SEC.gov | Press Releases
Headline:
New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising
Release No.:
2022-132
Headline:
SEC Small Business Advisory Committee to Discuss Liquidity Challenges for Investors in Small and Emerging Businesses
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2022-130
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SEC Charges Former Indiana Congressman with Insider Trading
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2022-128
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Jaime Lizárraga Sworn In as SEC Commissioner
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2022-123
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SEC Proposes Amendments to Shareholder Proposal Rule
Release No.:
2022-121
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SEC Adopts Amendments to Proxy Rules Governing Proxy Voting Advice
Release No.:
2022-120
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SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers
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2022-113
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SEC Announces Spring 2022 Regulatory Agenda
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2022-112
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SEC Charges Firm and Five Brokers with Violations of Reg BI
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2022-110
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SEC Charges Private Equity Adviser for Failing to Disclose Disproportionate Expense Allocations to Fund
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2022-107
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SEC Charges Weiss Asset Management with Short Selling Violations
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2022-106
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SEC Charges Former Employee of Online Gambling Company with Insider Trading
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2022-105
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SEC Reopens Comment Period for Proposed Rule on Recovery of Erroneously Awarded Compensation
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2022-103
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SEC Charges CohnReznick LLP and Three Partners with Improper Professional Conduct
Release No.:
2022-102
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SEC Updates Electronic Filing Requirements
Release No.:
2022-99
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SEC Charges Global Steel Pipe Manufacturer with Violating Foreign Corrupt Practices Act
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2022-98
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SEC Charges Louisiana Town and Former Mayor with Fraud in Two Municipal Bond Deals
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2022-97
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SEC Announces Eight New Investor Advisory Committee Members
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2022-96
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SEC Proposes to Enhance Disclosures by Certain Investment Advisers and Investment Companies About ESG Investment Practices
Release No.:
2022-92
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SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names
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2022-91
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SEC Charges RiverSource Distributors with Improper Switching of Variable Annuities
Release No.:
2022-89
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SEC Charges BNY Mellon Investment Adviser for Misstatements and Omissions Concerning ESG Considerations
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2022-86
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SEC Charges Allianz Global Investors and Three Former Senior Portfolio Managers with Multibillion Dollar Securities Fraud
Release No.:
2022-84
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SEC Halts Fraudulent Cryptomining and Trading Scheme
Release No.:
2022-81
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SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining
Release No.:
2022-79
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SEC Charges CEO and President of Synergy Settlement Services with Fraudulent Operation of Special Needs Pooled Trusts
Release No.:
2022-76
Headline:
SEC Commemorates Financial Capability Month with Robust Slate of Investor Education Events and Resources
Release No.:
2022-75
Headline:
Small Business Advisory Committee to Host Virtual Meeting to Discuss Proposed Rules on Climate Disclosures and SPACs
Release No.:
2022-74
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SEC Charges Brazilian Mining Company with Misleading Investors about Safety Prior to Deadly Dam Collapse
Release No.:
2022-72
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SEC Charges Archegos and its Founder with Massive Market Manipulation Scheme
Release No.:
2022-70
Headline:
SEC Announces Older Investor Roundtable Event to Be Held April 28
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2022-69
Headline:
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
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2022-68
Headline:
SEC Charges Stericycle with Bribery Schemes in Latin America
Release No.:
2022-65
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SEC Charges Senior Executive of Brazilian Company with Fraud
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2022-63
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SEC Division of Examinations Announces 2022 Examination Priorities
Release No.:
2022-57
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SEC Charges Seven California Residents in Insider Trading Ring
Release No.:
2022-55
Headline:
SEC to Host Free Virtual Outreach Event to Help Older Adults and Their Caregivers Avoid Financial Fraud
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2022-53
Headline:
SEC Announces New Leadership in Examinations Division and New York Regional Office
Release No.:
2022-49
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SEC Proposes Amendments to Remove References to Credit Ratings from Regulation M
Release No.:
2022-47
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SEC Investor Advisory Committee to Discuss Artificial Intelligence and Cybersecurity on March 10
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2022-36
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SEC Charges Venture Capital Fund Adviser with Misleading Investors
Release No.:
2022-34
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SEC Charges Infinity Q Founder with Orchestrating Massive Valuation Fraud
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2022-29
Headline:
Rita Sampson Named Director of Office of Equal Employment Opportunity
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2022-28
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SEC Charges 12 Additional Financial Firms for Failure to Meet Form CRS Obligations
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2022-27
Headline:
SEC Proposed Changes to Two Whistleblower Program Rules
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2022-23
Headline:
SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting
Release No.:
2022-22
Headline:
SEC Issues Proposal to Reduce Risks in Clearance and Settlement
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2022-21
Headline:
SEC Proposes Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds
Release No.:
2022-20
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SEC Proposes to Enhance Private Fund Investor Protection
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2022-19
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SEC Advisory Committee Meeting to Explore Small Business Investment Issues
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2022-18
Headline:
SEC Files Fraud Charges Alleging a Multimillion Dollar Scheme that Targeted Retirement Accounts
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2022-17
Headline:
SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
Release No.:
2022-15
Headline:
Remediation Helps Tech Company Avoid Penalties
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2022-14
Headline:
SEC Reopens Comment Period for Pay Versus Performance
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2022-11
Headline:
SEC Proposes Amendments to Include Significant Treasury Markets Platforms Within Regulation ATS
Release No.:
2022-10
Headline:
SEC Proposes Amendments to Enhance Private Fund Reporting
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2022-9
Headline:
SEC Seeks Candidates for Investor Advisory Committee
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2022-6
Headline:
SEC Charges ICO Issuer and Founder with Defrauding Investors
Release No.:
2022-3
Headline:
SEC Charges Additional Defendant in Phony Certificates of Deposit Scam
Release No.:
2022-1
Headline:
Chair Gensler Announces Additions to Executive Staff
Release No.:
2021-270
Headline:
SEC Charges Financial Company and Its President with Engaging in Fraudulent Schemes to Boost Stock Price
Release No.:
2021-269
Headline:
William Birdthistle Named Director of Division of Investment Management
Release No.:
2021-268
Headline:
SEC Charges Private Equity Fund Adviser with Fee and Expense Disclosure Failures
Release No.:
2021-266
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SEC Charges Clinical Drug Trial Investigator with Insider Trading
Release No.:
2021-264
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Wedbush Securities Charged with Unregistered Sales of Microcap Securities and Failing to Report Suspicious Transactions
Release No.:
2021-261
Headline:
SEC Approves 2022 PCAOB Budget and Accounting Support Fee
Release No.:
2021-260
Headline:
SEC Proposes Amendments to Money Market Fund Rules
Release No.:
2021-258
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SEC Proposes New Share Repurchase Disclosure Rules
Release No.:
2021-257
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SEC Charges Three Canadian Citizens in Fraudulent Penny Stock Scheme
Release No.:
2021-255
Headline:
Report From SEC Small Business Advocate Details Capital Raising During Past Year
Release No.:
2021-254
Headline:
SEC Charges Dialysis Provider and Three Former Senior Executives with Revenue Manipulation Scheme
Release No.:
2021-252
Headline:
SEC Adopts Amendments to Finalize Rules Relating to the Holding Foreign Companies Accountable Act
Release No.:
2021-250
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SEC Charges Pharma CFO and Former Partner with Insider Trading
Release No.:
2021-249
Headline:
SEC Charges Latvian Citizen With Digital Asset Fraud
Release No.:
2021-248
Headline:
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.:
2021-247
Headline:
SEC Charges Oilfield Services Company and Former CEO With Failing to Disclose Executive Perks and Stock Pledges
Release No.:
2021-244
Headline:
SEC Appoints Haoxiang Zhu Director of Division of Trading and Markets
Release No.:
2021-242
Headline:
SEC Proposes Updates to Electronic Recordkeeping Requirements
Release No.:
2021-240
Headline:
SEC Proposes Rule to Provide Transparency in the Securities Lending Market
Release No.:
2021-239
Headline:
SEC Announces Enforcement Results for FY 2021
Release No.:
2021-238
Headline:
SEC Charges Promoter with Conducting Cryptocurrency Investment Scams
Release No.:
2021-237
Headline:
SEC Proposes Rule Amendments to Proxy Rules Governing Proxy Voting Advice
Release No.:
2021-236
Headline:
SEC Adopts New Rules for Universal Proxy Cards in Contested Director Elections
Release No.:
2021-235
Headline:
Registration of Two Digital Tokens Halted
Release No.:
2021-231
Headline:
SEC Charges Partner at Global Consulting Firm With Insider Trading
Release No.:
2021-230
Headline:
SEC Appoints New Chairperson and Board Members to the Public Company Accounting Oversight Board
Release No.:
2021-228
Headline:
Ahmed Abonamah Named Director of Office of Credit Ratings
Release No.:
2021-227
Headline:
SEC Approves PCAOB Rule to Establish A Framework for Determinations Under the Holding Foreign Companies Accountable Act
Release No.:
2021-226
Headline:
Nicole Creola Kelly Named Chief of SEC Whistleblower Office
Release No.:
2021-225
Headline:
SEC Updates Electronic Filing Requirements
Release No.:
2021-223
Headline:
Former Public Affairs Director John Nester to Retire from SEC
Release No.:
2021-218
Headline:
SEC Issues Agendas for October 28 and November 3 Meetings of the Asset Management Advisory Committee
Release No.:
2021-215
Headline:
SEC Obtains Asset Freeze and Other Relief in Halting Penny Stock Scheme on Twitter
Release No.:
2021-214
Headline:
SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021
Release No.:
2021-212
Headline:
SEC Reopens Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
Release No.:
2021-210
Headline:
SEC Modernizes Filing Fee Disclosure and Payment Methods
Release No.:
2021-209
Headline:
SEC Highlights Investor Protection for World Investor Week 2021
Release No.:
2021-207
Headline:
SEC Charges Webcast Host for Role in Market Manipulation Scheme
Release No.:
2021-206
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SEC Charges Rogue Trader Who Bankrupted His Firm
Release No.:
2021-205
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SEC Charges Former Executives of Registered Investment Adviser with Fraud
Release No.:
2021-204
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SEC Bars Two Individuals from Whistleblower Award Program
Release No.:
2021-199
Headline:
SEC Delivers Report to Congress with Recommendations from the 40th Annual Small Business Forum
Release No.:
2021-194
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SEC Charges Two Companies and Their Principals with Misleading Investors in More Than a Dozen Oil and Gas Securities Offerings
Release No.:
2021-193
Headline:
SEC Charges Principals of Subprime Automobile Finance Company with Fraud
Release No.:
2021-189
Headline:
SEC Charges Puerto Rican Company and Managing Members with Fraud
Release No.:
2021-185
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RBC Charged With Failing to Give Priority to Retail and Institutional Investors in Municipal Offerings
Release No.:
2021-179
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SEC Charges School District and Former Executive with Misleading Investors in Bond Offering
Release No.:
2021-178
Headline:
SEC Charges App Annie and its Founder with Securities Fraud
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2021-176
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SEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets
Release No.:
2021-175
Headline:
SEC Monitoring Impact of Hurricane Ida on Capital Markets
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2021-171
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SEC Announces Three Actions Charging Deficient Cybersecurity Procedures
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2021-169
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SEC Charges Underwriter and Its Former CEO With Misconduct In Muni Bond Tender Offer
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2021-166
Headline:
Chair Gensler Announces Addition of Barbara Roper to Senior Staff
Release No.:
2021-165
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SEC Charges Healthcare Services Company and CFO for Failing to Accurately Report Loss Contingencies as part of Continuing EPS Initiative
Release No.:
2021-162
Headline:
SEC Enforcement Chief Counsel Joe Brenner Retires
Release No.:
2021-161
Headline:
SEC Enhances Access to Financial Disclosure Data
Release No.:
2021-159
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SEC Charges Netflix Insider Trading Ring
Release No.:
2021-158
Headline:
Sanjay Wadhwa Named Deputy Director of Enforcement Division
Release No.:
2021-157
Headline:
SEC Charges Investment Adviser and Associated Individuals with Causing Violations of Regulation SHO
Release No.:
2021-156
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SEC Charges Biopharmaceutical Company Employee with Insider Trading
Release No.:
2021-155
Headline:
SEC Charges Pearson plc for Misleading Investors About Cyber Breach
Release No.:
2021-154
Headline:
SEC Charges International Microcap Fraud Scheme Participants
Release No.:
2021-148
Headline:
SEC Charges Poloniex for Operating Unregistered Digital Asset Exchange
Release No.:
2021-147
Headline:
SEC Charges Real Estate CEO With Defrauding Investors
Release No.:
2021-142
Headline:
SEC Charges Unlicensed Broker With Defrauding Investors
Release No.:
2021-140
Headline:
SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures
Release No.:
2021-139
Headline:
SEC Issues Substituted Compliance Determination for France
Release No.:
2021-138
Headline:
YJ Fischer to Join SEC as Director of the Office of International Affairs
Release No.:
2021-137
Headline:
SEC Halts Alleged Ongoing Offering Fraud Involving Cycling Companies
Release No.:
2021-136
Headline:
SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investors
Release No.:
2021-135
Headline:
Chair Gensler Announces Composition of Policy Team
Release No.:
2021-129
Headline:
SEC Charges Executives of Network Infrastructure Company With Accounting Fraud
Release No.:
2021-127
Headline:
SEC Charges Three Individuals with Insider Trading
Release No.:
2021-121
Headline:
SEC Issues Agenda for July 7 Meeting of Asset Management Advisory Committee
Release No.:
2021-119
Headline:
SEC Charges San Francisco Bay Area Finance Employee and Friend With Insider Trading
Release No.:
2021-117
Headline:
SEC Engages with Students for Their Perspectives on Emerging Issues
Release No.:
2021-116
Headline:
SEC Charges Amec Foster Wheeler Limited With FCPA Violations Related To Brazilian Bribery Scheme
Release No.:
2021-112
Headline:
SEC Charges ICO Issuer and CEO With Fraud and Unregistered Securities Offering
Release No.:
2021-108
Headline:
SEC Obtains Asset Freeze Against Offshore Fund and Its Operators
Release No.:
2021-107
Headline:
Six Charged in Silicon Valley Insider Trading Ring
Release No.:
2021-103
Headline:
SEC Charges Issuer With Cybersecurity Disclosure Controls Failures
Release No.:
2021-102
Headline:
SEC Announces Annual Regulatory Agenda
Release No.:
2021-99
Headline:
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.:
2021-97
Headline:
Gary Gensler Announces Additions to Executive Staff
Release No.:
2021-96
Headline:
SEC Investor Advisory Committee to Meet Remotely On June 10
Release No.:
2021-95
Headline:
SEC Charges Couple With Insider Trading on Confidential Clinical Trial Data
Release No.:
2021-94
Headline:
SEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud
Release No.:
2021-87
Headline:
Jessica Wachter Named SEC Chief Economist and Director of the Division of Economic and Risk Analysis
Release No.:
2021-77
Headline:
SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT
Release No.:
2021-76
Headline:
Increasing Opportunities for Underrepresented Founders and Investors on the Agenda for the SEC Small Business Capital Formation Advisory Committee Meeting on April 30
Release No.:
2021-73
Headline:
SEC Names Keo Chea as Director of Public Engagement and Aisha Johnson as Director of Media Relations
Release No.:
2021-72
Headline:
SEC Charges Fund Manager and Former Race Car Team Owner with Multimillion Dollar Fraud
Release No.:
2021-71
Headline:
Alex Oh Named SEC Director of Enforcement
Release No.:
2021-69
Headline:
Gary Gensler Names Initial Senior Staff Members
Release No.:
2021-68
Headline:
SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud
Release No.:
2021-66
Headline:
Gary Gensler Sworn in as Member of the SEC
Release No.:
2021-65
Headline:
SEC Reopens Comment Period for Universal Proxy
Release No.:
2021-64
Headline:
SEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Reopens Comment Period for Notice and Proposed Substituted Compliance Order for France
Release No.:
2021-57
Headline:
Auditor Charged for Failure to Register with PCAOB and Multiple Audit Failures
Release No.:
2021-56
Headline:
SEC Promotes Investor Awareness During National Financial Capability Month
Release No.:
2021-55
Headline:
SEC Responds to Investor Demand by Bringing Together Agency Information About Climate and ESG Issues
Release No.:
2021-52
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SEC Charges Owner of Real Estate Investment Company with Defrauding Investors
Release No.:
2021-48
Headline:
SEC Issues Agenda for March 19 Meeting of the Asset Management Advisory Committee
Release No.:
2021-47
Headline:
SEC Announces Enforcement Task Force Focused on Climate and ESG Issues
Release No.:
2021-42
Headline:
SEC Investor Advisory Committee to Meet Remotely On March 11
Release No.:
2021-40
Headline:
SEC Division of Examinations Announces 2021 Examination Priorities
Release No.:
2021-39
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SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity
Release No.:
2021-35
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SEC Charges Gas Exploration and Production Company and Former CEO with Failing to Disclose Executive Perks
Release No.:
2021-33
Headline:
SEC Charges Ratings Agency With Disclosure And Internal Controls Failures Relating To Undisclosed Model Adjustments
Release No.:
2021-29
Headline:
SEC Suspends Trading in Inactive Issuer Touted on Social Media
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2021-28
Headline:
SEC Charges Former Executives of San Francisco Bay Area Company With Accounting Violations
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2021-23
Headline:
SEC Charges Three Individuals in Digital Asset Frauds
Release No.:
2021-22
Headline:
Acting Chair Allison Herren Lee Announces Executive Staff
Release No.:
2021-21
Headline:
Satyam Khanna Named Senior Policy Advisor for Climate and ESG
Release No.:
2021-20
Headline:
John Coates Named Acting Director of the Division of Corporation Finance
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2021-19
Headline:
Manisha Kimmel to Conclude Tenure as Senior Policy Advisor to the Chair on the Consolidated Audit Trail
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2021-17
Headline:
Melissa Hodgman Named Acting Director of Division of Enforcement
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2021-15
Headline:
Allison Herren Lee Named Acting Chair of the SEC
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2021-13
Headline:
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.:
2021-12
Headline:
Sagar Teotia to Conclude Tenure as SEC Chief Accountant
Release No.:
2021-6
Headline:
SEC Charges Jewelry Wholesaler with Fraudulent Securities Offering Targeting Current and Retired Police Officers and Firefighters
Release No.:
2020-343
Headline:
Elad Roisman Named Acting Chairman of the SEC
Release No.:
2020-342
Headline:
SEC Chief of Staff Sean Memon Announces Plans to Conclude Tenure
Release No.:
2020-339
Headline:
Charles Koretke Named Managing Executive of Division of Examinations
Release No.:
2020-337
Headline:
SEC Proposes Amendments to Rule 144 and Form 144
Release No.:
2020-336
Headline:
Dalia Blass to Conclude Tenure as Director of the Division of Investment Management
Release No.:
2020-335
Headline:
SEC Adopts Modernized Marketing Rule for Investment Advisers
Release No.:
2020-334
Headline:
SEC Issues Substituted Compliance Order for Germany and Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for France
Release No.:
2020-332
Headline:
SEC and CONSOB Sign New Supervisory Cooperation Arrangement
Release No.:
2020-331
Headline:
SEC Names John Moses as Deputy Director of Office of Investor Education and Advocacy
Release No.:
2020-330
Headline:
SEC Releases 2020 Office of Credit Rating Reports
Release No.:
2020-326
Headline:
Small Business Advocate Releases Annual Report for Fiscal Year 2020
Release No.:
2020-324
Headline:
SEC Approves 2021 PCAOB Budget and Accounting Support Fee
Release No.:
2020-322
Headline:
SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution
Release No.:
2020-321
Headline:
SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation
Release No.:
2020-320
Headline:
SEC Adopts Final Rules for the Disclosure of Payments by Resource Extraction Issuers
Release No.:
2020-318
Headline:
Enforcement Director Stephanie Avakian To Conclude Tenure After Four Years Leading the Division
Release No.:
2020-314
Headline:
SEC Staff Supplements Quarterly Private Funds Statistics
Release No.:
2020-313
Headline:
Robert Stebbins to Conclude Tenure as SEC General Counsel
Release No.:
2020-309
Headline:
SEC Announces New Investor Advisory Committee Members
Release No.:
2020-305
Headline:
Nekia Hackworth Jones Named Director of Atlanta Regional Office
Release No.:
2020-304
Headline:
SEC Announces Office Focused on Innovation and Financial Technology
Release No.:
2020-303
Headline:
SEC Modernizes Framework for Fund Valuation Practices
Release No.:
2020-302
Headline:
Energy Companies Agree to Settle Fraud Charges Stemming From Failed Nuclear Power Plant Expansion
Release No.:
2020-301
Headline:
SEC Charges Disbarred New York Attorney and Florida Attorney with Scheme to Create False Opinion Letters
Release No.:
2020-300
Headline:
SEC Charges Unregistered Investment Adviser with Defrauding Puerto Rico Municipality
Release No.:
2020-299
Headline:
SEC Charges Boiler Rooms Operator with Defrauding Retail Investors
Release No.:
2020-298
Headline:
SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to Workers
Release No.:
2020-294
Headline:
SEC Issues Statement on European Central Counterparties Seeking to Register or Request Exemptions From the SEC
Release No.:
2020-292
Headline:
SEC Adopts Rules to Facilitate Electronic Submission of Documents to the Agency
Release No.:
2020-286
Headline:
OECD Working Group on Bribery Issues Report Commending United States for Maintaining Leading Role in the Fight Against Transnational Corruption
Release No.:
2020-285
Headline:
SEC Chairman Jay Clayton Confirms Plans to Conclude Tenure at Year End
Release No.:
2020-284
Headline:
SEC Charges Former Wells Fargo Executives for Misleading Investors About Key Performance Metric
Release No.:
2020-281
Headline:
Mike Willis Named Associate Director in Division of Economic and Risk Analysis
Release No.:
2020-280
Headline:
SEC Publishes Notice of German Substituted Compliance Application and Proposed Order
Release No.:
2020-279
Headline:
SEC Announces New Asset Management Advisory Committee Member
Release No.:
2020-277
Headline:
SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020
Release No.:
2020-274
Headline:
SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies
Release No.:
2020-269
Headline:
Division of Corporation Finance Director Bill Hinman Announces Intention to Conclude His Tenure Later This Year
Release No.:
2020-268
Headline:
SEC Charges Goldman Sachs With FCPA Violations
Release No.:
2020-265
Headline:
SEC Obtains Final Judgment Against Kik Interactive For Unregistered Offering
Release No.:
2020-262
Headline:
SEC Updates Auditor Independence Rules
Release No.:
2020-261
Headline:
SEC Releases Agenda for October 26 Roundtable on Regulation Best Interest and Form CRS
Release No.:
2020-260
Headline:
SEC and CFTC to Hold a Joint Open Meeting on October 22
Release No.:
2020-259
Headline:
SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan
Release No.:
2020-258
Headline:
SEC Appoints PCAOB Chief Auditor Megan Zietsman to PCAOB Board
Release No.:
2020-256
Headline:
SEC Charges Brazilian Meat Producers With FCPA Violations
Release No.:
2020-254
Headline:
SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Virtually
Release No.:
2020-249
Headline:
SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising
Release No.:
2020-248
Headline:
SEC Updates Regulatory Framework for Fund of Funds Arrangements
Release No.:
2020-247
Headline:
SEC Charges John McAfee With Fraudulently Touting ICOs
Release No.:
2020-246
Headline:
SEC Charges Hospitality Company for Failing to Disclose Executive Perks
Release No.:
2020-242
Headline:
SEC Charges Manitex International and Three Former Senior Executives With Accounting Fraud
Release No.:
2020-237
Headline:
SEC Charges Ratings Agency With Internal Controls Failures in Connection With Ratings of CMBS and CLO Combo Notes
Release No.:
2020-235
Headline:
SEC Charges Unregistered Brokers in Penny Stock Scheme Targeting Seniors
Release No.:
2020-234
Headline:
SEC Staff to Host October 26 Roundtable on Regulation Best Interest and Form CRS
Release No.:
2020-229
Headline:
SEC Charges Amazon Finance Manager and Family With Insider Trading
Release No.:
2020-228
Headline:
SEC Proposes Rules to Extend Regulations ATS and SCI to Treasuries and Other Government Securities Markets
Release No.:
2020-227
Headline:
SEC Charges BMW for Disclosing Inaccurate and Misleading Retail Sales Information to Bond Investors
Release No.:
2020-223
Headline:
SEC Charges Lighting Products Company and Four Executives With Accounting Violations
Release No.:
2020-221
Headline:
SEC Adopts Amendments to Modernize Shareholder Proposal Rule
Release No.:
2020-220
Headline:
SEC Charges Index Manager and Friend With Insider Trading
Release No.:
2020-217
Headline:
Unregistered ICO Issuer Agrees to Disable Tokens and Pay Penalty for Distribution to Harmed Investors
Release No.:
2020-211
Headline:
SEC Releases Report and Recommendations on the 39th Annual Small Business Forum
Release No.:
2020-210
Headline:
SEC Charges Charter School Operator and its Former President With Fraudulent Municipal Bond Offering
Release No.:
2020-208
Headline:
SEC Issues Agenda for September 16 Meeting of the Asset Management Advisory Committee
Release No.:
2020-206
Headline:
SEC Modernizes Disclosures for Banking Registrants
Release No.:
2020-205
Headline:
SEC Charges Fund Manager for Fraud in Securities Offering in Neiman Marcus Bankruptcy
Release No.:
2020-203
Headline:
SEC Investor Advisory Committee to Meet Virtually on September 24
Release No.:
2020-202
Headline:
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.:
2020-200
Headline:
SEC Charges Ponzi Scheme Targeting African Immigrants
Release No.:
2020-198
Headline:
SEC Charges Herbalife With FCPA Violations
Release No.:
2020-197
Headline:
SEC Charges BorgWarner for Materially Misstating its Financial Statements
Release No.:
2020-195
Headline:
SEC Monitoring Impact of Hurricane Laura on Capital Markets
Release No.:
2020-194
Headline:
SEC Halts Fraudulent Offering by Florida Investment Adviser
Release No.:
2020-193
Headline:
SEC Modernizes the Accredited Investor Definition
Release No.:
2020-191
Headline:
SEC Charges Super Micro and Former CFO in Connection with Widespread Accounting Violations
Release No.:
2020-190
Headline:
SEC Proposes Data Security Enhancements to the CAT NMS Plan
Release No.:
2020-189
Headline:
SEC Names Diana Stoltzfus as Deputy Chief Accountant
Release No.:
2020-185
Headline:
SEC Charges Issuer and CEO With Misrepresenting Platform Technology in Fraudulent ICO
Release No.:
2020-181
Headline:
Deputy Chief Accountant Marc Panucci to Leave SEC
Release No.:
2020-180
Headline:
SEC Charges Interactive Brokers With Repeatedly Failing to File Suspicious Activity Reports
Release No.:
2020-178
Headline:
SEC Charges Consumer Loan Company With FCPA Violations
Release No.:
2020-177
Headline:
Lindsay McCord Named Chief Accountant in Division of Corporation Finance
Release No.:
2020-176
Headline:
SEC Charges Affiliated Advisers for Misrepresentations About Payment for Order Flow Arrangements
Release No.:
2020-175
Headline:
SEC Provides Transparency to the Process of Nominating Candidates to the Investor Advisory Committee
Release No.:
2020-173
Headline:
SEC Proposes to Improve the Retail Investor Experience through Modernized Fund Shareholder Reports and Disclosures
Release No.:
2020-172
Headline:
SEC Announces New Small Business Capital Formation Advisory Committee Members
Release No.:
2020-171
Headline:
Pharmaceutical Company and Former Executives Charged With Misleading Financial Disclosures
Release No.:
2020-169
Headline:
SEC Charges Former Georgia State Legislator With Defrauding Investors in Ponzi Scheme
Release No.:
2020-168
Headline:
SEC Charges CEO and Company With Defrauding First Responders and Others Out of Millions
Release No.:
2020-167
Headline:
SEC Charges VALIC Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators
Release No.:
2020-164
Headline:
SEC Charges Financial Advisor with Fraud for Stealing Millions from Investors
Release No.:
2020-158
Headline:
SEC Charges Wind Turbine Company and Individuals With Defrauding Investors
Release No.:
2020-154
Headline:
SEC Issues Agenda for July 16 Special Meeting of the Asset Management Advisory Committee
Release No.:
2020-151
Headline:
SEC Adopts Amendments to Exemptive Applications Procedures
Release No.:
2020-150
Headline:
SEC Charges Alexion Pharmaceuticals With FCPA Violations
Release No.:
2020-149
Headline:
SEC Charges Novartis AG with FCPA Violations
Release No.:
2020-144
Headline:
Financial Regulators Modify Volcker Rule
Release No.:
2020-143
Headline:
SEC Extends Relief for Virtual Meetings of Fund Boards
Release No.:
2020-139
Headline:
Insurance Company and Former CFO Charged With Faulty Loss Reserves Disclosures
Release No.:
2020-135
Headline:
Insurance Company Settles SEC Charges for Failing to Disclose Executive Perks
Release No.:
2020-127
Headline:
SEC Issues Agenda for June 1 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.:
2020-125
Headline:
Private Equity Firm Ares Management LLC Charged With Compliance Failures
Release No.:
2020-123
Headline:
SEC Charges Owner of Film Distribution Company with Defrauding Publicly Traded Fund
Release No.:
2020-122
Headline:
SEC Announces Virtual Conference on Municipal Securities Disclosure
Release No.:
2020-121
Headline:
SEC Shuts Down Fraudulent Investment Adviser Targeting Senior Citizens
Release No.:
2020-120
Headline:
SEC Issues Agenda for May 27 Meeting of the Asset Management Advisory Committee
Release No.:
2020-119
Headline:
SEC Adopts Amendments to Improve Financial Disclosures about Acquisitions and Dispositions of Businesses
Release No.:
2020-118
Headline:
SEC Staff to Host July 9 Roundtable on Emerging Markets
Release No.:
2020-116
Headline:
SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct
Release No.:
2020-115
Headline:
SEC Adopts Amendments to the CAT NMS Plan to Improve Transparency and Financial Accountability
Release No.:
2020-114
Headline:
SEC Announces New Investor Advisory Committee Members
Release No.:
2020-113
Headline:
SEC Obtains Receiver Over Florida Investment Adviser Charged With Fraud
Release No.:
2020-110
Headline:
SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients
Release No.:
2020-109
Headline:
Chairman Jay Clayton Announces Additions to Executive Staff
Release No.:
2020-108
Headline:
SEC Investor Advisory Committee to Meet Virtually on May 21
Release No.:
2020-105
Headline:
SEC Charges Bloomberg Tradebook for Order Routing Misrepresentations
Release No.:
2020-104
Headline:
SEC Directs Equity Exchanges and Financial Industry Regulatory Authority to Improve Governance of Market Data Plans
Release No.:
2020-103
Headline:
SEC Proposes to Modernize Framework for Fund Valuation Practices
Release No.:
2020-93
Headline:
SEC Charges Former Financial Services Executive With FCPA Violations
Release No.:
2020-88
Headline:
SEC Enhances Standards for Critical Market Infrastructure
Release No.:
2020-86
Headline:
Foreign National and American Trader Settle Fraud Charges in EDGAR Hacking Case
Release No.:
2020-85
Headline:
SEC Office of Compliance Inspections and Examinations Publishes Risk Alerts Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS
Release No.:
2020-82
Headline:
Agencies Will Consider Comments on Volcker Rule Modifications Following Expiration of Comment Period
Release No.:
2020-79
Headline:
SEC Small Business Advocate to Host Virtual Coffee Breaks Discussing Small Business Capital Raising
Release No.:
2020-77
Headline:
SEC Charges Unregistered Penny Stock Dealer
Release No.:
2020-72
Headline:
SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus
Release No.:
2020-70
Headline:
SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate NYSE Electronic Auctions in Light of Temporary Closure of Physical Trading Floor
Release No.:
2020-67
Headline:
SEC Emergency Action Stops Digital Asset Scam
Release No.:
2020-66
Headline:
Jury Finds Investment Adviser and its Owner Liable for Fraud
Release No.:
2020-65
Headline:
SEC Wins Jury Trial Against Microcap Fraudsters
Release No.:
2020-60
Headline:
Division of Corporation Finance Chief Accountant and Disclosure Review Program Director Kyle Moffatt to Leave SEC
Release No.:
2020-59
Headline:
SEC Adopts Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer Definitions
Release No.:
2020-58
Headline:
SEC Adopts Investor Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts
Release No.:
2020-57
Headline:
SEC Halts Fraudulent Offering By Florida Investment Adviser
Release No.:
2020-56
Headline:
SEC Amends Rules to Improve Disclosure and Encourage Issuers to Conduct Debt Offerings on a Registered Basis
Release No.:
2020-52
Headline:
SEC Amends Exemptions from Investment Adviser Registration for Advisers to Rural Business Investment Companies
Release No.:
2020-51
Headline:
SEC Charges Cardinal Health With FCPA Violations
Release No.:
2020-48
Headline:
SEC Charges Wells Fargo In Connection With Investment Recommendation Practices
Release No.:
2020-43
Headline:
Actor Steven Seagal Charged With Unlawfully Touting Digital Asset Offering
Release No.:
2020-42
Headline:
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.:
2020-39
Headline:
SEC Charges Global Alcohol Producer with Disclosure Failures
Release No.:
2020-36
Headline:
SEC Announces Nancy Sumption as Senior Advisor to the Chairman for Cybersecurity Policy
Release No.:
2020-33
Headline:
SEC Charges Orchestrator of Cryptocurrency Scheme Ensnaring Physicians
Release No.:
2020-32
Headline:
ABN AMRO Clearing Chicago Charged With Improper Handling of ADRs
Release No.:
2020-29
Headline:
SEC Issues Agenda for February 10 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.:
2020-28
Headline:
SEC Brings Charges Against Fraud Targeting Amish and Mennonite Investors
Release No.:
2020-26
Headline:
SEC Proposes Amendments to Modernize and Enhance Financial Disclosures
Release No.:
2020-25
Headline:
SEC Issues Agenda for February 4 Meeting of Small Business Capital Formation Advisory Committee
Release No.:
2020-23
Headline:
SEC Names Ray McInerney as Freedom of Information Act Officer
Release No.:
2020-22
Headline:
SEC Charges Portfolio Manager and Advisory Firm with Misrepresenting Risk in Mutual Fund
Release No.:
2020-21
Headline:
SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity and Resiliency Practices
Release No.:
2020-20
Headline:
SEC Publishes Annual Reports on Credit Rating Agencies
Release No.:
2020-19
Headline:
SEC Awards Whistleblowers Whose Information Helped Stop Fraud
Release No.:
2020-15
Headline:
SEC Files Charges Against Scheme to Sell Fictitious Interests in Marijuana Company
Release No.:
2020-14
Headline:
SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Kém chất lượng Identity
Release No.:
2020-12
Headline:
SEC Names Allen Blume as Deputy Chief Financial Officer
Release No.:
2020-9
Headline:
SEC Issues Agenda for Inaugural Meeting of the Asset Management Advisory Committee
Release No.:
2020-6
Headline:
SEC Proposes Improvements to Governance of Market Data Plans
Release No.:
2020-5
Headline:
SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities
Release No.:
2020-4
Headline:
Longfin CEO Settles Fraud Action
Release No.:
2020-2
Headline:
SEC Charges Six Individuals in International Microcap Fraud Schemes
Release No.:
2020-1
Headline:
SEC Proposes to Codify Certain Consultations and Modernize Auditor Independence Rules
Release No.:
2019-276
Headline:
SEC Charges Recidivist Investment Adviser With Defrauding Retirees
Release No.:
2019-274
Headline:
Small Business Advocate Releases First Annual Report
Release No.:
2019-272
Headline:
SEC Files Charges in Ponzi Scheme Targeting Hispanic Community
Release No.:
2019-271
Headline:
SEC Names David Bottom as Chief Information Officer
Release No.:
2019-270
Headline:
SEC Approves 2020 PCAOB Budget and Accounting Support Fee
Release No.:
2019-266
Headline:
SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments
Release No.:
2019-265
Headline:
SEC Proposes Rules to Implement the Statutory Mandate to Adopt Resource Extraction Disclosure Rules
Release No.:
2019-264
Headline:
Silicon Valley IT Administrator and Friends Charged in Multimillion Dollar Insider Trading Ring
Release No.:
2019-261
Headline:
SEC Charges Former Goldman Sachs Executive With FCPA Violations
Release No.:
2019-260
Headline:
SEC Obtains Asset Freeze to Halt Alleged Offering Fraud
Release No.:
2019-258
Headline:
Former Congressman and Two Others Settle Insider Trading Charges
Release No.:
2019-257
Headline:
SEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock Promoter
Release No.:
2019-255
Headline:
SEC Charges Multinational Telecommunications Company With FCPA Violations
Release No.:
2019-254
Headline:
SEC Charges Trucking Executives With Accounting Fraud
Release No.:
2019-253
Headline:
SEC Releases Report on 38th Annual Small Business Forum
Release No.:
2019-252
Headline:
SEC Charges Iconix Brand Group and Former Top Executives With Accounting Fraud
Release No.:
2019-251
Headline:
SEC Names Paul Munter as Deputy Chief Accountant
Release No.:
2019-249
Headline:
SEC Names John Vanosdall as Deputy Chief Accountant
Release No.:
2019-248
Headline:
Kristina Littman Named Chief of the Cyber Unit
Release No.:
2019-247
Headline:
Chief Administrative Law Judge Brenda Murray to Retire
Release No.:
2019-246
Headline:
SEC Halts Penny Stock Scheme Targeting Seniors
Release No.:
2019-245
Headline:
SEC Charges Biotech Company and Executives With Accounting Fraud
Release No.:
2019-243
Headline:
SEC Proposes to Modernize Regulation of the Use of Derivatives by Registered Funds and Business Development Companies
Release No.:
2019-242
Headline:
SEC Announces Conference on Macroeconomic and Structural Trends and Dynamics Affecting the Capital Markets
Release No.:
2019-240
Headline:
SEC Halts Ponzi scheme Targeting Seniors and Small Business Owners
Release No.:
2019-239
Headline:
SEC Charges Adviser for Running Ponzi Scheme Targeting Haitian Community
Release No.:
2019-234
Headline:
SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019
Release No.:
2019-233
Headline:
SEC Proposes Amendments to Modernize Shareholder Proposal Rule
Release No.:
2019-232
Headline:
SEC Proposes Rule Amendments to Improve Accuracy and Transparency of Proxy Voting Advice
Release No.:
2019-231
Headline:
SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers
Release No.:
2019-230
Headline:
SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints
Release No.:
2019-227
Headline:
SEC to Host Veterans Day Program for Active Duty Service Members and Veterans
Release No.:
2019-224
Headline:
SEC Proposes Amendments to Exemptive Applications Procedures
Release No.:
2019-219
Headline:
SEC and Morehouse College Announce Atlanta Event for Minority Entrepreneurs
Release No.:
2019-218
Headline:
SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities
Release No.:
2019-217
Headline:
SEC Promotes Teacher Investment Outreach
Release No.:
2019-215
Headline:
PCAOB Board Member Kathleen Hamm to Complete Term
Release No.:
2019-210
Headline:
SEC Educational Videos Aim to Help Investors Spot and Avoid Fraud
Release No.:
2019-209
Headline:
SEC Announces the Formation of Asset Management Advisory Committee
Release No.:
2019-208
Headline:
Agencies Finalize Changes to Simplify Volcker Rule
Release No.:
2019-207
Headline:
SEC Charges Hedge Fund Adviser and Top Executives With Fraud
Release No.:
2019-201
Headline:
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.:
2019-198
Headline:
SEC Charges Canadian Clean Fuel Technology Company and Former CEO with FCPA Violations
Release No.:
2019-197
Headline:
SEC Charges Marketing and Printing Services Provider with FCPA Violations
Release No.:
2019-193
Headline:
SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud
Release No.:
2019-192
Headline:
SEC Charges Three Individuals with Deceiving Main Street Investors Through the Sale of Binary Options
Release No.:
2019-191
Headline:
SEC Proposes Amendments to Enhance Retail Investor Protections
Release No.:
2019-189
Headline:
SEC Charges TMC Bonds With Failing to Protect Confidential Subscriber Information
Release No.:
2019-187
Headline:
SEC Brings New Charges in Multimillion Dollar Boiler Room Schemes
Release No.:
2019-185
Headline:
SEC Charges PwC LLP With Violating Auditor Independence Rules and Engaging in Improper Professional Conduct
Release No.:
2019-184
Headline:
SEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity
Release No.:
2019-181
Headline:
SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants
Release No.:
2019-179
Headline:
SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan
Release No.:
2019-173
Headline:
Chandler Smith Costello Named Deputy Director for Public Affairs
Release No.:
2019-172
Headline:
SEC Names Monique Winkler as Associate Regional Director in San Francisco Office
Release No.:
2019-170
Headline:
SEC Monitoring Impact of Hurricane Dorian on Capital Markets
Release No.:
2019-169
Headline:
SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players
Release No.:
2019-167
Headline:
SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme
Release No.:
2019-166
Headline:
SEC Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange
Release No.:
2019-164
Headline:
RSM US LLP Charged With Violating Auditor Independence Rules
Release No.:
2019-161
Headline:
SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets
Release No.:
2019-157
Headline:
SEC Charges TherapeuticsMD With Regulation FD Violations
Release No.:
2019-156
Headline:
Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs
Release No.:
2019-155
Headline:
SEC Charges Former CFO of Cash Advance Company With Defrauding Retail Investors
Release No.:
2019-154
Headline:
SEC Releases Videos for Investors on Choosing and Working with a Financial Professional
Release No.:
2019-153
Headline:
SEC Wins Jury Trial Against Broker Charged with Insider Trading
Release No.:
2019-152
Headline:
SEC Charges Investment Banking Analyst with Insider Trading
Release No.:
2019-149
Headline:
SEC Announces Agenda and Panelists for 2019 Small Business Forum in Omaha
Release No.:
2019-146
Headline:
SEC Adopts Amendments to Codify Exemption to Credit Rating Agency Rule
Release No.:
2019-145
Headline:
SEC Chairman Clayton Announces Event for Main Street Investors in Chicago
Release No.:
2019-144
Headline:
SEC Issues Agenda for July 29 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.:
2019-141
Headline:
Emily Westerberg Russell Named Chief Counsel of Division of Trading and Markets
Release No.:
2019-139
Headline:
SEC Charges Engine Manufacturing Company Executives With Accounting Fraud
Release No.:
2019-137
Headline:
SEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors
Release No.:
2019-136
Headline:
SEC Charges Portfolio Manager with Mispricing Fund Investments
Release No.:
2019-135
Headline:
SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud
Release No.:
2019-134
Headline:
SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments
Release No.:
2019-132
Headline:
SEC Charges Securities Lawyer and Microcap Agent with Fraud
Release No.:
2019-130
Headline:
SEC Staff Publishes Statement Highlighting Risks for Market Participants to Consider As They Transition Away from LIBOR
Release No.:
2019-129
Headline:
SEC Monitoring Impact of Tropical Storm Barry on Capital Markets
Release No.:
2019-128
Headline:
SEC Investor Advisory Committee to Meet on July 25
Release No.:
2019-127
Headline:
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
Headline:
Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule
Release No.:
2019-124
Headline:
SEC Announces August 13 Meeting of Small Business Capital Formation Advisory Committee
Release No.:
2019-123
Headline:
Allison Herren Lee Sworn In As SEC Commissioner
Release No.:
2019-121
Headline:
SEC Proposes to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products
Release No.:
2019-120
Headline:
SEC Names Sagar Teotia As Chief Accountant
Release No.:
2019-118
Headline:
SEC Charges Investment Adviser With Fraud
Release No.:
2019-115
Headline:
State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses
Release No.:
2019-114
Headline:
Chairman Clayton Highlights New Members of Executive Staff
Release No.:
2019-112
Headline:
SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs
Release No.:
2019-111
Headline:
SEC Names Bryan Wood as Deputy Chief of Staff
Release No.:
2019-110
Headline:
SEC Names Sean Memon as Chief of Staff
Release No.:
2019-109
Headline:
SEC Chief of Staff Lucas Moskowitz to Leave the Agency
Release No.:
2019-108
Headline:
SEC Names Vanessa Countryman to Lead the Office of the Secretary
Release No.:
2019-107
Headline:
Joint Statement on Opportunistic Strategies in the Credit Derivatives Market
Release No.:
2019-106
Headline:
SEC Wins Jury Trial Against Broker Charged With Defrauding Customers
Release No.:
2019-104
Headline:
SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors
Release No.:
2019-103
Headline:
Walmart Charged With FCPA Violations
Release No.:
2019-102
Headline:
SEC Freezes Assets in International Manipulative Trading Scheme
Release No.:
2019-101
Headline:
SEC Chairman Clayton Announces Events for Main Street Investors in Boston
Release No.:
2019-100
Headline:
SEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision
Release No.:
2019-98
Headline:
SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions
Release No.:
2019-97
Headline:
SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management
Release No.:
2019-96
Headline:
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.:
2019-92
Headline:
David Peavler Named Director of Fort Worth Office
Release No.:
2019-91
Headline:
SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals
Release No.:
2019-89
Headline:
SEC Announces Enforcement and Investor Education Initiatives to Protect Teachers and Military Service Members
Release No.:
2019-85
Headline:
SEC Seeks Emergency Relief to Halt Ponzi Scheme Run From College Fraternity House
Release No.:
2019-84
Headline:
Ahmed Abonamah Named Deputy Director of the Office of Municipal Securities
Release No.:
2019-83
Headline:
SEC Announces Kevin Zerrusen as Senior Advisor to the Chairman for Cybersecurity Policy
Release No.:
2019-82
Headline:
Erin Schneider Named Director of San Francisco Office
Release No.:
2019-78
Headline:
SEC Charges Investment Adviser With Fraud
Release No.:
2019-77
Headline:
SEC Sues Alleged Perpetrator of Fraudulent Pyramid Scheme Promising Investors Cryptocurrency Riches
Release No.:
2019-74
Headline:
SEC Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions
Release No.:
2019-68
Headline:
SEC Charges Nevada Man Who Traded on Confidential Information Taken From Lifelong Friend
Release No.:
2019-67
Headline:
SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud
Release No.:
2019-66
Headline:
SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses
Release No.:
2019-65
Headline:
SEC Announces Fraud Charges in Ticket Resale Investment Scam
Release No.:
2019-62
Headline:
SEC Announces Members of Small Business Capital Formation Advisory Committee
Release No.:
2019-61
Headline:
SEC Charges Truckload Freight Company With Accounting Fraud
Release No.:
2019-60
Headline:
SEC Staff Announces Agenda for May 31 FinTech Forum
Release No.:
2019-59
Headline:
Silicon Valley Company Settles Fraud Charge for Misstating Returns to Investors
Release No.:
2019-58
Headline:
Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management
Release No.:
2019-56
Headline:
SEC Charges Former Woodbridge Directors of Investment With Fraud
Release No.:
2019-55
Headline:
SEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.:
2019-54
Headline:
SEC Charges Former SeaWorld Associate General Counsel With Insider Trading
Release No.:
2019-53
Headline:
New SEC Campaign Educates Investors on Where and How to Get Answers
Release No.:
2019-52
Headline:
SEC Charges Transportation Company Executives With Accounting Fraud
Release No.:
2019-51
Headline:
SEC Charges Former CEO of Silicon Valley Startup With Defrauding Investors
Release No.:
2019-50
Headline:
SEC Charges Medical Device Company With FCPA Violations
Release No.:
2019-48
Headline:
The Securities and Exchange Commission and the UK Financial Conduct Authority Sign Updated Supervisory Cooperation Arrangements
Release No.:
2019-47
Headline:
SEC Charges College Official for Fraudulently Concealing Financial Troubles From Municipal Bond Investors
Release No.:
2019-46
Headline:
Investment Adviser Charged With Stealing Millions From Private Fund
Release No.:
2019-45
Headline:
SEC Charges New Jersey Man With Fraudulently Causing Advisory Firm to Overbill Clients
Release No.:
2019-44
Headline:
SEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure
Release No.:
2019-38
Headline:
SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client
Release No.:
2019-36
Headline:
SEC Staff to Hold Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets
Release No.:
2019-35
Headline:
Wedbush Settles Failure to Supervise Charge
Release No.:
2019-32
Headline:
SEC Announces March 28 Meeting of Investor Advisory Committee
Release No.:
2019-31
Headline:
SEC Charges Lumber Liquidators With Fraud
Release No.:
2019-29
Headline:
Mobile TeleSystems Settles FCPA Violations
Release No.:
2019-27
Headline:
SEC Names Gabriel Benincasa As Its First Chief Risk Officer
Release No.:
2019-24
Headline:
SEC Names Vanessa Countryman Acting Secretary
Release No.:
2019-22
Headline:
SEC Halts South Florida Alternative Investments Scheme Targeting Retail Investors
Release No.:
2019-19
Headline:
SEC Files Charges in Elaborate Microcap Stock Fraud
Release No.:
2019-13
Headline:
SEC Charges Cognizant and Two Former Executives With FCPA Violations
Release No.:
2019-12
Headline:
SEC Extends Comment Period for Rulemaking Proposal Regarding Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Release No.:
2019-11
Headline:
SEC Charges Former Senior Attorney at Apple With Insider Trading
Release No.:
2019-10
Headline:
Deloitte Japan Charged With Violating Auditor Independence Rules
Release No.:
2019-9
Headline:
SEC Charges Founder of Online Gaming Company With Defrauding Investors
Release No.:
2019-8
Headline:
Elizabeth McFadden Named Deputy General Counsel
Release No.:
2019-7
Headline:
SEC Charges Four Public Companies With Longstanding ICFR Failures
Release No.:
2019-6
Headline:
SEC Names Manisha Kimmel as Senior Policy Advisor to the Chairman on the Consolidated Audit Trail
Release No.:
2019-5
Headline:
SEC Brings Charges in EDGAR Hacking Case
Release No.:
2019-1
Headline:
Agencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule
Release No.:
2018-305
Headline:
Martha Miller Named Advocate for Small Business Capital Formation
Release No.:
2018-304
Headline:
SEC Charges Audit Firm and Suspends Accountants for Deficient Audits
Release No.:
2018-302
Headline:
SEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions
Release No.:
2018-301
Headline:
SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities
Release No.:
2018-299
Headline:
SEC Adopts Transaction Fee Pilot for NMS Stocks
Release No.:
2018-298
Headline:
SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A
Release No.:
2018-297
Headline:
SEC Charges Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors
Release No.:
2018-296
Headline:
SEC Proposes Rule Changes for Fund of Funds Arrangements
Release No.:
2018-295
Headline:
SEC Adopts Rule of Practice 194
Release No.:
2018-293
Headline:
SEC Approves 2019 PCAOB Budget and Accounting Support Fee
Release No.:
2018-292
Headline:
SEC Adopts Final Rules for Disclosure of Hedging Policies
Release No.:
2018-291
Headline:
SEC Charges Former Panasonic Executives
Release No.:
2018-290
Headline:
SEC Publishes Two Reports on Credit Rating Agencies Showing Continued Focus on Compliance and Competition
Release No.:
2018-289
Headline:
Daniel Kahl Named Deputy Director of the Office of Compliance Inspections and Examinations
Release No.:
2018-288
Headline:
SEC Solicits Public Comment on Earnings Releases and Quarterly Reports
Release No.:
2018-287
Headline:
SEC Charges Former New York Investment Advisor and Daughter With Conducting a Ponzi Scheme
Release No.:
2018-283
Headline:
Executives Settle ICO Scam Charges
Release No.:
2018-280
Headline:
SEC Charges The Hain Celestial Group with Internal Controls Failures
Release No.:
2018-277
Headline:
SEC Charges Agria Corporation and Executive Chairman With Fraud
Release No.:
2018-276
Headline:
SEC Announces Agenda and Panelists for the 37th Annual Small Business Forum
Release No.:
2018-274
Headline:
SEC Halts Alleged Insider Trading Ring Spanning Three Countries
Release No.:
2018-273
Headline:
SEC Investor Advisory Committee to Meet on December 13
Release No.:
2018-272
Headline:
SEC Adopts FAIR Act Rules Promoting Research Reports on Investment Funds
Release No.:
2018-269
Headline:
Two Celebrities Charged With Unlawfully Touting Coin Offerings
Release No.:
2018-268
Headline:
Kurt Gottschall Named Director of Denver Office
Release No.:
2018-265
Headline:
SEC Brings Additional Charges in New York Boiler Room Scheme Targeting Seniors
Release No.:
2018-262
Headline:
SEC Settles Insider Trading Claims Against Former Chairman and CEO of Advanced Medical Optics
Release No.:
2018-261
Headline:
SEC Charges EtherDelta Founder With Operating an Unregistered Exchange
Release No.:
2018-258
Headline:
SEC Charges ITG With Misleading Dark Pool Subscribers
Release No.:
2018-256
Headline:
SEC Adopts Rules That Increase Information Brokers Must Provide to Investors on Order Handling
Release No.:
2018-253
Headline:
SEC Charges Family Friend of Former Investment Banker With Insider Trading
Release No.:
2018-251
Headline:
SEC Enforcement Division Issues Report on FY 2018 Results
Release No.:
2018-250
Headline:
SEC Adopts Rules to Modernize Property Disclosures Required for Mining Registrants
Release No.:
2018-248
Headline:
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.:
2018-247
Headline:
SEC Proposes Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts
Release No.:
2018-246
Headline:
SEC Issues Agenda for October 29 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.:
2018-244
Headline:
SEC Launches New Strategic Hub for Innovation and Financial Technology
Release No.:
2018-240
Headline:
SEC Provides Regulatory Relief and Assistance for Hurricane Victims
Release No.:
2018-237
Headline:
SEC Stops Fraudulent ICO That Falsely Claimed SEC Approval
Release No.:
2018-232
Headline:
SEC Monitoring Impact of Hurricane Michael on Capital Markets
Release No.:
2018-230
Headline:
SEC Charges Real Estate Developer With Fraud in Project Tied to New Commuter Rail Station
Release No.:
2018-229
Headline:
SEC Halts Microcap Fraud Scheme Orchestrated Through International Accounts
Release No.:
2018-228
Headline:
SEC to Focus on Empowering Main Street Investors for 2018 World Investor Week
Release No.:
2018-227
Headline:
Brokerage Firm to Exit Penny Stock Deposit Business and Pay Penalty for Repeatedly Failing to Report Suspicious Trading
Release No.:
2018-225
Headline:
SEC Charges LendingClub Asset Management and Former Executives With Misleading Investors and Breaching Fiduciary Duty
Release No.:
2018-223
Headline:
SEC Charges Stryker A Second Time for FCPA Violations
Release No.:
2018-222
Headline:
SEC Charges Salix Pharmaceuticals and Former CFO With Lying About Distribution Channel
Release No.:
2018-221
Headline:
SEC Charges Walgreens and Two Former Executives With Misleading Investors About Forecasted Earnings Goal
Release No.:
2018-220
Headline:
Elon Musk Charged With Securities Fraud for Misleading Tweets
Release No.:
2018-219
Headline:
Petrobras Reaches Settlement With SEC for Misleading Investors
Release No.:
2018-215
Headline:
SEC Proposes Amendments to Codify Exemption to Credit Rating Agency Rule
Release No.:
2018-214
Headline:
SEC Charges Firm With Deficient Cybersecurity Procedures
Release No.:
2018-213
Headline:
SG Americas Securities Charged for Improper Handling of ADRs
Release No.:
2018-211
Headline:
SEC Staff to Host Roundtable on Market Data and Market Access
Release No.:
2018-210
Headline:
Public Companies Charged With Failing to Comply With Quarterly Reporting Obligations
Release No.:
2018-207
Headline:
Business Services Company and Former CFO Charged With Accounting Fraud
Release No.:
2018-205
Headline:
SEC Provides Regulatory Relief and Assistance for Hurricane Victims
Release No.:
2018-202
Headline:
SEC Staff to Host Roundtable on Regulatory Approaches to Combating Retail Investor Fraud
Release No.:
2018-200
Headline:
Mark Wolfe Named Associate Director in Office of Derivatives Policy and Trading Practices
Release No.:
2018-196
Headline:
SEC Charges Investment Advisers With Defrauding Retail Advisory Clients
Release No.:
2018-195
Headline:
SEC Charges Citigroup for Dark Pool Misrepresentations
Release No.:
2018-193
Headline:
SEC Monitoring Impact of Hurricane Florence on Capital Markets
Release No.:
2018-192
Headline:
United Technologies Charged With Violating FCPA
Release No.:
2018-188
Headline:
Elad Roisman Sworn In As SEC Commissioner
Release No.:
2018-187
Headline:
SEC Charges Digital Asset Hedge Fund Manager With Misrepresentations and Registration Failures
Release No.:
2018-186
Headline:
SEC Obtains Relief to Fully Reimburse Retail Investors Sold Unsuitable Product
Release No.:
2018-184
Headline:
SEC Charges Two Brokers With Defrauding Customers
Release No.:
2018-183
Headline:
SEC Charges Microcap Fraudsters for Roles in Lucrative Market Manipulation Schemes
Release No.:
2018-182
Headline:
SEC Charges Real Estate Broker With FCPA Violations
Release No.:
2018-181
Headline:
SEC Names Anita Bandy and Carolyn Welshhans as Associate Directors in Enforcement Division
Release No.:
2018-180
Headline:
SEC Charges Two Men With Fraud in Kém chất lượng Trading Accounts Scheme
Release No.:
2018-178
Headline:
SEC Charges Cannabis Investment Fund and Founder in Fraudulent Scheme
Release No.:
2018-177
Headline:
SEC Charges Telecommunications Expense Management Company With Accounting Fraud
Release No.:
2018-175
Headline:
Sanofi Charged With FCPA Violations
Release No.:
2018-174
Headline:
SEC Charges Buffalo Advisory Firm and Principal With Fraud Relating to Association With Barred Adviser
Release No.:
2018-172
Headline:
SEC Charges NFL Player and Former Investment Banker With Insider Trading
Release No.:
2018-170
Headline:
Legg Mason Charged With Violating the FCPA
Release No.:
2018-168
Headline:
SEC Charges Former Online Marketing Company Executives With Inflating Operating Metrics
Release No.:
2018-161
Headline:
Merrill Lynch Settles SEC Charges of Undisclosed Conflict in Advisory Decision
Release No.:
2018-159
Headline:
SEC Adopts Rule Amendments to Improve Municipal Securities Disclosure
Release No.:
2018-158
Headline:
SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors
Release No.:
2018-157
Headline:
SEC Adopts Amendments to Simplify and Update Disclosure Requirements
Release No.:
2018-156
Headline:
SEC Charges Ameriprise Financial Services for Failing to Safeguard Client Assets
Release No.:
2018-154
Headline:
SEC Bars Perpetrator of Initial Coin Offering Fraud
Release No.:
2018-152
Headline:
SEC Charges Cloud Communications Company and Two Senior Executives With Misleading Revenue Projections
Release No.:
2018-150
Headline:
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.:
2018-149
Headline:
SEC Charges Recidivist in Stock Manipulation Scheme
Release No.:
2018-148
Headline:
Daniel Gregus Named National Associate Director of Clearance and Settlement Examination Program
Release No.:
2018-147
Headline:
Kristin Snyder Named Deputy Director of OCIE
Release No.:
2018-146
Headline:
Elizabeth Baird and Christian Sabella Named Deputy Directors of the Division of Trading and Markets
Release No.:
2018-144
Headline:
SEC Proposes Rules to Simplify and Streamline Disclosures in Certain Registered Debt Offerings
Release No.:
2018-143
Headline:
SEC Charges Mizuho Securities for Failure to Safeguard Customer Information
Release No.:
2018-140
Headline:
SEC Charges Investment Adviser and CEO With Misleading Retail Investors
Release No.:
2018-137
Headline:
SEC Adopts Rules to Enhance Transparency and Oversight of Alternative Trading Systems
Release No.:
2018-136
Headline:
SEC Adopts Final Rules and Solicits Public Comment on Ways to Modernize Offerings Pursuant to Compensatory Arrangements
Release No.:
2018-135
Headline:
SEC Charges BGC Financial for Failure to Preserve Documents and Maintain Accurate Books and Records
Release No.:
2018-134
Headline:
SEC Files Charges in Busted Microcap Schemes
Release No.:
2018-132
Headline:
SEC Issues Agenda for July 16 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.:
2018-131
Headline:
SEC Files Additional Charges in Fitbit Stock Manipulation Scheme
Release No.:
2018-130
Headline:
Former CEO and CFO of ITT Barred and Ordered to Pay Penalties
Release No.:
2018-129
Headline:
SEC Charges Credit Suisse With FCPA Violations
Release No.:
2018-128
Headline:
SEC Charges KBR for Inflating Key Performance Metric and Accounting Controls Deficiencies
Release No.:
2018-127
Headline:
SEC Charges Attorney and Law Firm Business Manager With Illegal Sales of UBI Blockchain Internet Stock
Release No.:
2018-126
Headline:
SEC Charges Morgan Stanley in Connection With Failure to Detect or Prevent Misappropriation of Client Funds
Release No.:
2018-124
Headline:
SEC Approves Final and Proposed Rules in Latest Open Meeting
Release No.:
2018-121
Headline:
SEC Proposes Whistleblower Rule Amendments
Release No.:
2018-120
Headline:
SEC Adopts Targeted Changes to Public Liquidity Risk Management Disclosure
Release No.:
2018-119
Headline:
SEC Adopts Inline XBRL for Tagged Data
Release No.:
2018-117
Headline:
SEC Expands the Scope of Smaller Public Companies that Qualify for Scaled Disclosures
Release No.:
2018-116
Headline:
Former Equifax Manager Charged With Insider Trading
Release No.:
2018-115
Headline:
SEC and CFTC Announce Approval of New MOU
Release No.:
2018-114
Headline:
SEC Charges Credit Ratings Analyst and Two Friends With Insider Trading
Release No.:
2018-113
Headline:
Wells Fargo Advisors Settles SEC Charges for Improper Sales of Complex Financial Products
Release No.:
2018-112
Headline:
Merrill Lynch Admits to Misleading Customers about Trading Venues
Release No.:
2018-108
Headline:
SEC Charges Merrill Lynch for Failure to Supervise RMBS Traders
Release No.:
2018-105
Headline:
SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure
Release No.:
2018-103
Headline:
SEC Charges Investment Adviser and Two Former Managers for Misleading Retail Clients
Release No.:
2018-101
Headline:
SEC Charges 13 Private Fund Advisers for Repeated Filing Failures
Release No.:
2018-100
Headline:
Chyhe Becker Named Acting Chief Economist and Acting Director of the Division of Economic and Risk Analysis
Release No.:
2018-99
Headline:
SEC Charges Investment Banker in Insider Trading Scheme
Release No.:
2018-97
Headline:
SEC Announces Agenda for June 14 Investor Advisory Committee Meeting in Atlanta
Release No.:
2018-95
Headline:
SEC Obtains Emergency Order Halting Fraudulent Coin Offering Scheme
Release No.:
2018-94
Headline:
SEC Proposes FAIR Act Rules to Promote Research Reports on Investment Funds
Release No.:
2018-92
Headline:
SEC Charges Three Former Healthcare Executives With Fraud
Release No.:
2018-90
Headline:
SEC Charges Owner of Alternative Investment Firm in Belize Airport Financing Scam
Release No.:
2018-89
Headline:
SEC Names James Reese Chief Risk and Strategy Officer of the Office of Compliance Inspections and Examinations
Release No.:
2018-86
Headline:
SEC Files Charges in International Manipulation Scheme
Release No.:
2018-85
Headline:
SEC Charges Hedge Fund Adviser With Deceiving Investors by Inflating Fund Performance
Release No.:
2018-83
Headline:
Hedge Fund Firm Charged for Asset Mismarking and Insider Trading
Release No.:
2018-81
Headline:
SEC Names Jessica Kane Director of Office of Credit Ratings
Release No.:
2018-80
Headline:
SEC Launches Additional Investor Protection Search Tool
Release No.:
2018-78
Headline:
SEC Names Raquel Fox Director of the Office of International Affairs
Release No.:
2018-76
Headline:
SEC Enforcement Division Issues FAQs for Share Class Selection Disclosure Initiative
Release No.:
2018-75
Headline:
Panasonic Charged With FCPA and Accounting Fraud Violations
Release No.:
2018-73
Headline:
SEC Charges Additional Defendant in Fraudulent ICO Scheme
Release No.:
2018-70
Headline:
SEC Proposes to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Investment Professionals
Release No.:
2018-68
Headline:
SEC Issues Agenda for April 9 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.:
2018-60
Headline:
SEC Charges Medical Device Company The Eye Machine and Founder Pocklington With Fraud
Release No.:
2018-59
Headline:
SEC Names Peter Henry as Director of the Office of Equal Employment Opportunity
Release No.:
2018-56
Headline:
SEC Warns of Government Impersonators
Release No.:
2018-55
Headline:
SEC Promotes Investor Awareness During National Financial Capability Month
Release No.:
2018-54
Headline:
SEC Halts Fraudulent Scheme Involving Unregistered ICO
Release No.:
2018-53
Headline:
SEC Charges Fintech Company Founder With Scheme to Defraud Investors and Misappropriate Funds
Release No.:
2018-52
Headline:
Kinross Gold Charged With FCPA Violations
Release No.:
2018-47
Headline:
Broker Charged With Repeatedly Putting Customer Assets At Risk
Release No.:
2018-45
Headline:
SEC Proposes Transaction Fee Pilot for NMS Stocks
Release No.:
2018-43
Headline:
SEC Proposes Targeted Changes to Public Liquidity Risk Management Disclosure
Release No.:
2018-42
Headline:
Former Equifax Executive Charged With Insider Trading
Release No.:
2018-40
Headline:
Voya Advisers Agree to Repay Clients and Settle Charges That They Failed to Disclose Securities Lending Conflict
Release No.:
2018-35
Headline:
SEC Obtains Partial Asset Freeze of Proceeds in Alleged Fraudulent Touting Scheme
Release No.:
2018-34
Headline:
Merrill Lynch Charged With Gatekeeping Failures in the Unregistered Sales of Securities
Release No.:
2018-32
Headline:
SEC Celebrates African American History Month
Release No.:
2018-29
Headline:
SEC Files Charges Seeking to Halt Recidivist and Associates in Scheme to Defraud Small Businesses
Release No.:
2018-27
Headline:
SEC Charges Ameriprise With Overcharging Retirement Tài khoản Customers for Mutual Fund Shares
Release No.:
2018-26
Headline:
SEC Announces Agenda for March 8 Investor Advisory Committee Meeting
Release No.:
2018-25
Headline:
SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures
Release No.:
2018-22
Headline:
SEC Obtains Bars and Suspensions Against Individuals and Accounting Firm in Shell Factory Scheme
Release No.:
2018-21
Headline:
SEC Suspends Trading in Three Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
Release No.:
2018-20
Headline:
Kyle Moffatt Named Chief Accountant in Division of Corporation Finance
Release No.:
2018-19
Headline:
SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Release No.:
2018-17
Headline:
Deutsche Bank to Repay Misled Customers
Release No.:
2018-13
Headline:
SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities
Release No.:
2018-12
Headline:
SEC Halts Ongoing Fraud by Purported Hedge Fund Manager
Release No.:
2018-11
Headline:
SEC Halts Alleged Initial Coin Offering Scam
Release No.:
2018-8
Headline:
Six Accountants Charged with Using Leaked Confidential PCAOB Data in Quest to Improve Inspection Results for KPMG
Release No.:
2018-6
Headline:
Robert Jackson and Hester Peirce Sworn In as SEC Commissioners
Release No.:
2018-5
Headline:
SEC Names Richard Best As Regional Director of Atlanta Office
Release No.:
2018-2
Headline:
SEC Issues Agenda for Inaugural Meeting of the Fixed Income Market Structure Advisory Committee
Release No.:
2018-1
Headline:
Annual Staff Reports on Credit Rating Agencies Show Improvements
Release No.:
2017-238
Headline:
Commission Staff Provides Regulatory Guidance for Accounting Impacts of the Tax Cuts and Jobs Act
Release No.:
2017-237
Headline:
Broker Charged With Giving Special Access to IPOs for Cash Kickbacks
Release No.:
2017-234
Headline:
Division of Trading and Markets Deputy Director Gary Barnett to Retire
Release No.:
2017-231
Headline:
SEC Appoints New Chairman and Board Members to PCAOB
Release No.:
2017-230
Headline:
SEC Charges Biopharmaceutical Company With Failing to Properly Disclose Perks for Executives
Release No.:
2017-229
Headline:
Stock Trader Charged in Insider Trading Ring
Release No.:
2017-228
Headline:
Company Halts ICO After SEC Raises Registration Concerns
Release No.:
2017-227
Headline:
Broker Charged With Defrauding Investors
Release No.:
2017-224
Headline:
SEC Continues Crackdown on Brokers Defrauding Customers
Release No.:
2017-223
Headline:
Audit Firm Charged With Fraud Relating to Auditing of Penny Stock Companies
Release No.:
2017-220
Headline:
SEC Emergency Action Halts ICO Scam
Release No.:
2017-219
Headline:
SEC Charges Florida Penny Stock Operators With Defrauding Elderly Investors in Push to Crack Down on Repeat Offenders
Release No.:
2017-218
Headline:
Division of Corporation Finance Chief Accountant Mark Kronforst to Leave SEC
Release No.:
2017-217
Headline:
SEC Ratifies Appointment of Administrative Law Judges
Release No.:
2017-215
Headline:
SEC Announces Agenda for December 7 Investor Advisory Committee Meeting
Release No.:
2017-214
Headline:
Long Island Town and Former Top Official Charged With Defrauding Municipal Investors
Release No.:
2017-213
Headline:
SEC Announces Agenda and Panelists for the 36th Annual Small Business Forum
Release No.:
2017-211
Headline:
SEC Enforcement Division Issues Report on Priorities and FY 2017 Results
Release No.:
2017-210
Headline:
SEC Announces the Formation and First Members of Fixed Income Market Structure Advisory Committee
Release No.:
2017-209
Headline:
Charles Cain Named Chief of Foreign Corrupt Practices Unit
Release No.:
2017-206
Headline:
Petroleum Engineer Settles Charges of Insider Trading Ahead of Oil Discovery Announcement
Release No.:
2017-204
Headline:
Millennium Settles Charges of Illegal Short Selling in Advance of Stock Offerings
Release No.:
2017-203
Headline:
Day Trader Charged in Brokerage Tài khoản Takeover Scheme
Release No.:
2017-202
Headline:
Former Private Equity Firm Partner Charged With Secretly Billing Clients for His Vacations and Salon Visits
Release No.:
2017-199
Headline:
SEC Names Brett Redfearn as Director of the Division of Trading and Markets
Release No.:
2017-198
Headline:
SEC Announces Whistleblower Award of More Than a Million Dollars
Release No.:
2017-195
Headline:
Lawyers Charged With Assisting a Microcap Fraud Scheme
Release No.:
2017-194
Headline:
SEC Files Charges in Snack Company Investment Scam
Release No.:
2017-193
Headline:
SEC Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure
Release No.:
2017-192
Headline:
World Investor Week Brings Together Securities Regulators on Six Continents to Promote Investor Education and Protection
Release No.:
2017-187
Headline:
Chairman Clayton Provides Update on Review of 2016 Cyber Intrusion Involving EDGAR System
Release No.:
2017-186
Headline:
SEC Exposes Two Initial Coin Offerings Purportedly Backed by Real Estate and Diamonds
Release No.:
2017-185
Headline:
Barred Broker Charged in Real Estate Investment Scheme
Release No.:
2017-182
Headline:
SEC Provides Regulatory Relief and Assistance for Hurricane Victims
Release No.:
2017-181
Headline:
SEC Detects Brokers Defrauding Customers
Release No.:
2017-180
Headline:
Medical Manufacturer Settles Accounting Fraud Charges
Release No.:
2017-178
Headline:
Stock Market Analyst Barred for Illegally Cashing In On His Research Reports
Release No.:
2017-177
Headline:
Pharmaceutical Company Paying Penalty for Misleading Investors About Sales Metric
Release No.:
2017-175
Headline:
SEC Announces Agenda for October 12 Investor Advisory Committee Meeting
Release No.:
2017-174
Headline:
SEC Suspends Trading in Company Purporting Involvement in Hurricane Harvey Relief Efforts
Release No.:
2017-173
Headline:
SEC Adopts Interpretive Guidance on Pay Ratio Rule
Release No.:
2017-172
Headline:
SEC Chairman Clayton Issues Statement on Cybersecurity
Release No.:
2017-170
Headline:
CEO Charged With Using Secret Accounts for Insider Trading in Company Stock
Release No.:
2017-168
Headline:
Catherine McGuire to Retire After More Than 40 Years at the SEC
Release No.:
2017-167
Headline:
Bridget Fitzpatrick Named Chief Litigation Counsel
Release No.:
2017-161
Headline:
Former Amazon Employee and College Friend Charged With Insider Trading
Release No.:
2017-160
Headline:
State Street Paying Penalties to Settle Fraud Charges and Disclosure Failures
Release No.:
2017-159
Headline:
SEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies
Release No.:
2017-158
Headline:
Radio Host Charged With Concert Ticket Investment Scam
Release No.:
2017-157
Headline:
Adviser Charged With Stealing Investor Funds
Release No.:
2017-156
Headline:
Chairman Clayton Names Executive Staff
Release No.:
2017-155
Headline:
SEC Names Jeffrey Harris as Director of the Division of Economic and Risk Analysis
Release No.:
2017-154
Headline:
SEC Names Dalia Blass as Director of the Division of Investment Management
Release No.:
2017-153
Headline:
SEC Monitoring Market Impact of Hurricane Harvey
Release No.:
2017-150
Headline:
Muni Bond Issuer and Underwriter Charged With Disclosure Failures
Release No.:
2017-148
Headline:
SEC Charges Investment Adviser With Defrauding Professional Athlete and His Wife
Release No.:
2017-147
Headline:
Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading
Release No.:
2017-146
Headline:
Commission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition
Release No.:
2017-145
Headline:
SEC Charges KPMG with Audit Failures
Release No.:
2017-142
Headline:
SEC Files Charges in Oil Drilling Investment Scheme
Release No.:
2017-141
Headline:
SEC Staff Publishes Report on Access to Capital and Market Liquidity
Release No.:
2017-140
Headline:
Donna Esau Named Associate Regional Director for Examinations in Atlanta Regional Office
Release No.:
2017-138
Headline:
Overseas Stock Manipulator Settles SEC Charges
Release No.:
2017-137
Headline:
SEC Files Fraud Charges Against Former Brokers Targeting Federal Retirees
Release No.:
2017-135
Headline:
Jessica Magee Named Associate Regional Director for Enforcement in Fort Worth Office
Release No.:
2017-132
Headline:
SEC Names Bryan Wood as Director of the Office of Legislative and Intergovernmental Affairs
Release No.:
2017-129
Headline:
Federal Regulatory Agencies Announce Coordination of Reviews for Certain Foreign Funds Under Volcker Rule
Release No.:
2017-128
Headline:
SEC Bars Lawyer Who Committed Fraud
Release No.:
2017-127
Headline:
SEC Announces Christopher Hetner as Senior Advisor to the Chairman for Cybersecurity Policy
Release No.:
2017-126
Headline:
SEC Files Insider Trading Charges Against Research Scientist Aiming to Avoid SEC Detection
Release No.:
2017-125
Headline:
SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors
Release No.:
2017-124
Headline:
SEC Files Fraud Charges in Bitcoin and Office Space Investment Schemes
Release No.:
2017-123
Headline:
SEC Charges Information Technology Company and Former Executives With Accounting Fraud
Release No.:
2017-122
Headline:
SEC Charges Oil and Gas Company and Top Finance Executives with Accounting Fraud
Release No.:
2017-120
Headline:
Keith Cassidy Named Associate Director of Technology Controls Program in OCIE
Release No.:
2017-115
Headline:
SEC Announces Agenda for June 22 Investor Advisory Committee Meeting
Release No.:
2017-114
Headline:
SEC Files Charges in Trading Scheme Involving Confidential Government Information
Release No.:
2017-109
Headline:
SEC and MSRB to Hold Webinar on Series 50 Exam for Municipal Advisors
Release No.:
2017-108
Headline:
SEC Charges Kém chất lượng Filer With Manipulating Fitbit Stock
Release No.:
2017-107
Headline:
SEC Names Jaime Klima Chief Counsel
Release No.:
2017-104
Headline:
SEC Names Sean Memon Deputy Chief of Staff
Release No.:
2017-103
Headline:
SEC Charges Former Head Traders at Nomura With Fraud
Release No.:
2017-102
Headline:
SEC Names Lucas Moskowitz Chief of Staff
Release No.:
2017-101
Headline:
SEC Charges CEO With Failing to Disclose Perks to Shareholders
Release No.:
2017-99
Headline:
William Hinman Named Director of Division of Corporation Finance
Release No.:
2017-97
Headline:
SEC Charges Former Staffer With Securities Fraud Violations
Release No.:
2017-96
Headline:
SEC Announces Agenda for May 10 Meeting of the Advisory Committee on Small and Emerging Companies
Release No.:
2017-95
Headline:
Jay Clayton Sworn in as Chairman of SEC
Release No.:
2017-94
Headline:
SEC Staff Supplements Quarterly Private Funds Statistics
Release No.:
2017-92
Headline:
Semiconductor Company and Former CFO Settle Accounting Fraud Charges
Release No.:
2017-88
Headline:
Executives Charged in Connection With Accounting Failures at Government Contractor
Release No.:
2017-86
Headline:
Broker Charged With Defrauding Customers
Release No.:
2017-85
Headline:
Investment Bank VP Charged With Insider Trading
Release No.:
2017-83
Headline:
Telecom Executives Agree to Pay Penalties for FCPA Violations
Release No.:
2017-81
Headline:
SEC Freezes Brokerage Accounts Behind Alleged Insider Trading
Release No.:
2017-80
Headline:
SEC Adopts JOBS Act Amendments to Help Entrepreneurs and Investors
Release No.:
2017-78
Headline:
SEC Charges Muni Bond Underwriter With Gatekeeper Failures
Release No.:
2017-77
Headline:
SEC Announces Agenda for April 5 Meeting of the Equity Market Structure Advisory Committee
Release No.:
2017-75
Headline:
SEC Charges Pastor With Defrauding Retirees
Release No.:
2017-74
Headline:
SEC Halts Fraud Targeting Seniors
Release No.:
2017-72
Headline:
SEC Halts Boiler Room Scheme Involving State Lottery Tickets
Release No.:
2017-71
Headline:
Overseas Traders Paying Back All Profits Plus Penalties in Insider Trading Case
Release No.:
2017-70
Headline:
SEC Announces 2017 Compliance Outreach Program Seminars for Investment Companies and Investment Advisers
Release No.:
2017-69
Headline:
SEC FOIA Office Receives Award for Exceptional Service
Release No.:
2017-65
Headline:
SEC Economist Receives Award for Academic Work on Market Insights
Release No.:
2017-61
Headline:
SEC Posts Notice of Availability of IFRS Taxonomy
Release No.:
2017-58
Headline:
SEC Proposes Rule Amendments to Improve Municipal Securities Disclosures
Release No.:
2017-57
Headline:
SEC Proposes Inline XBRL Filing of Tagged Data
Release No.:
2017-56
Headline:
SEC Approves Rules to Ease Investor Access to Exhibits in Company Filings
Release No.:
2017-55
Headline:
SEC Votes to Seek Public Input on Possible Change to Industry Guide 3
Release No.:
2017-54
Headline:
SEC Announces Agenda for March 9 Investor Advisory Committee Meeting
Release No.:
2017-53
Headline:
SEC to Host Crowdfunding Dialogue February 28
Release No.:
2017-51
Headline:
SEC Charges Fuel Cell Company and Officers With Defrauding Investors
Release No.:
2017-49
Headline:
SEC Announces Cases Related to Disclosures During Battles for Corporate Control
Release No.:
2017-48
Headline:
Purported Real Estate Investment Manager Settles Fraud Charges
Release No.:
2017-47
Headline:
Morgan Stanley Settles Charges Related to ETF Investments
Release No.:
2017-46
Headline:
Brokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures
Release No.:
2017-45
Headline:
SEC Announces Agenda for February 15 Meeting of the Advisory Committee on Small and Emerging Companies
Release No.:
2017-43
Headline:
Private Equity Adviser Barred From Industry for Improper Withdrawal From Funds
Release No.:
2017-42
Headline:
SEC Charges Financial Adviser With Stealing From Client Accounts
Release No.:
2017-41
Headline:
SEC Charges Investment Adviser With Stealing Investor Funds
Release No.:
2017-40
Headline:
OCIE Director Marc Wyatt to Leave SEC
Release No.:
2017-38
Headline:
SEC Announces Charges in Hamilton Ticket Resale Ponzi Scheme
Release No.:
2017-37
Headline:
Chief Operating Officer Jeffery Heslop to Leave SEC
Release No.:
2017-36
Headline:
Shipping Conglomerate and Former CFO Charged With Failure to Recognize Hundreds of Millions in Tax Liabilities
Release No.:
2017-29
Headline:
SEC Establishes Supervisory Cooperation Arrangement With Hong Kong SFC
Release No.:
2017-26
Headline:
Jennifer Diamantis Named Chief of Office of Market Intelligence
Release No.:
2017-25
Headline:
Financial Company Charged With Improper Accounting and Impeding Whistleblowers
Release No.:
2017-24
Headline:
SEC Deputy Chief of Staff Nathaniel Stankard to Leave Agency
Release No.:
2017-20
Headline:
General Motors Charged With Accounting Control Failures
Release No.:
2017-19
Headline:
Medical Device Company Charged With Accounting Failures and FCPA Violations
Release No.:
2017-18
Headline:
BlackRock Charged With Removing Whistleblower Incentives in Separation Agreements
Release No.:
2017-14
Headline:
BNY Mellon Settles Charges Stemming From Miscalculations of Regulatory Capital Figures
Release No.:
2017-9
Headline:
Biomet Charged With Repeating FCPA Violations
Release No.:
2017-8
Headline:
SEC Announces 2017 Examination Priorities
Release No.:
2017-7
Headline:
SEC Charges Government Contractor With Inadequate Controls and Books and Records Violations
Release No.:
2017-5
Headline:
SEC Charges Two Brokers With Defrauding Customers
Release No.:
2017-2
Headline:
Wire and Cable Manufacturer Settles FCPA and Accounting Charges
Release No.:
2016-283
Headline:
Chinese Traders Charged With Trading on Hacked Nonpublic Information Stolen From Two Law Firms
Release No.:
2016-280
Headline:
SEC Issues Annual Staff Reports on Credit Rating Agencies
Release No.:
2016-276
Headline:
Company Settles Charges in Whistleblower Retaliation Case
Release No.:
2016-270
Headline:
SEC Charges Morgan Stanley With Customer Protection Rule Violations
Release No.:
2016-269
Headline:
Company Violated Rule Aimed at Protecting Potential Whistleblowers
Release No.:
2016-268
Headline:
SEC Charges Platinum Funds and Founder With Defrauding Investors
Release No.:
2016-267
Headline:
SEC Charges Gatekeepers in Microcap Frauds
Release No.:
2016-265
Headline:
Deutsche Bank Settles Charges of Misleading Clients About Order Router
Release No.:
2016-264
Headline:
SEC Approves 2017 PCAOB Budget and Accounting Support Fee
Release No.:
2016-263
Headline:
Division of Corporation Finance Director Keith Higgins to Leave SEC
Release No.:
2016-258
Headline:
IT Specialist Settles Charges of Insider Trading on Hacked Nonpublic Information
Release No.:
2016-256
Headline:
Chief Economist and Division of Economic and Risk Analysis Director Mark Flannery to Leave SEC
Release No.:
2016-254
Headline:
United Settles Charges in Case of Flight Route to Benefit Public Official
Release No.:
2016-253
Headline:
PIMCO Settles Charges of Misleading Investors About ETF Performance
Release No.:
2016-252
Headline:
SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting on December 7
Release No.:
2016-251
Headline:
SEC Charges Asset Management Fund and Manager
Release No.:
2016-250
Headline:
SEC Votes to Renew Equity Market Structure Advisory Committee
Release No.:
2016-249
Headline:
Chief Accountant James Schnurr to Leave SEC
Release No.:
2016-246
Headline:
Trading and Markets Director Stephen Luparello to Leave SEC
Release No.:
2016-245
Headline:
SEC Announces Agenda for December 8 Investor Advisory Committee Meeting
Release No.:
2016-243
Headline:
SEC Approves Plan to Create Consolidated Audit Trail
Release No.:
2016-240
Headline:
SEC Announces Agenda and Panelists for the 35th Annual Small Business Forum
Release No.:
2016-239
Headline:
SEC Chair Mary Jo White Announces Departure Plans
Release No.:
2016-238
Headline:
Firm Charged With Misleading Investors About Binary Options Profitability
Release No.:
2016-236
Headline:
Movie Producer Charged With Defrauding Hedge Fund Investors
Release No.:
2016-235
Headline:
SEC Staff Provides Additional Economic Analysis on Proposed Derivatives Rule
Release No.:
2016-232
Headline:
Audit Partner Charged in Failed Audits of Venture Capital Fund
Release No.:
2016-230
Headline:
Firm and Partner Charged With Issuing Fraudulent Audit Reports
Release No.:
2016-229
Headline:
SEC Adopts Final Rules to Facilitate Intrastate and Regional Securities Offerings
Release No.:
2016-226
Headline:
SEC Proposes Amendments to Require Use of Universal Proxy Cards
Release No.:
2016-225
Headline:
SEC Charges Board Member With Insider Trading During and After Board Meeting
Release No.:
2016-222
Headline:
Company and Former Executives Paying Penalties for Accounting Violations
Release No.:
2016-221
Headline:
SEC Charges Energy Services Company and Executives With Accounting Fraud
Release No.:
2016-218
Headline:
Melissa Hodgman Named Associate Director in SEC Enforcement Division
Release No.:
2016-217
Headline:
Company to Pay Penalty for Stock Picking Game That Was An Unregistered Swap
Release No.:
2016-216
Headline:
Hedge Fund Firm and Supervisor Charged With Failing to Prevent Insider Trading
Release No.:
2016-214
Headline:
SEC Announces Enforcement Results for FY 2016
Release No.:
2016-212
Headline:
David Saltiel Named to Head Office of Analytics and Research in the Division of Trading and Markets
Release No.:
2016-211
Headline:
SEC Announces Agenda for October 5 Meeting of the Advisory Committee on Small and Emerging Companies
Release No.:
2016-202
Headline:
Jane Norberg Named Chief of SEC Whistleblower Office
Release No.:
2016-201
Headline:
SEC Proposes Rule Amendment to Expedite Process for Settling Securities Transactions
Release No.:
2016-200
Headline:
SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies
Release No.:
2016-199
Headline:
SEC Files Insider Trading Charges Against Peruvian Traders Using Overseas Accounts
Release No.:
2016-198
Headline:
SEC Charges UBS With Supervisory Failures in Sale of Complex Products to Retail Investors
Release No.:
2016-197
Headline:
SEC to Hold Forum to Discuss Fintech Innovation in the Financial Services Industry
Release No.:
2016-195
Headline:
SEC Charges CEO and Boiler Room Operator With Fraud
Release No.:
2016-193
Headline:
Blank Check Company Manufacturer Charged With Fraud
Release No.:
2016-190
Headline:
SEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading
Release No.:
2016-189
Headline:
Two Firms Charged With Compliance Failures in Wrap Fee Programs
Release No.:
2016-181
Headline:
Executives Charged With Inflating Performance of Real Estate Investment Trust
Release No.:
2016-180
Headline:
SEC Charges CEO and Paid Promoter With Fraudulently Promoting Stock of Las Vegas Health Products Company
Release No.:
2016-178
Headline:
SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings
Release No.:
2016-176
Headline:
SEC Adopts Rules to Enhance Information Reported by Investment Advisers
Release No.:
2016-168
Headline:
Investment Advisers Paying Penalties for Advertising False Performance Claims
Release No.:
2016-167
Headline:
SEC Charges 71 Municipal Issuers in Muni Bond Disclosure Initiative
Release No.:
2016-166
Headline:
Apollo Charged With Disclosure and Supervisory Failures
Release No.:
2016-165
Headline:
Company Punished for Severance Agreements That Removed Financial Incentives for Whistleblowing
Release No.:
2016-164
Headline:
Former Goldman Sachs Trader Settles Fraud Charges
Release No.:
2016-163
Headline:
Hedge Fund Manager Charged in Scheme Involving Terminally Ill
Release No.:
2016-162
Headline:
SEC Charges Stockbroker and Friend With Insider Trading
Release No.:
2016-160
Headline:
Company Paying Penalty for Violating Key Whistleblower Protection Rule
Release No.:
2016-157
Headline:
SEC Charges Cardiologist With Insider Trading on Confidential Drug Trial Developments
Release No.:
2016-156
Headline:
SEC Announces Agenda for August 2 Meeting of the Equity Market Structure Advisory Committee
Release No.:
2016-154
Headline:
SEC Obtains Asset Freeze in Case of Investor Funds Stolen for Shopping Sprees
Release No.:
2016-153
Headline:
LAN Airlines Settles FCPA Charges
Release No.:
2016-151
Headline:
SEC Halts Ongoing Fraudulent Stock Scheme
Release No.:
2016-148
Headline:
Accountant Suspended for Failing to Spot Fraud in Company Audit
Release No.:
2016-147
Headline:
SEC Announces Agenda for July 19 Meeting of the Advisory Committee on Small and Emerging Companies
Release No.:
2016-144
Headline:
SEC Charges Investment Adviser With Failing to Clearly Disclose Additional Costs to Investors
Release No.:
2016-143
Headline:
SEC Adopts Amendments to Rules of Practice for Administrative Proceedings
Release No.:
2016-142
Headline:
SEC Proposes Amendments to Update and Simplify Disclosure Requirements As Part of Overall Disclosure Effectiveness Review
Release No.:
2016-141
Headline:
SEC Proposes Rules to Enhance Order Handling Information Available to Investors
Release No.:
2016-140
Headline:
SEC Announces New Investor Advisory Committee Members
Release No.:
2016-137
Headline:
SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans
Release No.:
2016-133
Headline:
SEC Proposes Amendments to Smaller Reporting Company Definition
Release No.:
2016-131
Headline:
SEC Charges Medical Device Manufacturer With FCPA Violations
Release No.:
2016-126
Headline:
SEC Halts Scheme Defrauding Pro Athletes
Release No.:
2016-124
Headline:
SEC Proposes Rules to Modernize Property Disclosures for Mining Registrants
Release No.:
2016-122
Headline:
Software Executive and Three Friends Charged With Insider Trading
Release No.:
2016-121
Headline:
Private Fund Administrator Charged With Gatekeeper Failures
Release No.:
2016-120
Headline:
SEC to Permit Voluntary Filing Using Inline XBRL
Release No.:
2016-117
Headline:
Investment Fraud Victims Include Online Daters
Release No.:
2016-116
Headline:
Consultant to Chinese Private Equity Firms Settles Insider Trading Charges
Release No.:
2016-115
Headline:
SEC Bars Corporate VP and Controller for False Accounting
Release No.:
2016-110
Headline:
Childhood Friends Charged With Insider Trading in Pharmaceutical Stocks
Release No.:
2016-108
Headline:
SEC Names Christopher Hetner as Senior Advisor to the Chair for Cybersecurity Policy
Release No.:
2016-103
Headline:
SEC Halts Ponzi Scheme Aimed at Middle Class
Release No.:
2016-99
Headline:
Mortgage Company and Executives Settle Fraud Charges
Release No.:
2016-97
Headline:
Investment Banker and Plumber Charged With Insider Trading
Release No.:
2016-96
Headline:
Mayor in Illinois Settles Muni Bond Fraud Charges
Release No.:
2016-93
Headline:
SEC Announces Insider Trading Charges in Case Involving Sports Gambler and Board Member
Release No.:
2016-92
Headline:
SEC Charges Two Attorneys With Defrauding Escrow Clients
Release No.:
2016-87
Headline:
SEC Charges Shell Factory Operators With Fraud
Release No.:
2016-86
Headline:
SEC Announces Agenda for May 18 Meeting of the Advisory Committee on Small and Emerging Companies
Release No.:
2016-84
Headline:
SEC Charges Unregistered Brokers with Pocketing Investor Money
Release No.:
2016-82
Headline:
SEC Adopts Amendments to Implement JOBS Act and FAST Act Changes for Exchange Act Registration Requirements
Release No.:
2016-81
Headline:
SEC and Law Enforcement Partners Crack Stock Promotion and Kickback Schemes
Release No.:
2016-80
Headline:
Silicon Valley Executive Settles Insider Trading Charges
Release No.:
2016-79
Headline:
SEC Seeks Public Comment on Plan to Create A Consolidated Audit Trail
Release No.:
2016-77
Headline:
SEC Announces Agenda for April 26 Meeting of the Equity Market Structure Advisory Committee
Release No.:
2016-76
Headline:
SEC Issues Order Modifying and Extending the Pilot Period for the National Market System Plan to Address Extraordinary Market Volatility
Release No.:
2016-75
Headline:
SEC Announces Financial Fraud Cases
Release No.:
2016-74
Headline:
SEC Offers Online Tool to Help Companies Estimate Registration Fees
Release No.:
2016-73
Headline:
SEC Charges Litigation Marketing Company With Bilking Retirees
Release No.:
2016-72
Headline:
Las Vegas Sands Paying Penalty for FCPA Violations
Release No.:
2016-64
Headline:
Former TV Commentator Settles Penny Stock Fraud Charges
Release No.:
2016-60
Headline:
Securities Professional Charged With Defrauding Institutional Investors
Release No.:
2016-58
Headline:
Municipal Advisor Charged for Failing to Disclose Conflict
Release No.:
2016-54
Headline:
AIG Affiliates Charged With Mutual Fund Shares Conflicts
Release No.:
2016-52
Headline:
SEC Approves 2016 PCAOB Budget and Accounting Support Fee
Release No.:
2016-51
Headline:
SEC Charges Company and Executives for Faulty Evaluations of Internal Controls
Release No.:
2016-48
Headline:
SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Release No.:
2016-46
Headline:
Insider Traders Returning Illegal Profits and Kickbacks
Release No.:
2016-44
Headline:
California Water District to Pay Penalty for Misleading Investors
Release No.:
2016-43
Headline:
Money Returning to Investors Harmed by Unregistered Broker
Release No.:
2016-42
Headline:
SEC Announces Charges Against Unregistered Fund Manager Accused of Hiding Criminal Past
Release No.:
2016-40
Headline:
SEC Announces Creation of Office of Risk and Strategy for its National Exam Program
Release No.:
2016-38
Headline:
SEC Charges Rhode Island Agency and Wells Fargo With Fraud in 38 Studios Bond Offering
Release No.:
2016-37
Headline:
Daniel Kahl Named as Chief Counsel of National Exam Program
Release No.:
2016-33
Headline:
SEC Charges Biopesticide Company and Former Executive With Accounting Fraud
Release No.:
2016-32
Headline:
SEC Announces Agenda for February 25 Meeting of the Advisory Committee on Small and Emerging Companies
Release No.:
2016-31
Headline:
SEC Charges Company Executive With Insider Trading
Release No.:
2016-24
Headline:
SEC Announces Advisory Committee on Small and Emerging Companies Members
Release No.:
2016-22
Headline:
SEC Charges Lending Company and Brokerage Firm With Fraud
Release No.:
2016-21
Headline:
SEC Names Jane Jarcho as Deputy Director of National Exam Program
Release No.:
2016-20
Headline:
SEC Charges Software Company With FCPA Violations
Release No.:
2016-17
Headline:
SEC Announces Agenda for February 2 Meeting of the Equity Market Structure Advisory Committee
Release No.:
2016-15
Headline:
Hedge Fund Manager Agrees to Reimburse Investor Losses
Release No.:
2016-14
Headline:
Ocwen Paying Penalty for Misstated Financial Results
Release No.:
2016-13
Headline:
SEC Charges Goldman Sachs With Improper Securities Lending Practices
Release No.:
2016-9
Headline:
SEC Charges 11 Bank Officers and Directors With Fraud
Release No.:
2016-7
Headline:
SEC Adopts Rules Implementing FAST Act Provisions
Release No.:
2016-6
Headline:
SEC Announces 2016 Examination Priorities
Release No.:
2016-4
Headline:
SEC Issues Annual Staff Reports on Credit Rating Agencies
Release No.:
2015-289
Headline:
SEC Seeks Public Comment on Transfer Agent Rules
Release No.:
2015-288
Headline:
SEC Charges Financial Advisor in Market Manipulation Case
Release No.:
2015-286
Headline:
Convicted Fraudster Using Aliases Charged Again for Defrauding Investors
Release No.:
2015-285
Headline:
SEC Issues Staff Report on Accredited Investor Definition
Release No.:
2015-284
Headline:
SEC Charges Martin Shkreli With Fraud
Release No.:
2015-282
Headline:
SEC Announces Fraud Charges Against Investment Adviser
Release No.:
2015-280
Headline:
SEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies
Release No.:
2015-276
Headline:
SEC Suspends Public Accountants for Bad Auditing
Release No.:
2015-275
Headline:
SEC Announces Charges for Spoofing and Order Mismarking
Release No.:
2015-273
Headline:
SEC Charges Bitcoin Mining Companies
Release No.:
2015-271
Headline:
SEC Names Katherine Martin as Associate Director in the Office of International Affairs
Release No.:
2015-269
Headline:
Former Goldman Employee Charged With Insider Trading Before Mergers
Release No.:
2015-267
Headline:
SEC Charges Political Intelligence Firm
Release No.:
2015-266
Headline:
Atlanta Businessman Charged in Nursing Home Investment Scheme
Release No.:
2015-264
Headline:
Assets Frozen in Alleged Immigration Scam
Release No.:
2015-263
Headline:
Custody Rule Violators Settle Charges
Release No.:
2015-262
Headline:
SEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems
Release No.:
2015-261
Headline:
SEC Announces Agenda and Panelists for Small Business Forum
Release No.:
2015-260
Headline:
Mutual Fund Adviser Advertised False Performance Claims
Release No.:
2015-258
Headline:
Sanket Bulsara Named Deputy General Counsel for Appellate Litigation and Adjudication
Release No.:
2015-257
Headline:
Marc Wyatt Named Director of the Office of Compliance Inspections and Examinations
Release No.:
2015-256
Headline:
Olivier Girod Named SEC Deputy Director of Office of Support Operations
Release No.:
2015-255
Headline:
Bryan Bennett Named to Head Exam Program in Los Angeles Office
Release No.:
2015-253
Headline:
SEC Identifies More Alleged Corrupt Brokers in Stock Manipulation Case
Release No.:
2015-251
Headline:
SEC Charges Private Equity Firm and Four Executives With Failing to Disclose Conflicts of Interest
Release No.:
2015-250
Headline:
SEC Adopts Rules to Permit Crowdfunding
Release No.:
2015-249
Headline:
SEC Bars Brokers Who Played Favorites to Double Their Commissions
Release No.:
2015-248
Headline:
SEC Charges Credit Rating Agency With Misrepresenting Surveillance Methodology
Release No.:
2015-246
Headline:
SEC Announces Enforcement Results For FY 2015
Release No.:
2015-245
Headline:
Two UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment Strategy
Release No.:
2015-241
Headline:
SEC Staff Publishes Private Funds Statistics Report
Release No.:
2015-240
Headline:
SEC Charges Six Firms for Short Selling Violations in Advance of Stock Offerings
Release No.:
2015-239
Headline:
Wolverine Affiliates Charged With Failing to Maintain Policies to Prevent Misuse of Material Nonpublic Information
Release No.:
2015-237
Headline:
SEC Charges Firm and Owner With Manipulative Trading
Release No.:
2015-236
Headline:
Blackstone Charged With Disclosure Failures
Release No.:
2015-235
Headline:
SEC Charges Former Executives With Accounting Fraud and Other Accounting Failures
Release No.:
2015-234
Headline:
Michael Liftik Named SEC Deputy Chief of Staff
Release No.:
2015-233
Headline:
SEC Deputy Chief of Staff Erica Williams to Leave Agency
Release No.:
2015-232
Headline:
SEC Charges Florida Investment Adviser and His Company With Defrauding Investors
Release No.:
2015-231
Headline:
SEC Charges Home Loan Servicing Solutions for Misstatements and Inadequate Internal Controls
Release No.:
2015-230
Headline:
Chyhe Becker Named as Associate Director in the Division of Economic and Risk Analysis
Release No.:
2015-228
Headline:
SEC Charges New Jersey Fund Manager With Securities Fraud
Release No.:
2015-226
Headline:
SEC Charges Two Grant Thornton Firms With Violating Auditor Independence Rules
Release No.:
2015-225
Headline:
SEC Charges Executives for Defrauding Investors in Financial Fraud Scheme
Release No.:
2015-224
Headline:
Latour Trading Charged With Market Structure Rule Violations
Release No.:
2015-221
Headline:
SEC Sanctions 22 Underwriting Firms for Fraudulent Municipal Bond Offerings
Release No.:
2015-220
Headline:
SEC Names William Royer to Lead Exam Program in Atlanta Office
Release No.:
2015-219
Headline:
SEC Charges Investment Adviser With Fraud
Release No.:
2015-218
Headline:
SEC to Hold Equity Market Structure Advisory Committee Meeting on October 27
Release No.:
2015-216
Headline:
SEC Charges Trinity Capital Corporation and Former Bank Executives With Accounting Fraud
Release No.:
2015-215
Headline:
SEC Charges Hitachi With FCPA Violations
Release No.:
2015-212
Headline:
SEC Charges Former Officers of SMF Energy With Fraud
Release No.:
2015-210
Headline:
SEC Proposes to Amend Rules Governing Administrative Proceedings
Release No.:
2015-209
Headline:
SEC Charges Six in Stock Fraud Scheme
Release No.:
2015-208
Headline:
SEC Charges Individual and Firm for Manipulative Press Release Announcing Takeover Bid
Release No.:
2015-207
Headline:
SEC Approves Renewal of Advisory Committee on Small and Emerging Companies
Release No.:
2015-206
Headline:
SEC Charges Two Philadelphia Area Men For Defrauding Friends And Family In Private Equity Fund
Release No.:
2015-204
Headline:
SEC Charges Investment Adviser With Failing to Adopt Proper Cybersecurity Policies and Procedures Prior To Breach
Release No.:
2015-202
Headline:
SEC Proposes Liquidity Management Rules For Mutual Funds And ETFs
Release No.:
2015-201
Headline:
SEC Charges Retailer for Improper Valuation and Inadequate Internal Accounting Controls
Release No.:
2015-200
Headline:
SEC Charges Two Men in Stock Manipulation Scheme
Release No.:
2015-199
Headline:
SEC Charges Investment Adviser With Improperly Using Mutual Fund Assets to Pay Distribution Fees
Release No.:
2015-198
Headline:
SEC Announces Agenda for September 23 Meeting of the Advisory Committee on Small and Emerging Companies
Release No.:
2015-197
Headline:
Attorney and Auditors Settle Charges in Microcap Scheme Involving Purported Mining Companies
Release No.:
2015-196
Headline:
SEC Removes References to Credit Ratings in Money Market Fund Rule and Form
Release No.:
2015-193
Headline:
SEC Charges Medical Diagnostics Company Chairman and Two Others Behind Scheme to Manipulate Company Stock
Release No.:
2015-192
Headline:
SEC Charges Five Arizona Residents With Stealing Millions From Investors to Fund Travel and Entertainment Sprees
Release No.:
2015-190
Headline:
SEC Announces Fraud Charges Against Financial Adviser Accused of Greatly Exaggerating Assets Under Management and Investment Returns on Paid Radio Program
Release No.:
2015-186
Headline:
SEC Charges Father and Son and Friend With Insider Trading
Release No.:
2015-185
Headline:
SEC Charges BDO and Five Partners in Connection With False and Misleading Audit Opinions
Release No.:
2015-184
Headline:
SEC Charges Video Management Company Executives With Accounting Fraud
Release No.:
2015-183
Headline:
Smeeta Ramarathnam Named Deputy Director in the Office of Credit Ratings
Release No.:
2015-182
Headline:
SEC Charges Three RMBS Traders With Defrauding Investors
Release No.:
2015-181
Headline:
SEC Charges Bankrate and Former Executives With Accounting Fraud
Release No.:
2015-180
Headline:
SEC Charges Sports Nutrition Company With Failing to Properly Disclose Perks for Executives
Release No.:
2015-179
Headline:
SEC Charges Advisory Firm With Fraud for Improperly Retaining Fees
Release No.:
2015-177
Headline:
SEC Halts Ongoing Fraud in Minnesota
Release No.:
2015-176
Headline:
SEC Charges Former Investment Bank Analyst and Two Others With Insider Trading in Advance of Client Deals
Release No.:
2015-174
Headline:
Shelly Luisi Named Associate Director in the Division of Corporation Finance
Release No.:
2015-172
Headline:
SEC Charges Citigroup Global Markets for Compliance and Surveillance Failures
Release No.:
2015-171
Headline:
SEC Charges BNY Mellon With FCPA Violations
Release No.:
2015-170
Headline:
Three Maryland Men Settle Charges They Defrauded Investors in Real Estate Investment Company
Release No.:
2015-167
Headline:
SEC Charges Former Software Executive With FCPA Violations
Release No.:
2015-165
Headline:
SEC Charges ITG With Operating Secret Trading Desk and Misusing Dark Pool Subscriber Trading Information
Release No.:
2015-164
Headline:
SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases
Release No.:
2015-163
Headline:
Guggenheim Partners Investment Management LLC Settles Charges it Failed to Disclose Conflict to Clients
Release No.:
2015-162
Headline:
SEC Adopts Rule for Pay Ratio Disclosure
Release No.:
2015-160
Headline:
SEC Charges Operators of Fraud Based in Upstate New York
Release No.:
2015-156
Headline:
SEC Charges Mead Johnson Nutrition With FCPA Violations
Release No.:
2015-154
Headline:
Former Oppenheimer Employees Settle Charges Involving Unregistered Sales of Penny Stocks
Release No.:
2015-153
Headline:
Michele Anderson Named Associate Director in the Division of Corporation Finance
Release No.:
2015-151
Headline:
SEC Charges Pennsylvania Attorney with Insider Trading in Advance of Merger Announcement
Release No.:
2015-149
Headline:
SEC Charges Purported Investment Adviser in San Diego With Stealing Client Funds and Conducting a Ponzi Scheme
Release No.:
2015-148
Headline:
SEC Charges 34 Defendants in Microcap Market Manipulation Schemes
Release No.:
2015-146
Headline:
SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting
Release No.:
2015-142
Headline:
SEC Solicits Public Comment on Audit Committee Disclosures
Release No.:
2015-138
Headline:
SEC Proposes Rules Requiring Companies to Adopt Clawback Policies on Executive Compensation
Release No.:
2015-136
Headline:
SEC Charges Former Stockbroker With Conducting Ponzi Scheme
Release No.:
2015-135
Headline:
SEC Charges Hedge Fund Advisory Firm With Conducting Fraudulent Fund Valuation Scheme
Release No.:
2015-134
Headline:
SEC Charges Goldman Sachs With Violating Market Access Rule
Release No.:
2015-133
Headline:
SEC Charges KKR With Misallocating Broken Deal Expenses
Release No.:
2015-131
Headline:
John Roeser Named Associate Director of the Office of Market Supervision
Release No.:
2015-130
Headline:
SEC Charges Microcap Promoter With Illegally Selling Penny Stock Shares
Release No.:
2015-129
Headline:
SEC Charges 36 Firms for Fraudulent Municipal Bond Offerings
Release No.:
2015-125
Headline:
SEC Charges Investment Adviser and Mutual Fund Board Members With Failures in Advisory Contract Approval Process
Release No.:
2015-124
Headline:
SEC Announces Charges Against Retirement Plan Custodian in Connection With Ponzi Scheme
Release No.:
2015-121
Headline:
SEC Charges Phony Hedge Fund Manager With Theft of Money Invested by Small Businesses
Release No.:
2015-117
Headline:
Agencies Issue Final Standards for Assessing Diversity Policies and Practices of Regulated Entities
Release No.:
2015-114
Headline:
SEC Charges CSC and Former Executives With Accounting Fraud
Release No.:
2015-111
Headline:
SEC Freezes Profits From Scheme to Manipulate Avon Stock
Release No.:
2015-110
Headline:
SEC Staff Provides Additional Analysis Related to Proposed Pay Ratio Disclosure Rules
Release No.:
2015-109
Headline:
SEC Warns of Purported Financial Professionals Using False Credentials to Attract Investors
Release No.:
2015-108
Headline:
SEC Charges Four With Insider Trading Ahead of Secondary Offerings
Release No.:
2015-107
Headline:
SEC Charges Investment Adviser With Defrauding Retired Teachers
Release No.:
2015-106
Headline:
SEC Charges Two Stock Promoters With Conducting Market Manipulation Schemes
Release No.:
2015-104
Headline:
SEC Announces Charges Against Compliance Director Accused of Defrauding Investors and Stealing Brokerage Firm Assets
Release No.:
2015-102
Headline:
SEC Announces Agenda for June 3 Meeting of the Advisory Committee on Small and Emerging Companies
Release No.:
2015-101
Headline:
SEC Charges New York Lawyer and Two Promoters With Market Manipulation
Release No.:
2015-100
Headline:
SEC Charges Deutsche Bank With Misstating Financial Reports During Financial Crisis
Release No.:
2015-99
Headline:
SEC Announces Charges Against Investment Firm and Two Executives Accused of Defrauding Police and Firefighter Pension Funds
Release No.:
2015-98
Headline:
SEC Names Rebecca Olsen Deputy Director of Municipal Securities Office
Release No.:
2015-97
Headline:
SEC Names Jessica Kane Director of Municipal Securities Office
Release No.:
2015-96
Headline:
SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers
Release No.:
2015-95
Headline:
SEC Charges BHP Billiton With Violating FCPA at Olympic Games
Release No.:
2015-93
Headline:
SEC Chief of Staff Lona Nallengara to Leave Agency
Release No.:
2015-92
Headline:
SEC Charges Nationwide Life Insurance Company With Pricing Violations
Release No.:
2015-89
Headline:
Deputy Chief Accountant Dan Murdock to Leave SEC
Release No.:
2015-87
Headline:
SEC Announces Fraud Charges Against ITT Educational Services
Release No.:
2015-86
Headline:
SEC Sues Retirement Planners for Making False Claims to Investors
Release No.:
2015-85
Headline:
David Grim Named as Director of the Division of Investment Management
Release No.:
2015-83
Headline:
SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies
Release No.:
2015-82
Headline:
SEC Charges Four Former Officers of Delaware Bank Holding Company With Disclosure Fraud
Release No.:
2015-81
Headline:
SEC Announces Outreach Programs to Help Firms Comply With Regulation Systems Compliance and Integrity
Release No.:
2015-80
Headline:
SEC Announces Compliance Outreach Program Seminars for Investment Adviser and Investment Company Senior Officers
Release No.:
2015-79
Headline:
SEC Announces Award to Whistleblower in First Retaliation Case
Release No.:
2015-75
Headline:
SEC Charges Issuer for Failing to Make Public Filings
Release No.:
2015-74
Headline:
Fort Worth Regional Director David Woodcock to Leave SEC
Release No.:
2015-72
Headline:
SEC Charges BlackRock Advisors With Failing to Disclose Conflict of Interest to Clients and Fund Boards
Release No.:
2015-71
Headline:
SEC Announces Agenda for May 13 Meeting of the Equity Market Structure Advisory Committee
Release No.:
2015-70
Headline:
SEC Charges 10 Individuals in Scheme to Sell Stock in Blank Check Companies Secretly Bound for Reverse Mergers
Release No.:
2015-69
Headline:
SEC Staff and FINRA Issue Report on National Senior Investor Initiative
Release No.:
2015-67
Headline:
SEC Halts Investment Scheme Targeting Military Personnel
Release No.:
2015-66
Headline:
SEC Announces Fraud Charges Against Former Accounting Executive at Japanese Subsidiary
Release No.:
2015-65
Headline:
SEC Names Marc Wyatt as Acting Director of the Office of Compliance Inspections and Examinations
Release No.:
2015-64
Headline:
SEC Halts Microcap Scheme in South Florida
Release No.:
2015-63
Headline:
OCIE Director Andrew Bowden to Leave SEC
Release No.:
2015-59
Headline:
SEC Obtains Asset Freeze in Ponzi Scheme Involving Loans to Professional Athletes
Release No.:
2015-58
Headline:
SEC Charges Firms and Individuals for Defrauding Investors in Cellular Licensing Scheme
Release No.:
2015-57
Headline:
SEC Charges Friends With Insider Trading on Acquisition of Cooper Tire
Release No.:
2015-56
Headline:
SEC Charges North Carolina Executive With Fraud
Release No.:
2015-55
Headline:
SEC Charges Former Polycom CEO With Hiding Perks From Investors
Release No.:
2015-53
Headline:
SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From Investors
Release No.:
2015-52
Headline:
SEC Suspends Trading in 128 Dormant Shell Companies to Put Them Out of Reach of Microcap Fraudsters
Release No.:
2015-44
Headline:
SEC Announces Agenda for March 4 Meeting of the Advisory Committee on Small and Emerging Companies
Release No.:
2015-41
Headline:
SEC Salt Lake Office Director Karen Martinez to Retire From Public Service
Release No.:
2015-39
Headline:
SEC Charges Goodyear With FCPA Violations
Release No.:
2015-38
Headline:
SEC Announces Fraud Charges Against Purported Hedge Fund Manager
Release No.:
2015-34
Headline:
SEC Charges Mutual Fund Adviser in Connection With Improper Handling of Fund Assets
Release No.:
2015-31
Headline:
SEC Announces Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender Offer
Release No.:
2015-29
Headline:
SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme
Release No.:
2015-27
Headline:
SEC Proposes Rules for Hedging Disclosure
Release No.:
2015-26
Headline:
SEC Charges Four in California Insider Trading Ring
Release No.:
2015-23
Headline:
SEC Approves 2015 PCAOB Budget and Accounting Support Fee
Release No.:
2015-22
Headline:
SEC Names David Grim as Acting Director of the Division of Investment Management
Release No.:
2015-21
Headline:
SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting
Release No.:
2015-19
Headline:
SEC Names Erin Schneider as Associate Regional Director in San Francisco Office
Release No.:
2015-16
Headline:
SEC to Hold Roundtable on Proxy Voting
Release No.:
2015-15
Headline:
SEC Charges Oppenheimer With Securities Law Violations Related to Improper Penny Stock Sales
Release No.:
2015-14
Headline:
Investment Management Director Norm Champ to Leave SEC
Release No.:
2015-11
Headline:
SEC Announces Charges Against Attorneys and Auditors in Microcap Scheme Involving Purported Mining Companies
Release No.:
2015-9
Headline:
SEC Charges UBS Subsidiary With Disclosure Violations and Other Regulatory Failures in Operating Dark Pool
Release No.:
2015-7
Headline:
SEC Announces Members of New Equity Market Structure Advisory Committee
Release No.:
2015-5
Headline:
SEC Charges Canadian Man With Conducting Fraudulent Trading Scheme
Release No.:
2015-4
Headline:
SEC Announces 2015 Examination Priorities
Release No.:
2015-3
Headline:
SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types
Release No.:
2015-2
Headline:
SEC Names Walter Jospin as Regional Director of Atlanta Office
Release No.:
2015-1
Headline:
SEC Announces Program to Facilitate Analysis of Corporate Financial Data
Release No.:
2014-295
Headline:
SEC Issues Annual Staff Reports on Credit Rating Agencies
Release No.:
2014-293
Headline:
SEC Charges Two Traders in Chile With Insider Trading
Release No.:
2014-291
Headline:
SEC Proposes Amendments to Implement JOBS Act Mandate for Exchange Act Registration Requirements
Release No.:
2014-288
Headline:
SEC Names Deputy Directors in the Division of Trading and Markets
Release No.:
2014-286
Headline:
SEC Charges Avon With FCPA Violations
Release No.:
2014-285
Headline:
SEC Announces Charges in Alleged Gold Mining Investment Scheme
Release No.:
2014-283
Headline:
SEC Announces Charges Against Owner of Equity Research Firm Accused of Manipulative Trading
Release No.:
2014-282
Headline:
SEC Files Securities Fraud Charges Against Owner of Home Restoration Business in Upstate New York
Release No.:
2014-278
Headline:
SEC Announces Agenda for Meeting of the Advisory Committee on Small and Emerging Companies
Release No.:
2014-277
Headline:
SEC Names Karol Pollock to Lead Exam Program in Los Angeles Office
Release No.:
2014-276
Headline:
SEC Penalizes Morgan Stanley for Violating Market Access Rule
Release No.:
2014-274
Headline:
SEC Sanctions Eight Audit Firms for Violating Auditor Independence Rules
Release No.:
2014-272
Headline:
SEC Announces Fraud Charges Against Two Executives in Scheme Involving Kém chất lượng Occupants at Senior Residences
Release No.:
2014-269
Headline:
SEC Charges California Resident With Fraudulent Sales of Stock
Release No.:
2014-268
Headline:
SEC Names Kevin Kelcourse as Associate Director for Exam Program in Boston
Release No.:
2014-267
Headline:
SEC Charges Penny Stock Company Executives in New Jersey With Issuing False Press Releases to Inflate Stock Price
Release No.:
2014-265
Headline:
SEC Charges CEO and Close Friend With Insider Trading Ahead of Company Sale
Release No.:
2014-264
Headline:
Wedbush Securities and Two Officials Agree to Settle SEC Case
Release No.:
2014-263
Headline:
SEC Suspends Trading in Companies Touting Operations Related to Prevention or Treatment of Ebola
Release No.:
2014-262
Headline:
SEC Announces Next Meeting of the Advisory Committee on Small and Emerging Companies
Release No.:
2014-261
Headline:
SEC Adopts Rules to Improve Systems Compliance and Integrity
Release No.:
2014-260
Headline:
SEC Charges Unregistered Broker in Tampa Area With Stealing From Investors in Fraudulent Day Trading Scheme
Release No.:
2014-259
Headline:
SEC Staff Releases Accounting Bulletin to Update Guidance on Pushdown Accounting
Release No.:
2014-258
Headline:
SEC Sanctions Two Former Defense Contractor Employees for FCPA Violations
Release No.:
2014-257
Headline:
SEC Announces Agenda and Panelists for Small Business Forum
Release No.:
2014-253
Headline:
SEC and SBA to Host Event on Small Business Capital Raising Prior to Small Business Forum
Release No.:
2014-252
Headline:
SEC Charges California Lawyer and Two Massachusetts Men Behind Scheme to Manipulate Stock of Sports Ticket Broker
Release No.:
2014-250
Headline:
SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution
Release No.:
2014-248
Headline:
SEC Charges Two Canadian Citizens With Penny Stock Fraud Involving Tennessee Coal Mining Company
Release No.:
2014-247
Headline:
SEC Sanctions 13 Firms for Improper Sales of Puerto Rico Junk Bonds
Release No.:
2014-246
Headline:
SEC Announces Fraud Charges Against New York Businessman
Release No.:
2014-244
Headline:
SEC and FINRA Warn Investors About Penny Stock Scams Hyping Dormant Shell Companies
Release No.:
2014-243
Headline:
SEC Announces Charges Against Investment Advisory Firm and Top Officials for Custody Rule Violations
Release No.:
2014-242
Headline:
SEC Charges New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies
Release No.:
2014-238
Headline:
Rengan Rajaratnam Agrees to Settle Insider Trading Charges
Release No.:
2014-237
Headline:
Six Federal Agencies Jointly Approve Final Risk Retention Rule
Release No.:
2014-236
Headline:
Office of Municipal Securities Director John Cross to Leave SEC
Release No.:
2014-235
Headline:
SEC Names Marc Wyatt as Deputy Director of National Exam Program
Release No.:
2014-234
Headline:
SEC Charges Staten Island Man With Conducting Fraudulent Offerings and Stealing Investor Funds
Release No.:
2014-232
Headline:
SEC Announces Enforcement Action Against Former Wells Fargo Advisors Compliance Officer for Altering Document
Release No.:
2014-228
Headline:
SEC Announces Insider Trading Charges Against Former Financial Analyst at Pharmaceutical Company
Release No.:
2014-227
Headline:
SEC Staff Issue Risk Alert and FAQs on Customer Sales of Securities
Release No.:
2014-226
Headline:
Two Former Wells Fargo Employees Charged With Insider Trading in Advance of Research Reports Containing Ratings Changes
Release No.:
2014-221
Headline:
SEC Charges Bank of America With Securities Laws Violations in Connection With Regulatory Capital Overstatements
Release No.:
2014-220
Headline:
SEC Charges Two Florida Men With Defrauding Investors in Purported Television Network
Release No.:
2014-219
Headline:
SEC Charges Four Insurance Agents in Securities Fraud Targeting Elderly Investors
Release No.:
2014-218
Headline:
SEC Announces Cases Targeting International Pyramid Scheme Operators
Release No.:
2014-217
Headline:
SEC Suspends Trading in Nine Penny Stocks in Ongoing Initiative to Combat Microcap Fraud
Release No.:
2014-215
Headline:
SEC Charges Software Company in Silicon Valley and Two Former Executives Behind Fraudulent Accounting Scheme
Release No.:
2014-214
Headline:
SEC Charges Purported Health Food Company and CEO with Issuing False Press Releases in Microcap Fraud
Release No.:
2014-212
Headline:
SEC Names Liban Jama as Director of Atlanta Regional Office
Release No.:
2014-210
Headline:
Rhea Dignam Named as Senior Counsel To OCIE Director
Release No.:
2014-209
Headline:
SEC Announces Arrival of New Administrative Law Judge
Release No.:
2014-208
Headline:
Former Hedge Fund Manager in Bay Area Charged With Taking Excess Management Fees to Make Lavish Purchases
Release No.:
2014-200
Headline:
SEC Charges IT Employee at Law Firm With Insider Trading Ahead of Merger Announcements
Release No.:
2014-197
Headline:
SEC Sanctions 19 Firms and Individual Trader for Short Selling Violations in Advance of Stock Offerings
Release No.:
2014-195
Headline:
SEC Announces Creation of New Office Within its Division of Economic and Risk Analysis
Release No.:
2014-193
Headline:
SEC Charges Bank Holding Company in Delaware with Improper Accounting and Disclosure of Past Due Loans
Release No.:
2014-192
Headline:
SEC Announces Fraud Charges Against Biotech Company and Former Executive Who Failed to Report Insider Stock Sales
Release No.:
2014-191
Headline:
SEC Announces Charges Against Corporate Insiders for Violating Laws Requiring Prompt Reporting of Transactions and Holdings
Release No.:
2014-190
Headline:
SEC Charges Offshore Business and Two Individuals Behind Scheme to Conceal Ownership of Microcap Stocks
Release No.:
2014-189
Headline:
SEC Charges Two Information Technology Executives With Mischaracterizing Resale Transactions to Increase Revenue
Release No.:
2014-179
Headline:
SEC Adopts Credit Rating Agency Reform Rules
Release No.:
2014-178
Headline:
SEC Announces Pilot Plan to Assess Stock Market Tick Size Impact for Smaller Companies
Release No.:
2014-176
Headline:
SEC Charges Investor Relations Firm Executive With Insider Trading Ahead of News Announcements By Clients
Release No.:
2014-175
Headline:
SEC Names James Schnurr As Chief Accountant
Release No.:
2014-174
Headline:
Bank of America Admits Disclosure Failures to Settle SEC Charges
Release No.:
2014-172
Headline:
Chief Information Officer Thomas Bayer to Leave SEC
Release No.:
2014-171
Headline:
SEC Announces Municipal Advisor Exam Initiative
Release No.:
2014-170
Headline:
SEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition
Release No.:
2014-169
Headline:
SEC Charges Kansas for Understating Municipal Bond Exposure to Unfunded Pension Liability
Release No.:
2014-164
Headline:
SEC Charges Former CEO of ConvergEx Subsidiary in Scheme to Deceive Customers About Trading Fees
Release No.:
2014-160
Headline:
SEC Enforcement Division Modifies Municipalities Disclosure Initiative
Release No.:
2014-156
Headline:
SEC Announces Award for Whistleblower Who Reported Fraud to SEC After Company Failed to Address Issue Internally
Release No.:
2014-154
Headline:
SEC Names Alberto Arevalo as Associate Director in the Office of International Affairs
Release No.:
2014-151
Headline:
Citigroup Business Unit Charged With Failing to Protect Confidential Subscriber Data While Operating Alternative Trading System
Release No.:
2014-147
Headline:
SEC Adopts Money Market Fund Reform Rules
Release No.:
2014-143
Headline:
SEC Charges Penny Stock Company CEO and Purported Business Partner for Defrauding Investors With False Press Releases
Release No.:
2014-140
Headline:
SEC Charges Seattle Firm and Owner With Misusing Client Assets for Vacation Home and Vintage Automobile
Release No.:
2014-138
Headline:
SEC Announces Charges in Scheme to Secretly Enable Lawbreakers to Run Microcap Company
Release No.:
2014-137
Headline:
SEC Charges Group of Amateur Golfers in Insider Trading Ring
Release No.:
2014-134
Headline:
SEC Charges California School District with Misleading Investors
Release No.:
2014-133
Headline:
SEC Charges Five Traders with Short Selling Violations
Release No.:
2014-131
Headline:
James McNamara Named as Deputy Chief Human Capital Officer in the Office of Human Resources
Release No.:
2014-130
Headline:
SEC Announces New Hires in the Office of Administrative Law Judges
Release No.:
2014-129
Headline:
SEC Announces Order for Tick Size Pilot Plan
Release No.:
2014-126
Headline:
SEC Announces Fraud Charges Against Three Former Regions Bank Executives in Accounting Scheme
Release No.:
2014-125
Headline:
Cicely LaMothe Named Associate Director in the Division of Corporation Finance
Release No.:
2014-119
Headline:
SEC Charges Hedge Fund Adviser With Conducting Conflicted Transactions and Retaliating Against Whistleblower
Release No.:
2014-118
Headline:
SEC Announces Charges Against Wedbush Securities and Two Officials for Market Access Violations
Release No.:
2014-115
Headline:
SEC Charges Bitcoin Entrepreneur With Offering Unregistered Securities
Release No.:
2014-111
Headline:
SEC Charges Charter School Operator in Chicago With Defrauding Bond Investors
Release No.:
2014-110
Headline:
SEC Names Stephanie Avakian as Deputy Director of Enforcement
Release No.:
2014-109
Headline:
SEC Announces Latest Charges in Joint Law Enforcement Effort Uncovering Penny Stock Schemes
Release No.:
2014-105
Headline:
SEC Charges Former Deloitte Chief Risk Officer for Violations of Auditor Independence Rules
Release No.:
2014-102
Headline:
SEC Announces Charges Against Four Former Officials at Clearing Firm Penson Financial Services for Regulation SHO Violations
Release No.:
2014-101
Headline:
SEC Charges Two Clinical Drug Trial Doctors With Insider Trading
Release No.:
2014-100
Headline:
SEC Charges Rafferty Capital Markets With Illegally Facilitating Trades for Unregistered Firm
Release No.:
2014-97
Headline:
Chief Accountant Paul Beswick to Leave SEC
Release No.:
2014-96
Headline:
SEC Names Gina Talamona as Communications Director
Release No.:
2014-95
Headline:
SEC Charges Three Sales Managers With Insider Trading Ahead of Major Acquisition
Release No.:
2014-94
Headline:
SEC Announces Charges and Asset Freeze Against Hedge Fund Advisory Firm Distributing Falsified Performance Results
Release No.:
2014-92
Headline:
SEC Issues Partial Stay of Conflict Minerals Rules
Release No.:
2014-89
Headline:
Chief Economist and Division of Economic and Risk Analysis Director Craig Lewis to Leave SEC
Release No.:
2014-88
Headline:
SEC Issues Stop Order to Prevent Northern California Company From Issuing Stock Under Amended Registration Statement
Release No.:
2014-84
Headline:
SEC Charges Former Stock Promoter With Defrauding Investors in Florida Real Estate Venture
Release No.:
2014-83
Headline:
SEC Charges Technology Company Insider in California With Tipping Confidential Information Exploited by Hedge Funds
Release No.:
2014-82
Headline:
Mauri Osheroff to Retire After Nearly 40 Years at SEC
Release No.:
2014-81
Headline:
SEC Charges a Former Biopharmaceutical Company Executive and Two Others with Insider Trading
Release No.:
2014-80
Headline:
SEC Halts Pyramid Scheme Targeting Dominican and Brazilian Immigrants
Release No.:
2014-79
Headline:
SEC Charges Former BP Employee with Insider Trading During the Deepwater Horizon Oil Spill
Release No.:
2014-77
Headline:
SEC Names David Gottesman as Deputy Chief Litigation Counsel
Release No.:
2014-75
Headline:
SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank
Release No.:
2014-74
Headline:
SEC Announces Charges Against Honolulu Woman Defrauding Investors Through Social Media
Release No.:
2014-72
Headline:
SEC Charges CVS With Misleading Investors and Committing Accounting Violations
Release No.:
2014-69
Headline:
SEC Seeks Comment on Investor Advisory Committee Recommendation Regarding Target Date Funds
Release No.:
2014-66
Headline:
SEC Charges Two Friends With Insider Trading Ahead of Impending Acquisition
Release No.:
2014-65
Headline:
SEC Charges Transamerica Financial Advisors With Improperly Calculating Advisory Fees and Overcharging Clients
Release No.:
2014-64
Headline:
Rebecca Olsen Named Chief Counsel in the Office of Municipal Securities
Release No.:
2014-63
Headline:
Jessica Kane Named Deputy Director in the Office of Municipal Securities
Release No.:
2014-62
Headline:
SEC Charges Two Men With Insider Trading on Confidential Information From Their Wives
Release No.:
2014-61
Headline:
SEC Halts Pyramid Scheme Targeting Asian and Latino Communities
Release No.:
2014-60
Headline:
SEC Announces Fraud Charges Against Coal Company and CEO for False Disclosures About Management
Release No.:
2014-59
Headline:
SEC Names Jeffrey Boujoukos as Associate Regional Director in Philadelphia Office
Release No.:
2014-58
Headline:
Staff Analysis of Data and Academic Literature Related to Money Market Fund Reform
Release No.:
2014-56
Headline:
SEC Charges CR Intrinsic Analyst with Insider Trading
Release No.:
2014-53
Headline:
SEC Obtains Asset Freeze Against Promoter Behind Microcap Stock Scalping Scheme
Release No.:
2014-52
Headline:
SEC Charges Lions Gate With Disclosure Failures While Preventing Hostile Takeover
Release No.:
2014-51
Headline:
SEC Launches Enforcement Cooperation Initiative for Municipal Issuers and Underwriters
Release No.:
2014-46
Headline:
SEC Charges Five Executives and Finance Professionals Behind Fraudulent Bond Offering by International Law Firm
Release No.:
2014-45
Headline:
SEC Halts International Pyramid Scheme Being Promoted Through Facebook and Twitter
Release No.:
2014-44
Headline:
SEC Announces Largest Monetary Sanction for Rule 105 Short Selling Violations
Release No.:
2014-43
Headline:
Division of Trading And Markets Acting Director John Ramsay to Leave SEC
Release No.:
2014-38
Headline:
SEC Charges Three California Residents Behind Movie Investment Scam
Release No.:
2014-36
Headline:
SEC Names Sharon Binger as Director of Philadelphia Regional Office
Release No.:
2014-34
Headline:
Elizabeth Murphy Named as Associate Director in the Division of Corporation Finance
Release No.:
2014-33
Headline:
SEC to Hold Cybersecurity Roundtable
Release No.:
2014-32
Headline:
SEC Approves 2014 PCAOB Budget and Accounting Support Fee
Release No.:
2014-31
Headline:
David Fredrickson Named Chief Counsel in the Division of Corporation Finance
Release No.:
2014-29
Headline:
SEC Names Rick Fleming as Investor Advocate
Release No.:
2014-27
Headline:
SEC Names Michael Maloney As New Chief Accountant in Enforcement Division
Release No.:
2014-25
Headline:
SEC Announces Fraud Charges Against Two Wall Street Traders Involved in Parking Scheme
Release No.:
2014-24
Headline:
SEC Publishes Draft Strategic Plan For Public Comment
Release No.:
2014-23
Headline:
SEC Seeks Stop Orders Against 20 Purported Mining Companies With Misleading Registration Statements
Release No.:
2014-22
Headline:
SEC Charges Two College Professors in Naked Short Selling Scheme
Release No.:
2014-20
Headline:
Barbara Lorenzen Named to Senior Position in National Exam Program
Release No.:
2014-15
Headline:
SEC Charges Legg Mason Affiliate With Defrauding Clients
Release No.:
2014-13
Headline:
SEC Charges KPMG With Violating Auditor Independence Rules
Release No.:
2014-12
Headline:
Former Oppenheimer Fund Manager Agrees to Settle Fraud Charges
Release No.:
2014-11
Headline:
SEC Announces New Date for Compliance with Final Municipal Advisor Registration Rules
Release No.:
2014-8
Headline:
Interpretive Guidance on Municipal Advisor Registration Rules
Release No.:
2014-7
Headline:
SEC Announces 2014 Examination Priorities
Release No.:
2014-5
Headline:
SEC Charges Diamond Foods and Two Former Executives Following Accounting Scheme to Boost Earnings Growth
Release No.:
2014-4
Headline:
SEC Charges Alcoa With FCPA Violations
Release No.:
2014-3
Headline:
SEC Removes References to NRSRO Ratings in Certain Rules and Forms
Release No.:
2013-274
Headline:
SEC Issues Annual Staff Reports on Credit Rating Agencies
Release No.:
2013-272
Headline:
SEC Charges Woman and Stepson for Involvement in ZeekRewards Ponzi and Pyramid Scheme
Release No.:
2013-270
Headline:
SEC Issues Staff Report on Public Company Disclosure
Release No.:
2013-269
Headline:
SEC Charges Microsoft Senior Manager and Friend With Insider Trading in Advance of Company News
Release No.:
2013-268
Headline:
Federal Financial Regulators Extend Comment Period for Proposed Policy Statement on Assessing Diversity Policies and Practices of Regulated Entities
Release No.:
2013-267
Headline:
SEC Charges ConvergEx Subsidiaries With Fraud for Deceiving Customers About Commissions
Release No.:
2013-266
Headline:
SEC Proposes Rules to Increase Access to Capital for Smaller Companies
Release No.:
2013-265
Headline:
SEC Announces Enforcement Results for FY 2013
Release No.:
2013-264
Headline:
SEC Charges Perpetrators of Prime Bank Schemes in Las Vegas and Switzerland
Release No.:
2013-263
Headline:
SEC to Hold Compliance Outreach Program for Investment Companies and Investment Advisers
Release No.:
2013-262
Headline:
SEC Charges Merrill Lynch With Misleading Investors in CDOs
Release No.:
2013-261
Headline:
SEC Charges Investment Managers for Misconduct in CDO Collateral Selection Process
Release No.:
2013-260
Headline:
Agencies Issue Final Rules Implementing the Volcker Rule
Release No.:
2013-258
Headline:
SEC Names Sebastian Gomez Abero to Head Office of Small Business Policy in the Division of Corporation Finance
Release No.:
2013-257
Headline:
SEC Charges Fifth Third Bancorp and Former CFO for Improper Accounting of Substantial Loan Losses During Financial Crisis
Release No.:
2013-255
Headline:
SEC Charges Weatherford International With FCPA Violations
Release No.:
2013-252
Headline:
SEC Charges Colorado Man in Scheme Targeting Elderly Investors
Release No.:
2013-248
Headline:
SEC Charges Another Tipper in Galleon Insider Trading Scheme
Release No.:
2013-247
Headline:
SEC Names Julie Lutz as Director of Denver Regional Office
Release No.:
2013-246
Headline:
SEC Announces Agenda and Panelists for Small Business Forum
Release No.:
2013-242
Headline:
SEC Announces First Deferred Prosecution Agreement With Individual
Release No.:
2013-241
Headline:
SEC Names LeeAnn Gaunt as Chief of Municipal Securities and Public Pensions Unit
Release No.:
2013-240
Headline:
SEC Charges Royal Bank of Scotland Subsidiary with Misleading Investors in Subprime RMBS Offering
Release No.:
2013-239
Headline:
SEC Names David Glockner as Director of Chicago Regional Office
Release No.:
2013-237
Headline:
SEC To Hold Roundtable On Proxy Advisory Services
Release No.:
2013-236
Headline:
SEC Halts Ponzi Scheme Involving New Zealand Companies
Release No.:
2013-234
Headline:
SEC Charges Three Firms With Violating Custody Rule
Release No.:
2013-230
Headline:
SEC Charges Stryker Corporation With FCPA Violations
Release No.:
2013-229
Headline:
Financial Regulators Propose Joint Standards for Assessing Diversity Policies and Practices of Regulated Entities
Release No.:
2013-228
Headline:
SEC Issues Proposal on Crowdfunding
Release No.:
2013-227
Headline:
SEC Sanctions Three Firms Under Compliance Program Initiative
Release No.:
2013-226
Headline:
SEC Charges Diebold With FCPA Violations
Release No.:
2013-225
Headline:
SEC Announces Fraud Charges Against Collateral Manager Of CDO
Release No.:
2013-224
Headline:
SEC Charges Knight Capital With Violations of Market Access Rule
Release No.:
2013-222
Headline:
Daniel Murdock Named SEC Deputy Chief Accountant
Release No.:
2013-221
Headline:
Mark Kronforst Named Chief Accountant In Division Of Corporation Finance
Release No.:
2013-220
Headline:
SEC Launches Market Structure Data and Analysis Website
Release No.:
2013-217
Headline:
Salt Lake Regional Office Director Kenneth Israel to Retire From SEC After More Than 38 Years
Release No.:
2013-215
Headline:
SEC Announces Two Promotions to Senior Positions in Division of Economic and Risk Analysis
Release No.:
2013-213
Headline:
SEC Announces Renewal of Advisory Committee on Small and Emerging Companies
Release No.:
2013-212
Headline:
Public Feedback on OFR Study on Asset Management Issues
Release No.:
2013-208
Headline:
SEC Charges Three Auditors in Continuing Crackdown on Violations or Failures By Gatekeepers
Release No.:
2013-207
Headline:
Matthew Solomon Named SEC Chief Litigation Counsel
Release No.:
2013-204
Headline:
Chief Litigation Counsel Matthew Martens to Leave SEC
Release No.:
2013-203
Headline:
SEC Charges Accountant for Madoff Clients for Role in Creating False Books and Records
Release No.:
2013-202
Headline:
SEC Freezes Assets in Ponzi Scheme Targeting Investors in Japan
Release No.:
2013-201
Headline:
SEC Charges CEO of Video Game Company and Purported Consultant in Revenue Inflation Scheme
Release No.:
2013-198
Headline:
SEC Charges Two Bank Executives for Financial Misstatements and Failure to Disclose Probable Loss on Troubled Loan
Release No.:
2013-196
Headline:
Federal Regulators Issue Guidance on Reporting Financial Abuse of Older Adults
Release No.:
2013-195
Headline:
SEC Charges 10 Brokers for Roles in McGinn Smith Ponzi Scheme
Release No.:
2013-194
Headline:
SEC Charges Former Qualcomm Executive and His Financial Advisor With Insider Trading Through Secret Offshore Accounts
Release No.:
2013-193
Headline:
SEC Charges TD Bank and Former Executive for Roles in Rothstein Ponzi Scheme in South Florida
Release No.:
2013-192
Headline:
SEC Charges Independent Filmmaker With Insider Trading
Release No.:
2013-191
Headline:
SEC Charges Father and Son in South Carolina for Fraudulent Program Designed to Profit From Fate of Terminally Ill
Release No.:
2013-190
Headline:
SEC Charges Former Technology Company Executive for Role in Rajaratnam Insider Trading Scheme
Release No.:
2013-189
Headline:
SEC Charges Advisory Firm Owner and Stockbroker With Insider Trading Ahead of Merger Announcement by Pharmaceutical Firms
Release No.:
2013-188
Headline:
SEC Proposes Rules for Pay Ratio Disclosure
Release No.:
2013-186
Headline:
SEC Approves Registration Rules for Municipal Advisors
Release No.:
2013-185
Headline:
SEC Charges 23 Firms With Short Selling Violations in Crackdown on Potential Manipulation in Advance of Stock Offerings
Release No.:
2013-182
Headline:
SEC Charges Purported Money Manager in New York Who Schemed Investors and Lied to SEC Examiners
Release No.:
2013-180
Headline:
SEC Names Paul Levenson as Director of Boston Regional Office
Release No.:
2013-179
Headline:
SEC Chair White Statement on Meeting With Leaders of Exchanges
Release No.:
2013-178
Headline:
SEC Announces Agenda for September 17 Meeting of Advisory Committee on Small and Emerging Companies
Release No.:
2013-176
Headline:
SEC Charges Former Vice President of Investor Relations With Violating Fair Disclosure Rules
Release No.:
2013-174
Headline:
SEC Charges Purported Money Manager With Defrauding Investors and Brokerage Firms
Release No.:
2013-171
Headline:
SEC Rewards Three Whistleblowers Who Helped Stop Sham Hedge Fund
Release No.:
2013-169
Headline:
Agencies Request Comment on Proposed Risk Retention Rule
Release No.:
2013-167
Headline:
SEC Charges Indiana Resident With Conducting Ponzi Scheme Targeting Retirement Savings of Investors
Release No.:
2013-164
Headline:
SEC Stops California Company With Misleading Registration Statement From Issuing Public Stock
Release No.:
2013-163
Headline:
SEC Charges Former Oppenheimer Private Equity Fund Manager with Misleading Investors about Valuation and Performance
Release No.:
2013-160
Headline:
Philip Falcone and Harbinger Capital Agree to Settlement
Release No.:
2013-159
Headline:
Michael Piwowar Sworn in as SEC Commissioner
Release No.:
2013-157
Headline:
Geoffrey Aronow Named Chief Counsel and Senior Policy Advisor in Office of International Affairs
Release No.:
2013-153
Headline:
Kara Stein Sworn in as SEC Commissioner
Release No.:
2013-152
Headline:
SEC Cautions Exchanges and Investment Professionals to Monitor Composition of Indices When Offering Futures Products
Release No.:
2013-150
Headline:
SEC Charges Bank of America With Fraud in RMBS Offering
Release No.:
2013-148
Headline:
Statement By SEC Commissioner Paredes upon Departure from the Commission
Release No.:
2013-145
Headline:
Deputy Chief Economist Kathleen Weiss Hanley to Leave SEC
Release No.:
2013-142
Headline:
SEC Sanctions Two Investment Advisers for Best Execution Failures
Release No.:
2013-139
Headline:
SEC Charges Two Traders in Spain With Insider Trading Ahead of BHP Acquisition Bid
Release No.:
2013-138
Headline:
SEC Charges School District and Muni Bond Underwriter in Indiana With Defrauding Investors
Release No.:
2013-136
Headline:
Denver Regional Office Director Donald Hoerl to Leave SEC After More Than 30 Years
Release No.:
2013-133
Headline:
SEC Charges City of Miami and Former Budget Director With Municipal Bond Offering Fraud
Release No.:
2013-130
Headline:
SEC Announces Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers
Release No.:
2013-127
Headline:
SEC Approves JOBS Act Requirement to Lift General Solicitation Ban
Release No.:
2013-124
Headline:
SEC Freezes Assets Of Insider Traders in Onyx Pharmaceuticals
Release No.:
2013-123
Headline:
SEC Obtains Freeze on Proceeds from Unlawful Distribution of Biozoom Securities
Release No.:
2013-122
Headline:
SEC Announces Enforcement Initiatives to Combat Financial Reporting and Microcap Fraud and Enhance Risk Analysis
Release No.:
2013-121
Headline:
Chicago Regional Office Director Merri Jo Gillette to Leave SEC
Release No.:
2013-119
Headline:
SEC Charges Medical Imaging Device Company and Its CEO with Fraud
Release No.:
2013-117
Headline:
Amelia Cottrell Named Associate Regional Director for Enforcement in New York Office
Release No.:
2013-112
Headline:
Former Mutual Fund Directors Agree to Settle Claims That They Failed to Properly Oversee Asset Valuation
Release No.:
2013-111
Headline:
SEC Charges Revlon with Misleading Shareholders in Going Private Transaction
Release No.:
2013-110
Headline:
SEC Announces More Charges in Massive Kickback Scheme to Secure Business of Venezuelan Bank
Release No.:
2013-109
Headline:
SEC Charges CBOE for Regulatory Failures
Release No.:
2013-107
Headline:
SEC Charges Top Officials At Investment Adviser in Scheme to Hide Theft From Pension Fund of Detroit Police and Firefighters
Release No.:
2013-106
Headline:
SEC Charges Whittier Trust and Fund Manager in Insider Trading Investigation Into Expert Networks
Release No.:
2013-105
Headline:
SEC Renames Division Focusing On Economic and Risk Analysis
Release No.:
2013-104
Headline:
SEC Charges Penny Stock Company and CEO for Illegal Stock Offering and Insider Trading
Release No.:
2013-100
Headline:
SEC Proposes Money Market Fund Reforms
Release No.:
2013-101
Headline:
SEC Charges Fortune 200 Company for Accounting Deficiencies
Release No.:
2013-99
Headline:
SEC Charges NASDAQ for Failures During Facebook IPO
Release No.:
2013-95
Headline:
SEC Names Lona Nallengara as Chief of Staff
Release No.:
2013-88
Headline:
SEC Charges Traders in Massive Kickback Scheme Involving Venezuelan Official
Release No.:
2013-84
Headline:
SEC Announces Panelists for Credit Ratings Roundtable
Release No.:
2013-83
Headline:
SEC Charges City of Harrisburg for Fraudulent Public Statements
Release No.:
2013-82
Headline:
SEC Charges Gatekeepers of Two Mutual Fund Trusts for Inaccurate Disclosures About Decisions On Behalf of Shareholders
Release No.:
2013-78
Headline:
SEC Names Andrew Bowden as Director of National Exam Program
Release No.:
2013-81
Headline:
SEC Seeks to Halt Scheme Raising Investor Funds Under Guise of JOBS Act
Release No.:
2013-73
Headline:
SEC Charges Capital One with Understating Auto Loan Losses
Release No.:
2013-72
Headline:
SEC Announces Agenda for Credit Ratings Roundtable
Release No.:
2013-71
Headline:
Investors to Receive Their Entire Investments Back After SEC Halted Scheme Exploiting Immigration Program
Release No.:
2013-70
Headline:
SEC Charges Former Executive with Insider Trading On Nonpublic Information Obtained as Part of Professional Group
Release No.:
2013-66
Headline:
SEC Announces Agenda for May 1 Meeting of Advisory Committee On Small and Emerging Companies
Release No.:
2013-68
Headline:
SEC Charges Former Rochdale Securities Broker for Rogue Trades That Brought Down Firm
Release No.:
2013-60
Headline:
SEC Charges Former KPMG Partner and Friend with Insider Trading
Release No.:
2013-58
Headline:
SEC Adopts Rules to Help Protect Investors from Identity Theft
Release No.:
2013-57
Headline:
Mary Jo White Sworn in as Chair of SEC
Release No.:
2013-56
Headline:
SEC Announces Panelists for Roundtable on Fixed Income Markets
Release No.:
2013-55
Headline:
SEC Charges Former Medical Device Company Employee for Illegally Tipping Brother with Quarterly Earnings Data
Release No.:
2013-54
Headline:
SEC Streamlines Rule Filing Requirements for Dually Registered Clearing Agencies
Release No.:
2013-52
Headline:
SEC Says Social Media OK for Company Announcements if Investors Are Alerted
Release No.:
2013-51
Headline:
SEC Charges Sigma Capital Portfolio Manager with Insider Trading
Release No.:
2013-49
Headline:
SEC Announces Agenda for Fixed Income Roundtable
Release No.:
2013-48
Headline:
SEC Charges Hedge Fund Manager and Brokerage CEO with Fraud
Release No.:
2013-46
Headline:
SEC Charges Rengan Rajaratnam with Insider Trading
Release No.:
2013-45
Headline:
SEC Charges San Diego Lawyers and Others in an International Market Manipulation Scheme
Release No.:
2013-39
Headline:
SEC Issues Guidance Update on Social Media Filings by Investment Companies
Release No.:
2013-40
Headline:
SEC Charges Hedge Fund Firm Sigma Capital with Insider Trading
Release No.:
2013-42
Headline:
SEC Charges Illinois for Misleading Pension Disclosures
Release No.:
2013-37
Headline:
SEC Proposes Rules to Improve Systems Compliance and Integrity
Release No.:
2013-35
Headline:
SEC Issues Risk Alert and Investor Bulletin on Investment Adviser Custody Rule
Release No.:
2013-33
Headline:
Steven Harris and Jay Hanson Reappointed to PCAOB
Release No.:
2013-31
Headline:
SEC to Hold Fixed Income Roundtable
Release No.:
2013-29
Headline:
SEC to Host Credit Ratings Roundtable
Release No.:
2013-27
Headline:
SEC Announces 2013 Examination Priorities
Release No.:
2013-26
Headline:
Director of International Affairs Ethiopis Tafara to Leave SEC
Release No.:
2013-22
Headline:
SEC Approves 2013 PCAOB Budget and Accounting Support Fee
Release No.:
2013-21
Headline:
SEC Charges Husband and Wife in Florida with Defrauding Seniors Investing in Purported Charity
Release No.:
2013-19
Headline:
SEC Announces Panelists for Roundtable on Decimalization
Release No.:
2013-16
Headline:
SEC Charges Two KPMG Auditors for Failed Audit of Nebraska Bank Hiding Loan Losses During Financial Crisis
Release No.:
2013-2
Headline:
Enforcement Director Robert Khuzami to Leave SEC
Release No.:
2013-3
Headline:
SEC Charges Three Former Bank Executives in Virginia for Understating Loan Losses During Financial Crisis
Release No.:
2013-4
Headline:
SEC Names Geoffrey Aronow as General Counsel
Release No.:
2013-1
Headline:
SEC Issues Investor Bulletin to Help Investors Assess Municipal Bond Credit Risk
Release No.:
2012-279
Headline:
SEC Approves New Rules Regarding Lost Holders of Securities
Release No.:
2012-277
Headline:
SEC Announces Agenda for Roundtable on Decimalization
Release No.:
2012-274
Headline:
Paul Beswick Named SEC Chief Accountant
Release No.:
2012-275
Headline:
SEC Charges Four Penny Stock Purchasers with Fraud
Release No.:
2012-278
Headline:
SEC Charges Eli Lilly and Company with FCPA Violations
Release No.:
2012-273
Headline:
SEC Charges Financial Media Company and Executives Involved in Accounting Fraud
Release No.:
2012-270
Headline:
SEC Charges Eight Mutual Fund Directors for Failure to Properly Oversee Asset Valuation
Release No.:
2012-259
Headline:
SEC Completes 18th Annual International Enforcement Institute
Release No.:
2012-256
Headline:
General Counsel Mark Cahn to Leave SEC
Release No.:
2012-254
Headline:
Trading and Markets Director Robert Cook to Leave SEC
Release No.:
2012-253
Headline:
Division of Corporation Finance Director Meredith Cross to Leave SEC
Release No.:
2012-252
Headline:
SEC Staff to Host Decimalization Roundtable
Release No.:
2012-250
Headline:
SEC Charges Oil Company CEO as Source in Insider Trading Case
Release No.:
2012-243
Headline:
SEC Chairman Mary Schapiro to Step Down Next Month
Release No.:
2012-240
Headline:
SEC Sanctions Two Investment Advisers for Impeding Examinations
Release No.:
2012-238
Headline:
SEC Halts Prime Bank Scheme in Georgia
Release No.:
2012-236
Headline:
SEC Charges Ring of High School Buddies with Insider Trading in Health Care Stocks
Release No.:
2012-234
Headline:
SEC Issues Staff Summary Report of Examinations of Nationally Recognized Statistical Rating Organizations
Release No.:
2012-228
Headline:
SEC and Justice Department Release FCPA Guide
Release No.:
2012-225
Headline:
SEC Approves Further Regulatory Relief and Assistance for Hurricane Sandy Victims
Release No.:
2012-226
Headline:
SEC Charges Executives and Auditor of Electronic Game Card Company with Fraud
Release No.:
2012-223
Headline:
SEC Announces Agenda and Panelists for Small Business Forum
Release No.:
2012-221
Headline:
SEC Announces Assistance to Filers Affected by Hurricane Sandy
Release No.:
2012-220
Headline:
Chairman Schapiro Statement on Reopening of Securities Markets
Release No.:
2012-219
Headline:
Stop Order Proceedings Instituted Against Caribbean Pacific Marketing
Release No.:
2012-218
Headline:
SEC Charges Silicon Valley Executive for Role in Galleon Insider Trading Scheme
Release No.:
2012-216
Headline:
SEC Adopts Standards for Risk Management and Operations of Clearing Agencies
Release No.:
2012-215
Headline:
SEC Charges Hedge Fund Adviser and Two Executives With Fraud in Continuing Probe of Suspicious Fund Performance
Release No.:
2012-209
Headline:
Andrew Calamari Named Director of New York Regional Office
Release No.:
2012-211
Headline:
SEC Charges Repeat Violator in South Florida with Fraudulently Offering Investments Tied to Oil Drilling Projects
Release No.:
2012-205
Headline:
SEC Charges Hedge Fund Managers with Defrauding Investors
Release No.:
2012-206
Headline:
SEC Announces Panelists for Market Technology Roundtable on October 2
Release No.:
2012-202
Headline:
SEC Charges Financial Executive in Minnesota with Diverting Company Dollars to Pay Unauthorized Entertainment Expenses
Release No.:
2012-203
Headline:
SEC Charges Investment Bank Analyst with Illegally Tipping College Friend About Nonpublic Merger Deals
Release No.:
2012-201
Headline:
SEC Charges Bank Executives in Nebraska With Understating Losses During Financial Crisis
Release No.:
2012-198
Headline:
SEC Charges Tyco for Illicit Payments to Foreign Officials
Release No.:
2012-196
Headline:
SEC Charges Three in North Carolina With Insider Trading
Release No.:
2012-193
Headline:
SEC Freezes Assets of Insider Trader in Burger King Stock
Release No.:
2012-195
Headline:
SEC Charges Former Systemax Director in Compensation Scheme
Release No.:
2012-190
Headline:
SEC Charges New York Stock Exchange for Improper Distribution of Market Data
Release No.:
2012-189
Headline:
SEC Charges Solar Manufacturer With Concealing Agreement to Transfer Ownership Stake in Its Chinese Subsidiary
Release No.:
2012-181
Headline:
SEC Reschedules Date of Market Technology Roundtable
Release No.:
2012-182
Headline:
SEC Charges Radio Personality for Conducting Misleading Investment Seminars
Release No.:
2012-177
Headline:
SEC Charges California Man for Illegal Tips to Hedge Fund Manager
Release No.:
2012-176
Headline:
SEC Charges Florida Brokers for Defrauding Brazilian Public Pension Funds in Markup Scheme
Release No.:
2012-168
Headline:
SEC Proposes Rules to Implement JOBS Act Provision About General Solicitation and Advertising in Securities Offerings
Release No.:
2012-170
Headline:
SEC Announces Advisory Committee Meeting in San Francisco to Discuss Small Business Issues
Release No.:
2012-169
Headline:
SEC Announces Agenda For Market Technology Roundtable
Release No.:
2012-171
Headline:
SEC Adopts Rules Requiring Payment Disclosures by Resource Extraction Issuers
Release No.:
2012-164
Headline:
SEC Adopts Rule for Disclosing Use of Conflict Minerals
Release No.:
2012-163
Headline:
SEC Issues First Whistleblower Program Award
Release No.:
2012-162
Headline:
New Charges in Insider Trading Case Include Former CEO and Professional Baseball Player
Release No.:
2012-159
Headline:
SEC Charges Oracle Corporation With FCPA Violations Related to Secret Side Funds in India
Release No.:
2012-158
Headline:
SEC Charges Wells Fargo for Selling Complex Investments Without Disclosing Risks
Release No.:
2012-155
Headline:
SEC Charges Mutual Fund Adviser With Failing to Turn Over Records to SEC Examiners
Release No.:
2012-154
Headline:
SEC to Host Market Technology Roundtable
Release No.:
2012-153
Headline:
SEC Charges Pfizer with FCPA Violations
Release No.:
2012-152
Headline:
Chairman Schapiro Statement on Knight Capital Group Trading Issue
Release No.:
2012-151
Headline:
SEC Names John Cross Director of Municipal Securities Office
Release No.:
2012-149
Headline:
SEC Recommends Improvements to Help Investors in Municipal Securities Market
Release No.:
2012-147
Headline:
SEC Freezes Assets of Insider Traders in Nexen Acquisition
Release No.:
2012-145
Headline:
SEC Charges Phony Company President for Role in Facilitating Kém chất lượng Investment in Penny Stock Company
Release No.:
2012-144
Headline:
SEC Charges Close Friend of Staffing Company CEO with Insider Trading Around Acquisition
Release No.:
2012-143
Headline:
SEC Veteran Michele Wein Layne Named Director of Los Angeles Office
Release No.:
2012-140
Headline:
SEC Charges CEO With Insider Trading in Secondary Offering of Company Stock
Release No.:
2012-141
Headline:
SEC Charges Mizuho Securities USA with Misleading Investors by Obtaining False Credit Ratings for CDO
Release No.:
2012-139
Headline:
SEC Announces Deferred Prosecution Agreement with Amish Fund
Release No.:
2012-138
Headline:
SEC Staff Publishes Final Report on Work Plan for Global Accounting Standards
Release No.:
2012-135
Headline:
SEC Approves New Rule Requiring Consolidated Audit Trail to Monitor and Analyze Trading Activity
Release No.:
2012-134
Headline:
SEC Charges Orthofix International With FCPA Violations
Release No.:
2012-133
Headline:
SEC Charges Five Physicians With Insider Trading in Stock of Medical Professional Liability Insurer
Release No.:
2012-132
Headline:
SEC Approves Rules and Interpretations on Key Terms for Regulating Derivatives
Release No.:
2012-130
Headline:
SEC Names Norm Champ as Director of Division of Investment Management
Release No.:
2012-129
Headline:
SEC Charges Peter Madoff With Fraud and False Statements to Regulators
Release No.:
2012-126
Headline:
SEC Charges Long Island Software Company in Connection With Bribery Scheme
Release No.:
2012-123
Headline:
SEC Charges Founder of Equity Research Firm with Insider Trading
Release No.:
2012-121
Headline:
SEC Sues Fund Adviser for Fees Charged in Breach of Duty Under the Investment Company Act
Release No.:
2012-120
Headline:
SEC Adopts Rule Requiring Listing Standards for Compensation Committees and Compensation Advisers
Release No.:
2012-115
Headline:
SEC Chief Accountant James Kroeker to Leave the Commission
Release No.:
2012-116
Headline:
SEC Names Thomas Butler as Director of New Office of Credit Ratings
Release No.:
2012-113
Headline:
Director of Division of Investment Management Eileen Rominger to Retire
Release No.:
2012-114
Headline:
SEC Charges Company Officers and Penny Stock Promoters in Kickback and Market Manipulation Schemes
Release No.:
2012-108
Headline:
SEC Advisory Committee on Small and Emerging Companies to Meet on June 8
Release No.:
2012-109
Headline:
SEC Approves Proposals to Address Extraordinary Volatility in Individual Stocks and Broader Stock Market
Release No.:
2012-107
Headline:
Jon Rymer Named Interim Inspector General
Release No.:
2012-106
Headline:
SEC Bars Former Staffer From Practice Before the Commission
Release No.:
2012-102
Headline:
SEC Charges Former Yahoo Executive and Former Ameriprise Manager with Insider Trading
Release No.:
2012-99
Headline:
SEC Charges New Jersey Man in Real Estate Investment Scam
Release No.:
2012-94
Headline:
SEC Charges New York Man With Manipulating Biopharmaceutical Stocks and Conducting Unregistered Sales of Securities
Release No.:
2012-89
Headline:
SEC Charges Former Detroit Officials and Investment Adviser to City Pension Funds in Influence Peddling Scheme
Release No.:
2012-88
Headline:
SEC Charges Movie Producer and Ring of Relatives and Business Partners with Insider Trading
Release No.:
2012-86
Headline:
Joint Statement on Regulation of OTC Derivatives Markets
Release No.:
2012-85
Headline:
SEC Charges Florida Stock Scheme Mastermind and 10 Cohorts
Release No.:
2012-82
Headline:
SEC Charges UBS Puerto Rico and Two Executives with Defrauding Fund Customers
Release No.:
2012-81
Headline:
George Canellos Named Deputy Director of SEC Enforcement Division
Release No.:
2012-79
Headline:
SEC Charges Former Morgan Stanley Executive with FCPA Violations and Investment Adviser Fraud
Release No.:
2012-78
Headline:
SEC Charges Chinese Company and Executives with Lying About Asset Values and Use of IPO Proceeds
Release No.:
2012-74
Headline:
Volcker Rule Conformance Period Clarified
Release No.:
2012-70
Headline:
SEC Charges optionsXpress and Five Individuals Involved in Abusive Naked Short Selling Scheme
Release No.:
2012-66
Headline:
CPSS and IOSCO Issue Final Report on Principles for Financial Market Infrastructures and Seek Comment on Two Consultative Documents
Release No.:
2012-65
Headline:
Matthew Solomon Named Deputy Chief Litigation Counsel in SEC Enforcement Division
Release No.:
2012-63
Headline:
SEC Charges Ponzi Schemer Targeting Church Congregations
Release No.:
2012-62
Headline:
SEC Seeks Public Comment Prior to JOBS Act Rulemaking
Release No.:
2012-60
Headline:
SEC Announces Members of New Investor Advisory Committee
Release No.:
2012-58
Headline:
SEC Settles Fraud Charges Against Silicon Valley Man
Release No.:
2012-57
Headline:
SEC Charges South Florida Man in Investment Fraud Scheme
Release No.:
2012-56
Headline:
SEC Freezes Accounts of Six Chinese Citizens and One Offshore Entity Charged with Insider Trading
Release No.:
2012-54
Headline:
SEC Seeks Comment on Investor Testing Regarding Target Date Retirement Funds
Release No.:
2012-53
Headline:
SEC Sues Two Executives in Texas to Recover Bonuses and Stock Profits Received During Accounting Fraud
Release No.:
2012-51
Headline:
SEC Charges Medical Device Company Biomet with Foreign Bribery
Release No.:
2012-50
Headline:
SEC Establishes New Supervisory Cooperation Arrangements with Foreign Counterparts
Release No.:
2012-49
Headline:
SEC Charges Bay Area Investment Adviser for Defrauding Investors With Bogus Audit Report
Release No.:
2012-45
Headline:
Availability of Staff Analysis of Market Data Related to Credit Default Swap Transactions
Release No.:
2012-47
Headline:
SEC Announces Charges from Investigation of Secondary Market Trading of Private Company Shares
Release No.:
2012-43
Headline:
SEC Charges Five With Insider Trading on Confidential Merger Negotiations Between Philadelphia Company and Japanese Firm
Release No.:
2012-41
Headline:
SEC Charges Three Mortgage Executives With Fraudulent Accounting Maneuvers in Midst of Financial Crisis
Release No.:
2012-42
Headline:
SEC Obtains Asset Freeze Against Long Island Investment Adviser Charged with Defrauding Investors
Release No.:
2012-38
Headline:
SEC Proposes Rules To Help Prevent And Detect Identity Theft
Release No.:
2012-34
Headline:
SEC Releases Risk Alert on Unauthorized Trading
Release No.:
2012-33
Headline:
SEC Charges Three Oil Services Executives With Bribing Customs Officials in Nigeria
Release No.:
2012-32
Headline:
SEC Tightens Rules on Advisory Performance Fee Charges
Release No.:
2012-29
Headline:
SEC Charges California Hedge Fund Manager Connected to Galleon Insider Trading Case
Release No.:
2012-27
Headline:
SEC Charges Former Pharmaceutical Company Employee with Insider Trading on Biotech Deals
Release No.:
2012-26
Headline:
SEC Charges Former Credit Suisse Investment Bankers in Subprime Bond Pricing Scheme During Credit Crisis
Release No.:
2012-23
Headline:
SEC Charges Brothers With Short Selling Violations
Release No.:
2012-22
Headline:
SEC Charges Former Executives and Accountants With Fraud at British Subsidiary of Medical Devices Company
Release No.:
2012-21
Headline:
SEC Charges Latvian Trader in Pervasive Brokerage Tài khoản Hijacking Scheme
Release No.:
2012-17
Headline:
SEC Advisory Committee on Small And Emerging Companies to Meet Wednesday
Release No.:
2012-19
Headline:
Diamondback Capital Agrees to Settle SEC Insider Trading Charges
Release No.:
2012-16
Headline:
SEC Charges Florida Bank Holding Company and CEO with Misleading Investors about Loan Risks During Financial Crisis
Release No.:
2012-13
Headline:
SEC Charges Fund Managers and Analysts in Insider Trading Scheme
Release No.:
2012-11
Headline:
SEC Names Jane Norberg as Deputy Chief of Whistleblower Office
Release No.:
2012-10
Headline:
SEC Charges UBS Global Asset Management for Pricing Violations in Mutual Fund Portfolios
Release No.:
2012-8
Headline:
SEC Names Robert Fisher as Deputy Director in Office of International Affairs
Release No.:
2012-6
Headline:
SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting
Release No.:
2012-4
Headline:
SEC Charges Life Settlements Firm and Three Executives with Disclosure and Accounting Fraud
Release No.:
2012-2