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:July 2019 Date: Title: SEC Charges Engine Manufacturing Company Executives With Accounting Fraud Release No.:2019-137
Published date grouping:July 2019 Date: Title: SEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors Release No.:2019-136
Published date grouping:July 2019 Date: Title: SEC Charges Portfolio Manager with Mispricing Fund Investments Release No.:2019-135
Published date grouping:July 2019 Date: Title: SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud Release No.:2019-134
Published date grouping:July 2019 Date: Title: Former REIT Manager and Executives to Settle SEC Charges for More Than $60 Million Release No.:2019-133
Published date grouping:July 2019 Date: Title: SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments Release No.:2019-132
Published date grouping:July 2019 Date: Title: Nomura to Pay Misled Bond Customers $25 Million to Settle SEC Charges Release No.:2019-131
Published date grouping:July 2019 Date: Title: SEC Charges Securities Lawyer and Microcap Agent with Fraud Release No.:2019-130
Published date grouping:July 2019 Date: Title: SEC Staff Publishes Statement Highlighting Risks for Market Participants to Consider As They Transition Away from LIBOR Release No.:2019-129
Published date grouping:July 2019 Date: Title: SEC Monitoring Impact of Tropical Storm Barry on Capital Markets Release No.:2019-128
Published date grouping:July 2019 Date: Title: SEC Investor Advisory Committee to Meet on July 25 Release No.:2019-127
Published date grouping:July 2019 Date: Title: SEC Charges Accountant and Friend in $6.2 Million Insider Trading Scheme Release No.:2019-126
Published date grouping:July 2019 Date: Title: CFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products Release No.:2019-125
Published date grouping:July 2019 Date: Title: Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule Release No.:2019-124
Published date grouping:July 2019 Date: Title: SEC Announces August 13 Meeting of Small Business Capital Formation Advisory Committee Release No.:2019-123
Published date grouping:July 2019 Date: Title: Julie A. Erhardt, Deputy Chief Accountant, to Leave the SEC Release No.:2019-122
Published date grouping:July 2019 Date: Title: Allison Herren Lee Sworn In As SEC Commissioner Release No.:2019-121
Published date grouping:July 2019 Date: Title: SEC Proposes to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products Release No.:2019-120
Published date grouping:July 2019 Date: Title: John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency Release No.:2019-119
Published date grouping:July 2019 Date: Title: SEC Names Sagar Teotia As Chief Accountant Release No.:2019-118
Published date grouping:July 2019 Date: Title: SEC Staff to Host July 18 Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements Release No.:2019-117
Published date grouping:July 2019 Date: Title: SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month Release No.:2019-116
Published date grouping:July 2019 Date: Title: SEC Charges Investment Adviser With Fraud Release No.:2019-115
Published date grouping:June 2019 Date: Title: State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses Release No.:2019-114
Published date grouping:June 2019 Date: Title: SEC Charges New Defendant in $43 Million Tribal Bonds Scheme Release No.:2019-113
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