| Release No. |
Date |
Details |
| Fourth Quarter |
| 2011-279 |
Dec. 29, 2011 |
SEC Charges Magyar Telekom and Former Executives with Bribing Officials in Macedonia and Montenegro
|
| 2011-278 |
Dec. 23, 2011 |
Agencies Extend Comment Period on Volcker Rule Proposal
|
| 2011-277 |
Dec. 23, 2011 |
SEC Charges Securities Trader with Cross-Border Fraudulent Interpositioning Scheme
|
| 2011-276 |
Dec. 23, 2011 |
SEC Charges GE Funding Capital Market Services with Fraud Involving Municipal Bond Proceeds
|
| 2011-275 |
Dec. 22, 2011 |
Judge Orders Plastics Executive to Pay $49.5 Million in SEC Case
|
| 2011-274 |
Dec. 21, 2011 |
SEC Adopts Net Worth Standard for Accredited Investors Under Dodd-Frank Act
|
| 2011-273 |
Dec. 21, 2011 |
SEC Adopts Dodd-Frank Mine Safety Disclosure Requirements
|
| 2011-272 |
Dec. 21, 2011 |
SEC Charges Executives at Clean Coal Technology Company for Misstatements to Investors
|
| 2011-271 |
Dec. 20, 2011 |
SEC Charges California Company, Co-CEOs, and Attorney in Series of Fraudulent Schemes Pumping Company Stock
|
| 2011-270 |
Dec. 19, 2011 |
SEC Charges Longtime Madoff Employee with Falsifying Documents to Deceive Regulators
|
| 2011-269 |
Dec. 19, 2011 |
Michael Garrity Named Head of Examination Program in SEC's Boston Regional Office
|
| 2011-268 |
Dec. 16, 2011 |
SEC Charges Daniel “Rudy” Ruettiger and 12 Others in Scheme to Pump Stock in Sports Drink Company
|
| 2011-267 |
Dec. 16, 2011 |
SEC Charges Former Fannie Mae and Freddie Mac Executives with Securities Fraud
|
| 2011-266 |
Dec. 15, 2011 |
SEC Halts Father-Son Ponzi Scheme in Utah Involving Purported Real Estate Investments
|
| 2011-265 |
Dec. 15, 2011 |
SEC Enforcement Director's Statement on Citigroup Case
|
| 2011-264 |
Dec. 13, 2011 |
SEC Charges Options Trader for Illegal Short Selling Tactics
|
| 2011-263 |
Dec. 13, 2011 |
SEC Charges Seven Former Siemens Executives with Bribing Leaders in Argentina
|
| 2011-262 |
Dec. 12, 2011 |
SEC Charges "Shell Packagers" and Several Others in Penny Stock Scheme |
| 2011-261 |
Dec. 12, 2011 |
SEC Charges GlaxoSmithKline Subsidiary and Former CEO With Defrauding Employees in Stock Plan
|
| 2011-260 |
Dec. 9, 2011 |
Joint Statement on Regulation of OTC Derivatives Markets
|
| 2011-259 |
Dec. 8, 2011 |
SEC Names Lacey Dingman as Director of the Office of Human Resources
|
| 2011-258 |
Dec. 8, 2011 |
Luis A. Aguilar Sworn In for Second Term as SEC Commissioner
|
| 2011-257 |
Dec. 8, 2011 |
SEC Charges Wachovia With Fraudulent Bid Rigging in Municipal Bond Proceeds
|
| 2011-256 |
Dec. 8, 2011 |
SEC Announces National Seminar for Compliance Officers and Senior Personnel at Investment Management Firms
|
| 2011-255 |
Dec. 6, 2011 |
SEC Names Eric Pan as Associate Director in Office of International Affairs
|
| 2011-254 |
Dec. 6, 2011 |
SEC Halts Prime Bank Scheme by Washington D.C. Law Firm and Pennsylvania Company
|
| 2011-253 |
Dec. 6, 2011 |
SEC Freezes Assets of Four Chinese Citizens Charged with Insider Trading
|
| 2011-252 |
Dec. 1, 2011 |
SEC Charges Multiple Hedge Fund Managers with Fraud in Inquiry Targeting Suspicious Investment Returns
|
| 2011-251 |
Dec. 1, 2011 |
SEC, U.S. Attorney and FBI Announce 13 Charged in Connection with Securities Kickback Schemes
|
| 2011-250 |
Nov. 30, 2011 |
SEC Staff and FINRA Issue Risk Alert on Broker-Dealer Branch Office Inspections
|
| 2011-249 |
Nov. 29, 2011 |
Kristin Snyder Named Head of Examinations Program in SEC's San Francisco Regional Office
|
| 2011-248 |
Nov. 28, 2011 |
SEC Penalizes Investment Advisers for Compliance Failures
|
| 2011-247 |
Nov. 21, 2011 |
SEC Charges Longtime Madoff Employee With Creating Fake Trades
|
| 2011-246 |
Nov. 18, 2011 |
SEC Charges Perpetrator of Washington-Area Ponzi Scheme
|
| 2011-245 |
Nov. 17, 2011 |
SEC Halts Scam Touting Access to Pre-IPO Shares of Facebook and Groupon
|
| 2011-244 |
Nov. 16, 2011 |
SEC Charges Morgan Stanley Investment Management for Improper Fee Arrangement
|
| 2011-243 |
Nov. 15, 2011 |
Former CEO to Return $2.8 Million in Bonuses and Stock Profits Received During CSK Auto Accounting Fraud
|
| 2011-242 |
Nov. 15, 2011 |
SEC Hosts Nationwide Shadowing Event for High School Finance Students
|
| 2011-241 |
Nov. 10, 2011 |
SEC Charges China-Based Longtop Financial Technologies for Deficient Filings
|
| 2011-240 |
Nov. 10, 2011 |
SEC Charges UBS With Faulty Recordkeeping Related to Short Sales
|
| 2011-239 |
Nov. 10, 2011 |
SEC Charges San Diego-Based Investment Adviser and Its President with Fraud
|
| 2011-238 |
Nov. 10, 2011 |
Three Former Directors at Military Body Armor Supplier Settle SEC Charges
|
| 2011-237 |
Nov. 9, 2011 |
SEC Charges Feeders to Petters Ponzi Scheme
|
| 2011-236 |
Nov. 9, 2011 |
SEC Announces Agenda and Speakers for Government-Business Forum on Small Business Capital Formation
|
| 2011-235 |
Nov. 9, 2011 |
SEC Approves New Rules to Toughen Listing Standards for Reverse Merger Companies
|
| 2011-234 |
Nov. 9, 2011 |
SEC Enforcement Division Produces Record Results in Safeguarding Investors and Markets
|
| 2011-233 |
Nov. 8, 2011 |
SEC Obtains Record $92.8 Million Penalty Against Raj Rajaratnam
|
| 2011-232 |
Nov. 7, 2011 |
Daniel Gallagher Sworn in as SEC Commissioner
|
| 2011-231 |
Nov. 3, 2011 |
SEC Announces Agenda and Panelists for Inaugural Roundtable of Financial Reporting Series
|
| 2011-230 |
Oct. 31, 2011 |
SEC-CFTC Statement on MF Global
|
| 2011-229 |
Oct. 27, 2011 |
SEC Names Peter Curley as Associate Director for Clearance and Settlement in Division of Trading And Markets
|
| 2011-228 |
Oct. 27, 2011 |
Brian Bussey Named Associate Director for Derivatives Policy and Trading Practices in Division of Trading and Markets
|
| 2011-227 |
Oct. 27, 2011 |
SEC Orders FINRA to Improve Internal Compliance Policies and Procedures
|
| 2011-226 |
Oct. 26, 2011 |
SEC Approves Confidential Private Fund Risk Reporting
|
| 2011-225 |
Oct. 26, 2011 |
SEC Halts Fraud by Purported Quant Hedge Fund Manager
|
| 2011-224 |
Oct. 26, 2011 |
SEC Charges Traders in Fraudulent "Free-Riding" Scheme
|
| 2011-223 |
Oct. 26, 2011 |
SEC Files Insider Trading Charges against Rajat Gupta
|
| 2011-222 |
Oct. 25, 2011 |
SEC Announces Agenda for First Meeting of Advisory Committee on Small and Emerging Companies
|
| 2011-221 |
Oct. 24, 2011 |
SEC Charges Major Portuguese Bank for Violating Registration Provisions of U.S. Securities Laws
|
| 2011-220 |
Oct. 24, 2011 |
Alternative Trading System Agrees to Settle Charges That It Failed to Disclose Trading by an Affiliate
|
| 2011-219 |
Oct. 21, 2011 |
Statement of Chairman Schapiro on the Senate Confirmation of Luis A. Aguilar and Daniel M. Gallagher as SEC Commissioners
|
| 2011-218 |
Oct. 21, 2011 |
SEC Charges Denver-Area Hedge Fund Manager in Expansion of Mariner Energy Insider Trading Case
|
| 2011-217 |
Oct. 21, 2011 |
Andrew J. Bowden Named Head of SEC's National Investment Adviser/Investment Company Examination Program
|
| 2011-216 |
Oct. 21, 2011 |
SEC to Hold Annual Government-Business Forum on Small Business Capital Formation
|
| 2011-215 |
Oct. 21, 2011 |
SEC Staff to Hold Roundtable on "Measurement Uncertainty in Financial Reporting"
|
| 2011-214 |
Oct. 19, 2011 |
Citigroup to Pay $285 Million to Settle SEC Charges for Misleading Investors About CDO Tied to Housing Market
|
| 2011-213 |
Oct. 18, 2011 |
SEC Halts Scheme Involving Investments to Purportedly Help Homeowners Restructure Mortgages
|
| 2011-212 |
Oct. 18, 2011 |
SEC Charges Former CEO in Tulsa With Misleading Investors About Liquidity Risks
|
| 2011-211 |
Oct. 18, 2011 |
SEC Enforcement Staff Recognized for TARP-Fraud Investigation
|
| 2011-210 |
Oct. 14, 2011 |
SEC Announces Agenda and Panelists for Roundtable on Conflict Minerals |
| 2011-209 |
Oct. 14, 2011 |
SEC and FSA Co-Host International Roundtable on Market Structures |
| 2011-208 |
Oct. 13, 2011 |
SEC Sanctions Direct Edge Electronic Exchanges and Orders Remedial Measures to Strengthen Systems and Controls |
| 2011-207 |
Oct. 13, 2011 |
SEC Advisory Committee on Small and Emerging Companies to Hold First Meeting on Oct. 31
|
| 2011-206 |
Oct. 13, 2011 |
SEC and FSA Hold Strategic Dialogue Meeting
|
| 2011-205 |
Oct. 12, 2011 |
SEC Proposes Rules for Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants
|
| 2011-204 |
Oct. 12, 2011 |
SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading
|
| 2011-203 |
Oct. 11, 2011 |
SEC Announces Agenda and Panelists for Roundtable on Microcap Securities
|
| 2011-202 |
Oct. 11, 2011 |
SEC Charges Bank Executives With Hiding Millions of Dollars in Losses During 2008 Financial Crisis
|
| 2011-201 |
Oct. 6, 2011 |
SEC Files Emergency Action to Halt Green-Product Themed Ponzi Scheme
|
| 2011-200 |
Oct. 4, 2011 |
Michael A. Conley Named SEC's Deputy General Counsel
|
| Third Quarter |
| 2011-199 |
Sep. 30, 2011 |
SEC Staff Issues Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization
|
| 2011-198 |
Sep. 29, 2011 |
SEC Staff Issues Risk Alert on Master/Sub-account Risks
|
| 2011-197 |
Sep. 29, 2011 |
SEC to Hold Roundtable on Conflict Minerals
|
| 2011-196 |
Sep. 29, 2011 |
Fee Rate Advisory #4 for Fiscal Year 2012
|
| 2011-195 |
Sep. 29, 2011 |
Fee Rate Advisory #3 for Fiscal Year 2012
|
| 2011-194 |
Sep. 28, 2011 |
SEC Charges Long Island-Based Hedge Fund Manager with Fraud Involving Pipe Transactions
|
| 2011-193 |
Sep. 28, 2011 |
SEC Charges Bay Area Investment Adviser for Defrauding Clients and Falsifying Documents During SEC Exam
|
| 2011-192 |
Sep. 27, 2011 |
Kara Novaco Brockmeyer Named Chief of FCPA Unit
|
| 2011-191 |
Sep. 27, 2011 |
SEC Charges RBC Capital Markets in Sale of Unsuitable CDO Investments to Wisconsin School Districts
|
| 2011-190 |
Sep. 27, 2011 |
SEC to Publish for Public Comment Updated Market-Wide Circuit Breaker Proposals to Address Extraordinary Market Volatility
|
| 2011-189 |
Sep. 22, 2011 |
SEC Charges Quant Manager with Fraud
|
| 2011-188 |
Sep. 21, 2011 |
SEC Charges Former Goldman Sachs Employee and His Father with Insider Trading
|
| 2011-187 |
Sep. 20, 2011 |
Statement from Chairman Schapiro on IG Investigation into Former General Counsel’s Participation in Madoff-Related Matters
|
| 2011-186 |
Sep. 19, 2011 |
SEC Announces Roundtable on Microcap Securities
|
| 2011-185 |
Sep. 19, 2011 |
SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Asset-Backed Securities Transactions
|
| 2011-184 |
Sep. 19, 2011 |
James Brigagliano, Deputy Director of SEC Division of Trading and Markets, to Leave SEC After 25 Years of Service
|
| 2011-183 |
Sep. 15, 2011 |
SEC Charges Former Consulting Executive and Friend with Insider Trading Ahead of Biotech Takeovers
|
| 2011-182 |
Sep. 13, 2011 |
SEC Announces Formation of Advisory Committee on Small and Emerging Companies
|
| 2011-181 |
Sep. 9, 2011 |
SEC Charges Solicitor in Investment Scheme Targeting Deaf Community
|
| 2011-180 |
Sep. 8, 2011 |
SEC Files Subpoena Enforcement Action Against Deloitte & Touche in Shanghai
|
| 2011-179 |
Sep. 6, 2011 |
Statement by SEC Chairman Mary L. Schapiro on Proxy Access Litigation
|
| 2011-178 |
Sep. 6, 2011 |
SEC to Seek Comment on Review of Existing Regulations
|
| 2011-177 |
Sep. 2, 2011 |
SEC Halts Fraud Conducted by Purported Life Settlement Company
|
| 2011-176 |
Aug. 31, 2011 |
SEC Seeks Public Comment on Asset-Backed Issuers and Mortgage-Related Pools Under Investment Company Act
|
| 2011-175 |
Aug. 31, 2011 |
SEC Seeks Public Comment on Use of Derivatives by Mutual Funds and Other Investment Companies
|
| 2011-174 |
Aug. 31, 2011 |
SEC Halts Fraud by Manager of Startup Quantitative Hedge Fund
|
| 2011-173 |
Aug. 31, 2011 |
Fee Rate Advisory #2 for Fiscal Year 2012
|
| 2011-172 |
Aug. 30, 2011 |
SEC Recovers CFO's Bonus and Stock Sale Profits Received During Beazer Homes Accounting Fraud
|
| 2011-171 |
Aug. 29, 2011 |
SEC Charges Two Florida Men in Ponzi Scheme Defrauding Teachers and Retirees
|
| 2011-170 |
Aug. 29, 2011 |
SEC Names Kathleen Weiss Hanley as Deputy Chief Economist and Deputy Director of RiskFin
|
| 2011-169 |
Aug. 19, 2011 |
SEC and CFTC Seek Public Input for Joint Stable Value Contract Study
|
| 2011-168 |
Aug. 12, 2011 |
David Woodcock Named Director of SEC Fort Worth Regional Office
|
| 2011-167 |
Aug. 12, 2011 |
SEC's New Whistleblower Program Takes Effect Today
|
| 2011-166 |
Aug. 11, 2011 |
SEC Charges Former Investment Fund Employee with Insider Trading in Marvel Stock Prior to Disney Deal
|
| 2011-165 |
Aug. 10, 2011 |
SEC Charges Stifel, Nicolaus & Co. and Executive with Fraud in Sale of Investments to Wisconsin School Districts
|
| 2011-164 |
Aug. 8, 2011 |
U.S. and Chinese Regulators Meet in Beijing on Audit Oversight Cooperation
|
| 2011-163 |
Aug. 5, 2011 |
Commissioner Casey to Leave SEC
|
| 2011-162 |
Aug. 5, 2011 |
SEC Charges Former Mariner Energy Board Member and Son with Insider Trading
|
| 2011-161 |
Aug. 4, 2011 |
SEC Charges Former Professional Baseball Player Doug DeCinces and Three Others with Insider Trading
|
| 2011-160 |
Aug. 2, 2011 |
SEC Charges Biopharmaceutical Company and Executives with Securities Fraud
|
| 2011-159 |
Jul. 29, 2011 |
SEC Office of the Chief Accountant Names Academic Fellow
|
| 2011-158 |
Jul. 27, 2011 |
SEC Charges Liquor Giant Diageo with FCPA Violations |
| 2011-157 |
Jul. 27, 2011 |
SEC Staff Issues Summary Report of Sweep Examination of Structured Products Sold to Retail Investors |
| 2011-156 |
Jul. 26, 2011 |
SEC Re-Proposes New Shelf Eligibility Requirements for Asset-Backed Securities
|
| 2011-155 |
Jul. 26, 2011 |
SEC Adopts New Short Form Criteria to Replace Credit Ratings
|
| 2011-154 |
Jul. 26, 2011 |
SEC Adopts Large Trader Reporting Regime
|
| 2011-153 |
Jul. 22, 2011 |
SEC and Turkey Securities Regulator Announce Terms of Reference for Enhanced Cooperation and Collaboration
|
| 2011-152 |
Jul. 21, 2011 |
David Blass Named Chief Counsel in SEC Division of Trading and Markets
|
| 2011-151 |
Jul. 21, 2011 |
SEC, CFTC Staffs to Host Roundtable to Discuss International Issues Relating to Dodd-Frank Act Title VII Implementation
|
| 2011-150 |
Jul. 20, 2011 |
SEC Issues Investor Bulletin on Retail Forex Transactions
|
| 2011-149 |
Jul. 18, 2011 |
SEC Obtains Asset Freezes Within Days of Alleged Insider Trading by Three Swiss Entities
|
| 2011-148 |
Jul. 15, 2011 |
SEC Announces July 29 Field Hearing on the State of the Municipal Securities Market
|
| 2011-147 |
Jul. 15, 2011 |
SEC Charges Forex Ponzi Operator Who Fled After Scheme Unraveled
|
| 2011-146 |
Jul. 13, 2011 |
SEC Charges Armor Holdings, Inc. With FCPA Violations in Connection With Sales to the United Nations
|
| 2011-145 |
Jul. 12, 2011 |
SEC Issues Order Raising Performance Fee Rule Dollar Limit to Adjust for Inflation
|
| 2011-144 |
Jul. 11, 2011 |
SEC Charges Janney Montgomery Scott Failed to Maintain and Enforce Policies to Prevent Misuse of Material, Nonpublic Information
|
| 2011-143 |
Jul. 7, 2011 |
SEC Charges J. P. Morgan Securities with Fraudulent Bidding Practices Involving Investment of Municipal Bond Proceeds
|
| 2011-142 |
Jul. 1, 2011 |
SEC Division of Investment Management Names Robert Plaze as Deputy Director and Diane Blizzard as Managing Executive
|
| 2011-141 |
Jul. 1, 2011 |
SEC Provides Additional Guidance, Interim Relief and Exemptions for Security-Based Swaps Under Dodd-Frank Act
|
| 2011-140 |
Jul. 1, 2011 |
SEC's Chief Diversity Official Ronald L. Crawford to Retire after 31 Years at SEC
|
| Second Quarter |
| 2011-139 |
Jun. 30, 2011 |
SEC Announces Agenda and Panelists for Roundtable on International Financial Reporting Standards
|
| 2011-138 |
Jun. 30, 2011 |
SEC Charges Company CEOs and Penny Stock Promoters in Kickback Schemes
|
| 2011-137 |
Jun. 29, 2011 |
SEC Proposes Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
|
| 2011-136 |
Jun. 29, 2011 |
SEC Charges Raymond James for Auction Rate Securities Sales Practices
|
| 2011-135 |
Jun. 28, 2011 |
Hedge Fund Returns $230 Million Held in Offshore Account to U.S.
|
| 2011-134 |
Jun. 22, 2011 |
SEC Adopts Rule Under Dodd-Frank Act Defining "Family Offices"
|
| 2011-133 |
Jun. 22, 2011 |
SEC Adopts Dodd-Frank Act Amendments to Investment Advisers Act
|
| 2011-132 |
Jun. 22, 2011 |
Morgan Keegan to Pay $200 Million to Settle Fraud Charges Related to Subprime Mortgage-Backed Securities
|
| 2011-131 |
Jun. 21, 2011 |
J.P. Morgan to Pay $153.6 Million to Settle SEC Charges of Misleading Investors in CDO Tied to U.S. Housing Market
|
| 2011-130 |
Jun. 15, 2011 |
SEC Provides Guidance and Temporary Relief Regarding Security-Based Swap Provisions of Dodd-Frank Act
|
| 2011-129 |
Jun. 15, 2011 |
SEC Concludes That Certain Stanford Ponzi Scheme Investors Are Entitled to Protections of SIPA
|
| 2011-128 |
Jun. 15, 2011 |
SEC Proposes Ways to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets
|
| 2011-127 |
Jun. 13, 2011 |
Stop Order Proceedings Instituted Against China Intelligent Lighting and Electronics, Inc., and China Century Dragon Media, Inc.
|
| 2011-126 |
Jun. 10, 2011 |
SEC-CFTC Staffs to Host Public Roundtable Discussion on Proposed Dealer and Major Participant Definitions Under Dodd-Frank Act
|
| 2011-125 |
Jun. 10, 2011 |
SEC Announces Steps to Address One-Year Effective Date of Title VII of Dodd-Frank Act
|
| 2011-124 |
Jun. 10, 2011 |
SEC Proposes Exemptions From Registration Requirements for Security-Based Swaps Issued by Certain Clearing Agencies
|
| 2011-123 |
Jun. 9, 2011 |
SEC Issues Bulletin on Risks of Investing in Reverse Merger Companies
|
| 2011-122 |
Jun. 8, 2011 |
SEC Enters Cease and Desist Order in Connection with Online Campaign to Buy Beer Company
|
| 2011-121 |
Jun. 7, 2011 |
Agencies Extend Comment Period on Risk Retention Proposed Rulemaking
|
| 2011-120 |
Jun. 7, 2011 |
SEC Suspends Trading in 17 Companies in Proactive Effort to Combat Microcap Stock Fraud
|
| 2011-119 |
Jun. 6, 2011 |
SEC Charges Longtime Madoff Employee With Fraud
|
| 2011-118 |
Jun. 2, 2011 |
SEC, FINRA Warn Retail Investors About Investing in Structured Notes with Principal Protection
|
| 2011-117 |
May 26, 2011 |
SEC Charges Former NASDAQ Managing Director with Insider Trading
|
| 2011-116 |
May 25, 2011 |
SEC Adopts Rules to Establish Whistleblower Program
|
| 2011-115 |
May 25, 2011 |
SEC Proposes Rule to Disqualify Felons and Bad Actors From Securities Offerings
|
| 2011-114 |
May 20, 2011 |
Vanderbilt Professor Craig Lewis Named SEC Chief Economist and Director of RiskFin Division
|
| 2011-113 |
May 18, 2011 |
SEC Proposes Rules to Increase Transparency and Improve Integrity of Credit Ratings
|
| 2011-112 |
May 17, 2011 |
Tenaris to Pay $5.4 Million in SEC's First-Ever Deferred Prosecution Agreement
|
| 2011-111 |
May 13, 2011 |
SEC Charges Investment Adviser With Defrauding Investors in Two Upstate New York Real Estate Funds
|
| 2011-110 |
May 11, 2011 |
SEC Charges Two Businessmen With Securities Fraud in New York-Based Beverage and Food Carrier Company
|
| 2011-109 |
May 10, 2011 |
SEC Publishes Notice Regarding Inflation Indexing of Performance Fee Rule
|
| 2011-108 |
May 10, 2011 |
SEC Seeks Public Comment to Assist in Study on Assigned Credit Ratings
|
| 2011-107 |
May 6, 2011 |
SEC Announces Agenda and Panelists for Roundtable on Money Market Funds and Systemic Risk
|
| 2011-106 |
May 4, 2011 |
James R. Burns Named SEC Deputy Chief of Staff
|
| 2011-105 |
May 4, 2011 |
SEC Charges UBS with Fraudulent Bidding Practices Involving Investment of Municipal Bond Proceeds
|
| 2011-104 |
May 4, 2011 |
SEC Charges Six Executives With Financial Fraud at Brooke Corporation
|
| 2011-103 |
May 4, 2011 |
SEC Seeks Public Comment on Short Sale Disclosure
|
| 2011-102 |
May 2, 2011 |
Fee Rate Advisory #1 for Fiscal Year 2012
|
| 2011-101 |
Apr. 29, 2011 |
SEC Halts Ponzi Scheme by Co-Founder of China Voice Holding Corp.
|
| 2011-100 |
Apr. 27, 2011 |
SEC Proposes Rule Amendments to Remove Credit Rating References in Exchange Act Rules
|
| 2011-99 |
Apr. 27, 2011 |
SEC Proposes Product Definitions for Swaps
|
| 2011-98 |
Apr. 25, 2011 |
Former Banco Santander Analyst Agrees to Settle Insider Trading Charges
|
| 2011-97 |
Apr. 25, 2011 |
Gene Gohlke, Associate Director for Examinations, Retiring After 35 Years at SEC
|
| 2011-96 |
Apr. 25, 2011 |
SEC Announces Arrival of New Administrative Law Judge Cameron Elliot
|
| 2011-95 |
Apr. 20, 2011 |
SEC Announces Roundtable on International Financial Reporting Standards
|
| 2011-94 |
Apr. 20, 2011 |
Julius Leiman-Carbia Named Head of SEC’s National Broker-Dealer Examination Program
|
| 2011-93 |
Apr. 19, 2011 |
SEC Seeks Public Comment on Effective Investor Education Programs
|
| 2011-92 |
Apr. 14, 2011 |
SEC Charges Subprime Auto Loan Lender and Executives with Fraud
|
| 2011-91 |
Apr. 13, 2011 |
SEC Charges Former Hedge Fund Portfolio Manager With Insider Trading
|
| 2011-90 |
Apr. 12, 2011 |
CFTC and SEC Staffs to Host Public Roundtable Discussion on Dodd-Frank Implementation
|
| 2011-89 |
Apr. 8, 2011 |
Publication of Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives
|
| 2011-88 |
Apr. 8, 2011 |
Commission Announces a Roundtable Discussion Regarding Money Market Funds and Systemic Risk
|
| 2011-87 |
Apr. 8, 2011 |
SEC Charges Johnson & Johnson With Foreign Bribery
|
| 2011-86 |
Apr. 7, 2011 |
SEC Charges Brokerage Executives With Failing to Protect Confidential Customer Information
|
| 2011-85 |
Apr. 6, 2011 |
SEC Charges Corporate Attorney and Wall Street Trader in $32 Million Insider Trading Ring
|
| 2011-84 |
Apr. 5, 2011 |
SEC Announces Filing of Limit Up-Limit Down Proposal to Address Extraordinary Market Volatility
|
| 2011-83 |
Apr. 5, 2011 |
SEC Announces Securities Laws Violations by Wachovia Involving Mortgage-Backed Securities
|
| 2011-82 |
Apr. 5, 2011 |
SEC Charges India-Based Affiliates of PWC for Role in Satyam Accounting Fraud
|
| 2011-81 |
Apr. 5, 2011 |
SEC Charges Satyam Computer Services With Financial Fraud
|
| 2011-80 |
Apr. 1, 2011 |
Sanjay Wadhwa Named Associate Regional Director for Enforcement in SEC New York Regional Office
|
| First Quarter |
| 2011-79 |
Mar. 31, 2011 |
Agencies Seek Public Comment on Risk Retention Proposal
|
| 2011-78 |
Mar. 30, 2011 |
SEC Proposes Rules Requiring Listing Standards for Compensation Committees and Compensation Consultants
|
| 2011-77 |
Mar. 30, 2011 |
Agencies Seek Comment on Proposed Rule on Incentive Compensation
|
| 2011-76 |
Mar. 29, 2011 |
SEC Charges FDA Chemist With Insider Trading Ahead of Drug Approval Announcements
|
| 2011-75 |
Mar. 28, 2011 |
SEC Blocks Attempt by Connecticut Fund Manager to Divert Funds From Petters Ponzi Scheme Victims
|
| 2011-74 |
Mar. 28, 2011 |
Agencies Announce Consideration of Risk Retention Notice of Proposed Rulemaking
|
| 2011-73 |
Mar. 28, 2011 |
SEC Halts $47 Million Investment Fraud at Utah-Based Payday Loan Companies
|
| 2011-72 |
Mar. 25, 2011 |
SEC Charges Houston-Area Businessman and Talk Radio "MoneyMan" for Fraudulent Conduct at Advisory Firm
|
| 2011-71 |
Mar. 24, 2011 |
SEC Names Anne K. Small as Deputy General Counsel
|
| 2011-70 |
Mar. 21, 2011 |
SEC Charges Three Firms and Four Individuals in Los Angeles-Based Boiler Room Operation
|
| 2011-69 |
Mar. 17, 2011 |
SEC Charges Kentucky Steel Company Executives With Insider Trading
|
| 2011-68 |
Mar. 16, 2011 |
SEC Charges Former Supervisor at Colonial Bank for Role in Securities Fraud Scheme
|
| 2011-67 |
Mar. 16, 2011 |
SEC Charges Three Executives With Conducting $230 Million Investment Scheme at Ohio-Based Company
|
| 2011-66 |
Mar. 15, 2011 |
SEC Charges Hedge Fund Managers With Fraud
|
| 2011-65 |
Mar. 10, 2011 |
Statement From Chairman Schapiro on Independent Consultant Report of SEC Organization and Operations
|
| 2011-64 |
Mar. 10, 2011 |
U.S. Regulators Encourage Comments on CPSS-IOSCO Consultative Report on Principles for Financial Market Infrastructures
|
| 2011-63 |
Mar. 9, 2011 |
Rose Romero, Director of Fort Worth Regional Office, to Leave SEC
|
| 2011-62 |
Mar. 7, 2011 |
SEC Adds New Charges Against Connecticut-Based Hedge Fund Manager in Ponzi Scheme
|
| 2011-61 |
Mar. 3, 2011 |
SEC Obtains Settlement With CEO to Recover Compensation and Stock Profits He Received During Company's Fraud
|
| 2011-60 |
Mar. 3, 2011 |
SEC Charges Former UBS Financial Adviser With Defrauding Life Settlement Fund Investors
|
| 2011-59 |
Mar. 2, 2011 |
SEC Proposes Rule Amendments to Remove Credit Rating References in Investment Company Act Rules and Forms
|
| 2011-58 |
Mar. 2, 2011 |
SEC Proposes Clearing Agency Standards for Operations and Governance
|
| 2011-57 |
Mar. 2, 2011 |
SEC Proposes Rules on Disclosure of Incentive-Based Compensation Arrangements at Financial Institutions
|
| 2011-56 |
Mar. 2, 2011 |
SEC Charges Former Officer of Colonial Bank for Role in Securities Fraud Scheme
|
| 2011-55 |
Mar. 2, 2011 |
Fee Rate Advisory #6 for Fiscal Year 2011
|
| 2011-54 |
Mar. 1, 2011 |
SEC Charges Bay Area Hedge Fund Manager With Misappropriating "Side Pocketed" Assets
|
| 2011-53 |
Mar. 1, 2011 |
Board Member of Goldman Sachs and Procter & Gamble Charged in Insider Trading Scheme
|
| 2011-52 |
Feb. 28, 2011 |
SEC Charges Military Body Armor Supplier and Former Outside Directors With Accounting Fraud
|
| 2011-51 |
Feb. 24, 2011 |
SEC Charges Securities Professionals and Traders in International Hedge Fund Portfolio Pumping Scheme
|
| 2011-50 |
Feb. 24, 2011 |
SEC Halts Fraudulent Investment Scheme by Purported Trader in Dallas-Fort Worth Area
|
| 2011-49 |
Feb. 24, 2011 |
SEC Charges Former Treasurer of Major Mortgage Lender for Role in Securities Fraud and TARP Scheme
|
| 2011-48 |
Feb. 18, 2011 |
SEC Executive Director Diego Ruiz to Leave Agency
|
| 2011-47 |
Feb. 18, 2011 |
Sean McKessy Named Head of Whistleblower Office
|
| 2011-46 |
Feb. 18, 2011 |
SEC Charges Seven in Global Warming Pump-and-Dump Scheme
|
| 2011-45 |
Feb. 17, 2011 |
Lona Nallengara Named Deputy Director in SEC Division of Corporation Finance
|
| 2011-44 |
Feb. 14, 2011 |
Statement From Chairman Schapiro on Proposed Budget for SEC
|
| 2011-43 |
Feb. 11, 2011 |
SEC Charges Former Mortgage Lending Executives With Securities Fraud
|
| 2011-42 |
Feb. 10, 2011 |
SEC Charges Tyson Foods with FCPA Violations
|
| 2011-41 |
Feb. 9, 2011 |
SEC Proposes First in Series of Rule Amendments to Remove References to Credit Ratings
|
| 2011-40 |
Feb. 8, 2011 |
SEC Charges Hedge Fund Managers and Traders in $30 Million Expert Network Insider Trading Scheme
|
| 2011-39 |
Feb. 4, 2011 |
Mark Cahn Named SEC General Counsel
|
| 2011-38 |
Feb. 3, 2011 |
SEC Brings Expert Network Insider Trading Charges
|
| 2011-37 |
Feb. 3, 2011 |
SEC Charges AXA Rosenberg Entities for Concealing Error in Quantitative Investment Model
|
| 2011-36 |
Feb. 3, 2011 |
SEC Charges TD Ameritrade for Failing to Supervise Its Representatives Who Sold Shares of the Reserve Yield Plus Fund
|
| 2011-35 |
Feb. 2, 2011 |
SEC Proposes Rules for Security-Based Swap Execution Facilities
|
| 2011-34 |
Feb. 1, 2011 |
SEC General Counsel David Becker to Leave Commission
|
| 2011-33 |
Feb. 1, 2011 |
SEC Charges Eight Individuals and Three Companies in $33 Million International Microcap Fraud
|
| 2011-32 |
Jan. 31, 2011 |
SEC Releases Money Market Fund Portfolio and "Shadow NAV" Information to the Public
|
| 2011-31 |
Jan. 31, 2011 |
SEC Charges Maxwell Technologies for Long-Running Bribery Scheme in China
|
| 2011-30 |
Jan. 28, 2011 |
SEC Charges Connecticut-Based Hedge Fund Manager for Fraudulent Misuse of Investor Assets
|
| 2011-29 |
Jan. 28, 2011 |
SEC Institutes Proceedings Against California Attorney for Falsifying Documents for Production to SEC Staff
|
| 2011-28 |
Jan. 27, 2011 |
SEC Publishes Staff Study on Investor Access to Information About Investment Professionals
|
| 2011-27 |
Jan. 27, 2011 |
Askari Foy Named Associate Regional Director for Examinations in SEC Atlanta Regional Office
|
| 2011-26 |
Jan. 26, 2011 |
Cathy H. Ahn Named Deputy in SEC's Office of the Secretary
|
| 2011-25 |
Jan. 25, 2011 |
SEC Adopts Rules for Say-on-Pay and Golden Parachute Compensation as Required Under Dodd-Frank Act
|
| 2011-24 |
Jan. 25, 2011 |
SEC Proposes Net Worth Standard for Accredited Investors Under Dodd-Frank Act
|
| 2011-23 |
Jan. 25, 2011 |
SEC Proposes Private Fund Systemic Risk Reporting Rule
|
| 2011-22 |
Jan. 25, 2011 |
SEC Charges Merrill Lynch for Misusing Customer Order Information and Charging Undisclosed Trading Fees
|
| 2011-21 |
Jan. 24, 2011 |
SEC Charges Former CEO of Innospec for Role in Bribery Scheme
|
| 2011-20 |
Jan. 22, 2011 |
SEC Releases Staff Study Recommending a Uniform Fiduciary Standard of Conduct for Broker-Dealers and Investment Advisers
|
| 2011-19 |
Jan. 21, 2011 |
SEC Freezes Assets in Biotech Insider Trading Case
|
| 2011-18 |
Jan. 20, 2011 |
SEC Approves New Rules Regulating Asset-Backed Securities
|
| 2011-17 |
Jan. 20, 2011 |
SEC Charges New York Investment Firms and Senior Officers with Fraud
|
| 2011-16 |
Jan. 20, 2011 |
Jonathan S. Sokobin Named Acting Director of the SEC's Division of Risk, Strategy and Financial Innovation
|
| 2011-15 |
Jan. 19, 2011 |
SEC Charges Offshore Company in Massive Life Settlement Bonding Fraud
|
| 2011-14 |
Jan. 18, 2011 |
SEC Names Eileen Rominger as Director of Division of Investment Management
|
| 2011-13 |
Jan. 14, 2011 |
SEC Proposes Rule for the Timely Acknowledgment and Verification of Security-Based Swap Transactions
|
| 2011-12 |
Jan. 14, 2011 |
SEC Charges N.Y.-Based Penny Stock Promoter With Fraud
|
| 2011-11 |
Jan. 13, 2011 |
SEC Charges Long Island-Based Money Manager for Fraudulent Investment Scheme
|
| 2011-10 |
Jan. 13, 2011 |
SEC Charges Arizona-Based Health Food Company and Former Executives With Accounting Fraud
|
| 2011-9 |
Jan. 13, 2011 |
SEC Charges Former Board Chairman and Two Business Associates in Insider Trading Scheme
|
| 2011-8 |
Jan. 12, 2011 |
SEC Charges Government Website Provider and Four Executives With Failure to Disclose CEO Perks
|
| 2011-7 |
Jan. 11, 2011 |
SEC Charges Schwab Entities and Two Executives With Making Misleading Statements
|
| 2011-6 |
Jan. 10, 2011 |
SEC Charges New York Hedge Fund and Wall Street Professionals in Galleon-Related Enforcement Action
|
| 2011-5 |
Jan. 7, 2011 |
SEC Charges Former Portfolio Managers With Defrauding Utah Municipal Bond Fund
|
| 2011-4 |
Jan. 7, 2011 |
SEC Appoints James R. Doty as Chairman, Jay D. Hanson and Lewis H. Ferguson as Members of PCAOB
|
| 2011-3 |
Jan. 7, 2011 |
SEC Obtains Emergency Asset Freeze Against Hedge Fund Manager for Fraudulent Misuse of Fund Assets
|
| 2011-2 |
Jan. 6, 2011 |
Broker Accused of Defrauding Elderly Nuns Settles Case With SEC
|
| 2011-1 |
Jan. 6, 2011 |
SEC Charges Investment Firm With Illegally Dumping Billions of Penny Stock Shares
|
