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Recent Press Releases

Archive of Earlier Press Releases

Release No. Date Title
2004

2004-154 Nov. 9, 2004 SEC Votes to Propose Changes in SRO Governance and Issue Related Concept Release
2004-153 Nov. 4, 2004 Fremont Investment Advisors to Pay Over $4 Million to Settle SEC Market Timing and Late Trading Charges
2004-152 Nov. 4, 2004 SEC Settles Action Charging Wachovia Corporation with Proxy Disclosure and Other Reporting Violations Involving the 2001 Merger Between First Union Corporation and Old Wachovia Corporation
2004-151 Nov. 2, 2004 SEC Extends Time for Banks to Comply with Gramm-Leach-Bliley Act Broker Registration Requirements
2004-150 Oct. 27, 2004 SEC Proposes Securities Offering Reform, Requires Registration of Hedge Fund Investment Advisers
2004-149 Oct. 21, 2004 Thomas Newkirk, Associate Enforcement Director, to Leave the Commission
2004-148 Oct. 21, 2004 SEC Charges Qwest Communications International Inc. with Multi-Faceted Accounting and Financial Reporting Fraud
2004-147 Oct. 20, 2004 KPMG LLP and Four Auditors Sanctioned for Improper Professional Conduct in Connection with Gemstar-Tv Guide International, Inc. Audits
2004-146 Oct. 15, 2004 Julie Erhardt Named as SEC Deputy Chief Accountant
2004-145 Oct. 13, 2004 SEC Proposes IPO Allocation Reforms
2004-144 Oct. 13, 2004 SEC Charges Royal Ahold and Three Former Top Executives with Fraud; Former Audit Committee Member Charged with Causing Violations of the Securities Laws
2004-143 Oct. 8, 2004 Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. Simultaneously Settle Charges Relating to Market Timing Abuses in Their Respective Mutual Fund Complexes
2004-142 Oct. 6, 2004 RS Investment Management to Pay $25 Million and Undertake Compliance Reforms to Settle SEC Market Timing Charges
2004-141 Oct. 6, 2004 SEC Files Civil Fraud Charges Against Six Former Senior Officers of Peregrine Who Orchestrated Massive Accounting Fraud
2004-140 Sep. 30, 2004 SEC's Division of Enforcement Charges Raymond James Financial Services with Fraud in Connection with Scheme by Former Broker
2004-139 Sep. 30, 2004 Fee Rate Advisory #3 for Fiscal Year 2005
2004-138 Sep. 27, 2004 SEC Proposes Rule to Establish Voluntary Program for Reporting Financial Information on EDGAR Using XBRL
2004-137 Sep. 27, 2004 Fee Rate Advisory #2 for Fiscal Year 2005
2004-136 Sep. 23, 2004 SEC Charges Former Hawaiian Airlines CEO for Failing to Disclose Adverse Financial Information During Tender Offer
2004-135 Sep. 23, 2004 General Electric Settles SEC Action for Disclosure Failures in Connection with Its Former CEO's Benefits Under His Employment and Retirement Agreement
2004-134 Sep. 22, 2004 SEC Files Securities Fraud Charges Against Computer Associates International, Inc., Former CEO Sanjay Kumar, and Two Other Former Company Executives
2004-133 Sep. 21, 2004 SEC Brings Charges Against TD Waterhouse and Three Investment Advisers for Undisclosed Cash Payments
2004-132 Sep. 17, 2004 Former Medimmune Executive Settles Insider Trading Case With Sec
2004-131 Sep. 15, 2004 SEC Brings Settled Enforcement Action Against Mutual Fund Management Company and Its President for Illegal Performance Fees
2004-130 Sep. 15, 2004 SEC Charges Pimco Entities with Failing to Disclose Their Use of Directed Brokerage to Pay for Shelf Space at Brokerage Firms
2004-129 Sep. 14, 2004 Grocery Wholesaler Fleming Companies Settles Fraud Charges with SEC
2004-128 Sep. 14, 2004 SEC Charges Charles Schwab & Co. with Improperly Allowing Certain Customers to Purchase Mutual Fund Shares After Market Close
2004-127 Sep. 13, 2004 Pimco Equity Mutual Funds' Adviser, Sub-Adviser, and Distributor to Pay $50 Million to Settle Fraud Charges for Undisclosed Market Timing
2004-126 Sep. 9, 2004 Visiting Academic Scholars Appointed to the Office of Economic Analysis
2004-125 Sep. 7, 2004 SEC Staff Issues Interpretative Letter Authorizing Use of DisclosureUSA
2004-124 Sep. 1, 2004 SEC Reorganizes Human Resources Functions
2004-123 Aug. 31, 2004 Three Former Employees of Invesco Funds Group, Inc. Agree to Settle Charges Relating to Market Timing Abuses
2004-122 Aug. 26, 2004 SEC Brings Settled Fraud Action Against Mutual Fund Adviser Van Wagoner Capital Management, Inc., and Garrett Van Wagoner
2004-121 Aug. 26, 2004 SEC Proposes to Postpone for One Year the Final Phase-In Period for Acceleration of Periodic Report Filing Dates
2004-120 Aug. 26, 2004 Deutsche Bank Securities Inc. and Thomas Weisel Partners LLC Settle Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking
2004-119 Aug. 25, 2004 SEC Files Civil Fraud Charges Against JB Oxford Holdings, National Clearing Corporation, and Three Officers for Facilitating Fraudulent Late Trading and Market Timing
2004-118 Aug. 25, 2004 Mark A. Adler Named Deputy Chief Litigation Counsel of SEC's Division of Enforcement
2004-117 Aug. 25, 2004 Seven Broker-Dealer Firms Settle Enforcement Actions Involving Non-Disclosure of Payments for Research
2004-116 Aug. 20, 2004 Royal Dutch Petroleum Company and the "Shell" Transport and Trading Company, P.L.C. Pay $120 Million to Settle SEC Fraud Case Involving Massive Overstatement of Proved Hydrocarbon Reserves
2004-115 Aug. 20, 2004 H. David Sherman Named Academic Accounting Fellow for SEC Division of Corporation Finance
2004-114 Aug. 19, 2004 Cynthia Fornelli, Deputy Director of the Division of Investment Management, to Leave Commission
2004-113 Aug. 19, 2004 Con Artists Using "Wrong Number" Answering Machine Messages to Snare Victims in New Scam Sweeping Nation
2004-112 Aug. 19, 2004 Commission Reopens Comment Period on Rule Proposal Regarding Full Service Brokers that Charge Asset-Based Fees
2004-111 Aug. 18, 2004 Janus Capital Management Agrees to Pay $100 Million to Settle SEC Fraud Charges for Undisclosed Market Timing Agreements
2004-110 Aug. 11, 2004 SEC to Host Forum on Small Business Capital Formation
2004-109 Aug. 9, 2004 SEC Brings First Enforcement Action Against Insurance Companies for Permitting Market Timing of Mutual Funds Through Variable Annuities - Insurance Companies to Pay $20 Million in Settlement
2004-108 Aug. 5, 2004 Commission Reappoints Bill Gradison to Public Company Accounting Oversight Board
2004-107 Aug. 5, 2004 SEC Releases Strategic Plan for 2004-2009
2004-106 Aug. 5, 2004 Grant Thornton and Doeren Mayhew Settle SEC Administrative Proceeding Relating to Audit of MCA Financial Corporation
2004-105 Aug. 4, 2004 Bristol-Myers Squibb Company Agrees to Pay $150 Million to Settle Fraud Charges
2004-104 Aug. 3, 2004 SEC Charges Halliburton and Two Former Officers for Failure to Disclose a 1998 Change in Accounting Practice
2004-103 Aug. 3, 2004 SEC and NYSE File Settled Action Charging Fidelity Brokerage Services for Violating Federal Securities Laws and NYSE Rules in Connection with Document Alteration and Destruction
2004-102 Aug. 2, 2004 Franklin Advisers to Pay $50 Million and Undertake Compliance Reforms to Settle Market Timing Charges
2004-101 Jul. 28, 2004 Chairman William H. Donaldson Thanks Mutual Fund Directors Forum for its Best Practices Report
2004-100 Jul. 27, 2004 SEC Charges Former Top Executives of U.S. Foodservice with $700 Million Securities Fraud; One Executive Also Charged with Insider Trading
2004-99 Jul. 26, 2004 Settlement Reached With Two Specialist Firms For Violating Federal Securities Laws and NYSE Regulations
2004-98 Jul. 22, 2004 Statement Concerning SEC Terrorist Attack Trading Investigation
2004-97 Jul. 22, 2004 SEC Announces Initiative to Assess Benefits of Tagged Data in Commission Filings
2004-96 Jul. 21, 2004 SEC Extends Comment Period for Proposed Regulation B, Provisions Implementing Gramm-Leach-Bliley Bank Broker Rules
2004-95 Jul. 14, 2004 SEC Votes to Propose Requirement that Hedge Fund Advisers Register Under Investment Advisers Act
2004-94 Jul. 8, 2004 SEC Charges Kenneth L. Lay, Enron's Former Chairman and Chief Executive Officer, with Fraud and Insider Trading
2004-93 Jul. 2, 2004 Statement of the Commission Regarding EasyLink Services Corporation
2004-92 Jul. 1, 2004 Charles Fishkin Named Director of SEC's New Office of Risk Assessment; Director to Coordinate Initiative Launched by Chairman in 2003
2004-91 Jul. 1, 2004 SEC Releases Staff Report on Transactions in Municipal Securities
2004-90 Jun. 29, 2004 Banc One Investment Advisors Corporation Agrees to Pay $50 Million To Settle SEC Fraud Charges For Market-Timing Abuses
2004-89 Jun. 24, 2004 SEC Staff to Publicly Release Comment Letters and Responses
Comments received are available for this proposal.
* Click to submit comments on S7-28-04
2004-88 Jun. 24, 2004 SEC Settles Insider Trading Matter Against Former FleetBoston Employee
2004-87 Jun. 23, 2004 SEC Adopts Changes to Short Sale Rules, Disclosures Regarding Advisory Contract Approval and Investment Company Governance Provisions
2004-86 Jun. 23, 2004 Gemstar-TV Guide International Agrees to Settle SEC Enforcement Action Charging the Company with Overstating Its Revenues
2004-85 Jun. 21, 2004 SEC Cancels Registrations of Two Broker-Dealers
2004-84 Jun. 21, 2004 Pilgrim Baxter & Associates Agrees to Pay $90 Million to Settle Fraud Charges Concerning Undisclosed Market Timing
2004-83 Jun. 18, 2004 SEC Approves PCAOB Auditing Standard Regarding Audits of Internal Control in Conjunction with an Audit of Financial Statements
2004-82 Jun. 18, 2004 Agencies Extend Comment Period on Statement Concerning Complex Structured Finance Activities
2004-81 Jun. 9, 2004 i2 Technologies, Inc. Settles Fraud Charges Involving Misstatement of Approximately $1 Billion in Revenues
2004-80 Jun. 9, 2004 SEC and NASD Release Joint Staff Report on Broker-Dealer Sales of Variable Insurance Products
2004-79 Jun. 8, 2004 Merri Jo Gillette Named Regional Director of the SEC's Midwest Regional Office
2004-78 Jun. 8, 2004 Mark K. Schonfeld Named Regional Director of SEC's Northeast Regional Office
2004-77 Jun. 7, 2004 SEC Confirms Closure of Securities Markets on June 11, 2004, to Observe National Day of Mourning for Former President Ronald W. Reagan
2004-76 Jun. 7, 2004 SEC Confirms Closing on Friday, June 11, 2004, Out of Respect for Ronald W. Reagan, 40th President
2004-75 Jun. 4, 2004 SEC-CESR Set Out the Shape of Future Collaboration
2004-74 Jun. 3, 2004 Symbol Technologies Agrees to Settle SEC Enforcement Action Charging the Company with Accounting Fraud
2004-73 Jun. 2, 2004 SEC Votes To Propose Provisions Implementing Gramm-Leach-Bliley Bank Broker Rules
2004-72 May 26, 2004 Jeanette Lewis Named Associate Regional Director for Examinations in the SEC's Midwest Regional Office
2004-71 May 26, 2004 SEC Adopts Rules on Breakpoint Disclosure and Adviser Ethics Codes, Proposes Transfer Agent Rule
2004-70 May 26, 2004 Director of the SEC Office of International Affairs and the Secretary-General of the Committee Of European Securities Regulators Announce Enhanced Cooperation and Collaboration
2004-69 May 20, 2004 Strong Capital Management and Founder Richard Strong Agree to Pay $140 Million to Settle Fraud Charges Concerning Undisclosed Mutual Fund Trading
2004-68 May 18, 2004 Commission Announces Associate Directors in Division of Corporation Finance
2004-67 May 17, 2004 Lucent Settles SEC Enforcement Action Charging the Company with $1.1 Billion Accounting Fraud
2004-66 May 17, 2004 Barry Rashkover, Northeast Regional Office Associate Regional Director and Co-Head of Enforcement, to Leave Commission
2004-65 May 14, 2004 Agencies Request Comment on Statement Concerning Complex Structured Finance Activities
2004-64 May 13, 2004 SEC to Extend Comment Period on Regulation NMS
2004-63 May 11, 2004 Eric Schuppenhauer Named as Senior Advisor to the Commission's Chief Accountant
2004-62 May 11, 2004 SEC Announces Settlement with Warnaco, Former Warnaco Executives, and PwC for Financial Disclosure Violations
2004-61 May 6, 2004 SEC Files Civil Fraud Charges Against the PIMCO Equity Funds' Mutual Fund Advisers, Distributor, CEO and Chairman of the Board of Trustees, and a Portfolio Manager for Undisclosed Market Timing Arrangements
2004-60 May 3, 2004 Nancy Morris Named Attorney-Fellow in the Division of Investment Management
2004-59 Apr. 30, 2004 Fee Rate Advisory #1 for Fiscal Year 2005
2004-58 Apr. 28, 2004 SEC Proposes Thrift Exception from Advisers Act, Comprehensive Disclosure Requirements for Asset Backed Securities; Adopts Supervision Programs for Broker-Dealers and Affiliates
2004-57 Apr. 26, 2004 William Lenox Named Ethics Counsel
2004-56 Apr. 26, 2004 Peter Bresnan Named Associate Director of the Division of Enforcement
2004-55 Apr. 22, 2004 Jonathan Glover and Audrey Gramling Have Been Named Academic Accounting Fellows, Office of the Chief Accountant
2004-54 Apr. 22, 2004 Mandated Electronic Filing of EDGAR Access Code Applications
2004-53 Apr. 16, 2004 SEC Approves NASD and NYSE Business Continuity Rules
2004-52 Apr. 15, 2004 SEC Announces Agenda for Public Hearing on Proposed Regulation NMS, April 21, 2004, 9:00 a.m. – 5:30 p.m.
2004-51 Apr. 14, 2004 SEC Announces Fourteenth Annual International Institute
2004-50 Apr. 13, 2004 SEC Adopts Fund Disclosure Rules and Foreign Bank Loan Exemption; Proposes Shell Company Rules
2004-49 Apr. 8, 2004 Putnam Agrees to Pay $55 Million to Resolve SEC Enforcement Action Related to Market Timing by Portfolio Managers
2004-48 Apr. 7, 2004 SEC Publishes Notice of PCAOB Standard on Wording in Audit Reports; If Approved, SEC Intends to Issue Guidance Regarding Related Requirements
2004-47 Apr. 5, 2004 Matthew Well Named Public Affairs Director
2004-46 Apr. 5, 2004 SEC, NASAA to Co-Sponsor Conference on Federal-State Securities Regulation
2004-45 Mar. 31, 2004 Chester Spatt Named Chief Economist
2004-44 Mar. 31, 2004 Mutual Fund Manager MFS Pays $50 Million Fine To Settle SEC Enforcement Action; Firm Failed To Adequately Disclose Use of Mutual Fund Brokerage Commissions To Pay for "Shelf Space" at Brokerage Firms
2004-43 Mar. 30, 2004 SEC Announces Regulation NMS Public Hearings Schedule Change
2004-42 Mar. 30, 2004 Settlement Reached With Five Specialist Firms for Violating Federal Securities Laws and NYSE Regulations; Firms Will Pay More Than $240 Million in Penalties and Disgorgement
2004-41 Mar. 29, 2004 Walter Ricciardi Named Head of SEC's Boston District Office
2004-40 Mar. 25, 2004 Commission Investor Education Plan Approved; Investor Education Organization Leaders Named
2004-39 Mar. 19, 2004 Office of the Chief Accountant Selects Six Professional Accounting Fellows
2004-38 Mar. 17, 2004 SEC Charges CMS Energy Corp. and Three Former CMS Executives with Fraud in Connection with Over $5 Billion in Round-Trip Energy Trades
2004-37 Mar. 17, 2004 SEC Proposes Amendments to EDGAR System Rules Regarding Mandatory Identification of Investment Company Series and Classes; Additions to Mandatory Electronic Filings; and Technical Revisions
2004-36 Mar. 17, 2004 SEC and CFTC Sign Memorandum of Understanding
2004-35 Mar. 16, 2004 SEC Proposes Mandated Electronic Filing of EDGAR Access Code Applications
2004-34 Mar. 15, 2004 SEC's Division of Enforcement Announces Agreement to Settle Civil Fraud Charges Against Fleet's Columbia Mutual Fund Adviser and Distributor for Undisclosed Market Timing
2004-33 Mar. 15, 2004 SEC Reaches Agreement in Principle to Settle Charges Against Bank of America for Market Timing and Late Trading
2004-32 Mar. 12, 2004 Public Hearings on Regulation NMS To Be Held on April 1 and 21, 2004
2004-31 Mar. 11, 2004 SEC Votes To Adopt Additional 8-K Requirements and To Propose Amendments to Form 20-F and Fund Manager Disclosure Requirements
2004-30 Mar. 10, 2004 Enron Corp. Registers As Public Utility Holding Company
2004-29 Mar. 10, 2004 SEC Brings Enforcement Action Against Banc of America Securities for Repeated Document Production Failures During a Pending Investigation; Firm Is Censured and Pays a $10 Million Penalty to Settle Charges
2004-28 Mar. 9, 2004 Office of the Chief Accountant and Division of CorporationFinance Release Staff Accounting Bulletin 105
2004-27 Mar. 8, 2004 SEC Determines Agenda and Panelists for Security Holder Director Nominations Roundtable
2004-26 Mar. 3, 2004 SEC Grants Extension of Intermarket Trading System De Minimis Exemption
2004-25 Mar. 2, 2004 SEC Charges Scott D. Sullivan, WorldCom’s Former Chief Financial Officer, with Engaging in Multi-Billion Dollar Financial Fraud
2004-24 Feb. 27, 2004 Fee Rate Advisory #8 for Fiscal Year 2004
2004-23 Feb. 25, 2004 SEC Proposes Mandatory Redemption Fees for Mutual Fund Securities
2004-22 Feb. 24, 2004 SEC To Publish Regulation NMS for Public Comment
2004-21 Feb. 24, 2004 Extension of Compliance Dates Regarding Internal Control Over Financial Reporting Requirements
2004-20 Feb. 24, 2004 SEC Files Civil Fraud Case Against Fleet's Columbia Mutual Fund Adviser and Distributor for Multiple Undisclosed Market Timing Arrangements
2004-19 Feb. 19, 2004 Securities Law Scholar To Answer Questions, Talk About New Book
2004-18 Feb. 19, 2004 SEC Charges Jeffrey K. Skilling, Enron's Former President, Chief Executive Officer and Chief Operating Officer, With Fraud; Seeks disgorgement of all ill-gotten gains, including compensation; civil money penalties; a permanent bar from acting as a director or officer of a publicly held company; and injunction from future violations of federal securities laws
2004-17 Feb. 12, 2004 Fifteen Firms to Pay Over $21.5 Million in Penalties to Settle SEC and NASD Breakpoints Charges
2004-16 Feb. 11, 2004 SEC Adopts Enhanced Mutual Fund Expense and Portfolio Disclosure; Proposes Improved Disclosure of Board Approval of Investment Advisory Contracts and Prohibition on the Use of Brokerage Commissions to Finance Distribution
2004-15 Feb. 9, 2004 Notice of Roundtable Discussion Regarding Proposed Rules Relating to Security Holder Director Nominations
2004-14 Feb. 5, 2004 Massachusetts Financial Services Co. Will Pay $225 Million and Make Significant Governance and Compliance Reforms To Settle SEC Fraud Charges Concerning Mutual Fund Market Timing; MFS's Two Top Executives Prohibited From Serving as Officers or Directors of Any Investment Adviser for Three Years; Entire Amount Paid To Be Returned to Investors Harmed by Market Timing
2004-13 Feb. 5, 2004 SEC and FDA Take Steps to Enhance Inter-Agency Cooperation
2004-12 Feb. 3, 2004 SEC Charges Former CIBC Managing Director With Fraud for Role in Financing Unlawful Mutual Fund Trading
2004-11 Feb. 2, 2004 SEC Releases FY 2005 Budget Information
2004-10 Jan. 26, 2004 Fee Rate Advisory #7 for Fiscal Year 2004 (Updated)
2004-9 Jan. 20, 2004 SEC Institutes Fraud Action Against Accounting Firms Grant Thornton and Doeren Mayhew and Certain of the Firms' Personnel in Connection with Their Audit of MCA Financial Corporation
2004-8 Jan. 16, 2004 SEC Obtains Federal Court Order to Protect Shareholders and Preserve Corporate Assets of Hollinger International Inc.
2004-7 Jan. 16, 2004 SEC Announces Selection of Andrew D. Bailey, Jr. as Deputy Chief Accountant
2004-6 Jan. 14, 2004 Andrew S. Fastow, Former Enron Chief Financial Officer, Pleads Guilty, Settles Civil Fraud Charges and Agrees to Cooperate with Ongoing Investigation
2004-5 Jan. 14, 2004 SEC Proposes New Investment Company Governance Requirements, New Investment Adviser Codes of Ethics Requirements, and New Confirmation and Point of Sale Disclosure Requirements
2004-4 Jan. 14, 2004 R. Corey Booth Selected as Director of Office of Information Technology
2004-3 Jan. 8, 2004 SEC Authorizes Formal Investigation of Matters Raised in Webb Report
2004-2 Jan. 7, 2004 SEC Sues 10 Defendants for Securities Fraud Arising From $700 Million Round-Tripping Scheme at Suprema Specialties; Defendants Include Former Suprema Executives and Several Suprema Customers and Vendors Who Participated in the Multi-Year Scheme
2004-1 Jan. 5, 2004 SEC Sues Three Additional Former Senior Executives of Gemstar-TV Guide for Their Part in Financial Fraud

 

http://www.sec.gov/news/press.shtml


Modified: 11/09/2004