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:April 2020 Date: Title: SEC Awards Approximately $2 Million to Whistleblower Release No.:2020-80
Published date grouping:April 2020 Date: Title: Agencies Will Consider Comments on Volcker Rule Modifications Following Expiration of Comment Period Release No.:2020-79
Published date grouping:April 2020 Date: Title: SEC Obtains Judgment Against Promoter Who Fraudulently Raised $3 Million for Christian Concerts Release No.:2020-78
Published date grouping:March 2020 Date: Title: SEC Small Business Advocate to Host Virtual Coffee Breaks Discussing Small Business Capital Raising Release No.:2020-77
Published date grouping:March 2020 Date: Title: SEC Announces Ad Hoc Meeting of Small Business Capital Formation Advisory Committee in Response to COVID-19 Challenges Faced By Small Businesses Release No.:2020-76
Published date grouping:March 2020 Date: Title: SEC Awards $450,000 to Whistleblower Release No.:2020-75
Published date grouping:March 2020 Date: Title: SEC Provides Additional Temporary Regulatory Relief and Assistance to Market Participants Affected by COVID-19 Release No.:2020-74
Published date grouping:March 2020 Date: Title: SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements for Public Companies, Funds, and Investment Advisers Affected By Coronavirus Disease 2019 (COVID-19) Release No.:2020-73
Published date grouping:March 2020 Date: Title: SEC Charges Unregistered Penny Stock Dealer Release No.:2020-72
Published date grouping:March 2020 Date: Title: SEC Awards Over $570,000 to Two Whistleblowers Release No.:2020-71
Published date grouping:March 2020 Date: Title: SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus Release No.:2020-70
Published date grouping:March 2020 Date: Title: SEC Awards Over $1.6 Million to Whistleblower Release No.:2020-69
Published date grouping:March 2020 Date: Title: SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by the Coronavirus Disease 2019 (COVID-19) Release No.:2020-68
Published date grouping:March 2020 Date: Title: SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate NYSE Electronic Auctions in Light of Temporary Closure of Physical Trading Floor Release No.:2020-67
Published date grouping:March 2020 Date: Title: SEC Emergency Action Stops Digital Asset Scam Release No.:2020-66
Published date grouping:March 2020 Date: Title: Jury Finds Investment Adviser and its Owner Liable for Fraud Release No.:2020-65
Published date grouping:March 2020 Date: Title: Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading – SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate Continued Operations in Light of Temporary Suspension of Cboe Physical Trading Floor Release No.:2020-64
Published date grouping:March 2020 Date: Title: SEC Takes Targeted Action to Assist Funds and Advisers, Permits Virtual Board Meetings and Provides Conditional Relief from Certain Filing Procedures Release No.:2020-63
Published date grouping:March 2020 Date: Title: SEC Staff Provides Guidance to Promote Continued Shareholder Engagement, Including at Virtual Annual Meetings, for Companies and Funds Affected by the Coronavirus Disease 2019 (COVID-19) Release No.:2020-62
Published date grouping:March 2020 Date: Title: SEC Charges Russian National for Defrauding Older Investors of Over $26 Million in Phony Certificates of Deposit Scam Release No.:2020-61
Published date grouping:March 2020 Date: Title: SEC Wins Jury Trial Against Microcap Fraudsters Release No.:2020-60
Published date grouping:March 2020 Date: Title: Division of Corporation Finance Chief Accountant and Disclosure Review Program Director Kyle Moffatt to Leave SEC Release No.:2020-59
Published date grouping:March 2020 Date: Title: SEC Adopts Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer Definitions Release No.:2020-58
Published date grouping:March 2020 Date: Title: SEC Adopts Investor Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts Release No.:2020-57
Published date grouping:March 2020 Date: Title: SEC Halts Fraudulent Offering By Florida Investment Adviser Release No.:2020-56
Published date grouping:March 2020 Date: Title: EVENT POSTPONED: SEC Announces Conference on Municipal Securities Disclosure Release No.:2020-17
Published date grouping:March 2020 Date: Title: SEC Proposes Rule Changes to Harmonize, Simplify and Improve the Exempt Offering Framework Release No.:2020-55
Published date grouping:March 2020 Date: Title: SEC Names Kathleen M. Hutchinson as Deputy Director of International Affairs Release No.:2020-54
Published date grouping:March 2020 Date: Title: SEC Provides Conditional Regulatory Relief and Assistance for Companies Affected by the Coronavirus Disease 2019 (COVID-19) Release No.:2020-53
Published date grouping:March 2020 Date: Title: SEC Amends Rules to Improve Disclosure and Encourage Issuers to Conduct Debt Offerings on a Registered Basis Release No.:2020-52
Published date grouping:March 2020 Date: Title: SEC Amends Exemptions from Investment Adviser Registration for Advisers to Rural Business Investment Companies Release No.:2020-51
Published date grouping:March 2020 Date: Title: SEC Requests Comment on Fund Names Rule; Seeks to Eliminate Misleading Fund Names Release No.:2020-50
Published date grouping:February 2020 Date: Title: Fee Rate Advisory #3 For Fiscal Year 2020 Release No.:2020-49
Published date grouping:February 2020 Date: Title: SEC Charges Cardinal Health With FCPA Violations Release No.:2020-48
Published date grouping:February 2020 Date: Title: Antonia Chion, Associate Director of SEC's Enforcement Division, to Retire After 32 Years of Service Release No.:2020-47
Published date grouping:February 2020 Date: Title: SEC Awards More Than $7 Million to Whistleblower Release No.:2020-46
Published date grouping:February 2020 Date: Title: Kelly L. Gibson Named Director of SEC's Philadelphia Office Release No.:2020-45
Published date grouping:February 2020 Date: Title: SEC Charges South Carolina Energy Companies, Former Executives With Defrauding Investors Release No.:2020-44
Published date grouping:February 2020 Date: Title: SEC Charges Wells Fargo In Connection With Investment Recommendation Practices Release No.:2020-43
Published date grouping:February 2020 Date: Title: Actor Steven Seagal Charged With Unlawfully Touting Digital Asset Offering Release No.:2020-42
Published date grouping:February 2020 Date: Title: G. Jeffrey Boujoukos, Director of the Philadelphia Regional Office to Leave the SEC Release No.:2020-41
Published date grouping:February 2020 Date: Title: EVENT POSTPONED: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Release No.:2020-40
Published date grouping:February 2020 Date: Title: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2020-39
Published date grouping:February 2020 Date: Title: Wells Fargo to Pay $500 Million for Misleading Investors About the Success of Its Largest Business Unit Release No.:2020-38
Published date grouping:February 2020 Date: Title: ICO Issuer Settles SEC Registration Charges, Agrees to Return Funds and Register Tokens As Securities Release No.:2020-37
Published date grouping:February 2020 Date: Title: SEC Charges Global Alcohol Producer with Disclosure Failures Release No.:2020-36
Published date grouping:February 2020 Date: Title: SEC Charges Real Estate Company and Executives With Defrauding Retail Investors, Obtains Emergency Relief Release No.:2020-35
Published date grouping:February 2020 Date: Title: SEC Proposes to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Securities Market Data Release No.:2020-34
Published date grouping:February 2020 Date: Title: SEC Announces Nancy Sumption as Senior Advisor to the Chairman for Cybersecurity Policy Release No.:2020-33
Published date grouping:February 2020 Date: Title: SEC Charges Orchestrator of Cryptocurrency Scheme Ensnaring Physicians Release No.:2020-32
Published date grouping:February 2020 Date: Title: Paul A. Montoya Named Associate Regional Director in Chicago Office Release No.:2020-31
Published date grouping:February 2020 Date: Title: SEC Investor Advisory Committee to Meet on Feb. 27 Release No.:2020-30
Published date grouping:February 2020 Date: Title: ABN AMRO Clearing Chicago Charged With Improper Handling of ADRs Release No.:2020-29
Published date grouping:February 2020 Date: Title: SEC Issues Agenda for February 10 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2020-28
Published date grouping:February 2020 Date: Title: SEC Wins Jury Trial Against Massachusetts Man Charged in Multi-Year Insider Trading Scheme Release No.:2020-27
Published date grouping:January 2020 Date: Title: SEC Brings Charges Against Fraud Targeting Amish and Mennonite Investors Release No.:2020-26
Published date grouping:January 2020 Date: Title: SEC Proposes Amendments to Modernize and Enhance Financial Disclosures Release No.:2020-25
Published date grouping:January 2020 Date: Title: Agencies Propose Changes to Modify “Covered Funds” Restrictions of Volcker Rule Release No.:2020-24
Published date grouping:January 2020 Date: Title: SEC Issues Agenda for February 4 Meeting of Small Business Capital Formation Advisory Committee Release No.:2020-23
Published date grouping:January 2020 Date: Title: SEC Names Ray McInerney as Freedom of Information Act Officer Release No.:2020-22
Published date grouping:January 2020 Date: Title: SEC Charges Portfolio Manager and Advisory Firm with Misrepresenting Risk in Mutual Fund Release No.:2020-21
Published date grouping:January 2020 Date: Title: SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity and Resiliency Practices Release No.:2020-20
Published date grouping:January 2020 Date: Title: SEC Publishes Annual Reports on Credit Rating Agencies Release No.:2020-19
Published date grouping:January 2020 Date: Title: SEC Charges Husband and Wife with Nearly $1 Billion Ponzi Scheme Release No.:2020-18
Published date grouping:January 2020 Date: Title: Over $63 Million to Be Returned to Investors in Alleged Real Estate Investment Fraud Release No.:2020-16
Published date grouping:January 2020 Date: Title: SEC Awards Whistleblowers Whose Information Helped Stop Fraud Release No.:2020-15
Published date grouping:January 2020 Date: Title: SEC Files Charges Against Scheme to Sell Fictitious Interests in Marijuana Company Release No.:2020-14
Published date grouping:January 2020 Date: Title: SEC to Report on State of Small Business Capital Formation in the U.S. Release No.:2020-13
Published date grouping:January 2020 Date: Title: SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Fake Identity Release No.:2020-12
Published date grouping:January 2020 Date: Title: Austin Gerig Named as SEC’s Chief Data Officer Release No.:2020-11
Published date grouping:January 2020 Date: Title: SEC Obtains Emergency Asset Freeze, Charges Businessman With Operating a Ponzi-Like Scheme Release No.:2020-10
Published date grouping:January 2020 Date: Title: SEC Names Allen Blume as Deputy Chief Financial Officer Release No.:2020-9
Published date grouping:January 2020 Date: Title: SEC Names Mark D. Reinhold as Deputy Chief Human Capital Officer in the Office of Human Resources Release No.:2020-8
Published date grouping:January 2020 Date: Title: Fee Rate Advisory #2 for Fiscal Year 2020 Release No.:2020-7
Published date grouping:January 2020 Date: Title: SEC Issues Agenda for Inaugural Meeting of the Asset Management Advisory Committee Release No.:2020-6
Published date grouping:January 2020 Date: Title: SEC Proposes Improvements to Governance of Market Data Plans Release No.:2020-5
Published date grouping:January 2020 Date: Title: SEC Office of Compliance Inspections and Examinations Announces 2020 Examination Priorities Release No.:2020-4
Published date grouping:January 2020 Date: Title: SEC Investor Advisory Committee to Hold Jan. 24 Telephone Meeting Release No.:2020-3
Published date grouping:January 2020 Date: Title: Longfin CEO Settles Fraud Action Release No.:2020-2
Published date grouping:January 2020 Date: Title: SEC Charges Six Individuals in International Microcap Fraud Schemes Release No.:2020-1
Published date grouping:December 2019 Date: Title: SEC Proposes to Codify Certain Consultations and Modernize Auditor Independence Rules Release No.:2019-276
Published date grouping:December 2019 Date: Title: Susan Nash, Associate Director in Division of Investment Management, to Leave SEC After 30 Years of Public Service Release No.:2019-275
Published date grouping:December 2019 Date: Title: SEC Charges Recidivist Investment Adviser With Defrauding Retirees Release No.:2019-274
Published date grouping:December 2019 Date: Title: SEC Announces Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion Release No.:2019-273
Published date grouping:December 2019 Date: Title: Small Business Advocate Releases First Annual Report Release No.:2019-272
Published date grouping:December 2019 Date: Title: SEC Files Charges in Ponzi Scheme Targeting Hispanic Community Release No.:2019-271
Published date grouping:December 2019 Date: Title: SEC Names David Bottom as Chief Information Officer Release No.:2019-270
Published date grouping:December 2019 Date: Title: MetLife to Pay $10 Million for Longstanding Internal Control Failures Release No.:2019-269
Published date grouping:December 2019 Date: Title: SEC Charges Broker-Dealers With Illicitly Profiting in Partial Tender Offer Release No.:2019-268
Published date grouping:December 2019 Date: Title: Issuer Settles Unregistered ICO Charges, Agrees to Return Funds and Register Tokens Release No.:2019-267
Published date grouping:December 2019 Date: Title: SEC Approves 2020 PCAOB Budget and Accounting Support Fee Release No.:2019-266
Published date grouping:December 2019 Date: Title: SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments Release No.:2019-265
Published date grouping:December 2019 Date: Title: SEC Proposes Rules to Implement the Statutory Mandate to Adopt Resource Extraction Disclosure Rules Release No.:2019-264
Published date grouping:December 2019 Date: Title: SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime Release No.:2019-263
Published date grouping:December 2019 Date: Title: SEC Adopts Risk Mitigation Techniques for Uncleared Security-Based Swaps Release No.:2019-262
Published date grouping:December 2019 Date: Title: Silicon Valley IT Administrator and Friends Charged in Multimillion Dollar Insider Trading Ring Release No.:2019-261
Published date grouping:December 2019 Date: Title: SEC Charges Former Goldman Sachs Executive With FCPA Violations Release No.:2019-260
Published date grouping:December 2019 Date: Title: SEC Charges Founder, Digital-Asset Issuer With Fraudulent ICO Release No.:2019-259
Published date grouping:December 2019 Date: Title: SEC Obtains Asset Freeze to Halt Alleged Offering Fraud Release No.:2019-258
Published date grouping:December 2019 Date: Title: Former Congressman and Two Others Settle Insider Trading Charges Release No.:2019-257