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:September 2018 Date: Title: SEC Charges Two Men With Fraud in Fake Trading Accounts Scheme Release No.:2018-178
Published date grouping:September 2018 Date: Title: SEC Charges Cannabis Investment Fund and Founder in Fraudulent Scheme Release No.:2018-177
Published date grouping:September 2018 Date: Title: SEC Names Rebecca J. Olsen as Director of the Office of Municipal Securities Release No.:2018-176
Published date grouping:September 2018 Date: Title: SEC Charges Telecommunications Expense Management Company With Accounting Fraud Release No.:2018-175
Published date grouping:September 2018 Date: Title: Sanofi Charged With FCPA Violations Release No.:2018-174
Published date grouping:September 2018 Date: Title: Agencies Extend Comment Period for Proposed Rule Simplifying and Tailoring the “Volcker Rule” Release No.:2018-173
Published date grouping:August 2018 Date: Title: SEC Charges Buffalo Advisory Firm and Principal With Fraud Relating to Association With Barred Adviser Release No.:2018-172
Published date grouping:August 2018 Date: Title: SEC Charges Florida Cash Advance Company, Former CEO With Defrauding Retail Investors Release No.:2018-171
Published date grouping:August 2018 Date: Title: SEC Charges NFL Player and Former Investment Banker With Insider Trading Release No.:2018-170
Published date grouping:August 2018 Date: Title: SEC Charges Moody’s With Internal Controls Failures and Ratings Symbols Deficiencies Release No.:2018-169
Published date grouping:August 2018 Date: Title: Legg Mason Charged With Violating the FCPA Release No.:2018-168
Published date grouping:August 2018 Date: Title: Transamerica Entities to Pay $97 Million to Investors Relating to Errors in Quantitative Investment Models Release No.:2018-167
Published date grouping:August 2018 Date: Title: SEC Announces Agenda for Sept. 13 Investor Advisory Committee Meeting Release No.:2018-166
Published date grouping:August 2018 Date: Title: Fee Rate Advisory #1 for Fiscal Year 2019 Release No.:2018-165
Published date grouping:August 2018 Date: Title: SEC Names Matthew S. Jacques as Chief Accountant in Enforcement Division Release No.:2018-164
Published date grouping:August 2018 Date: Title: Barry Miller, Associate Director in Division of Investment Management, to Leave SEC After More Than 40 Years of Public Service Release No.:2018-163
Published date grouping:August 2018 Date: Title: SEC Chairman Clayton Announces Additional Investor Roundtable in Baltimore for Main Street Investors to ‘Tell Us’ About Their Investor Experience Release No.:2018-162
Published date grouping:August 2018 Date: Title: SEC Charges Former Online Marketing Company Executives With Inflating Operating Metrics Release No.:2018-161
Published date grouping:August 2018 Date: Title: SEC Charges Technology Fund Adviser, Founder in Fraudulent Scheme Release No.:2018-160
Published date grouping:August 2018 Date: Title: Merrill Lynch Settles SEC Charges of Undisclosed Conflict in Advisory Decision Release No.:2018-159
Published date grouping:August 2018 Date: Title: SEC Adopts Rule Amendments to Improve Municipal Securities Disclosure Release No.:2018-158
Published date grouping:August 2018 Date: Title: SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors Release No.:2018-157
Published date grouping:August 2018 Date: Title: SEC Adopts Amendments to Simplify and Update Disclosure Requirements Release No.:2018-156
Published date grouping:August 2018 Date: Title: Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls Release No.:2018-155
Published date grouping:August 2018 Date: Title: SEC Charges Ameriprise Financial Services for Failing to Safeguard Client Assets Release No.:2018-154
Published date grouping:August 2018 Date: Title: SEC Files Charges in Municipal Bond “Flipping” and Kickback Schemes Release No.:2018-153
Published date grouping:August 2018 Date: Title: SEC Bars Perpetrator of Initial Coin Offering Fraud Release No.:2018-152
Published date grouping:August 2018 Date: Title: SEC Charges U.S. Congressman and Others With Insider Trading Release No.:2018-151
Published date grouping:August 2018 Date: Title: SEC Charges Cloud Communications Company and Two Senior Executives With Misleading Revenue Projections Release No.:2018-150
Published date grouping:August 2018 Date: Title: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2018-149
Published date grouping:July 2018 Date: Title: SEC Charges Recidivist in Stock Manipulation Scheme Release No.:2018-148
Published date grouping:July 2018 Date: Title: Daniel Gregus Named National Associate Director of Clearance and Settlement Examination Program Release No.:2018-147
Published date grouping:July 2018 Date: Title: Kristin Snyder Named Deputy Director of OCIE Release No.:2018-146
Published date grouping:July 2018 Date: Title: Jane Jarcho, Deputy Director of OCIE, to Retire From SEC Release No.:2018-145
Published date grouping:July 2018 Date: Title: Elizabeth Baird and Christian Sabella Named Deputy Directors of the Division of Trading and Markets Release No.:2018-144
Published date grouping:July 2018 Date: Title: SEC Proposes Rules to Simplify and Streamline Disclosures in Certain Registered Debt Offerings Release No.:2018-143
Published date grouping:July 2018 Date: Title: SEC Detects Silicon Valley Executive’s Insider Trading Release No.:2018-142
Published date grouping:July 2018 Date: Title: SEC Charges Failed Fyre Festival Founder and Others With $27.4 Million Offering Fraud Release No.:2018-141
Published date grouping:July 2018 Date: Title: SEC Charges Mizuho Securities for Failure to Safeguard Customer Information Release No.:2018-140
Published date grouping:July 2018 Date: Title: Julie Lutz, Regional Director of the Denver Regional Office, to Leave SEC After More Than 40 Years Serving Investors Release No.:2018-139
Published date grouping:July 2018 Date: Title: Deutsche Bank to Pay Nearly $75 Million for Improper Handling of ADRs Release No.:2018-138
Published date grouping:July 2018 Date: Title: SEC Charges Investment Adviser and CEO With Misleading Retail Investors Release No.:2018-137
Published date grouping:July 2018 Date: Title: SEC Adopts Rules to Enhance Transparency and Oversight of Alternative Trading Systems Release No.:2018-136
Published date grouping:July 2018 Date: Title: SEC Adopts Final Rules and Solicits Public Comment on Ways to Modernize Offerings Pursuant to Compensatory Arrangements Release No.:2018-135
Published date grouping:July 2018 Date: Title: SEC Charges BGC Financial for Failure to Preserve Documents and Maintain Accurate Books and Records Release No.:2018-134
Published date grouping:July 2018 Date: Title: SEC Charges Oil Company CEO, Board Member With Hiding Personal Loans Release No.:2018-133
Published date grouping:July 2018 Date: Title: SEC Files Charges in Busted Microcap Schemes Release No.:2018-132
Published date grouping:July 2018 Date: Title: SEC Issues Agenda for July 16 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2018-131
Published date grouping:July 2018 Date: Title: SEC Files Additional Charges in Fitbit Stock Manipulation Scheme Release No.:2018-130
Published date grouping:July 2018 Date: Title: Former CEO and CFO of ITT Barred and Ordered to Pay Penalties Release No.:2018-129
Published date grouping:July 2018 Date: Title: SEC Charges Credit Suisse With FCPA Violations Release No.:2018-128
Published date grouping:July 2018 Date: Title: SEC Charges KBR for Inflating Key Performance Metric and Accounting Controls Deficiencies Release No.:2018-127
Published date grouping:July 2018 Date: Title: SEC Charges Attorney and Law Firm Business Manager With Illegal Sales of UBI Blockchain Internet Stock Release No.:2018-126
Published date grouping:June 2018 Date: Title: SEC Chairman Clayton Invites Main Street Investors to ‘Tell Us’ About Their Investor Experience Release No.:2018-125
Published date grouping:June 2018 Date: Title: SEC Charges Morgan Stanley in Connection With Failure to Detect or Prevent Misappropriation of Client Funds Release No.:2018-124
Published date grouping:June 2018 Date: Title: SEC Charges New York-Based Firm and Supervisors for Failing to Supervise Brokers Who Defrauded Customers Release No.:2018-123
Published date grouping:June 2018 Date: Title: SEC Celebrates Lesbian, Gay, Bisexual and Transgender Pride Month Release No.:2018-122
Published date grouping:June 2018 Date: Title: SEC Approves Final and Proposed Rules in Latest Open Meeting Release No.:2018-121
Published date grouping:June 2018 Date: Title: SEC Proposes Whistleblower Rule Amendments Release No.:2018-120
Published date grouping:June 2018 Date: Title: SEC Adopts Targeted Changes to Public Liquidity Risk Management Disclosure Release No.:2018-119
Published date grouping:June 2018 Date: Title: SEC Proposes New Approval Process for Certain Exchange-Traded Funds Release No.:2018-118
Published date grouping:June 2018 Date: Title: SEC Adopts Inline XBRL for Tagged Data Release No.:2018-117
Published date grouping:June 2018 Date: Title: SEC Expands the Scope of Smaller Public Companies that Qualify for Scaled Disclosures Release No.:2018-116
Published date grouping:June 2018 Date: Title: Former Equifax Manager Charged With Insider Trading Release No.:2018-115
Published date grouping:June 2018 Date: Title: SEC and CFTC Announce Approval of New MOU Release No.:2018-114
Published date grouping:June 2018 Date: Title: SEC Charges Credit Ratings Analyst and Two Friends with Insider Trading Release No.:2018-113
Published date grouping:June 2018 Date: Title: Wells Fargo Advisors Settles SEC Charges for Improper Sales of Complex Financial Products Release No.:2018-112
Published date grouping:June 2018 Date: Title: Paul G. Cellupica Named Deputy Director—Chief Counsel of the Division of Investment Management Release No.:2018-111
Published date grouping:June 2018 Date: Title: SEC Shuts Down $102 Million Ponzi Scheme Release No.:2018-110
Published date grouping:June 2018 Date: Title: Investors, Innovation, and Performance Top SEC's Draft Strategic Plan Release No.:2018-109
Published date grouping:June 2018 Date: Title: Merrill Lynch Admits to Misleading Customers about Trading Venues Release No.:2018-108
Published date grouping:June 2018 Date: Title: Daniel J. Wadley Named as Regional Director of Salt Lake Office Release No.:2018-107
Published date grouping:June 2018 Date: Title: Maurya C. Keating Named an Associate Regional Director for Examinations in New York Regional Office Release No.:2018-106
Published date grouping:June 2018 Date: Title: SEC Charges Merrill Lynch for Failure to Supervise RMBS Traders Release No.:2018-105
Published date grouping:June 2018 Date: Title: SEC Names Sarah ten Siethoff Associate Director in the Division of Investment Management’s Rulemaking Office Release No.:2018-104
Published date grouping:June 2018 Date: Title: SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure Release No.:2018-103
Published date grouping:June 2018 Date: Title: SEC Names Valerie A. Szczepanik Senior Advisor for Digital Assets and Innovation Release No.:2018-102
Published date grouping:June 2018 Date: Title: SEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients Release No.:2018-101
Published date grouping:June 2018 Date: Title: SEC Charges 13 Private Fund Advisers for Repeated Filing Failures Release No.:2018-100
Published date grouping:May 2018 Date: Title: Chyhe Becker Named Acting Chief Economist and Acting Director of the Division of Economic and Risk Analysis Release No.:2018-99
Published date grouping:May 2018 Date: Title: SEC Names Julie A. Erhardt Acting Chief Risk Officer Release No.:2018-98
Published date grouping:May 2018 Date: Title: SEC Charges Investment Banker in Insider Trading Scheme Release No.:2018-97
Published date grouping:May 2018 Date: Title: SEC Charges Long Island Investment Professional in $8 Million Scam Targeting Long-Standing Brokerage Customers Release No.:2018-96
Published date grouping:May 2018 Date: Title: SEC Announces Agenda for June 14 Investor Advisory Committee Meeting in Atlanta Release No.:2018-95
Published date grouping:May 2018 Date: Title: SEC Obtains Emergency Order Halting Fraudulent Coin Offering Scheme Release No.:2018-94
Published date grouping:May 2018 Date: Title: Jeffrey Harris, Chief Economist and Director of the SEC’s Division of Economic and Risk Analysis, to Leave the Agency Release No.:2018-93
Published date grouping:May 2018 Date: Title: SEC Proposes FAIR Act Rules to Promote Research Reports on Investment Funds Release No.:2018-92
Published date grouping:May 2018 Date: Title: Investing in America: SEC Commissioners are Heading to Atlanta to Interact with Investors Release No.:2018-91
Published date grouping:May 2018 Date: Title: SEC Charges Three Former Healthcare Executives With Fraud Release No.:2018-90
Published date grouping:May 2018 Date: Title: SEC Charges Owner of Alternative Investment Firm in Belize Airport Financing Scam Release No.:2018-89
Published date grouping:May 2018 Date: Title: The SEC Has an Opportunity You Won’t Want to Miss: Act Now! Release No.:2018-88
Published date grouping:May 2018 Date: Title: SEC Charges Brokerage Firms and AML Officer With Anti-Money Laundering Violations Release No.:2018-87
Published date grouping:May 2018 Date: Title: SEC Names James Reese Chief Risk and Strategy Officer of the Office of Compliance Inspections and Examinations Release No.:2018-86
Published date grouping:May 2018 Date: Title: SEC Files Charges in International Manipulation Scheme Release No.:2018-85
Published date grouping:May 2018 Date: Title: SEC Names Caryn E. Kauffman as Chief Financial Officer Release No.:2018-84
Published date grouping:May 2018 Date: Title: SEC Charges Hedge Fund Adviser With Deceiving Investors by Inflating Fund Performance Release No.:2018-83
Published date grouping:May 2018 Date: Title: SEC Levies Fraud Charges Against Texas-Based Municipal Advisor, Owner for Lying to School District Release No.:2018-82
Published date grouping:May 2018 Date: Title: Hedge Fund Firm Charged for Asset Mismarking and Insider Trading Release No.:2018-81
Published date grouping:May 2018 Date: Title: SEC Names Jessica Kane Director of Office of Credit Ratings Release No.:2018-80
Published date grouping:May 2018 Date: Title: Diane Blizzard, Associate Director of Rulemaking for the SEC’s Division of Investment Management, to Leave the Agency After 18 Years of Service Release No.:2018-79
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