| Release No. |
Date |
Details |
| Fourth Quarter |
| 2005-183 |
Dec. 30, 2005 |
Larry Bergmann, Senior Associate Director in the Division of Market Regulation, to Retire from SEC |
| 2005-182 |
Dec. 22, 2005 |
SEC Charges Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride in Fraudulent Market Timing and Late Trading Scheme
See also: Administrative Proceeding Release No. 33-8648 |
| 2005-181 |
Dec. 21, 2005 |
SEC Sues NCFE Executives for Role in $2.6 Billion Fraud |
| 2005-180 |
Dec. 21, 2005 |
Lawrence A. West, Associate Director of Enforcement, to Leave Commission |
| 2005-179 |
Dec. 19, 2005 |
Chairman Cox Urges Software Industry to Speed Interactive Data Adoption |
| 2005-178 |
Dec. 19, 2005 |
SEC Charges Two with Insider Trading in Advance of Announcement of Howard Stern's Sirius Deal
See also: Litigation Release No. 19499 |
| 2005-177 |
Dec. 15, 2005 |
Meeting Between Chairman Christopher Cox and CESR Chairman Arthur Docters van Leeuwen |
| 2005-176 |
Dec. 14, 2005 |
SEC Votes to Propose Rules on Tender Offers, Foreign Issuer Deregistration; Also Votes to Adopt Filing Acceleration Changes |
| 2005-175 |
Dec. 8, 2005 |
SEC Advisory Committee on Smaller Public Companies Publishes Agenda for December 14 Meeting |
| 2005-174 |
Dec. 7, 2005 |
Nancy Morris To Become Secretary of U.S. Securities and Exchange Commission |
| 2005-173 |
Dec. 6, 2005 |
Meyer Eisenberg, Deputy General Counsel and Acting Director of Division of Investment Management, to Retire from SEC |
| 2005-172 |
Dec. 6, 2005 |
Michele Wein Layne Named Associate Regional Director and Co-Head of Enforcement in the SEC’s Pacific Regional Office |
| 2005-171 |
Dec. 2, 2005 |
SEC Names Bill Gradison Acting Chairperson; Approves PCAOB Appointment Procedures |
| 2005-170 |
Dec. 1, 2005 |
SEC Charges Millennium Partners, L.P., Israel Englander, and Others for Engaging In Fraudulent Market Timing Scheme
See also: Release No. 33-8639 |
| 2005-169 |
Dec. 1, 2005 |
American Express Financial Corporation, Now Known as Ameriprise Financial, Inc., to Pay $15 Million to Settle Market Timing Charges
See also: Release Nos. IA-2452 and IA-2451 |
| 2005-168 |
Dec. 1, 2005 |
American Express Financial Advisors (Now Known as Ameriprise Financial Services, Inc.) to Pay $30 Million to Settle Revenue Sharing Charges
See also: Release Nos. 33-8638 and 33-8637 |
| 2005-167 |
Nov. 30, 2005 |
Giovanni Prezioso, SEC General Counsel, to Leave the Commission |
| 2005-166 |
Nov. 29, 2005 |
SEC Votes to Propose Rule to Provide Investors with Internet Availability of Proxy Materials |
| 2005-165 |
Nov. 29, 2005 |
Lucile Corkery Named Associate District Administrator for Examinations in the SEC’s Boston District Office |
| 2005-164 |
Nov. 28, 2005 |
Three Federated Investors, Inc. Affiliates to Pay $72 Million to Settle Market Timing and Late Trading Charges
See also: Release No. 34-52839 |
| 2005-163 |
Nov. 23, 2005 |
Fee Rate Advisory #5 for Fiscal Year 2006 |
| 2005-162 |
Nov. 22, 2005 |
SEC Seeks Software Industry Help to Give Investors Access to Interactive Data |
| 2005-161 |
Nov. 18, 2005 |
Fee Rate Advisory #4 for Fiscal Year 2006 |
| 2005-160 |
Nov. 14, 2005 |
Scott Taub Designated as Acting Chief Accountant |
| 2005-159 |
Nov. 4, 2005 |
Andrew D. Bailey, Jr., Deputy Chief Accountant, U.S. Securities and Exchange Commission, to Leave SEC |
| 2005-158 |
Nov. 3, 2005 |
SEC Urges Investors to Protect Their Online Brokerage Accounts from Identity Thieves |
| 2005-157 |
Nov. 2, 2005 |
SEC Charges Seven Individuals with Aiding and Abetting Financial Fraud at Royal Ahold's U.S. Foodservice Subsidiary for Signing And Returning False Audit Confirmations
See also Litigation Release |
| 2005-156 |
Nov. 1, 2005 |
David B. Smith, Jr., Associate Director, Division of Investment Management, to Leave Commission |
| 2005-155 |
Nov. 1, 2005 |
SEC Files Emergency Action Against Estonian Traders to Stop Ongoing Fraudulent Hacking Scheme
See also Litigation Release |
| 2005-154 |
Oct. 27, 2005 |
Peter Bresnan and Walter Ricciardi Named Deputy Directors of the SEC's Division of Enforcement |
| 2005-153 |
Oct. 26, 2005 |
Statements of SEC Chief Accountant Donald Nicolaisen and Corporation Finance Division Director Alan Beller Regarding New COSO Guidance on Section 404 Compliance |
| 2005-152 |
Oct. 20, 2005 |
SEC Advisory Committee on Smaller Public Companies Plans Washington Meeting |
| 2005-151 |
Oct. 18, 2005 |
SEC Charges Electronic Market Centers Instinet, LLC and Inet ATS, Inc. with Violating Rule 11Ac1-5
See also Administrative Proceeding |
| 2005-150 |
Oct. 14, 2005 |
Joy Gaines Thompson Named Acting District Administrator of the SEC's Philadelphia District Office |
| 2005-149 |
Oct. 12, 2005 |
SEC Advisory Committee Identifies Witnesses for New York Meeting |
| 2005-148 |
Oct. 12, 2005 |
SEC Chairman Cox To Travel to Beijing, China |
| 2005-147 |
Oct. 12, 2005 |
Luis Mejia Named Chief Litigation Counsel of SEC's Division of Enforcement |
| 2005-146 |
Oct. 12, 2005 |
SEC Settles Securities Fraud Charges Against Theodore Sihpol
See also Litigation Release;
Administrative Proceeding |
| 2005-145 |
Oct. 7, 2005 |
SEC, NASAA Announce IARD System Fee Waiver |
| 2005-144 |
Oct. 6, 2005 |
Former KPMG Partner Pays $100,000 to Settle SEC Litigation Relating to Xerox Audits |
| 2005-143 |
Oct. 6, 2005 |
SEC Publishes Resources to Assist Public School Teachers |
| 2005-142 |
Oct. 4, 2005 |
SEC Chairman Announces New Help to Facilitate Payments to Victims of Hurricanes Katrina and Rita |
| 2005-141 |
Oct. 4, 2005 |
SEC Solicits Software Industry's Input for Helping Manage Interactive Financial Data |
| Third Quarter |
| 2005-140 |
Sep. 30, 2005 |
Fee Rate Advisory #3 for Fiscal Year 2006 |
| 2005-139 |
Sep. 29, 2005 |
SEC Charges Samuel Israel III, Daniel E. Marino, Bayou Management, and Bayou Funds For Defrauding Hedge Fund Investors and Misappropriating Investor Assets |
| 2005-138 |
Sep. 29, 2005 |
Ari Gabinet, District Administrator of the SEC's Philadelphia Office, to Leave the Commission |
| 2005-137 |
Sep. 27, 2005 |
Fee Rate Advisory #2 for Fiscal Year 2006 |
| 2005-136 |
Sep. 26, 2005 |
SEC Chairman Announces First National 'CCOutreach' Seminar |
| 2005-135 |
Sep. 23, 2005 |
Statements Regarding Announcement by PCAOB Chairman William Mcdonough of His Intention to Resign |
| 2005-134 |
Sep. 21, 2005 |
SEC Votes to Propose Changes in Filing Deadlines and Accelerated Filer Definition; Postpone 404 Compliance Date for Nonaccelerated Filers; Propose Issuing Section 28(e) Interpretive Guidance |
| 2005-133 |
Sep. 15, 2005 |
Advisory Committee and Small Business Forum Publish Meetings Agenda |
| 2005-132 |
Sep. 15, 2005 |
SEC Approves Regulatory Relief for Katrina Victims
See also Exemptive Order, Release No. 34-52444 |
| 2005-131 |
Sep. 14, 2005 |
SEC Among Best Places to Work in the Federal Government |
| 2005-130 |
Sep. 9, 2005 |
SEC Extends Time for Banks to Comply with Gramm-Leach-Bliley Act Broker Registration Requirements |
| 2005-129 |
Sep. 9, 2005 |
Statement of Chairman Christopher Cox Regarding Use of Market Instruments in Valuing Employee Stock Options |
| 2005-128 |
Sep. 9, 2005 |
SEC Provides Alternate Contact Information for Registered Investment Advisers Displaced by Hurricane Katrina |
| 2005-127 |
Sep. 7, 2005 |
Donald Nicolaisen, Chief Accountant, U.S. Securities and Exchange Commission, to Leave SEC |
| 2005-126 |
Sep. 6, 2005 |
Visiting Academic Scholars Appointed to the Office of Economic Analysis |
| 2005-125 |
Sep. 2, 2005 |
SEC Announces Assistance to Katrina Victims |
| 2005-124 |
Sep. 2, 2005 |
Revised Investor Education Funding Plan Approved |
| 2005-123 |
Aug. 31, 2005 |
James Clarkson Named Acting District Administrator of the SEC's Fort Worth District Office |
| 2005-122 |
Aug. 29, 2005 |
Statement of Donald Nicolaisen, SEC Chief Accountant, Regarding KPMG LLP Agreement with the U.S. Department of Justice |
| 2005-121 |
Aug. 29, 2005 |
Visiting Academic Scholars Named by the Office of Economic Analysis |
| 2005-120 |
Aug. 23, 2005 |
Katherine Addleman Named Associate District Administrator for Enforcement in the SEC's Fort Worth District Office |
| 2005-119 |
Aug. 23, 2005 |
SEC Charges Kmart's Former CEO and CFO with Financial Fraud |
| 2005-118 |
Aug. 22, 2005 |
Commission Charges Two Former Bristol-Myers Officers for Fraudulent Earnings Management Scheme |
| 2005-117 |
Aug. 17, 2005 |
SEC Charges Eight More In Reebok Insider Trading Case |
| 2005-116 |
Aug. 15, 2005 |
Harold Degenhardt, Head of the SEC's Fort Worth Office, to Leave the Commission |
| 2005-115 |
Aug. 15, 2005 |
SEC Holds 24th Annual Small Business Capital Formation Forum with Advisory Committee Meeting |
| 2005-114 |
Aug. 15, 2005 |
SEC Charges Four Brokers and Day Trader in Fraudulent "Squawk Box" Scheme |
| 2005-113 |
Aug. 8, 2005 |
SEC Charges Thomas W. Jones and Lewis E. Daidone with Fraud Relating to Creation of Affiliated Transfer Agent to Serve Citigroup Mutual Funds |
| 2005-112 |
Aug. 8, 2005 |
SEC XBRL Voluntary Program Extends to Investment Companies |
| 2005-111 |
Aug. 8, 2005 |
SEC Advisory Committee on Smaller Companies Publishes Agenda, Identifies Witness Panels, for Chicago Meeting |
| 2005-110 |
Aug. 8, 2005 |
Sandra Harris, Associate Regional Director and Co-Head of Enforcement for the SEC's Pacific Regional Office, to Leave the Commission |
| 2005-109 |
Aug. 5, 2005 |
SEC Files Emergency Action to Freeze Proceeds of Alleged Insider Trading in Reebok Securities |
| 2005-108 |
Aug. 4, 2005 |
SEC Announces Settlement with College Savings Plan for Untrue Statements and Omissions |
| 2005-107 |
Aug. 3, 2005 |
Christopher Cox Sworn in as SEC Chairman
See also Statement to SEC Staff; Webcast Archive |
| 2005-106 |
Aug. 2, 2005 |
Extension of Compliance Date for Rule 612, the Sub-Penny Rule, of Regulation NMS
See also Final Rule, Release No. 34-52196
|
| 2005-105 |
Aug. 2, 2005 |
SEC Advisory Committee on Smaller Public Companies Solicits Public Input on Ways to Improve the Current Regulatory System for Smaller Companies
See also Release No. 33-8599; Request for Input
|
| 2005-104 |
Jul. 21, 2005 |
Martha Peterson, Counselor to Former Chairman Donaldson, to Leave the Commission |
| 2005-103 |
Jul. 20, 2005 |
Settled Administrative Proceeding Against Canadian Imperial Bank of Commerce Subsidiaries |
| 2005-102 |
Jul. 19, 2005 |
Andrew McLelland Named Academic Accounting Fellow For SEC Division Of Corporation Finance |
| 2005-101 |
Jul. 18, 2005 |
SEC Charges Stock Promoters in Phony Fax Scam |
| 2005-100 |
Jul. 6, 2005 |
David Kornblau to Leave the Commission
|
| Second Quarter |
| 2005-99 |
Jul. 1, 2005 |
SEC Votes To Adopt Securities Act Rule Reform and Shell Company Regulations; Considers Matters Remanded by Court of Appeals
|
| 2005-98 |
Jul. 1, 2005 |
SEC Sues Online Adviser for Conduct Involving "Auto-Trading"
See also Litigation Release No. 19291 |
| 2005-97 |
Jun. 30, 2005 |
Joseph Hall, Managing Executive for Policy, to Leave SEC |
| 2005-96 |
Jun. 30, 2005 |
Peter Derby, Managing Executive for Operations and Management, Announces Intention to Leave the SEC |
| 2005-95 |
Jun. 30, 2005 |
Matt Well, Director of Public Affairs, to Leave the Commission |
| 2005-94 |
Jun. 30, 2005 |
Canadian KPMG and Two of Its Partners Settle SEC's Auditor Independence Charges
See also Administrative Proceeding 34-51946 |
| 2005-93 |
Jun. 28, 2005 |
SEC Charges Individuals with Fraudulent Scheme to Obtain Stock in NewAlliance Bankshares IPO
See also Litigation Release No. 19288 |
| 2005-92 |
Jun. 22, 2005 |
Office of the Chief Accountant Selects Two Professional Accounting Fellows |
| 2005-91 |
Jun. 15, 2005 |
SEC Staff Report on Off-Balance Sheet Arrangements, Special Purpose Entities and Related Issues
See also Staff Report |
| 2005-90 |
Jun. 14, 2005 |
SEC Advisory Committee on Smaller Companies Publishes Agenda, Names Witness Panels, for New York Meeting |
| 2005-89 |
Jun. 14, 2005 |
SEC Charges Ford Credit with Unlawful Marketing of "Ford Money Market Account"
See also Administrative Proceeding 33-8582 |
| 2005-88 |
Jun. 10, 2005 |
SEC Charges a Second Former Gen Re Executive for Aiding in AIG Securities Fraud
See also Litigation Release No. 19264 |
| 2005-87 |
Jun. 9, 2005 |
Former AremisSoft CEO Roys Poyiadjis Pays Approximately $200 Million in Settlement of SEC Fraud Case
See also Litigation Release No. 19259 |
| 2005-86 |
Jun. 9, 2005 |
SEC Sues Companies and Individuals Involved in a Ponzi Scheme that Raised Approximately $6 Million from 600 Haitian-American Investors Living in South Florida
See also Creole translation |
| 2005-85 |
Jun. 6, 2005 |
SEC Charges Gen Re Executive for Aiding in AIG Securities Fraud
See also Litigation Release No. 19245 |
| 2005-84 |
Jun. 2, 2005 |
SEC Charges Amerindo Investment Advisors and Its Co-Founders and Principals, Alberto W. Vilar and Gary A. Tanaka, with Fraud and Misappropriation of Client Funds
See also Litigation Release No. 19245 |
| 2005-83 |
Jun. 1, 2005 |
Statement by Commissioner Cynthia A. Glassman |
| 2005-82 |
Jun. 1, 2005 |
SEC Chairman William H. Donaldson to Step Down on June 30
See also Press Conference Webcast Archive |
| 2005-81 |
Jun. 1, 2005 |
U.S. Department of Labor and Securities and Exchange Commission Issue Guidance Addressing Potential Conflicts of Interest of Pension Consultants
See also Selecting and Monitoring Pension Consultants:
Tips for Plan Fiduciaries |
| 2005-80 |
May 31, 2005 |
Citigroup to Pay $208 Million to Settle Charges Arising from Creation of Affiliated Transfer Agent to Serve Its Proprietary Mutual Funds
See also Release No. 34-51761 |
| 2005-79 |
May 19, 2005 |
SEC Charges National Stock Exchange and Its CEO, David Colker, for Failure to Enforce Exchange Rules
See also Release Nos. 34-51714; LR-19229 |
| 2005-78 |
May 19, 2005 |
John B. Hoffmann and Kevin J. Mccaffrey Settle Enforcement Actions Based on Their Failure to Supervise Jack Grubman
See also Release No. 34-51713 |
| 2005-77 |
May 19, 2005 |
Settled SEC Actions Against Hedge Fund Advisers for Illegal Short Sale Activity
See also Release Nos. 34-51707; 34-51708; 34-51709 |
| 2005-76 |
May 18, 2005 |
SEC Charges Hedge Fund Manager Hilary Shane with Insider Trading and Unregistered Sales of Securities in Connection with “PIPE” Offering
See also Litigation Release No. 19227 |
| 2005-75 |
May 16, 2005 |
SEC Releases Staff Report Describing Findings from Examinations of Select Pension Consultants
See also Staff Report |
| 2005-74 |
May 16, 2005 |
Commission Statement on Implementation of Internal Control Reporting Requirements
See also Commission Statement |
| 2005-73 |
May 12, 2005 |
Linda Chatman Thomsen Named Director of the Division of Enforcement |
| 2005-72 |
May 9, 2005 |
SEC Staff to Begin Publicly Releasing Comment Letters and Responses |
| 2005-71 |
May 3, 2005 |
Chairman Donaldson Meets with Japan Minister of State for Financial Services Ito |
| 2005-70 |
May 3, 2005 |
SEC Sues Telemarketers for Fraudulent "Wrong Number" Stock Tips |
| 2005-69 |
Apr. 29, 2005 |
Fee Rate Advisory #1 for Fiscal Year 2006 |
| 2005-68 |
Apr. 28, 2005 |
SEC Sues Tyson Foods and Former Chairman Don Tyson for Misleading Disclosure of Perquisites |
| 2005-67 |
Apr. 26, 2005 |
Finance Researchers Encouraged to Study Regulation SHO Pilot that Starts May 2 |
| 2005-66 |
Apr. 26, 2005 |
SEC Charges Deloitte & Touche and Two of its Personnel for Failures in Their Audit of Just for Feet |
| 2005-65 |
Apr. 26, 2005 |
SEC Charges Deloitte & Touche for Adelphia Audit |
| 2005-64 |
Apr. 26, 2005 |
SEC Encourages Participation in Its XBRL Voluntary Program |
| 2005-63 |
Apr. 25, 2005 |
SEC and U.S. Attorney Settle Massive Financial Fraud Case Against Adelphia and Rigas Family for $715 Million |
| 2005-62 |
Apr. 21, 2005 |
Chairman Donaldson Meets with EU Internal Market Commissioner McCreevy |
| 2005-61 |
Apr. 21, 2005 |
SEC Charges Former SG Cowen Managing Director with Insider Trading and Fraud in Connection with "PIPE" Offerings |
| 2005-60 |
Apr. 20, 2005 |
Office of the Chief Accountant Selects Two Professional Accounting Fellows |
| 2005-59 |
Apr. 19, 2005 |
KPMG Pays $22 Million to Settle SEC Litigation Relating to Xerox Audits |
| 2005-58 |
Apr. 18, 2005 |
The Coca-Cola Company Settles Antifraud and Periodic Reporting Charges Relating to its Failure to Disclose Japanese Gallon Pushing |
| 2005-57 |
Apr. 14, 2005 |
Commission Amends Compliance Dates for FASB Statement No. 123R on Employee Stock Options |
| 2005-56 |
Apr. 14, 2005 |
Enforcement Director Stephen M. Cutler to Leave Commission |
| 2005-55 |
Apr. 13, 2005 |
SEC Adopts Amendments to Form 20-F Related to the First-Time Adoption of International Financial Reporting Standards |
| 2005-54 |
Apr. 12, 2005 |
SEC Institutes Enforcement Action Against 20 Former New York Stock Exchange Specialists Alleging Pervasive Course of Fraudulent Trading |
| 2005-53 |
Apr. 12, 2005 |
SEC Charges the New York Stock Exchange with Failing to Police Specialists |
| 2005-52 |
Apr. 7, 2005 |
SEC Obtains Court Order Against Maurice Greenberg, C.V. Starr and AIG To Protect Documents in Ongoing Investigation |
| 2005-51 |
Apr. 7, 2005 |
SEC Settles Charges Against Easylink Services Corporation and its Former CFO for Overstating Advertising Barter Revenue |
| 2005-50 |
Apr. 7, 2005 |
SEC Announces Panelists for April 13th Roundtable on Implementation of Internal Control Reporting Provisions |
| 2005-49 |
Apr. 7, 2005 |
SEC Issues Guidance Regarding Prohibited Conduct in Connection with IPO Allocations |
| 2005-48 |
Apr. 7, 2005 |
SEC Adopts Regulation NMS and Provisions Regarding Investment Advisers Act of 1940 |
| 2005-47 |
Apr. 5, 2005 |
Connecticut Department of Banking and SEC Announce Enforcement Actions Against David M. Faubert |
| 2005-46 |
Apr. 1, 2005 |
SEC Names Meyer Eisenberg Acting Director of Division of Investment Management |
| First Quarter |
| 2005-45 |
Mar. 30, 2005 |
Scott Friestad Named Associate Director of SEC's Division of Enforcement |
| 2005-44 |
Mar. 29, 2005 |
Cheryl Linthicum, Mark Taylor and Teri Yohn Named Academic Accounting Fellows in SEC Office of the Chief Accountant |
| 2005-43 |
Mar. 29, 2005 |
SEC's Office of the Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin 107 |
| 2005-42 |
Mar. 28, 2005 |
Northeast Regional Office Announces Move to World Financial Center; State of the Art Facilities Will Support Office Mission and Accommodate Increased Staff |
| 2005-41 |
Mar. 24, 2005 |
SEC Files Settled Regulation FD Charges Against Flowserve Corporation, Its Chief Executive Officer, and Director of Investor Relations |
| 2005-40 |
Mar. 23, 2005 |
Mutual Fund Manager Putnam Pays $40 Million Fine to Settle SEC Enforcement Action |
| 2005-39 |
Mar. 23, 2005 |
Citigroup Pays $20 Million to Settle SEC Action Relating to Mutual Fund Sales Practices |
| 2005-38 |
Mar. 21, 2005 |
SEC Charges Time Warner with Fraud, Aiding and Abetting Frauds by Others, and Violating a Prior Cease-and-Desist Order; CFO, Controller, and Deputy Controller Charged with Causing Reporting Violations |
| 2005-37 |
Mar. 16, 2005 |
Court Appoints Attorney Lee S. Richards Independent Examiner for Computer Associates International, Inc. |
| 2005-36 |
Mar. 15, 2005 |
SEC Charges Former Qwest CEO Joseph Nacchio and Eight Others with Massive Financial Disclosure Fraud |
| 2005-35 |
Mar. 14, 2005 |
CFTC and SEC Announce $50 Million Distribution to Former Customers of Princeton Economics International, Ltd., and Princeton Global Management, Ltd. |
| 2005-34 |
Mar. 9, 2005 |
Spencer Barasch, Head of Enforcement for the SEC's Fort Worth Office, to Leave the Commission |
| 2005-33 |
Mar. 9, 2005 |
SEC Charges Two Friends of Former Imclone CEO Samuel Waksal with Insider Trading |
| 2005-32 |
Mar. 9, 2005 |
SEC Charges Floor Clerk at NYSE With Alerting Trader to Large Orders in Return for Cash Payments |
| 2005-31 |
Mar. 8, 2005 |
SEC Extends Time for Banks to Comply with Gramm-Leach-Bliley Act Broker Registration Requirements |
| 2005-30 |
Mar. 7, 2005 |
SEC Chairman Donaldson Announces Members of Advisory Committee on Smaller Public Companies |
| 2005-29 |
Mar. 7, 2005 |
Daniel Hawke Named Associate District Administrator for Enforcement in the SEC's Philadelphia District Office |
| 2005-28 |
Mar. 4, 2005 |
SEC Adopts Mutual Fund Redemption Fee Rule, Proposes Rule to Define "NRSRO", Approves PCAOB Budget and Reviews FASB Accounting Support Fee |
| 2005-27 |
Mar. 3, 2005 |
SEC Obtains Emergency Relief Against Palm Beach, Florida, Hedge Funds for $81 Million Fraudulent Offerings |
| 2005-26 |
Mar. 3, 2005 |
Commission Announces Completion of Independent Assessment Consultant's Report on Losses Attributable to Market Timing and Excessive Short-Term Trading by Putnam Employees |
| 2005-25 |
Mar. 2, 2005 |
Extension of Compliance Dates for Non-Accelerated Filers and Foreign Private Issuers Regarding Internal Control Over Financial Reporting Requirements |
| 2005-24 |
Mar. 1, 2005 |
SEC Announces Reopening of Comment Period for Point of Sale and Confirmation Disclosure Requirements |
| 2005-23 |
Mar. 1, 2005 |
SEC Sues the Titan Corporation for Payments to Election Campaign of Benin President |
| 2005-22 |
Mar. 1, 2005 |
Fee Rate Advisory #7 for Fiscal Year 2005 |
| 2005-21 |
Feb. 24, 2005 |
Chairman Donaldson Announces New Appointments |
| 2005-20 |
Feb. 22, 2005 |
Commission Seeks Feedback and Announces Date of Roundtable on Implementation of Sarbanes-Oxley Internal Control Provisions
Comments received are available for this proposal.
 Click to submit comments on 4-497 |
| 2005-19 |
Feb. 22, 2005 |
Statement of SEC Chairman William H. Donaldson |
| 2005-18 |
Feb. 18, 2005 |
Paul F. Roye, Director of the Division of Investment Management, Announces Intention to Leave the SEC |
| 2005-17 |
Feb. 16, 2005 |
SEC Files Emergency Action to Halt Ongoing Fraud by Northshore Asset Management and Its Principals |
| 2005-16 |
Feb. 9, 2005 |
Banc of America Capital Management, BACAP Distributors and Banc of America Securities to Pay $375 Million, Exit Mutual Fund Clearing Business, and Make Other Remedial Reforms to Settle SEC Market Timing and Late Trading Charges |
| 2005-15 |
Feb. 9, 2005 |
Fleet's Columbia Mutual Fund Adviser and Distributor to Pay $140 Million to Settle SEC Fraud Charges for Undisclosed Market Timing |
| 2005-14 |
Feb. 9, 2005 |
SEC Issues Report of Investigation Regarding NASDAQ, as Overseen by Its Parent, NASD, Arising Out of Investigation of Suspicious Trading Activity and Net Capital Violations By MarketXT |
| 2005-13 |
Feb. 7, 2005 |
Commission Announces Roundtable on Internal Control Reporting Requirements |
| 2005-12 |
Feb. 3, 2005 |
SEC Adopts Rule Establishing a Voluntary Program for Reporting Financial Information on EDGAR Using XBRL |
| 2005-11 |
Jan. 31, 2005 |
SEC Announces Implementation of Real-Time Price Transparency in the Municipal Market |
| 2005-10 |
Jan. 25, 2005 |
SEC Sues Morgan Stanley and Goldman Sachs for Unlawful IPO Allocation Practices |
| 2005-9 |
Jan. 19, 2005 |
Former ImClone CEO Samuel Waksal and Father to Settle SEC Insider Trading Case |
| 2005-8 |
Jan. 19, 2005 |
Patrick Von Bargen, Managing Executive for Policy and Staff, to Leave Commission |
| 2005-7 |
Jan. 13, 2005 |
Nine Individuals Charged by the Securities And Exchange Commission with Aiding and Abetting Financial Fraud at Royal Ahold's U.S. Foodservice Subsidiary for Signing and Returning False Audit Confirmations |
| 2005-6 |
Jan. 13, 2005 |
SEC Charges Google and its General Counsel David C. Drummond with Failure to Register Over $80 Million in Employee Stock Options Prior to IPO |
| 2005-5 |
Jan. 11, 2005 |
SEC Extends Comment Period for SRO Proposed Rulemaking |
| 2005-4 |
Jan. 11, 2005 |
Two Former Registered Representatives of a Boca Raton Broker-Dealer/Investment Adviser Settle Sec Charges in Connection with Fraudulent Mutual Fund Market Timing and Late Trading Activities |
| 2005-3 |
Jan. 10, 2005 |
SEC Brings Fraud Charges Against Former CBS Marketwatch Columnist Thom Calandra for Illegal Trading Scheme |
| 2005-2 |
Jan. 10, 2005 |
Southwest Securities to Pay $10 Million to Settle SEC and NYSE Supervision Charges, Relating to Fraudulent Market Timing and Late Trading by Southwest Registered Representatives |
| 2005-1 |
Jan. 4, 2005 |
SEC Charges TV Azteca And Its Chairman - Ricardo Salinas Pliego - with Fraudulent Scheme to Conceal Salinas' $109 Million Windfall Through Related Party Transactions |
