Press Releases
Date: March 1, 2017
Title: SEC Proposes Rule Amendments to Improve Municipal Securities Disclosures
Release No. 2017-57
Date: March 1, 2017
Title: SEC Approves Rules to Ease Investor Access to Exhibits in Company Filings
Release No. 2017-55
Date: March 1, 2017
Title: SEC Votes to Seek Public Input on Possible Change to Industry Guide 3
Release No. 2017-54
Date: Feb. 23, 2017
Title: SEC Announces Agenda for March 9 Investor Advisory Committee Meeting
Release No. 2017-53
Date: Feb. 23, 2017
Title: SEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers
Release No. 2017-52
Date: Feb. 17, 2017
Title: SEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings
Release No. 2017-50
Date: Feb. 14, 2017
Title: SEC Charges Fuel Cell Company and Officers With Defrauding Investors
Release No. 2017-49
Date: Feb. 14, 2017
Title: SEC Announces Cases Related to Disclosures During Battles for Corporate Control
Release No. 2017-48
Date: Feb. 14, 2017
Title: Purported Real Estate Investment Manager Settles Fraud Charges
Release No. 2017-47
Date: Feb. 14, 2017
Title: Morgan Stanley Settles Charges Related to ETF Investments
Release No. 2017-46
Date: Feb. 13, 2017
Title: Brokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures
Release No. 2017-45
Date: Feb. 10, 2017
Release No. 2017-44
Date: Feb. 8, 2017
Release No. 2017-43
Date: Feb. 7, 2017
Title: Private Equity Adviser Barred From Industry for Improper Withdrawal From Funds
Release No. 2017-42
Date: Feb. 3, 2017
Title: SEC Charges Financial Adviser With Stealing From Client Accounts
Release No. 2017-41
Date: Feb. 2, 2017
Title: SEC Charges Investment Adviser With Stealing Investor Funds
Release No. 2017-40
Date: Jan. 30, 2017
Title: Wenchi Hu, Associate Director in the Division of Trading and Markets, to Leave SEC
Release No. 2017-39
Date: Jan. 27, 2017
Title: SEC Announces Charges in Hamilton Ticket Resale Ponzi Scheme
Release No. 2017-37
Date: Jan. 26, 2017
Title: SEC Charges Two Former Och-Ziff Executives With FCPA Violations
Release No. 2017-34
Date: Jan. 25, 2017
Title: Brokerage Firm Charged With Gatekeeper Failures Related to Pump-and-Dump Scheme
Release No. 2017-33
Date: Jan. 25, 2017
Title: SEC Uncovers Cherry-Picking Scheme, Charges Investment Adviser Behind It
Release No. 2017-32
Date: Jan. 24, 2017
Release No. 2017-31
Date: Jan. 24, 2017
Title: Morgan Stanley, Citigroup Charged With Misleading Investors About Forex Trading Program
Release No. 2017-30
Date: Jan. 23, 2017
Release No. 2017-29
Date: Jan. 23, 2017
Title: SEC Announces Fraud Charges, Asset Freeze in Alleged Nursing Home Investment Scheme
Release No. 2017-28
Date: Jan. 19, 2017
Title: SEC Establishes Supervisory Cooperation Arrangement With Hong Kong SFC
Release No. 2017-26
Date: Jan. 19, 2017
Title: Jennifer Diamantis Named Chief of Office of Market Intelligence
Release No. 2017-25
Date: Jan. 19, 2017
Title: Financial Company Charged With Improper Accounting and Impeding Whistleblowers
Release No. 2017-24
Date: Jan. 18, 2017
Title: Company Settles Charges Over Undisclosed Perks and Improper Use of Non-GAAP Measures
Release No. 2017-21
Date: Jan. 18, 2017
Title: SEC Deputy Chief of Staff Nathaniel Stankard to Leave Agency
Release No. 2017-20
Date: Jan. 18, 2017
Title: General Motors Charged With Accounting Control Failures
Release No. 2017-19
Date: Jan. 18, 2017
Title: Medical Device Company Charged With Accounting Failures and FCPA Violations
Release No. 2017-18
Date: Jan. 17, 2017
Title: SEC Charges Businessman With Misusing EB-5 Investments
Release No. 2017-17
Date: Jan. 17, 2017
Title: Allergan Paying $15 Million Penalty for Disclosure Failures During Merger Talks
Release No. 2017-16
Date: Jan. 17, 2017
Title: 10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions
Release No. 2017-15
Date: Jan. 17, 2017
Title: BlackRock Charged With Removing Whistleblower Incentives in Separation Agreements
Release No. 2017-14
Date: Jan. 13, 2017
Title: Chemical and Mining Company in Chile Paying $30 Million to Resolve FCPA Cases
Release No. 2017-13
Date: Jan. 13, 2017
Title: Morgan Stanley Paying $13 Million Penalty for Overbilling Clients and Violating Custody Rule
Release No. 2017-12
Date: Jan. 13, 2017
Title: Citadel Securities Paying $22 Million for Misleading Clients About Pricing Trades
Release No. 2017-11
Date: Jan. 12, 2017
Release No. 2017-10
Date: Jan. 12, 2017
Title: BNY Mellon Settles Charges Stemming From Miscalculations of Regulatory Capital Figures
Release No. 2017-9
Date: Jan. 11, 2017
Title: SEC Charges Government Contractor With Inadequate Controls and Books and Records Violations
Release No. 2017-5
Date: Jan. 10, 2017
Title: SEC: Port Authority Omitted Risks to Investors in Roadway Projects
Release No. 2017-4
Date: Jan. 9, 2017
Title: Investment Adviser, Lawyer Settle Charges in Secret Referral Fee Scheme
Release No. 2017-3
Date: Dec. 29, 2016
Title: Wire and Cable Manufacturer Settles FCPA and Accounting Charges
Release No. 2016-283
Date: Dec. 28, 2016
Title: Businessman Settles Charges of Fraudulent EB-5 Offering
Release No. 2016-282
Date: Dec. 27, 2016
Title: SEC Charges Lawyer With Stealing Investor Money in EB-5 Offerings
Release No. 2016-281
Date: Dec. 27, 2016
Title: Chinese Traders Charged With Trading on Hacked Nonpublic Information Stolen From Two Law Firms
Release No. 2016-280
Date: Dec. 22, 2016
Release No. 2016-279
Date: Dec. 22, 2016
Release No. 2016-278
Date: Dec. 22, 2016
Title: Teva Pharmaceutical Paying $519 Million to Settle FCPA Charges
Release No. 2016-277
Date: Dec. 21, 2016
Title: SEC Issues Annual Staff Reports on Credit Rating Agencies
Release No. 2016-276
Date: Dec. 21, 2016
Title: G. Jeffrey Boujoukos Named Director of Philadelphia Regional Office
Release No. 2016-275
Date: Dec. 21, 2016
Title: Sharon Binger, Director of Philadelphia Regional Office, to Leave SEC
Release No. 2016-274
Date: Dec. 21, 2016
Title: SEC Charges Operators of Fake Day-Trading Firm With Defrauding Inexperienced Investors
Release No. 2016-273
Date: Dec. 21, 2016
Title: SEC Charges Former New York Pension Official and Two Brokers in Pay-to-Play Scheme
Release No. 2016-272
Date: Dec. 21, 2016
Title: Petrochemical Manufacturer Braskem S.A. to Pay $957 Million to Settle FCPA Charges
Release No. 2016-271
Date: Dec. 20, 2016
Title: Company Settles Charges in Whistleblower Retaliation Case
Release No. 2016-270
Date: Dec. 20, 2016
Title: SEC Charges Morgan Stanley With Customer Protection Rule Violations
Release No. 2016-269
Date: Dec. 19, 2016
Title: Company Violated Rule Aimed at Protecting Potential Whistleblowers
Release No. 2016-268
Date: Dec. 19, 2016
Title: SEC Charges Platinum Funds and Founder With Defrauding Investors
Release No. 2016-267
Date: Dec. 16, 2016
Title: SEC Charges Three Individuals and Broker-Dealer With Violating Market Structure Rules
Release No. 2016-266
Date: Dec. 16, 2016
Title: Deutsche Bank Settles Charges of Misleading Clients About Order Router
Release No. 2016-264
Date: Dec. 14, 2016
Title: SEC Approves 2017 PCAOB Budget and Accounting Support Fee
Release No. 2016-263
Date: Dec. 12, 2016
Release No. 2016-262
Date: Dec. 12, 2016
Title: SEC Files Charges in $26 Million Stock Manipulation Scheme
Release No. 2016-261
Date: Dec. 6, 2016
Title: Division of Corporation Finance Director Keith Higgins to Leave SEC
Release No. 2016-258
Date: Dec. 6, 2016
Title: Firm Settles Charges for Selling Unregistered Swaps Involving Pre-IPO Companies
Release No. 2016-257
Date: Dec. 5, 2016
Title: IT Specialist Settles Charges of Insider Trading on Hacked Nonpublic Information
Release No. 2016-256
Date: Dec. 2, 2016
Title: Chief Economist and Division of Economic and Risk Analysis Director Mark Flannery to Leave SEC
Release No. 2016-254
Date: Dec. 2, 2016
Title: United Settles Charges in Case of Flight Route to Benefit Public Official
Release No. 2016-253
Date: Dec. 1, 2016
Title: PIMCO Settles Charges of Misleading Investors About ETF Performance
Release No. 2016-252
Date: Dec. 1, 2016
Title: SEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting on December 7
Release No. 2016-251
Date: Nov. 29, 2016
Title: SEC Votes to Renew Equity Market Structure Advisory Committee
Release No. 2016-249
Date: Nov. 23, 2016
Title: SEC Announces Agenda for Nov. 29 Meeting of the Equity Market Structure Advisory Committee
Release No. 2016-248
Date: Nov. 21, 2016
Title: Trading and Markets Director Stephen Luparello to Leave SEC
Release No. 2016-245
Date: Nov. 21, 2016
Title: Chief Litigation Counsel Matthew C. Solomon to Leave SEC
Release No. 2016-244
Date: Nov. 21, 2016
Title: SEC Announces Agenda for December 8 Investor Advisory Committee Meeting
Release No. 2016-243
Date: Nov. 17, 2016
Title: SEC Charges Renewable Energy Company, CEO, and Others With Defrauding Investors
Release No. 2016-242