| Release No. | Date | Details |
|
| 2001-152 | Dec 21, 2001 | Joint Press Release by SEC and CFTC |
| 2001-151 | Dec 21, 2001 | Fee Rate Advisory #7 |
| 2001-150 | Dec 20, 2001 | Statement of SEC Chairman Harvey L. Pitt |
| 2001-149 | Dec 19, 2001 | Commission Approves Five Items at Open Meeting |
| 2001-148 | Dec 17, 2001 | SEC Revokes Registration of Republic New York Securities Corp., a Broker-Dealer Pleading Guilty to Securities Fraud in Related Criminal Action |
| 2001-147 | Dec 12, 2001 | SEC Issues Financial Disclosure Cautionary Advice |
| 2001-146 | Dec 11, 2001 | SEC Sues Company, Company President, and Three Promoters for Fraudulent Anthrax Protection Claims |
| 2001-145 | Dec 6, 2001 | SEC Commissioner Laura S. Unger Releases Report, Recommends Improvements to Regulation FD |
| 2001-144 | Dec 4, 2001 | SEC Cautions Companies, Alerts Investors to Potential Dangers of "Pro Forma" Financials |
| 2001-143 | Dec 3, 2001 | SEC Halts $3.9 Million Oil & Gas Scam; "Real-Time" Enforcement Initiative Cited |
| 2001-142 | Nov 29, 2001 | Fee Rate Advisory #6 |
| 2001-141 | Nov 21, 2001 | Randall Lee Named Head of the SEC's Pacific Regional Office |
| 2001-140 | Nov 19, 2001 | Alan Beller to Be Next Director of the Commission's Division of Corporation Finance |
| 2001-139 | Nov 19, 2001 | State Bank of India and Citibank, N.A. Settle SEC Charges Involving An Unregistered Securities Offering |
| 2001-138 | Nov 16, 2001 | SEC Bars Recidivist Tampa Broker |
| 2001-137 | Nov 16, 2001 | Fee Rate Advisory #5 |
| 2001-136 | Nov 15, 2001 | SEC Orders Three Companies to Cease Making False Anti-Terrorism Claims |
| 2001-135 | Nov 14, 2001 | SEC Grants Extension of Time on NASDAQ'S Exchange Registration Application |
| 2001-134 | Nov 8, 2001 | Proposed Amendments to Rule 17a-8 on Mergers of Affiliated Investment Companies |
| 2001-133 | Nov 7, 2001 | SEC Issues Concept Release on Actively Managed Exchange-Traded Funds |
| 2001-132 | Nov 7, 2001 | Five Papers to be Delivered at SEC Historical Society Major Issues Conference |
| 2001-131 | Nov 6, 2001 | Securities and Exchange Commission Statement on Treasury Long Bond Situation |
| 2001-130 | Nov 6, 2001 | SEC Suspends Trading in Company Claiming "Anthrax Disinfectant"
See Also:
Trading Suspension: 2DoTrade, Inc., Rel. No. 34-45022 |
| 2001-129 | Nov 5, 2001 | SEC Charges Six Individuals with Spoofing |
| 2001-128 | Nov 5, 2001 | Peter H. Bresnan Named Deputy Chief Litigation Counsel of SEC's Division of Enforcement |
| 2001-127 | Nov 1, 2001 | SEC Releases Full Agenda and Panelists for Third Annual Municipal Market Roundtable - "Secondary Market Disclosure for the 21st Century" |
| 2001-126 | Oct 31, 2001 | Fee Rate Advisory #4 |
| 2001-125 | Oct 29, 2001 | SEC and CFTC Extend Comment Periods for Joint Rules Relating to Margin Requirements and Treatment of Customer Funds for Security Futures Products to December 5, 2001 |
| 2001-124 | Oct 26, 2001 | SEC Chairman Harvey Pitt Announces the Selection of Michael W. Robinson as Director of Public Affairs |
| 2001-123 | Oct 25, 2001 | Final Rule Amendments to Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 |
| 2001-122 | Oct 25, 2001 | SEC Approves Proposal to Establish the Archipelago Exchange as the Equities Trading Facility of the Pacific Exchange, Inc. |
| 2001-121 | Oct 25, 2001 | SEC Chairman Harvey Pitt Announces the Selection of Brian J. Gross as First Director of Communications |
| 2001-120 | Oct 25, 2001 | Stephen Cutler Named SEC Enforcement Director |
| 2001-119 | Oct 25, 2001 | SEC Historical Society To Hold Major Issues Conference on Securities Regulation in the Global Internet Economy
See Also:
Agenda and Registration Brochure In PDF |
| 2001-118 | Oct 23, 2001 | Fee Rate Advisory #3 |
| 2001-117 | Oct 23, 2001 | SEC Issues Report of Investigation and Statement Setting Forth Framework For Evaluating Cooperation In Exercising Prosecutorial Discretion |
| 2001-116e | Oct 19, 2001 | SEC Lanza Sitio en la Internet y Otros Recursos en Español para Educación de losInversionistas |
| 2001-116 | Oct 19, 2001 | SEC Launches Spanish Language Investor Education Website and Other Resources |
| 2001-115 | Oct 18, 2001 | Securities and Exchange Commission Request Relating to Information Pertaining to the Terrorist Attacks |
| 2001-114 | Oct 15, 2001 | Fee Rate Advisory #2 |
| 2001-113 | Oct 15, 2001 | Municipal Roundtable Rescheduled |
| 2001-112 | Oct 15, 2001 | SEC Northeast Regional Office Reopens in Manhattan |
| 2001-111 | Oct 11, 2001 | Easing of Issuer Repurchase Restrictions To End; Will Not Be Renewed |
| 2001-110 | Oct 11, 2001 | SEC Charges 44 Defendants in Four Stock Manipulations That Caused Over $30 Million in Investor Losses |
| 2001-109 | Oct 9, 2001 | SEC Commissioner Laura S. Unger Announces Plans to Leave Commission |
| 2001-108 | Oct 2, 2001 | SEC Postpones Consideration of Amendments to Broker-Dealer Books and Records Rules |
|
| 2001-107 | Sep 28, 2001 | SEC Announces Assistance to the Airline and Insurance Industries in Reaching the Capital Markets |
| 2001-106 | Sep 28, 2001 | SEC Provides New Relief Regarding Issuer Repurchases |
| 2001-105 | Sep 28, 2001 | Fee Rate Advisory #1 |
| 2001-104 | Sep 27, 2001 | CFTC and SEC Propose Joint Rules Relating to Margin Requirements and Treatment of Customer Funds for Security Futures Products |
| 2001-103 | Sep 26, 2001 | Request for Records Search by Securities-Related Entities, Including Brokers, Dealers,Investment Advisers, Investment Companies, Municipal Securities Dealers and Transfer Agents |
| 2001-102 | Sep 26, 2001 | Relocation of SEC Northeast Regional Office |
| 2001-101 | Sep 26, 2001 | SEC's Office of Municipal Securities Sends Letter to the Municipal Securities Industry |
| 2001-100 | Sep 26, 2001 | SEC Acts on a Number of Issues at Open Meeting of September 25, 2001 |
| 2001-99 | Sep 25, 2001 | SEC, State Regulators Launch Investment Adviser Information Website |
| 2001-98 | Sep 24, 2001 | Workshop Planned to Discuss Strategies for Providing Effective Financial Privacy Notices |
| 2001-97 | Sep 21, 2001 | Commission Provides Additional Relief to Market Participants |
| 2001-96 | Sep 19, 2001 | Statement by Acting Director of Enforcement Stephen Cutler |
| 2001-95 | Sep 19, 2001 | Robert K. Herdman Is New SEC Chief Accountant |
| 2001-94 | Sep 19, 2001 | Securities and Exchange Commission Historical Society to Sponsor Discussion of 1963 Special Study |
| 2001-93 | Sep 18, 2001 | Advisory Committee on Market Information Delivers Report to SEC |
| 2001-92 | Sep 16, 2001 | SEC To Monitor Securities Markets When They Open Monday |
| 2001-91 | Sep 14, 2001 | SEC Takes Action To Facilitate Reopening of Fair and Orderly Equities Markets |
| 2001-90 | Sep 11, 2001 | Statement by SEC Chairman Harvey L. Pitt |
| 2001-89 | Sep 10, 2001 | Third Annual Municipal Market Roundtable "Secondary Market Disclosure for the 21st Century" |
| 2001-88 | Sep 6, 2001 | Staff Legal Bulletin Regarding Listing Standards Requirements Under the Exchange Act for Security Futures Products |
| 2001-87 | Sep 4, 2001 | Accomplishments of Senator Gramm Lauded |
| 2001-86 | Aug 21, 2001 | Commission Issues Exemptive Order to Permit Principal-To-Principal Trading In Security Futures Products |
| 2001-85 | Aug 21, 2001 | CFTC and SEC Adopt Joint Rules and Issue Joint Order Relating to Trading of Security Futures Products in the United States |
| 2001-84 | Aug 14, 2001 | Commission Adopts Rules for Futures Markets Trading Futures on Individual Stocks and Narrow-Based Indexes to Register and File Proposed Rule Changes |
| 2001-83 | Aug 10, 2001 | Rosalind Ramsey Tyson Named Acting Regional Director of the SEC's Pacific Regional Office |
| 2001-82 | Aug 1, 2001 | Chief Accountant Is Seeking Candidates for Four Professional Accounting Fellow Positions |
| 2001-81 | Aug 1, 2001 | SEC Extends Comment Period on the NASDAQ Stock Market Inc.'s Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 to August 29, 2001 (Corrected Version) |
| 2001-80 | Jul 31, 2001 | Commission Announces Public Reporting by Market Centers Under Execution Quality Disclosure Rule |
| 2001-79 | Jul 31, 2001 | SEC Extends Comment Period on the NASDAQ Stock Market Inc.'s Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 to August 29,2001 |
| 2001-78 | Jul 30, 2001 | Bank of America Corp. Agrees to Commission Order Finding That It Violated Reporting and Disclosure Requirements |
| 2001-77 | Jul 26, 2001 | Lynn E. Turner, Chief Accountant, To Leave the SEC |
| 2001-76 | Jul 26, 2001 | Commission Staff Issues Legal Bulletin on Rule 14a-8
See Also:
Staff Legal Bulletin 14 |
| 2001-75 | Jul 24, 2001 | Bank of Bermuda Agrees to $67.5 Million Proposed Settlement in Lawsuits Arising from SEC Action Shutting Down Cash 4 Titles Ponzi Scheme |
| 2001-74 | Jul 18, 2001 | SEC Files Financial Fraud Action Against Current and Former Senior Officers and Directors of American Bank Note Corporation, and Former Senior Officers and Directors of American Bank Note Holographics, Inc.; Fraud Suits Instituted and Settled Against American Bank Note Corporation, American Bank Note Holographics, Inc., and Others |
| 2001-73 | Jul 18, 2001 | SEC Further Extends Time for Banks to Comply With Gramm-Leach-Bliley Act Broker-Dealer Registration Requirements and Extends Comment Period |
| 2001-72 | Jul 17, 2001 | Independence Standards Board To Cease Operations After Making Major Contributions to the Resolution of Difficult and Longstanding Auditor Independence Issues |
| 2001-71 | Jul 16, 2001 | Steve Crimmins, Deputy Chief Litigation Counsel in the Division of Enforcement, Leaves the Commission After Fourteen Years of Service |
| 2001-70 | Jul 16, 2001 | Memorial Service for Former Commissioner Paul R. Carey |
| 2001-69 | Jul 12, 2001 | Stephen M. Cutler Named Acting Director of the Division of Enforcement |
| 2001-68 | Jul 10, 2001 | Richard H. Walker, Director of Enforcement, To Leave the SEC; Ten-Year Tenure at Commission Also Includes Service as General Counsel and Director of Northeast Regional Office |
| 2001-67 | Jul 6, 2001 | Commission Staff Issues Accounting Bulletin on Selected Loan Loss Allowance Methodology and Documentation Issues
See Also:
SAB 102 |
|
| 2001-66 | Jun 28, 2001 | SEC Cautions Investors About Analyst Recommendations; Investor alert provides tips forassessing analyst recommendations and decodes commonly used disclosures
See Also:
Investor Alert: Analyzing Analyst Recommendations |
| 2001-65 | Jun 27, 2001 | SEC and Regulators from Around the World Conduct a Second International Surf Day |
| 2001-64 | Jun 22, 2001 | Commission Issues One-Month Exemption from Public Reporting Requirements of Order Execution Quality Disclosure Rule for Listed Securities; Provides Additional Written Guidance on Implementation of Rule
See Also:
SLB 12A |
| 2001-63 | Jun 22, 2001 | Commission Provides Written Guidance on Implementation of Rule 11ac1-6
See Also:
SLB 13 |
| 2001-62 | Jun 19, 2001 | Arthur Andersen LLP Agrees to Settlement Resulting in First Antifraud Injunction in More Than 20 Years and Largest-Ever Civil Penalty – of $7 Million – in SEC Enforcement Action Against a Big Five Accounting Firm; SEC Finds That Andersen's Audit Reports on Financial Statements for Waste Management, Inc. Were Materially False and Misleading and That Andersen Engaged in Improper Professional Conduct; Three Andersen Partners Also Consent to Entry of Antifraud Injunctions and Monetary Penalties and Settle Related Administrative Proceedings; a Fourth Andersen Partner, a Regional Practice Director, Settles Administrative Proceedings for Improper Professional Conduct |
| 2001-61 | Jun 14, 2001 | SEC Mourns Passing of Commissioner Paul R. Carey |
| 2001-60 | Jun 13, 2001 | Securities and Exchange Commission Accepts Offers of Settlement in All-Tech Case |
| 2001-59 | Jun 4, 2001 | Onnig Dombalagian Named Attorney-Fellow in the Office of Market Supervision, Division of Market Regulation |
| 2001-58 | Jun 1, 2001 | Margaret Henry Appointed Attorney-Fellow in Office of Municipal Securities |
| 2001-57 | May 31, 2001 | Valerie Caproni, Director of the Commission's Pacific Regional Office, To Leave the Commission |
| 2001-56 | May 30, 2001 | SEC Headquarters Lease |
| 2001-55 | May 25, 2001 | SEC Announces Appointment of Glenn S. Gordon as Deputy Regional Director |
| 2001-54 | May 23, 2001 | SEC, State Securities Regulators Announce Investors Town Meeting in Norfolk, Virginia on June 6 |
| 2001-53 | May 23, 2001 | Footwear Designer Steve Madden Settles SEC Fraud Charges; Madden Barred for Seven Years From Serving as Officer or Director of Any Public Company; Madden To Pay $7.8 Million In Disgorgement, Interest and Penalties; Settlement Includes New Insider Trading Charges |
| 2001-52 | May 21, 2001 | Commission Moves Up Completion Date for Investor Survey |
| 2001-51 | May 17, 2001 | SEC Announces Agenda and List of Participants for Portals Roundtable |
| 2001-50 | May 17, 2001 | Marisa Lago, Director of the Office of International Affairs, To Leave SEC |
| 2001-49 | May 15, 2001 | SEC Sues Former CEO, CFO and Other Top Former Officers of Sunbeam Corporation in Massive Financial Fraud; Complaint Also Charges Former Arthur Andersen Engagement Partner With Fraud; Company and Its Former General Counsel Settle Related Administrative Proceedings |
| 2001-48 | May 11, 2001 | SEC Adopts New Rules Addressing the Bank Exceptions to Broker-Dealer Registration in the Gramm-Leach-Bliley Act |
| 2001-47 | May 10, 2001 | CFTC and SEC Propose Joint Rules Relating to Security Futures Products |
| 2001-46 | May 10, 2001 | Vivek Mande Appointed Academic Accounting Fellow, Office of Economic Analysis |
| 2001-45 | May 10, 2001 | Steven Henning Appointed Academic Accounting Fellow, Office of the Chief Accountant |
| 2001-44 | May 10, 2001 | Betty Chavis Appointed Academic Accounting Fellow, Division of Corporation Finance |
| 2001-43 | May 8, 2001 | SEC Sues Chairman of Grupo Mexicano de Desarrollo, and 15 Relatives, Family Friends and Trading Entities for Massive Insider Trading; Defendants Made Profits of Over $3.7 Million; Settling Defendants To Pay Over $4.7 Million in Disgorgement and Penalties; U.S. Attorney Files Criminal Charges |
| 2001-42 | May 3, 2001 | Securities and Exchange Commission To Hold Portals Roundtable |
| 2001-41 | May 3, 2001 | SEC Acting Chairman Laura S. Unger Launches Online Investor Survey |
| 2001-40 | Apr 30, 2001 | SEC Acting Chairman Laura S. Unger to Address Investors May 6th in Keynote Speech at LosAngeles Times Investment Strategies Conference & Expo |
| 2001-39 | Apr 20, 2001 | SEC Announces Eleventh Annual International Institute |
| 2001-38 | Apr 19, 2001 | SEC Introduces Margin Calculator; Web-Based Tool Will Help Investors Quantify Margin Investing Costs and Risks |
| 2001-37 | Apr 17, 2001 | SEC Releases Statement on Extensions of Compliance Date for Gramm-Leach-Bliley Act Broker-Dealer Registration Requirements |
| 2001-36 | Apr 12, 2001 | Commission Issues Three-Month Exemption for NASDAQ Securities From Order Execution Quality Disclosure Rule |
| 2001-35 | Apr 12, 2001 | SEC Announces Agenda and List of Participants for Regulation FD Roundtable |
|
| 2001-34 | Mar 27, 2001 | SEC Encourages Registrants To Consider Recommendations of Working Group on Public Disclosure
See Also:
Report of the Working Group on Public Disclosure, in PDF format |
| 2001-33 | Mar 22, 2001 | Media Advisory: SEC to Hold Fair Disclosure Roundtable |
| 2001-32 | Mar 21, 2001 | Exemptive Order Issued Governing Employee Stock Option Exchange Offers |
| 2001-31 | Mar 16, 2001 | SEC Releases Statement On Compliance Date for Gramm-Leach-Bliley Act Requirements |
| 2001-30 | Mar 16, 2001 | Commission Extends Initial Compliance Date of Trade-Through Disclosure Rule |
| 2001-29 | Mar 15, 2001 | Acting Chairman Unger Sends Letter to Chairman Michael G. Oxley Concerning Investor and Capital Markets Fee Relief Act |
| 2001-28 | Mar 15, 2001 | SEC Sends Letter to Heads of Signatories to the 1993 Voluntary Initiative on Political Contributions by Municipal Securities Market Participants |
| 2001-27 | Mar 13, 2001 | Commission Extends Initial Compliance Date of Order Execution Quality Disclosure Rule and Provides Written Guidance on Implementation of Rule |
| 2001-26 | Mar 8, 2001 | SEC Settles Securities Fraud Action Against "Tokyo Joe"; Internet Stock Picker Required To GiveUp All Illegal Profits, Pay a Penalty of More Than $400,000 and Consent to the Entry of an Anti-Fraud Injunction |
| 2001-25 | Mar 8, 2001 | SEC, U.S. Attorney, FBI, NY Attorney General Announce Charges in Boiler-Room Case Which Includes Alleged Associates of Organized Crime |
| 2001-24 | Mar 1, 2001 | SEC Charges 23 Companies and Individuals in Cases Involving Broad Spectrum of Internet Securities Fraud; Nationwide Crackdown Continues With Fifth Internet "Sweep"; Total Number of Internet Cases Filed Now Stands at Over 200 |
| 2001-23 | Feb 27, 2001 | Joseph C. Lombard, Senior Counsel to Former Chairman Arthur Levitt, To Leave Commission |
| 2001-22 | Feb 26, 2001 | SEC Launches Modernized Website; New Site Includes Improved Search Engines and Navigation Features |
| 2001-21 | Feb 16, 2001 | SEC Announces Selection of Madeleine McGrath Blake as Associate District Administrator of the Commission's Boston District Office |
| 2001-20 | Feb 12, 2001 | Laura S. Unger Designated as Acting Chairman |
| 2001-19 | Feb 6, 2001 | Public Affairs Director Chris Ullman Departs Commission for Office of Management and Budget |
| 2001-18 | Jan 25, 2001 | SEC Staff Report Summarizes Findings From Recent Examinations of Broker-Dealers Offering OnlineTrading |
| 2001-17 | Jan 25, 2001 | SEC Chairman Arthur Levitt Congratulates IASC on Selection of New Board Members |
| 2001-16 | Jan 19, 2001 | SEC Requires Disclosure of Mutual Fund After-Tax Returns |
| 2001-15 | Jan 19, 2001 | Karen Buck Burgess Named Senior Adviser for Office of Compliance Inspections andExaminations |
| 2001-14 | Jan 17, 2001 | SEC Adopts Rule Prohibiting Misleading Mutual Fund Names |
| 2001-13 | Jan 17, 2001 | Commission Staff Provides Written Guidance on the Application of Revised Rules on Auditor Independence |
| 2001-12 | Jan 12, 2001 | David B. Smith, Jr. Named Associate Director (Public Utility and Investment Company Regulation) of the Division of Investment Management |
| 2001-11 | Jan 12, 2001 | Cynthia M. Fornelli Named Deputy Director of the Division of Investment Management |
| 2001-10 | Jan 11, 2001 | SEC Chairman Levitt Urges Investor Advocates and Institutional Investors To Weigh in as Nasdaq Considers New Shareholder Dilution Rules |
| 2001-9 | Jan 10, 2001 | Mark K. Schonfeld Named Associate Director of the Commission's Northeast Regional Office |
| 2001-8 | Jan 10, 2001 | SEC Staff Releases Report on Mutual Fund Fees |
| 2001-6 | Jan 8, 2001 | SEC Releases Staff Report on Order Execution Quality; Comparison of Matched Pairs of Nasdaq and NYSE Securities Indicates Spreads on Nasdaq Are Wider Than NYSE for All but Largest Company Securities |
| 2001-5 | Jan 7, 2001 | Chairman Levitt to Deliver Speech on Market Structure Issues; Staff Report on Order Execution Quality Available; Staff Briefing on Report and Speech |
| 2001-4 | Jan 5, 2001 | Levitt Sends Letter to Audit Committees |
| 2001-3 | Jan 5, 2001 | SEC Chairman Arthur Levitt Praises Former Chairman Ruder's Efforts to Educate Mutual Fund Directors |
| 2001-2 | Jan 4, 2001 | Levitt to Conduct Final Investors Town Meeting in Philadephia on January 16, 2001 |
| 2001-1 | Jan 3, 2001 | SEC Adopts Rules Designed to Enhance Effectiveness of Mutual Fund Directors |
