| Release No. | Date | Details |
|
| 2004-177 | Dec 22, 2004 | Edward Jones to Pay $75 Million to Settle Revenue Sharing Charges
See Also:
Administrative Proceeding Release No. 33-8520 |
| 2004-176 | Dec 20, 2004 | SEC Charges the Walt Disney Company for Failing to Disclose Relationships Between Disney and Its Directors
See Also:
Administrative Proceeding Release No. 34-50882 |
| 2004-175 | Dec 16, 2004 | SEC Chief Accountant Statement on FASB Statement |
| 2004-174 | Dec 16, 2004 | SEC Establishes Advisory Committee to Examine Impact of Sarbanes-Oxley Act on Smaller Public Companies |
| 2004-173 | Dec 16, 2004 | SEC and NASD File Fraud Case Against Knight Securities, L.P. |
| 2004-172 | Dec 15, 2004 | Office of the Chief Accountant Issues Statement on Fannie Mae Accounting |
| 2004-171 | Dec 15, 2004 | SEC Votes to Publish Reproposed Regulation NMS for Public Comment and to Adopt Asset-Backed Securities Rule Proposal |
| 2004-170 | Dec 15, 2004 | First Command to Pay $12 Million to Settle SEC and NASD Charges Involving Misleading Sales of Investments to Members of the Military
See Also:
Administrative Proceeding Release No. 34-50859 |
| 2004-169 | Dec 14, 2004 | SEC Chief Accountant Welcomes PCAOB Involvement in Independence Standards-Setting
See Also:
Office of the Chief Accountant: Application of the Commission’s Rules on Auditor Independence Frequently Asked Questions |
| 2004-168 | Dec 13, 2004 | Franklin Advisers and Franklin Templeton Distributors to Pay $20 Million to Settle Charges Related to Use of Brokerage Commissions to Pay for Shelf Space
See Also:
Administrative Proceeding Release No. 34-50841 |
| 2004-167 | Dec 9, 2004 | Fee Rate Advisory #6 For Fiscal Year 2005 |
| 2004-166 | Dec 1, 2004 | SEC Suspends Trading in Securities of 26 Delinquent Companies
See Also:
- In the Matter of Abacan Resources Corp., et al., Exchange Act Release No. 50771 (December 1, 2004).
- Trading Suspensions: Abacan Resources Corp., Asset Equity Group, Inc., et al., Exchange Act Release No. 50760 (December 1, 2004).
- Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Abacan Resources Corp., et al., Administrative Proceedings File No. 3-11759 (December 1, 2004)
- Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of American Multiplexer Corp., et al., Administrative Proceedings File No. 3-11760 (December 1, 2004).
- Order of Suspension of Trading, Abacan Resources Corp., Advanced Solutions and Technologies, Inc., American Multiplexer Corp., Amitelo Communications, Inc., Comparator Systems Corp., Digi Link Technologies, Inc., DMT Energy, Inc., DrKoop.Com, Inc., Emerging Enterprise Solutions, Inc., First Pacific Networks, Inc., Heroes, Inc., Homeland Security Technology, Inc., Infotopia, Inc., JTS Corp., 1st Miracle Entertainment, Inc., Shaman Pharmaceuticals, Inc., United States Crude International, Inc., Webvan Group, Inc. and Whitehall Enterprises, Inc. File No. 500-1 (December 1, 2004).
- Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Asset Equity Group, Inc., et al., Administrative Proceedings File No. 3-11761 (December 1, 2004).
- Order of Suspension of Trading, Asset Equity Group, Inc., GEMZ, Inc. Household Direct, Inc., International Brands, Inc., Interspace Enterprises, Inc., Mega Micro Technologies Group, Inc., Vertical Computer Systems, Inc. File No. 500-1 (December 1, 2004).
|
| 2004-165 | Nov 30, 2004 | SEC to Consider Publication of Revisions to Proposed Regulation NMS |
| 2004-164 | Nov 30, 2004 | SEC Issues Order Delaying Pilot Period for Suspension of the Operation of Short Sale Price Provisions Pursuant to Regulation SHO
See Also:
Release No. 34-50747 |
| 2004-163 | Nov 30, 2004 | American International Group, Inc. Agrees to Pay $126 Million to Settle Fraud Charges Arising Out of Its Offer and Sale of An Earnings Management Product
See Also:
Litigation Release 18985; Complaint |
| 2004-162 | Nov 30, 2004 | SEC Postpones Filing Date for Internal Control Reports for Some Accelerated Filers |
| 2004-161 | Nov 30, 2004 | Laura L. Cox, Managing Executive for External and Governmental Affairs, to Leave Commission |
| 2004-160 | Nov 29, 2004 | Fee Rate Advisory #5 for Fiscal Year 2005 |
| 2004-159 | Nov 22, 2004 | Fee Rate Advisory #4 for Fiscal Year 2005 |
| 2004-158 | Nov 17, 2004 | SEC Postpones Final Phase-In Period for Acceleration of Periodic Report Filing Dates |
| 2004-157 | Nov 17, 2004 | Harold Baxter and Gary Pilgrim Agree to Pay a Total of $160 Million to Settle Fraud Charges Concerning Undisclosed Market Timing
See Also:
Administrative Proceeding Release No. 33-8505 (Gary L. Pilgrim); Administrative Proceeding Release No. 33-8506 (Harold J. Baxter) |
| 2004-156 | Nov 16, 2004 | Associate Directors Named for Northeast Regional Office |
| 2004-155 | Nov 15, 2004 | SEC Files Fraud Charges Against Conrad Black, F. David Radler and Hollinger Inc.
See Also:
Litigation Release; Complaint |
| 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
See Also:
Litigation Release 18958 |
| 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
See Also:
Litigation Release 18936; Complaint 18936 |
| 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
See Also:
Administrative Proceeding Release No. 34-50506; Administrative Proceeding Release No. 34-50507 |
| 2004-142 | Oct 6, 2004 | RS Investment Management to Pay $25 Million and Undertake Compliance Reforms to Settle SEC Market Timing Charges
See Also:
Administrative Proceeding Release No. IA-2310 |
| 2004-141 | Oct 6, 2004 | SEC Files Civil Fraud Charges Against Six Former Senior Officers of Peregrine Who Orchestrated Massive Accounting Fraud
See Also:
Litigation Release 18919; Complaint |
|
| 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
See Also:
Administrative Proceeding Release No. 34-50427 |
| 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
See Also:
Administrative Proceeding Release 34-50426 |
| 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
See Also:
Litigation Release 18991 |
| 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
See Also:
Administrative Proceeding Release No. IA-2294 |
| 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
See Also:
Administrative Proceeding Release No. 34-50384 |
| 2004-129 | Sep 14, 2004 | Grocery Wholesaler Fleming Companies Settles Fraud Charges with SEC
See Also:
Administrative Proceeding Release No. 33-8382; Administrative Proceeding Release No. 33-8383; Administrative Proceeding Release No. 33-8384; Administrative Proceeding Release No. 33-8385; Administrative Proceeding Release No. 33-8386; Administrative Proceeding Release No. 33-8387; Litigation Release No. 18884 |
| 2004-128 | Sep 14, 2004 | SEC Charges Charles Schwab & Co. with Improperly Allowing Certain Customers to Purchase Mutual Fund Shares After Market Close
See Also:
Administrative Proceeding Release No. 34-50360 |
| 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 |
| 2004-124 | 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
See Also:
Janney Montgomery Scott LLC; Needham & Company, Inc.; SG Cowen & Co., LLC, f/k/a SG Cowen Securities Corporation; Prudential Equity Group, LLC f/k/a Prudential Securities Inc.; Morgan Keegan & Co., Inc.; Friedman, Billings, Ramsey & Co., Inc.; Adams Harkness, Inc., f/k/a Adams, Harkness & Hill, Inc. |
| 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
See Also:
Administrative Proceeding Release No. 34-50233 |
| 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
See Also:
Listen to one of the "wrong number" voicemails here; Read a transcript of one of the "wrong number" calls |
| 2004-112 | Aug 19, 2004 | Commission Reopens Comment Period on Rule Proposal Regarding Full Service Brokers that Charge Asset-Based Fees
See Also:
Proposed Rule Release No. 34-50213 (August 18, 2004); Proposed Rule Release No. 34-42099 (November 4, 1999) |
| 2004-111 | Aug 18, 2004 | Janus Capital Management Agrees to Pay $100 Million to Settle SEC Fraud Charges for Undisclosed Market Timing Agreements
See Also:
Administrative Proceeding Release No. IA-2277 |
| 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
See Also:
See Administrative Proceeding (CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.); See Administrative Proceeding (Inviva, Inc. and Jefferson National Life Insurance Company) |
| 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
See Also:
Administrative Proceeding Release No. 34-50148 |
| 2004-105 | Aug 4, 2004 | Bristol-Myers Squibb Company Agrees to Pay $150 Million to Settle Fraud Charges
See Also:
Litigation Release 18820; Complaint |
| 2004-104 | Aug 3, 2004 | SEC Charges Halliburton and Two Former Officers for Failure to Disclose a 1998 Change in Accounting Practice
See Also:
Administrative Proceeding Release No. 33-8452; Litigation Release 18817 |
| 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
See Also:
Administrative Proceeding Release No. 34-50138 |
| 2004-102 | Aug 2, 2004 | Franklin Advisers to Pay $50 Million and Undertake Compliance Reforms to Settle Market Timing Charges
See Also:
Administrative Proceeding Release No. IA-2271 |
| 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
See Also:
Litigation Release 18796 and Complaint; Litigation Release 18797 and Complaint |
| 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
See Also:
Litigation Release 18776; Complaint |
| 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
See Also:
Administrative Proceeding Release No. IA-2251 |
| 2004-83 | Jun 18, 2004 | SEC Approves PCAOB Auditing Standard Regarding Audits of Internal Control in Conjunction with an Audit of Financial Statements
See Also:
Release No. 34-49884 |
| 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
See Also:
Litigation Release; Administration Proceeding |
| 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
See Also:
In the Matter of Strong Capital Management, Inc., et al., Release Nos. 34-49741, IA-2239, IC-26448 |
| 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
See Also:
Litigation Release; Complaint |
| 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
See Also:
Policy Release No. 34-49695 |
| 2004-64 | May 13, 2004 | SEC to Extend Comment Period on Regulation NMS
See Also:
Proposed Rule Release No. 34-49749 |
| 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
See Also:
Litigation Release No. 18701; Administrative Proceeding Release No. 34-49678 (PricewaterhouseCoopers LLP); Administrative Proceeding Release No. 34-49677 (Linda J. Wachner); Administrative Proceeding Release No. 34-49676 (Stanley P. Silverstein); Administrative Proceeding Release No. 34-49675 (The Warnaco Group, Inc.) |
| 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
See Also:
Release No. 33-8418 |
| 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
See Also:
Administrative Proceeding Release IA-2226 |
| 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
See Also:
In re Massachusetts Financial Services Company Release No. IA-2224 |
| 2004-43 | Mar 30, 2004 | SEC Announces Regulation NMS Public Hearings Schedule Change
See Also:
Release No. 34-49511 |
| 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
See Also:
In re Bear Wagner Specialists LLC; Release No. 34-49498; In re Fleet Specialists, Inc.; Release No. 34-49499; In re LaBranche & Co. LLC; Release No. 34-49500; In re Spear, Leeds & Kellogg Specialists LLC; Release No. 34-49501; In re Van der Moolen Specialists USA, LLC; Release No. 34-49502 |
| 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
See Also:
Order Approving the Investor Education Plan (March 25, 2004); Order of Appointment of the executive director of the investor education entity described in the settlements (March 24, 2004); Order of Appointment of the chairman of the investor education entity described in the settlements (March 22, 2004) |
| 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 Regarding Oversight of Security Futures Product Trading and Sharing of Security Futures Product Information |
| 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
See Also:
Administrative Proceeding Rel. No. 34-49386 |
| 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
See Also:
Litigation Release 18605 |
| 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
See Also:
Litigation Release 18582: SEC v. Richard A. Causey and Jeffrey K. Skilling; SEC Complaint in this matter; Statement of Stephen M. Cutler, Director, SEC Division of Enforcement |
| 2004-17 | Feb 12, 2004 | Fifteen Firms to Pay Over $21.5 Million in Penalties to Settle SEC and NASD Breakpoints Charges
See Also:
Rel. No. 33-8365 (In re American Express Financial Advisors Inc.); Rel. No. 33-8368 (In re Legg Mason Wood Walker, Inc.); Rel. No. 33-8371 (In re Linsco/Private Ledger Corp.); Rel. No. 33-8374 (In re Raymond James Financial Services, Inc.); Rel. No. 33-8377 (In re UBS Financial Services Inc.); Rel. No. 33-8380 (In re Wachovia Securities, LLC); Rel. No. 33-8383 (In re H. D. Vest Investment Securities, Inc.) |
| 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
See Also:
In the Matter of Massachusetts Financial Services Co. et al.: Release No. IA-2213 |
| 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
See Also:
In the Matter of Paul A. Flynn: Release No. 33-8360 |
| 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
See Also:
Administrative Proceeding Release 33-8355 |
| 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
See Also:
Litigation Release 18543; Press Statement |
| 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
See Also:
Litigation Release 18534; Complaint |
| 2004-1 | Jan 5, 2004 | SEC Sues Three Additional Former Senior Executives of Gemstar-TV Guide for Their Part in Financial Fraud
See Also:
Litigation Release 18530: SEC v. Henry C. Yuen et al. |
