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

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Published date grouping
Date
Title
Release No.
Published date grouping:December 2018 Date: Title: JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs Release No.:2018-306
Published date grouping:December 2018 Date: Title: Agencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule Release No.:2018-305
Published date grouping:December 2018 Date: Title: Martha Miller Named Advocate for Small Business Capital Formation Release No.:2018-304
Published date grouping:December 2018 Date: Title: Two Advisory Firms, CEO Charged With Mutual Fund Share Class Disclosure Violations Release No.:2018-303
Published date grouping:December 2018 Date: Title: SEC Charges Audit Firm and Suspends Accountants for Deficient Audits Release No.:2018-302
Published date grouping:December 2018 Date: Title: SEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions Release No.:2018-301
Published date grouping:December 2018 Date: Title: SEC Charges Two Robo-Advisers With False Disclosures Release No.:2018-300
Published date grouping:December 2018 Date: Title: SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities Release No.:2018-299
Published date grouping:December 2018 Date: Title: SEC Adopts Transaction Fee Pilot for NMS Stocks Release No.:2018-298
Published date grouping:December 2018 Date: Title: SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A Release No.:2018-297
Published date grouping:December 2018 Date: Title: SEC Charges Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors Release No.:2018-296
Published date grouping:December 2018 Date: Title: SEC Proposes Rule Changes for Fund of Funds Arrangements Release No.:2018-295
Published date grouping:December 2018 Date: Title: SEC Proposes Risk Mitigation Techniques for Uncleared Security-Based Swaps Release No.:2018-294
Published date grouping:December 2018 Date: Title: SEC Adopts Rule of Practice 194 Release No.:2018-293
Published date grouping:December 2018 Date: Title: SEC Approves 2019 PCAOB Budget and Accounting Support Fee Release No.:2018-292
Published date grouping:December 2018 Date: Title: SEC Adopts Final Rules for Disclosure of Hedging Policies Release No.:2018-291
Published date grouping:December 2018 Date: Title: SEC Charges Former Panasonic Executives Release No.:2018-290
Published date grouping:December 2018 Date: Title: SEC Publishes Two Reports on Credit Rating Agencies Showing Continued Focus on Compliance and Competition Release No.:2018-289
Published date grouping:December 2018 Date: Title: Daniel Kahl Named Deputy Director of the Office of Compliance Inspections and Examinations Release No.:2018-288
Published date grouping:December 2018 Date: Title: SEC Solicits Public Comment on Earnings Releases and Quarterly Reports Release No.:2018-287
Published date grouping:December 2018 Date: Title: Scott W. Bauguess, Deputy Director of the Division of Economic and Risk Analysis, to Leave the Agency After a Decade of Service Release No.:2018-286
Published date grouping:December 2018 Date: Title: BNY Mellon to Pay More Than $54 Million for Improper Handling of ADRs Release No.:2018-285
Published date grouping:December 2018 Date: Title: Jeffrey S. Mooney Named Associate Director in the Office of Clearance and Settlement Release No.:2018-284
Published date grouping:December 2018 Date: Title: SEC Charges Former New York Investment Advisor and Daughter With Conducting a Ponzi Scheme Release No.:2018-283
Published date grouping:December 2018 Date: Title: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors Release No.:2018-282
Published date grouping:December 2018 Date: Title: Jeffrey Minton, Office of the Chief Accountant Chief Counsel, to Retire from the SEC After 20 Years of Service Release No.:2018-281
Published date grouping:December 2018 Date: Title: Executives Settle ICO Scam Charges Release No.:2018-280
Published date grouping:December 2018 Date: Title: Three Developers Settle Charges of Fraudulent EB-5 Offering Release No.:2018-279
Published date grouping:December 2018 Date: Title: SEC Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official Release No.:2018-278
Published date grouping:December 2018 Date: Title: SEC Charges The Hain Celestial Group with Internal Controls Failures Release No.:2018-277
Published date grouping:December 2018 Date: Title: SEC Charges Agria Corporation and Executive Chairman With Fraud Release No.:2018-276
Published date grouping:December 2018 Date: Title: Three Broker-Dealers to Pay More Than $6 Million in Penalties for Providing Deficient Blue Sheet Data Release No.:2018-275
Published date grouping:December 2018 Date: Title: SEC Announces Agenda and Panelists for the 37th Annual Small Business Forum Release No.:2018-274
Published date grouping:December 2018 Date: Title: SEC Halts Alleged Insider Trading Ring Spanning Three Countries Release No.:2018-273
Published date grouping:December 2018 Date: Title: SEC Investor Advisory Committee to Meet on December 13 Release No.:2018-272
Published date grouping:December 2018 Date: Title: Shira Pavis Minton, Ethics Counsel, to Retire from the SEC After 20 Years of Federal Service Release No.:2018-271
Published date grouping:December 2018 Date: Title: Aaron Lipson, Associate Regional Director of Atlanta Office, to Leave Agency After 14 Years of Service Release No.:2018-270
Published date grouping:November 2018 Date: Title: SEC Adopts FAIR Act Rules Promoting Research Reports on Investment Funds Release No.:2018-269
Published date grouping:November 2018 Date: Title: Two Celebrities Charged With Unlawfully Touting Coin Offerings Release No.:2018-268
Published date grouping:November 2018 Date: Title: Jina L. Choi, Regional Director of the SEC’s San Francisco Office, to Leave the Agency After Over 16 Years of Service Release No.:2018-267
Published date grouping:November 2018 Date: Title: SEC Charges Self-Described Promoter With Microcap Market Manipulation Scheme Release No.:2018-266
Published date grouping:November 2018 Date: Title: Kurt Gottschall Named Director of Denver Office Release No.:2018-265
Published date grouping:November 2018 Date: Title: Two ICO Issuers Settle SEC Registration Charges, Agree to Register Tokens as Securities Release No.:2018-264
Published date grouping:November 2018 Date: Title: SEC Charges Giga Entertainment Media, Former Officers and Directors With Fraud in Pay-For-Download Campaign Release No.:2018-263
Published date grouping:November 2018 Date: Title: SEC Brings Additional Charges in New York Boiler Room Scheme Targeting Seniors Release No.:2018-262
Published date grouping:November 2018 Date: Title: SEC Settles Insider Trading Claims Against Former Chairman and CEO of Advanced Medical Optics Release No.:2018-261
Published date grouping:November 2018 Date: Title: SEC Announces Agenda, Panelists for Staff Roundtable on the Proxy Process Release No.:2018-260
Published date grouping:November 2018 Date: Title: Stock Research Firm and Co-Founders Charged With Deceiving Investors in Supposedly Unbiased Reports Release No.:2018-259
Published date grouping:November 2018 Date: Title: SEC Charges EtherDelta Founder With Operating an Unregistered Exchange Release No.:2018-258
Published date grouping:November 2018 Date: Title: Investor Testing of the Proposed Relationship Summary for Investment Advisers and Broker-Dealers Release No.:2018-257
Published date grouping:November 2018 Date: Title: SEC Charges ITG With Misleading Dark Pool Subscribers Release No.:2018-256
Published date grouping:November 2018 Date: Title: Citibank to Pay More Than $38 Million for Improper Handling of ADRs Release No.:2018-255
Published date grouping:November 2018 Date: Title: Anthony S. Kelly, Co-Chief of Asset Management Unit, to Leave SEC After 18 Years of Service Release No.:2018-254
Published date grouping:November 2018 Date: Title: SEC Adopts Rules That Increase Information Brokers Must Provide to Investors on Order Handling Release No.:2018-253
Published date grouping:November 2018 Date: Title: SEC Charges Investment Adviser With Running $3.9 Million Fraud Release No.:2018-252
Published date grouping:November 2018 Date: Title: SEC Charges Family Friend of Former Investment Banker With Insider Trading Release No.:2018-251
Published date grouping:November 2018 Date: Title: SEC Enforcement Division Issues Report on FY 2018 Results Release No.:2018-250
Published date grouping:October 2018 Date: Title: SEC Issues Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2018-249
Published date grouping:October 2018 Date: Title: SEC Adopts Rules to Modernize Property Disclosures Required for Mining Registrants Release No.:2018-248
Published date grouping:October 2018 Date: Title: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2018-247
Published date grouping:October 2018 Date: Title: SEC Proposes Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts Release No.:2018-246
Published date grouping:October 2018 Date: Title: SEC Investor Advisory Committee to Hold Nov. 7 Telephone Meeting Release No.:2018-245
Published date grouping:October 2018 Date: Title: SEC Issues Agenda for October 29 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2018-244
Published date grouping:October 2018 Date: Title: SEC Announces $25 Million Settlement1 With Self-Proclaimed “Frack Master” Release No.:2018-243
Published date grouping:October 2018 Date: Title: SEC Suspends Trading in Company for Making False Cryptocurrency-Related Claims about SEC Regulation and Registration Release No.:2018-242
Published date grouping:October 2018 Date: Title: SEC Charges Lawyer and Her Husband in EB-5 Fraud Release No.:2018-241
Published date grouping:October 2018 Date: Title: SEC Launches New Strategic Hub for Innovation and Financial Technology Release No.:2018-240
Published date grouping:October 2018 Date: Title: SEC Announces 2018 Government-Business Forum to Be Held at The Ohio State University Release No.:2018-239
Published date grouping:October 2018 Date: Title: SEC Charges Investment Adviser With Stealing From Friends, Community Members Release No.:2018-238
Published date grouping:October 2018 Date: Title: SEC Provides Regulatory Relief and Assistance for Hurricane Victims Release No.:2018-237
Published date grouping:October 2018 Date: Title: SEC Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting Controls Release No.:2018-236
Published date grouping:October 2018 Date: Title: SEC Suspends Former BDO Accountants for Improperly “Predating” Audit Work Papers Release No.:2018-235
Published date grouping:October 2018 Date: Title: SEC’s New Strategic Plan Puts Investors, Innovation, and Performance at Top Release No.:2018-234
Published date grouping:October 2018 Date: Title: SEC Reopens Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants Release No.:2018-233
Published date grouping:October 2018 Date: Title: SEC Stops Fraudulent ICO That Falsely Claimed SEC Approval Release No.:2018-232
Published date grouping:October 2018 Date: Title: Gary Goldsholle, Former Deputy Director, Current Senior Policy Adviser in the Division of Trading and Markets, to Leave the SEC Release No.:2018-231
Published date grouping:October 2018 Date: Title: SEC Monitoring Impact of Hurricane Michael on Capital Markets Release No.:2018-230
Published date grouping:October 2018 Date: Title: SEC Charges Real Estate Developer With Fraud in Project Tied to New Commuter Rail Station Release No.:2018-229
Published date grouping:October 2018 Date: Title: SEC Halts Microcap Fraud Scheme Orchestrated Through International Accounts Release No.:2018-228
Published date grouping:October 2018 Date: Title: SEC to Focus on Empowering Main Street Investors for 2018 World Investor Week Release No.:2018-227
Published date grouping:September 2018 Date: Title: Elon Musk Settles SEC Fraud Charges; Tesla Charged With and Resolves Securities Law Charge Release No.:2018-226
Published date grouping:September 2018 Date: Title: Brokerage Firm to Exit Penny Stock Deposit Business and Pay Penalty for Repeatedly Failing to Report Suspicious Trading Release No.:2018-225
Published date grouping:September 2018 Date: Title: Credit Suisse Agrees to Pay $10 Million to Settle Charges Related to Handling of Retail Customer Orders Release No.:2018-224
Published date grouping:September 2018 Date: Title: SEC Charges LendingClub Asset Management and Former Executives With Misleading Investors and Breaching Fiduciary Duty Release No.:2018-223
Published date grouping:September 2018 Date: Title: SEC Charges Stryker A Second Time for FCPA Violations Release No.:2018-222
Published date grouping:September 2018 Date: Title: SEC Charges Salix Pharmaceuticals and Former CFO With Lying About Distribution Channel Release No.:2018-221
Published date grouping:September 2018 Date: Title: SEC Charges Walgreens and Two Former Executives With Misleading Investors About Forecasted Earnings Goal Release No.:2018-220
Published date grouping:September 2018 Date: Title: Elon Musk Charged With Securities Fraud for Misleading Tweets Release No.:2018-219
Published date grouping:September 2018 Date: Title: SEC Charges Bitcoin-Funded Securities Dealer and CEO Release No.:2018-218
Published date grouping:September 2018 Date: Title: Lacey Dingman, Chief Human Capital Officer and Director of Human Resources, to Leave SEC Release No.:2018-217
Published date grouping:September 2018 Date: Title: Online Marketers Charged With Conning Main Street Investors Through Rags-to-Riches Infomercials Release No.:2018-216
Published date grouping:September 2018 Date: Title: Petrobras Reaches Settlement With SEC for Misleading Investors Release No.:2018-215
Published date grouping:September 2018 Date: Title: SEC Proposes Amendments to Codify Exemption to Credit Rating Agency Rule Release No.:2018-214
Published date grouping:September 2018 Date: Title: SEC Charges Firm With Deficient Cybersecurity Procedures Release No.:2018-213
Published date grouping:September 2018 Date: Title: SEC Charges Former CEO of Chilean-Based Chemical and Mining Company With FCPA Violations Release No.:2018-212
Published date grouping:September 2018 Date: Title: SG Americas Securities Charged for Improper Handling of ADRs Release No.:2018-211
Published date grouping:September 2018 Date: Title: SEC Staff to Host Roundtable on Market Data and Market Access Release No.:2018-210
Published date grouping:September 2018 Date: Title: SEC Awards Almost $4 Million to Overseas Whistleblower Release No.:2018-209
Published date grouping:September 2018 Date: Title: SEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program Release No.:2018-208
Published date grouping:September 2018 Date: Title: Public Companies Charged With Failing to Comply With Quarterly Reporting Obligations Release No.:2018-207
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