative Investments Scheme Targeting Retail Investors Release No.:2019-19
Published date grouping:February 2019 Date: Title: Giles Cohen Named Acting Chief Counsel, Office of the Chief Accountant Release No.:2019-18
Published date grouping:February 2019 Date: Title: SEC Names James P. McNamara as Chief Human Capital Officer Release No.:2019-17
Published date grouping:February 2019 Date: Title: SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud Release No.:2019-16
Published date grouping:February 2019 Date: Title: Company Settles Unregistered ICO Charges After Self-Reporting to SEC Release No.:2019-15
Published date grouping:February 2019 Date: Title: SEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers Release No.:2019-14
Published date grouping:February 2019 Date: Title: SEC Files Charges in Elaborate Microcap Stock Fraud Release No.:2019-13
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