| Release No. |
Date |
Details |
| Fourth Quarter |
| 2009-277 |
Dec. 31, 2009 |
SEC Charges California Telecom Company With Bribery and Other FCPA Violations
|
| 2009-276 |
Dec. 29, 2009 |
SEC Charges Houston-Based Broker With Defrauding Florida Municipalities
|
| 2009-275 |
Dec. 23, 2009 |
SEC Freezes Assets of French Citizens Within Days of Insider Trading
|
| 2009-274 |
Dec. 22, 2009 |
SEC Charges Austin-Based Investment Adviser in Fraudulent Scheme Utilizing Football Stars
|
| 2009-273 |
Dec. 22, 2009 |
SEC Proposes Rule Amendments to Facilitate Access to Capital Markets
|
| 2009-272 |
Dec. 18, 2009 |
SEC Charges U.S. Subsidiary of World's Largest Inter-Dealer Broker for Displaying Fictitious Trades and Misleading Customers
|
| 2009-271 |
Dec. 17, 2009 |
SEC Charges Ernst & Young and Six Partners for Roles in Accounting Violations at Bally Total Fitness
|
| 2009-270 |
Dec. 17, 2009 |
Fee Rate Advisory #4 for Fiscal Year 2010
|
| 2009-269 |
Dec. 16, 2009 |
SEC Approves Stronger Safeguards to Protect Clients’ Assets Controlled by Investment Advisers
|
| 2009-268 |
Dec. 16, 2009 |
SEC Approves Enhanced Disclosure About Risk, Compensation and Corporate Governance
|
| 2009-267 |
Dec. 16, 2009 |
Eric Bustillo Named Regional Director of SEC's Miami Regional Office
|
| 2009-266 |
Dec. 16, 2009 |
SEC Charges Former Employees of Global Firms in Serial Insider Trading Scheme
|
| 2009-265 |
Dec. 14, 2009 |
SEC Re-Opens Public Comment Period for Shareholder Director Nomination Proposal
|
| 2009-264 |
Dec. 14, 2009 |
SEC Announces $418 Million Fair Fund Distribution to Harmed Investors in Invesco Mutual Funds
|
| 2009-263 |
Dec. 11, 2009 |
SEC Chairman Schapiro Statement on House-Passed Financial Regulatory Reform Legislation
|
| 2009-262 |
Dec. 10, 2009 |
SEC Charges Attorney in Insider Trading Scheme
|
| 2009-261 |
Dec. 8, 2009 |
SEC Blocks Early-Stage Ponzi Scheme Involving Purported Investments in Personal Injury Settlements
|
| 2009-260 |
Dec. 8, 2009 |
SEC Charges California Firm and CEO With Defrauding Customers in Sales of Risky Mortgage-Backed Securities
|
| 2009-259 |
Dec. 7, 2009 |
Special Advisor and Former Deputy Director of the Division of Enforcement George Curtis Leaves SEC
|
| 2009-258 |
Dec. 7, 2009 |
SEC Charges Former Officers of Subprime Lender New Century With Fraud
|
| 2009-257 |
Dec. 2, 2009 |
SEC Obtains Asset Freeze Against Co-Founder of Canopy Financial in $75 Million Offering Fraud
|
| 2009-256 |
Nov. 30, 2009 |
SEC Charges Hurricane Restoration Company and Executives in Post-Katrina Accounting Fraud
|
| 2009-255 |
Nov. 25, 2009 |
Statement by Chairman Schapiro on Court Order Adopting SEC's Proposed Distribution Plan in Reserve Primary Fund Case
|
| 2009-254 |
Nov. 25, 2009 |
SEC Surpasses $2 Billion in Fair Fund Distributions in 2009
|
| 2009-253 |
Nov. 24, 2009 |
SEC Obtains Asset Freeze in Minnesota-Based Foreign Currency Trading Scheme
|
| 2009-252 |
Nov. 20, 2009 |
SEC and CFTC Issue Joint Orders on Volatility Indexes and Security Futures
|
| 2009-251 |
Nov. 19, 2009 |
SEC Names Senior Officials to Investor Education and Advocacy Efforts
|
| 2009-250 |
Nov. 17, 2009 |
SEC Charges Former Executives at Silicon Valley Company for Inflating Financial Results
|
| 2009-249 |
Nov. 17, 2009 |
President Obama Establishes Interagency Financial Fraud Enforcement Task Force
|
| 2009-248 |
Nov. 17, 2009 |
Federal Regulators Issue Final Model Privacy Notice Form
|
| 2009-247 |
Nov. 16, 2009 |
SEC Charges Promoters of "Green" Investments With Operating $30 Million Ponzi Scheme Based in Denver Area
|
| 2009-246 |
Nov. 13, 2009 |
SEC Announces Agenda and Panelists for Small Business Forum
|
| 2009-245 |
Nov. 13, 2009 |
Securities Regulators to Talk Financial Literacy With Students
|
| 2009-244 |
Nov. 13, 2009 |
Paul Beswick Named SEC Deputy Chief Accountant in Charge of Accounting Group
|
| 2009-243 |
Nov. 13, 2009 |
SEC Charges Madoff Computer Programmers
|
| 2009-242 |
Nov. 10, 2009 |
Robert W. Cook Named Director of SEC Division of Trading and Markets
|
| 2009-241 |
Nov. 10, 2009 |
SEC Charges Former CFO of New York-Based Hedge Fund With Securities Fraud
|
| 2009-240 |
Nov. 9, 2009 |
Chief Litigation Counsel Luis R. Mejia Leaving SEC
|
| 2009-239 |
Nov. 9, 2009 |
SEC to Hold National Seminar for Chief Compliance Officers
|
| 2009-238 |
Nov. 5, 2009 |
SEC's New Division of Risk, Strategy, and Financial Innovation Adds Experts to Senior Ranks
|
| 2009-237 |
Nov. 5, 2009 |
Statement by Chairman Schapiro on IASB and FASB Commitment to Improve IFRS and U.S. GAAP and to Bring About Their Convergence
|
| 2009-236 |
Nov. 5, 2009 |
SEC Charges Wall Street Lawyers and Traders in $20 Million Insider Trading Scheme
|
| 2009-235 |
Nov. 5, 2009 |
SEC Charges 13 Additional Individuals and Entities in Galleon Insider Trading Case
|
| 2009-234 |
Nov. 4, 2009 |
SEC Sues Value Line Inc. and Two Senior Officers for $24 Million Fraudulent Scheme
|
| 2009-233 |
Nov. 4, 2009 |
SEC Charges Former Executives Of Milwaukee-Based Medical Software Provider With Accounting Fraud
|
| 2009-232 |
Nov. 4, 2009 |
J.P. Morgan Settles SEC Charges in Jefferson County, Ala. Illegal Payments Scheme
|
| 2009-231 |
Nov. 3, 2009 |
Norm Champ Named Associate Regional Director for Examinations in SEC New York Regional Office
|
| 2009-230 |
Oct. 30, 2009 |
Fee Rate Advisory #3 for Fiscal Year 2010
|
| 2009-229 |
Oct. 30, 2009 |
SEC Charges Former CFO and Six Relatives and Friends in California-Based Insider Trading Ring
|
| 2009-228 |
Oct. 30, 2009 |
SEC Office of the Chief Accountant Releases Staff Accounting Bulletin
|
| 2009-227 |
Oct. 22, 2009 |
SEC to Hold Small Business Capital Formation Forum on November 19
|
| 2009-226 |
Oct. 22, 2009 |
SEC Charges New York Broker for Manipulating Stock Prices Through Fake Press Releases and Internet Postings
|
| 2009-225 |
Oct. 22, 2009 |
SEC Charges Promoter, Brokers in Real Estate Investment Scheme Targeting Seniors at Free Lunch Seminars
|
| 2009-224 |
Oct. 22, 2009 |
SEC Launches Investor.gov
|
| 2009-223 |
Oct. 21, 2009 |
SEC Issues Proposals to Shed Greater Light on Dark Pools
|
| 2009-222 |
Oct. 21, 2009 |
Senior Supervisors Group Issues Report on Risk Management Practices
|
| 2009-221 |
Oct. 16, 2009 |
SEC Charges Billionaire Hedge Fund Manager Raj Rajaratnam With Insider Trading |
| 2009-220 |
Oct. 16, 2009 |
Adam Storch Named Managing Executive of SEC’s Enforcement Division |
| 2009-219 |
Oct. 16, 2009 |
SEC Charges Three South Florida Residents Targeting Haitian-American Investors in Ponzi Scheme |
| 2009-218 |
Oct. 16, 2009 |
SEC and CFTC Issue Joint Report on Regulatory Harmonization |
| 2009-217 |
Oct. 15, 2009 |
Barry Walters Named Chief Freedom of Information Act and Privacy Act Officer |
| 2009-216 |
Oct. 8, 2009 |
SEC Publishes 2010-2015 Draft Strategic Plan for Public Comment |
| 2009-215 |
Oct. 5, 2009 |
SEC Approves New Exchange Rules for Breaking Clearly Erroneous Trades |
| 2009-214 |
Oct. 5, 2009 |
Lori Schock Named Director of SEC Office of Investor Education and Advocacy |
| 2009-213 |
Oct. 2, 2009 |
Small Public Companies to Begin Providing Audited Assessment of Internal Controls Over Financial Reporting in Nine Months |
| Third Quarter |
| 2009-212 |
Sep. 30, 2009 |
AGCO Corporation Agrees to Pay $18.3 Million to Settle SEC Charges of FCPA Violations
|
| 2009-211 |
Sep. 30, 2009 |
SEC and CFTC Chairmen Issue Update on Harmonization Report
|
| 2009-210 |
Sep. 29, 2009 |
SEC Charges Virtual Reality Product Maker and Individuals in Boiler Room Fraud |
| 2009-209 |
Sep. 28, 2009 |
Fee Rate Advisory #2 for Fiscal Year 2010 |
| 2009-208 |
Sep. 28, 2009 |
SEC Charges Detroit-Area Stock Broker Who Lured Elderly into $250 Million Ponzi Scheme
|
| 2009-207 |
Sep. 25, 2009 |
SEC Announces Panelists for Securities Lending and Short Sale Roundtable
|
| 2009-206 |
Sep. 24, 2009 |
Brian Bussey Named Associate Director for Trading Practices and Processing in Division of Trading and Markets
|
| 2009-205 |
Sep. 24, 2009 |
Gregg Berman Named Senior Policy Advisor in SEC Division of Risk, Strategy, and Financial Innovation
|
| 2009-204 |
Sep. 24, 2009 |
SEC Conducts Regional Securities Market Oversight Training Program in Africa
|
| 2009-203 |
Sep. 23, 2009 |
SEC Charges Perot Company Employee in $8.6 Million Insider Trading Scheme
|
| 2009-202 |
Sep. 21, 2009 |
SEC Charges Regions Bank for Role in Offering Fraud Harming Latin American Investors
|
| 2009-201 |
Sep. 17, 2009 |
SEC Proposes Flash Order Ban
|
| 2009-200 |
Sep. 17, 2009 |
SEC Votes on Measures to Further Strengthen Oversight of Credit Rating Agencies
|
| 2009-199 |
Sep. 16, 2009 |
SEC Announces New Division of Risk, Strategy, and Financial Innovation
|
| 2009-198 |
Sep. 16, 2009 |
SEC and UK FSA Discuss Approaches to Global Regulatory Requirements
|
| 2009-197 |
Sep. 15, 2009 |
SEC Investor Advisory Committee Forms Subcommittees to Tackle Ambitious Agenda on Behalf of Investors
|
| 2009-196 |
Sep. 11, 2009 |
SEC to Hold Securities Lending and Short Sale Roundtable
|
| 2009-195 |
Sep. 8, 2009 |
SEC Charges Seattle-Area Biotech Company With Fraudulently Hyping Stem Cell Breakthrough
|
| 2009-194 |
Sep. 8, 2009 |
SEC Obtains Asset Freeze of North Carolina Couple Orchestrating $32.5 Million Investment Scheme
|
| 2009-193 |
Sep. 8, 2009 |
SEC Charges New York-Based Money Manager in $40 Million Ponzi Scheme
|
| 2009-192 |
Sep. 1, 2009 |
SEC Atlanta Regional Director Kit Addleman Leaving After 20 Years of Service
|
| 2009-191 |
Sep. 1, 2009 |
SEC Announces $35 Million Fair Fund Distribution to Defrauded Cardinal Health Investors
|
| 2009-190 |
Sep. 1, 2009 |
SEC and CFTC Announce Participants for Joint Meetings on Regulation Harmonization
|
| 2009-189 |
Aug. 31, 2009 |
Chairman Schapiro Issues Open Letter to Broker-Dealer CEOs
|
| 2009-188 |
Aug. 27, 2009 |
SEC Charges Las Vegas-Based Accountant for Issuing False Audit Reports
|
| 2009-187 |
Aug. 25, 2009 |
James L. Kroeker Named Chief Accountant at SEC
|
| 2009-186 |
Aug. 20, 2009 |
SEC, CFTC to Hold Joint Meetings on Regulation Harmonization
|
| 2009-185 |
Aug. 17, 2009 |
SEC Seeks Comment on Alternative Uptick Rule
|
| 2009-184 |
Aug. 13, 2009 |
SEC Charges Ohio-Based Investment Advisers for Fraudulently Overstating Assets
|
| 2009-183 |
Aug. 12, 2009 |
SEC Charges Terex Corporation With Accounting Fraud
|
| 2009-182 |
Aug. 11, 2009 |
SEC Charges Key Madoff Lieutenant for Operating and Concealing Fraud Through Bogus Trades and Documents
|
| 2009-181 |
Aug. 11, 2009 |
Eric J. Spitler Named Counselor to the Chairman and Director of the Office of Legislative and Intergovernmental Affairs
|
| 2009-180 |
Aug. 6, 2009 |
SEC Charges Hank Greenberg and Howard Smith for Roles in Alleged AIG Accounting Violations
|
| 2009-179 |
Aug. 5, 2009 |
SEC Charges Options Traders and Broker-Dealers for "Naked" Short Sale Rule Violations
|
| 2009-178 |
Aug. 4, 2009 |
SEC Charges General Electric With Accounting Fraud
|
| 2009-177 |
Aug. 3, 2009 |
SEC Charges Bank of America for Failing to Disclose Merrill Lynch Bonus Payments
|
| 2009-176 |
Jul. 30, 2009 |
David Nelson, Miami Regional Director, to Leave SEC
|
| 2009-175 |
Jul. 29, 2009 |
Announcement From the SEC Investor Advisory Committee
|
| 2009-174 |
Jul. 28, 2009 |
SEC Charges Four Arizona-Based Promoters in $197 Million Mortgage Lending Scheme
|
| 2009-173 |
Jul. 28, 2009 |
SEC Halts $50 Million Offering Fraud and Ponzi Scheme in Detroit Area
|
| 2009-172 |
Jul. 27, 2009 |
SEC Takes Steps to Curtail Abusive Short Sales and Increase Market Transparency
|
| 2009-171 |
Jul. 27, 2009 |
SEC Names Daniel L. Goelzer Acting Chairman of the PCAOB
|
| 2009-170 |
Jul. 23, 2009 |
SEC Approves Exemptions Allowing ICE Clear Europe Limited and Eurex Clearing AG to Operate Central Counterparties for Credit Default Swaps
|
| 2009-169 |
Jul. 23, 2009 |
SEC Charges Foreign Trader and Entities in Scheme Occurring Earlier This Week
|
| 2009-168 |
Jul. 22, 2009 |
SEC Proposes Measures to Curtail "Pay to Play" Practices
|
| 2009-167 |
Jul. 22, 2009 |
SEC Seeks Return of $4 Million in Bonuses and Stock Sale Profits From Former CEO of CSK Auto Corp.
|
| 2009-166 |
Jul. 21, 2009 |
SEC Charges Morgan Keegan for Fraudulent Marketing and Sales of Auction Rate Securities
|
| 2009-165 |
Jul. 21, 2009 |
SEC Charges Perry Corp. With Disclosure Violations in Vote Buying Scheme
|
| 2009-164 |
Jul. 20, 2009 |
SEC Charges Morgan Stanley and Former Adviser with Misleading Clients
|
| 2009-163 |
Jul. 20, 2009 |
SEC Charges TD Ameritrade for Auction Rate Securities Sales Practices
|
| 2009-162 |
Jul. 16, 2009 |
John R. Robinson Named Division of Corporation Finance Academic Accounting Fellow
|
| 2009-161 |
Jul. 15, 2009 |
SEC Votes to Propose Rules Enhancing Municipal Securities Disclosure
|
| 2009-160 |
Jul. 15, 2009 |
SEC Charges 11 Individuals for Insider Trading Ahead of Merger Announcements
|
| 2009-159 |
Jul. 14, 2009 |
SEC Freezes Assets of Florida Resident Stealing Investor Funds for Luxury Purchases
|
| 2009-158 |
Jul. 13, 2009 |
Ronald Crawford Named SEC's First Chief Counsel For Diversity Initiatives
|
| 2009-157 |
Jul. 13, 2009 |
SEC Charges Seattle Attorney and Accomplices with Orchestrating Stock Dumping Scheme
|
| 2009-156 |
Jul. 10, 2009 |
SEC Freezes Assets of Illinois-Based Hedge Fund Manager Who Was $2 Billion Feeder to Petters Ponzi Scheme
|
| 2009-155 |
Jul. 10, 2009 |
SEC Charges Ameriprise in Fraudulent Scheme to Obtain Undisclosed Compensation
|
| 2009-154 |
Jul. 9, 2009 |
SEC Staff Statement on California IOUs
|
| 2009-153 |
Jul. 8, 2009 |
Lori Richards, Director of the Office of Compliance Inspections and Examinations, to Leave SEC
|
| 2009-152 |
Jul. 8, 2009 |
SEC Charges N.Y.-Based Broker-Dealer and Founder in Multi-Million Dollar Transatlantic Boiler Room Scheme
|
| 2009-151 |
Jul. 7, 2009 |
SEC Obtains Asset Freeze in $485 Million Nationwide Offering Fraud
|
| 2009-150 |
Jul. 2, 2009 |
Lorin L. Reisner to Join SEC Enforcement Division
|
| 2009-149 |
Jul. 2, 2009 |
Office of the Chief Accountant Names Academic Fellows
|
| 2009-148 |
Jul. 2, 2009 |
SEC Suspends Trading in Florida-Based Music Production Firm
|
| 2009-147 |
Jul. 1, 2009 |
SEC Proposes Measures to Improve Corporate Governance and Enhance Investor Confidence
|
| 2009-146 |
Jul. 1, 2009 |
SEC Charges Former Chief Accounting Officer of Beazer Homes for Fraudulent Earnings Management Scheme
|
| Second Quarter |
| 2009-145 |
Jun. 30, 2009 |
New York-Based Firm and Brokers Charged With Fraudulent Sales of Variable Annuities |
| 2009-144 |
Jun. 24, 2009 |
SEC Charges California-Based Hedge Fund Manager for Operating Ponzi-Like Scheme |
| 2009-143 |
Jun. 24, 2009 |
SEC Charges Massachusetts-Based Money Manager in Multi-Million Dollar Ponzi Scheme |
| 2009-142 |
Jun. 24, 2009 |
SEC Proposes Rule Amendments to Strengthen Regulatory Framework for Money Market Funds |
| 2009-141 |
Jun. 22, 2009 |
SEC Charges Madoff Solicitors and Feeder With Fraud
|
| 2009-140 |
Jun. 19, 2009 |
SEC Charges Two Accountants and Antiguan Regulator for Roles in Stanford Ponzi Scheme
|
| 2009-139 |
Jun. 17, 2009 |
SEC Charges Former Quest Executives With Fraudulently Concealing Millions of Dollars of Self-Dealing
|
| 2009-138 |
Jun. 15, 2009 |
SEC, DOL Announce Panelists, Agenda for Joint Hearing on Target Date Funds |
| 2009-137 |
Jun. 15, 2009 |
SEC Halts Ponzi Scheme Run by Convicted Felon Siphoning Investor Funds for Sports Talk Venture
|
| 2009-136 |
Jun. 15, 2009 |
Information for Investors in the Reserve Primary Fund
|
| 2009-135 |
Jun. 12, 2009 |
SEC Obtains Asset Freeze to Halt Nationwide Prime Bank Scheme
|
| 2009-134 |
Jun. 12, 2009 |
SEC and ASC Charge Alabama Broker-Dealer for Rampant Churning and Extensive Supervisory Violations
|
| 2009-133 |
Jun. 10, 2009 |
Chairman Schapiro Statement on Executive Compensation |
| 2009-132 |
Jun. 10, 2009 |
SEC Charges New York-Based Investment Adviser for Stealing Client Funds |
| 2009-131 |
Jun. 9, 2009 |
SEC Charges Operators of $80 Million Ponzi Scheme Targeting Korean-Americans
|
| 2009-130 |
Jun. 8, 2009 |
SEC Charges Evergreen for Overvaluing Holdings in Mortgage-Backed Securities and Making Selective Disclosures to Investors
|
| 2009-129 |
Jun. 4, 2009 |
SEC Charges Former Countrywide Executives With Fraud
|
| 2009-128 |
Jun. 4, 2009 |
SEC Office of the Chief Accountant Releases Staff Accounting Bulletin
|
| 2009-127 |
Jun. 3, 2009 |
SEC Finalizes ARS Settlements With Bank of America, RBC, and Deutsche Bank
|
| 2009-126 |
Jun. 3, 2009 |
SEC Announces Creation of Investor Advisory Committee
|
| 2009-125 |
Jun. 2, 2009 |
George S. Canellos Named Regional Director of SEC New York Regional Office
|
| 2009-124 |
Jun. 1, 2009 |
SEC Announces $78 Million Fair Fund Distribution to Harmed Investors in AIM Mutual Funds
|
| 2009-123 |
May 28, 2009 |
SEC Charges 10 Brokers with Fraud for Disguising Risks of Investing in Mortgage-Backed Securities |
| 2009-122 |
May 26, 2009 |
SEC Halts Foreign Exchange Offering Fraud by College Professor and Houston-Based Lawyer |
| 2009-121 |
May 22, 2009 |
SEC Takes Steps to Strengthen Existing Rules Governing Securities Trading by Personnel |
| 2009-120 |
May 22, 2009 |
SEC, DOL Accepting Requests to Participate in Joint Hearing Examining Target Date Funds
|
| 2009-119 |
May 21, 2009 |
SEC Obtains Asset Freeze Of Wisconsin-Based Investment Adviser Charged in Kickback Scheme
|
| 2009-118 |
May 21, 2009 |
SEC Charges Florida Trader for Issuing Fake Press Release to Manipulate Stock Price
|
| 2009-117 |
May 21, 2009 |
SEC Charges Eight Participants in Penny Stock Manipulation Ring
|
| 2009-116 |
May 20, 2009 |
SEC Votes to Propose Rule Amendments to Facilitate Rights of Shareholders to Nominate Directors
|
| 2009-115 |
May 19, 2009 |
SEC Announces $843 Million Fair Fund Distribution to Harmed AIG Investors
|
| 2009-114 |
May 18, 2009 |
SEC to Hold Public Seminar on New Interactive Data Reporting Requirements
|
| 2009-113 |
May 18, 2009 |
SEC Charges Monster Worldwide Inc. for Backdating Scheme
|
| 2009-112 |
May 15, 2009 |
SEC Announces First Distribution From $267 Million Bear Stearns Fair Fund
|
| 2009-111 |
May 14, 2009 |
Director of Legislative and Intergovernmental Affairs William Schulz to Leave SEC
|
| 2009-110 |
May 14, 2009 |
SEC Brings Emergency Charges Involving Fraudulent Securities Sold on Craigslist
|
| 2009-109 |
May 14, 2009 |
SEC Proposes Rule Amendments to Strengthen Safeguards of Investor Funds Controlled by Investment Advisers
|
| 2009-108 |
May 12, 2009 |
SEC Charges Los Angeles-Based "Finder" in Kickback Scheme Involving N.Y. Pension Fund
|
| 2009-107 |
May 12, 2009 |
SEC, DOL to Hold Joint Hearing Examining Target Date Funds
|
| 2009-106 |
May 8, 2009 |
Michael Lauer to Pay More Than $62 Million in Hedge Fund Fraud Case
|
| 2009-105 |
May 8, 2009 |
SEC Charges Investment Adviser for Proxy Voting Rule Violations
|
| 2009-104 |
May 5, 2009 |
SEC Charges Operators of Reserve Primary Fund With Fraud
|
| 2009-103 |
May 5, 2009 |
SEC Charges Attorneys for Fraudulent Legal Opinions Used by Promoters in Pump-and-Dump Scheme
|
| 2009-102 |
May 5, 2009 |
SEC Charges Hedge Fund Manager and Bond Salesman in First Insider Trading Case Involving Credit Default Swaps
|
| 2009-101 |
May 1, 2009 |
SEC Announces Agenda and Panelists For Roundtable on Short Selling
|
| 2009-100 |
Apr. 30, 2009 |
Fee Rate Advisory #1 for Fiscal Year 2010
|
| 2009-99 |
Apr. 30, 2009 |
SEC Charges Wall Street Investment Banker and Seven Others in Widespread Insider Trading Scheme
|
| 2009-98 |
Apr. 30, 2009 |
SEC Announces New Initiative to Identify and Assess Risks in Financial Markets
|
| 2009-97 |
Apr. 30, 2009 |
SEC Charges Investment Management Firm and Principal in Kickback Scheme Involving N.Y. Pension Fund
|
| 2009-96 |
Apr. 29, 2009 |
SEC Halts Beverly Hills Hedge Fund Fraud
|
| 2009-95 |
Apr. 29, 2009 |
Office of the Chief Accountant Selects Four Professional Accounting Fellows
|
| 2009-94 |
Apr. 28, 2009 |
SEC Announces CCOutreach Regional Seminars for Adviser and Fund Chief Compliance Officers
|
| 2009-93 |
Apr. 28, 2009 |
SEC Charges Oklahoma-Based Attorney With Insider Trading
|
| 2009-92 |
Apr. 28, 2009 |
SEC Charges Former American Home Mortgage Executives for Misleading Investors About Company's Financial Condition
|
| 2009-91 |
Apr. 27, 2009 |
James Brigagliano, Daniel Gallagher Named Co-Acting Directors of SEC Division of Trading and Markets
|
| 2009-90 |
Apr. 27, 2009 |
SEC Charges Connecticut-Based Hedge Fund in Multi-Million Dollar Fraud
|
| 2009-89 |
Apr. 27, 2009 |
SEC Freezes Assets of Financier Danny Pang for Misrepresenting Investments and Forging Documents to Investors
|
| 2009-88 |
Apr. 24, 2009 |
SEC to Hold Roundtable on May 5 to Examine Short Sale Price Test and Circuit Breaker Restrictions
|
| 2009-87 |
Apr. 23, 2009 |
SEC Obtains Asset Freeze of Florida-Based Investment Adviser Defrauding Investors
|
| 2009-86 |
Apr. 22, 2009 |
SEC Charges Investment Adviser That Recommended Bayou Hedge Funds to Clients
|
| 2009-85 |
Apr. 20, 2009 |
SEC Halts Multi-Million Dollar Fraud Conducted by Philadelphia-Area Investment Adviser
|
| 2009-84 |
Apr. 15, 2009 |
Commission Reopens Comment Period On Proposal For Model Privacy Form Under Gramm-Leach-Bliley Act
|
| 2009-83 |
Apr. 15, 2009 |
SEC Charges Former State Political Party Leader and Hedge Fund Manager in Kickback Scheme Involving N.Y. Pension Fund
|
| 2009-82 |
Apr. 14, 2009 |
Office of the Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin 111 |
| 2009-81 |
Apr. 14, 2009 |
SEC Announces 100 Percent Return of Funds to Defrauded Concorde America and Absolute Health Investors
|
| 2009-80 |
Apr. 14, 2009 |
SEC Charges Seven Church Leaders in Fraudulent Investment Scheme That Targeted Parishioners
|
| 2009-79 |
Apr. 13, 2009 |
SEC Charges California Promoter for Operating Ponzi Scheme Targeting Hispanic-American Community
|
| 2009-78 |
Apr. 13, 2009 |
Meredith Cross Named New Director of SEC Division of Corporation Finance
|
| 2009-77 |
Apr. 9, 2009 |
SEC Charges Georgia Attorney for Conducting Multi-Million Dollar Ponzi Scheme
|
| 2009-76 |
Apr. 8, 2009 |
SEC Seeks Comments on Short Sale Price Test and Circuit Breaker Restrictions
|
| 2009-75 |
Apr. 8, 2009 |
SEC Charges Colorado Advisor for Conducting Multi-Million Dollar Ponzi Scheme
|
| 2009-74 |
Apr. 6, 2009 |
SEC Obtains Asset Freeze In Ponzi Scheme Targeting Chinese-American Community in Dallas Area
|
| 2009-73 |
Apr. 1, 2009 |
SEC Halts Multi-Million Dollar Ponzi Scheme Operated By Long Island Investment Adviser
|
| 2009-72 |
Apr. 1, 2009 |
SEC Charges Take-Two for Stock Options Backdating Scheme
|
| First Quarter |
| 2009-71 |
Mar. 31, 2009 |
SEC Charges Seattle-Area Firm in Multi-Million Dollar Scam Targeting Religious Community and Charitable Investors
|
| 2009-70 |
Mar. 31, 2009 |
Erik R. Sirri, Director of Division of Trading and Markets, to Leave SEC
|
| 2009-69 |
Mar. 27, 2009 |
SEC Announces Distribution of $60 Million Fair Fund to MBIA Investors Harmed by Accounting Fraud
|
| 2009-68 |
Mar. 26, 2009 |
SEC Halts $68 Million Ponzi Scheme Involving Caribbean-Based Bank and Swiss Affiliate
|
| 2009-67 |
Mar. 25, 2009 |
SEC Freezes Assets of Chicago-Area Investment Adviser for Defrauding Clients
|
| 2009-66 |
Mar. 25, 2009 |
SEC Awarded LEED® Gold Environmental Certification
|
| 2009-65 |
Mar. 24, 2009 |
SEC Announces Panelists and Agenda for Credit Rating Agencies Roundtable
|
| 2009-64 |
Mar. 24, 2009 |
Didem Nisanci Named SEC Chief of Staff
|
| 2009-63 |
Mar. 23, 2009 |
SEC Obtains Emergency Asset Freeze to Halt Ongoing Fraud by California Company
|
| 2009-62 |
Mar. 19, 2009 |
SEC Charges Former N.Y. State Official and Top Political Advisor for Defrauding New York's Retirement Fund in Multi-Million Dollar Kickback Scheme
|
| 2009-61 |
Mar. 18, 2009 |
Two Texas Individuals Settle SEC Charges in Spam Scam Case
|
| 2009-60 |
Mar. 18, 2009 |
SEC Charges Madoff Auditors With Fraud
|
| 2009-59 |
Mar. 16, 2009 |
SEC Names Julie Zelman Davis as Deputy Director of Legislative Affairs |
| 2009-58 |
Mar. 13, 2009 |
SEC Approves Exemptions Allowing Chicago Mercantile Exchange to Operate as Central Counterparty for Credit Default Swaps |
| 2009-57 |
Mar. 12, 2009 |
SEC Charges Quest Software and Three Executives for Stock Option Backdating |
| 2009-56 |
Mar. 11, 2009 |
Fee Rate Advisory #5 for Fiscal Year 2009 |
| 2009-55 |
Mar. 11, 2009 |
SEC Charges Two Northern California Residents in $40 Million Ponzi Scheme |
| 2009-54 |
Mar. 11, 2009 |
SEC Charges Merrill Lynch For Failure to Protect Customer Order Information on "Squawk Boxes" |
| 2009-53 |
Mar. 10, 2009 |
SEC, FINRA Announce 2009 CCOutreach BD Regional Seminars |
| 2009-52 |
Mar. 9, 2009 |
Senior Supervisors Group Issues Report on Management of Recent Credit Default Swap Credit Events |
| 2009-51 |
Mar. 9, 2009 |
SEC Charges Investment Adviser For Inventing a Billion-Dollar Client to Lure New Investors |
| 2009-50 |
Mar. 6, 2009 |
Fee Rate Advisory #4 for Fiscal Year 2009 |
| 2009-49 |
Mar. 6, 2009 |
SEC Approves Exemptions Allowing ICE US Trust LLC to Operate as Central Counterparty for Credit Default Swaps |
| 2009-48 |
Mar. 6, 2009 |
Mark Cahn Named Deputy General Counsel at SEC |
| 2009-47 |
Mar. 6, 2009 |
Jeffrey Singdahlsen Named SEC Associate General Counsel |
| 2009-46 |
Mar. 6, 2009 |
SEC Roundtable to Examine Oversight of Credit Rating Agencies |
| 2009-45 |
Mar. 5, 2009 |
SEC Obtains Emergency Asset Freeze to Halt Multi-Million Dollar Real Estate Investment Fraud |
| 2009-44 |
Mar. 5, 2009 |
SEC Revamping Process for Reviewing Whistleblower Complaints and Enforcement Tips |
| 2009-43 |
Mar. 4, 2009 |
James Brigagliano Named Deputy Director in SEC Division of Trading and Markets |
| 2009-42 |
Mar. 4, 2009 |
SEC Charges 14 Specialist Firms for Improper Proprietary Trading |
| 2009-41 |
Mar. 4, 2009 |
Fee Rate Advisory #3 for Fiscal Year 2009 |
| 2009-40 |
Mar. 3, 2009 |
SEC Charges Los Angeles-Based Investment Adviser for Taking Warrants Paid for by Clients |
| 2009-39 |
Mar. 2, 2009 |
SEC Warns Investors and Financial Firms of Government Impersonators |
| 2009-38 |
Mar. 2, 2009 |
SEC Charges Operators of Multi-Billion Dollar Real Estate Enterprise With Fraud |
| 2009-37 |
Feb. 26, 2009 |
Statement From Chairman Schapiro on Proposed Budget for SEC |
| 2009-36 |
Feb. 25, 2009 |
SEC Obtains Emergency Asset Freeze to Halt $30 Million "Fund of Funds" Investment Scheme |
| 2009-35 |
Feb. 25, 2009 |
SEC Charges Two New York Residents For Misappropriating More Than $500 Million in Investment Scheme |
| 2009-34 |
Feb. 25, 2009 |
SEC Charges Unregistered Hedge Fund with Fraud |
| 2009-33 |
Feb. 24, 2009 |
Michael Conley Named SEC Deputy Solicitor |
| 2009-32 |
Feb. 19, 2009 |
SEC Statement on the Case Against R. Allen Stanford |
| 2009-31 |
Feb. 19, 2009 |
Robert Khuzami Named SEC Director of Enforcement |
| 2009-30 |
Feb. 19, 2009 |
SEC Halts Ponzi Scheme Targeting Deaf Investors |
| 2009-29 |
Feb. 18, 2009 |
UBS Agrees to Pay $200 Million to Settle SEC Charges for Violating Registration Requirements |
| 2009-28 |
Feb. 18, 2009 |
Acting General Counsel Andrew Vollmer to Leave SEC |
| 2009-27 |
Feb. 17, 2009 |
SEC Charges Research in Motion and Four Senior Executives With Stock Option Backdating |
| 2009-26 |
Feb. 17, 2009 |
SEC Charges R. Allen Stanford, Stanford International Bank for Multi-Billion Dollar Investment Scheme |
| 2009-25 |
Feb. 17, 2009 |
Kayla J. Gillan Named Senior Advisor at SEC |
| 2009-24 |
Feb. 12, 2009 |
SEC Charges Canadian Citizen for Market Manipulation Schemes |
| 2009-23 |
Feb. 11, 2009 |
SEC Charges KBR and Halliburton for FCPA Violations |
| 2009-22 |
Feb. 9, 2009 |
Enforcement Director Linda Chatman Thomsen to Leave SEC |
| 2009-21 |
Feb. 6, 2009 |
SEC Announces Start of $321 Million Fair Fund Distribution to Investors Harmed by Alliance Capital Market Timing |
| 2009-20 |
Feb. 6, 2009 |
David M. Becker Named SEC General Counsel and Senior Policy Director |
| 2009-19 |
Feb. 5, 2009 |
Robert Malhotra Named Senior Advisor in SEC Office of the Chief Accountant |
| 2009-18 |
Feb. 5, 2009 |
SEC Charges Wall Street Professionals and Others in Insider Trading Ring |
| 2009-17 |
Feb. 5, 2009 |
SEC Finalizes ARS Settlement to Provide $7 Billion in Liquidity to Wachovia Investors |
| 2009-16 |
Feb. 4, 2009 |
SEC Halts Massive International Boiler Room Scheme |
| 2009-15 |
Feb. 4, 2009 |
SEC Freezes Assets of Private Fund Manager Misappropriating Investor Funds |
| 2009-14 |
Feb. 2, 2009 |
Robert Colby, Deputy Director of Trading and Markets Division, to Leave SEC After 27 Years of Service |
| 2009-13 |
Jan. 30, 2009 |
SEC Charges Merrill Lynch With Misleading Pension Consulting Clients |
| 2009-12 |
Jan. 28, 2009 |
SEC Charges Nashville-Based Financial Planner With Fraud Involving Purported Investments in TARP |
| 2009-11 |
Jan. 27, 2009 |
Mary Schapiro Sworn In as Chairman of SEC |
| 2009-10 |
Jan. 21, 2009 |
SEC Charges Missing Trader for Defrauding Investors at Sarasota-Based Hedge Funds |
| 2009-9 |
Jan. 21, 2009 |
Andrew Vollmer Named Acting General Counsel of SEC |
| 2009-8 |
Jan. 19, 2009 |
Peter Uhlmann to Step Down as SEC Chief of Staff |
| 2009-7 |
Jan. 16, 2009 |
SEC Staff Extends Sarbanes-Oxley Survey to January 31 |
| 2009-6 |
Jan. 15, 2009 |
SEC Charges CRE Capital Corporation and James G. Ossie With Conducting Multi-Million Dollar Ponzi Scheme |
| 2009-5 |
Jan. 8, 2009 |
SEC Charges Joseph S. Forte for Conducting Multi-Million Dollar Ponzi Scheme |
| 2009-4 |
Jan. 6, 2009 |
James L. Kroeker Named Acting Chief Accountant |
| 2009-3 |
Jan. 5, 2009 |
Shelley Parratt Named Acting Director of SEC's Division of Corporation Finance |
| 2009-2 |
Jan. 5, 2009 |
Alta G. Rodriguez Named SEC's Acting EEO Director |
| 2009-1 |
Jan. 5, 2009 |
Barbara Lorenzen Named Associate Regional Director for Examinations in SEC’s Chicago Regional Office |
