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 |