Official announcements highlighting recent actions taken by the SEC and other newsworthy information.  To view Press Releases prior to 2012, view the Press Release Archive.

Published date grouping
Date
Title
Release No.
Published date grouping:October 2017 Date: Title: Walter Jospin, Regional Director of the SEC’s Atlanta Office, to Leave the Agency Release No.:2017-191
Published date grouping:October 2017 Date: Title: Robert Evans III Named Chief of the Office of International Corporate Finance in SEC’s Division of Corporation Finance Release No.:2017-190
Published date grouping:October 2017 Date: Title: Investment Adviser Charged in Multi-Million Dollar Options Trading Scheme Release No.:2017-189
Published date grouping:October 2017 Date: Title: SEC Charges Penny-Stock Operators in Push to Crack Down on Repeat Offenders Release No.:2017-188
Published date grouping:October 2017 Date: Title: World Investor Week Brings Together Securities Regulators on Six Continents to Promote Investor Education and Protection Release No.:2017-187
Published date grouping:October 2017 Date: Title: Chairman Clayton Provides Update on Review of 2016 Cyber Intrusion Involving EDGAR System Release No.:2017-186
Published date grouping:September 2017 Date: Title: SEC Exposes Two Initial Coin Offerings Purportedly Backed by Real Estate and Diamonds Release No.:2017-185
Published date grouping:September 2017 Date: Title: Former Corporate Insider, Middleman Tipper, and Six Traders Charged With Insider Trading Release No.:2017-184
Published date grouping:September 2017 Date: Title: Fee Rate Advisory #2 for Fiscal Year 2018 Release No.:2017-183
Published date grouping:September 2017 Date: Title: Barred Broker Charged in Real Estate Investment Scheme Release No.:2017-182
Published date grouping:September 2017 Date: Title: SEC Provides Regulatory Relief and Assistance for Hurricane Victims Release No.:2017-181
Published date grouping:September 2017 Date: Title: SEC Detects Brokers Defrauding Customers Release No.:2017-180
Published date grouping:September 2017 Date: Title: Andrew Calamari, Regional Director of the SEC’s New York Office, to Leave the Agency After 17 Years of Service Release No.:2017-179
Published date grouping:September 2017 Date: Title: Medical Manufacturer Settles Accounting Fraud Charges Release No.:2017-178
Published date grouping:September 2017 Date: Title: Stock Market Analyst Barred for Illegally Cashing In On His Research Reports Release No.:2017-177
Published date grouping:September 2017 Date: Title: SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors Release No.:2017-176
Published date grouping:September 2017 Date: Title: Pharmaceutical Company Paying Penalty for Misleading Investors About Sales Metric Release No.:2017-175
Published date grouping:September 2017 Date: Title: SEC Announces Agenda for October 12 Investor Advisory Committee Meeting Release No.:2017-174
Published date grouping:September 2017 Date: Title: SEC Suspends Trading in Company Purporting Involvement in Hurricane Harvey Relief Efforts Release No.:2017-173
Published date grouping:September 2017 Date: Title: SEC Adopts Interpretive Guidance on Pay Ratio Rule Release No.:2017-172
Published date grouping:September 2017 Date: Title: Telecommunications Company Paying $965 Million For FCPA Violations Release No.:2017-171
Published date grouping:September 2017 Date: Title: SEC Chairman Clayton Issues Statement on Cybersecurity Release No.:2017-170
Published date grouping:September 2017 Date: Title: Thomas J. Butler Named an Associate Regional Director for Examinations in New York Regional Office Release No.:2017-169
Published date grouping:September 2017 Date: Title: CEO Charged With Using Secret Accounts for Insider Trading in Company Stock Release No.:2017-168
Published date grouping:September 2017 Date: Title: Catherine McGuire to Retire After More Than 40 Years at the SEC Release No.:2017-167
Published date grouping:September 2017 Date: Title: Ken C. Joseph, Head of Investment Adviser/Investment Company Examination Program in SEC's New York Regional Office, to Leave SEC After 21 Years of Service Release No.:2017-166
Published date grouping:September 2017 Date: Title: SunTrust Charged With Improperly Recommending Higher-Fee Mutual Funds Release No.:2017-165
Published date grouping:September 2017 Date: Title: SEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of Hurricane Harvey Release No.:2017-164
Published date grouping:September 2017 Date: Title: Commission Statement on T+2 Implementation Release No.:2017-163
Published date grouping:September 2017 Date: Title: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors Release No.:2017-162
Published date grouping:September 2017 Date: Title: Bridget Fitzpatrick Named Chief Litigation Counsel Release No.:2017-161
Published date grouping:September 2017 Date: Title: Former Amazon Employee and College Friend Charged With Insider Trading Release No.:2017-160
Published date grouping:September 2017 Date: Title: State Street Paying Penalties to Settle Fraud Charges and Disclosure Failures Release No.:2017-159
Published date grouping:September 2017 Date: Title: SEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2017-158
Published date grouping:September 2017 Date: Title: Radio Host Charged With Concert Ticket Investment Scam Release No.:2017-157
Published date grouping:September 2017 Date: Title: Adviser Charged With Stealing Investor Funds Release No.:2017-156
Published date grouping:August 2017 Date: Title: Chairman Clayton Names Executive Staff Release No.:2017-155
Published date grouping:August 2017 Date: Title: SEC Names Jeffrey Harris as Director of the Division of Economic and Risk Analysis Release No.:2017-154
Published date grouping:August 2017 Date: Title: SEC Names Dalia Blass as Director of the Division of Investment Management Release No.:2017-153
Published date grouping:August 2017 Date: Title: SEC and NYU to Host Forum on Exchange-Traded Products Release No.:2017-152
Published date grouping:August 2017 Date: Title: Former Pharma Company Accountant, Three Others Charged With Insider Trading Release No.:2017-151
Published date grouping:August 2017 Date: Title: SEC Monitoring Market Impact of Hurricane Harvey Release No.:2017-150
Published date grouping:August 2017 Date: Title: Fee Rate Advisory #1 for Fiscal Year 2018 Release No.:2017-149
Published date grouping:August 2017 Date: Title: Muni Bond Issuer and Underwriter Charged With Disclosure Failures Release No.:2017-148
Published date grouping:August 2017 Date: Title: SEC Charges Investment Adviser With Defrauding Professional Athlete and His Wife Release No.:2017-147
Published date grouping:August 2017 Date: Title: Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading Release No.:2017-146
Published date grouping:August 2017 Date: Title: Commission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition Release No.:2017-145
Published date grouping:August 2017 Date: Title: Banca IMI Securities to Pay $35 Million for Improper Handling of ADRs in Continuing SEC Crackdown Release No.:2017-144
Published date grouping:August 2017 Date: Title: SEC Uncovers Wide-Reaching Insider Trading Scheme Release No.:2017-143
Published date grouping:August 2017 Date: Title: SEC Charges KPMG with Audit Failures Release No.:2017-142
Published date grouping:August 2017 Date: Title: SEC Files Charges in Oil Drilling Investment Scheme Release No.:2017-141
Published date grouping:August 2017 Date: Title: SEC Staff Publishes Report on Access to Capital and Market Liquidity Release No.:2017-140
Published date grouping:August 2017 Date: Title: Investment Management Director David W. Grim to Leave SEC Release No.:2017-139
Published date grouping:August 2017 Date: Title: Donna Esau Named Associate Regional Director for Examinations in Atlanta Regional Office Release No.:2017-138
Published date grouping:August 2017 Date: Title: Overseas Stock Manipulator Settles SEC Charges Release No.:2017-137
Published date grouping:July 2017 Date: Title: SEC Files Charges to Stop Fraudulent Misuse of Cancer-Fighting Investments to Fund Restaurant Businesses Release No.:2017-136
Published date grouping:July 2017 Date: Title: SEC Files Fraud Charges Against Former Brokers Targeting Federal Retirees Release No.:2017-135
Published date grouping:July 2017 Date: Title: SEC Announces Whistleblower Award of More Than $1.7 Million Release No.:2017-134
Published date grouping:July 2017 Date: Title: Halliburton Paying $29.2 Million to Settle FCPA Violations Release No.:2017-133
Published date grouping:July 2017 Date: Title: Jessica Magee Named Associate Regional Director for Enforcement in Fort Worth Office Release No.:2017-132
Published date grouping:July 2017 Date: Title: SEC Issues Investigative Report Concluding DAO Tokens, a Digital Asset, Were Securities Release No.:2017-131
Published date grouping:July 2017 Date: Title: SEC Announces $2.5 Million Whistleblower Award Release No.:2017-130
Published date grouping:July 2017 Date: Title: SEC Names Bryan Wood as Director of the Office of Legislative and Intergovernmental Affairs Release No.:2017-129
Published date grouping:July 2017 Date: Title: Federal Regulatory Agencies Announce Coordination of Reviews for Certain Foreign Funds Under Volcker Rule Release No.:2017-128
Published date grouping:July 2017 Date: Title: SEC Bars Lawyer Who Committed Fraud Release No.:2017-127
Published date grouping:July 2017 Date: Title: SEC Announces Christopher Hetner as Senior Advisor to the Chairman for Cybersecurity Policy Release No.:2017-126
Published date grouping:July 2017 Date: Title: SEC Files Insider Trading Charges Against Research Scientist Aiming to Avoid SEC Detection Release No.:2017-125
Published date grouping:July 2017 Date: Title: SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors Release No.:2017-124
Published date grouping:June 2017 Date: Title: SEC Files Fraud Charges in Bitcoin and Office Space Investment Schemes Release No.:2017-123
Published date grouping:June 2017 Date: Title: SEC Charges Information Technology Company and Former Executives With Accounting Fraud Release No.:2017-122
Published date grouping:June 2017 Date: Title: SEC's Division of Corporation Finance Expands Popular JOBS Act Benefit to All Companies Release No.:2017-121
Published date grouping:June 2017 Date: Title: SEC Charges Oil and Gas Company and Top Finance Executives with Accounting Fraud Release No.:2017-120
Published date grouping:June 2017 Date: Title: Additional Charges Announced in Case Involving Pre-Released ADRs Release No.:2017-119
Published date grouping:June 2017 Date: Title: Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance Release No.:2017-118
Published date grouping:June 2017 Date: Title: Kelly L. Gibson Named as Associate Regional Director for Enforcement in the SEC’s Philadelphia Office Release No.:2017-117
Published date grouping:June 2017 Date: Title: Kathryn A. Pyszka Named as Associate Regional Director for Enforcement in the SEC’s Chicago Office Release No.:2017-116
Published date grouping:June 2017 Date: Title: Keith Cassidy Named Associate Director of Technology Controls Program in OCIE Release No.:2017-115
Published date grouping:June 2017 Date: Title: SEC Announces Agenda for June 22 Investor Advisory Committee Meeting Release No.:2017-114
Published date grouping:June 2017 Date: Title: SEC Names Stephanie Avakian and Steven Peikin as Co-Directors of Enforcement Release No.:2017-113
Published date grouping:June 2017 Date: Title: SEC Charges Brokerage Firm With Failing to Comply With Anti-Money Laundering Laws Release No.:2017-112
Published date grouping:May 2017 Date: Title: Fee Rate Advisory #3 for Fiscal Year 2017 Release No.:2017-111
Published date grouping:May 2017 Date: Title: SEC Names Peter Uhlmann Managing Executive in Chairman's Office Release No.:2017-110
Published date grouping:May 2017 Date: Title: SEC Files Charges in Trading Scheme Involving Confidential Government Information Release No.:2017-109
Published date grouping:May 2017 Date: Title: SEC and MSRB to Hold Webinar on Series 50 Exam for Municipal Advisors Release No.:2017-108
Published date grouping:May 2017 Date: Title: SEC Charges Fake Filer With Manipulating Fitbit Stock Release No.:2017-107
Published date grouping:May 2017 Date: Title: David Peavler, Associate Director of Enforcement in Fort Worth Office, to Leave SEC Release No.:2017-106
Published date grouping:May 2017 Date: Title: SEC Names Robert B. Stebbins as General Counsel Release No.:2017-105
Published date grouping:May 2017 Date: Title: SEC Names Jaime Klima Chief Counsel Release No.:2017-104
Published date grouping:May 2017 Date: Title: SEC Names Sean Memon Deputy Chief of Staff Release No.:2017-103
Published date grouping:May 2017 Date: Title: SEC Charges Former Head Traders at Nomura With Fraud Release No.:2017-102
Published date grouping:May 2017 Date: Title: SEC Names Lucas Moskowitz Chief of Staff Release No.:2017-101
Published date grouping:May 2017 Date: Title: Law Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme Release No.:2017-100
Published date grouping:May 2017 Date: Title: SEC Charges CEO With Failing to Disclose Perks to Shareholders Release No.:2017-99
Published date grouping:May 2017 Date: Title: Barclays to Pay $97 Million for Overcharging Clients Release No.:2017-98
Published date grouping:May 2017 Date: Title: William Hinman Named Director of Division of Corporation Finance Release No.:2017-97
Published date grouping:May 2017 Date: Title: SEC Charges Former Staffer With Securities Fraud Violations Release No.:2017-96
Published date grouping:May 2017 Date: Title: SEC Announces Agenda for May 10 Meeting of the Advisory Committee on Small and Emerging Companies Release No.:2017-95
Published date grouping:May 2017 Date: Title: Jay Clayton Sworn in as Chairman of SEC Release No.:2017-94
Published date grouping:May 2017 Date: Title: Firm, CEO Settle Charges in Ponzi-Like Scheme Involving Life Settlements Release No.:2017-93
Published date grouping:May 2017 Date: Title: SEC Staff Supplements Quarterly Private Funds Statistics Release No.:2017-92
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