| Release No. |
Date |
Details |
| Fourth Quarter |
| 2008-308 |
Dec. 31, 2008 |
Peter Kiernan, Deputy Director of Legislative and Intergovernmental Affairs, Retires from SEC After 40 Years of Service |
| 2008-307 |
Dec. 30, 2008 |
Congressionally-Mandated Study Says Improve, Do Not Suspend, Fair Value Accounting Standards
|
| 2008-306 |
Dec. 30, 2008 |
SEC Halts $23 Million Ponzi Scheme and Affinity Fraud Targeting Haitian-American Investors
See also: Litigation Release No. 20840
|
| 2008-305 |
Dec. 30, 2008 |
Susan Markel, Chief Accountant for Enforcement Division, to Leave SEC After 14 Years of Service
|
| 2008-304 |
Dec. 29, 2008 |
SEC Modernizes Oil and Gas Company Reporting Requirements to Provide Investors With More Meaningful and Comprehensive Disclosure
|
| 2008-303 |
Dec. 23, 2008 |
SEC Approves Exemptions to Allow Central Counterparty for Credit Default Swaps
|
| 2008-302 |
Dec. 22, 2008 |
SEC Files Settled Enforcement Actions Against UnitedHealth Group and Former General Counsel in Stock Options Backdating Case
See also: Litigation Release No. 20836
|
| 2008-301 |
Dec. 18, 2008 |
SEC Charges Wall Street Professionals and Others With Widespread Insider Trading
See also: Litigation Release No. 20831
|
| 2008-300 |
Dec. 18, 2008 |
SEC Approves Interactive Data for Financial Reporting by Public Companies, Mutual Funds
|
| 2008-299 |
Dec. 18, 2008 |
Statement From SEC Chairman Christopher Cox
|
| 2008-298 |
Dec. 17, 2008 |
SEC Improves Protections for Seniors and Other Investors in Equity-Indexed Annuities
|
| 2008-297 |
Dec. 16, 2008 |
Statement Regarding Madoff Investigation
|
| 2008-296 |
Dec. 15, 2008 |
SEC Charges National Lampoon, CEO Daniel Laikin, and Others for Wide-Ranging Market Manipulation Schemes
See also: Litigation Release No. 20828
|
| 2008-295 |
Dec. 15, 2008 |
Elizabeth Murphy Named Secretary of Securities and Exchange Commission
|
| 2008-294 |
Dec. 15, 2008 |
SEC Charges Siemens AG for Engaging in Worldwide Bribery
See also: Litigation Release No. 20829
|
| 2008-293 |
Dec. 11, 2008 |
SEC Charges Bernard L. Madoff for Multi-Billion Dollar Ponzi Scheme
See also: SEC Complaint
|
| 2008-292 |
Dec. 11, 2008 |
Zurich Financial Services, Converium Holding AG Settle Reinsurance Fraud Charges
See also: Litigation Release No. 20824
|
| 2008-291 |
Dec. 11, 2008 |
Former Fidelity Employees to Pay More Than $1 Million to Settle SEC Charges for Improperly Accepting Lavish Gifts Paid For by Brokers
|
| 2008-290 |
Dec. 11, 2008 |
SEC Finalizes ARS Settlements With Citigroup And UBS, Providing Nearly $30 Billion in Liquidity to Investors
See also: Litigation Release No. 20824
|
| 2008-289 |
Dec. 9, 2008 |
Charles Boucher Named SEC Chief Information Officer
|
| 2008-288 |
Dec. 9, 2008 |
SEC's Longest-Serving EEO Director Deborah K. Balducchi to Retire, Completing 35 Years of Public Service
|
| 2008-287 |
Dec. 8, 2008 |
SEC Charges Moscow-Based Broker Dealer for Violating Registration Requirements
See also: Administrative Proceeding No. 34-59067 and Order
|
| 2008-286 |
Dec. 8, 2008 |
SEC, MSRB: New Measures to Provide More Transparency Than Ever Before for Municipal Bond Investors
|
| 2008-285 |
Dec. 8, 2008 |
SEC Charges N.Y. Attorney Marc S. Dreier With Multi-Million Dollar Fraud
See also: Litigation Release No. 20823
|
| 2008-284 |
Dec. 3, 2008 |
SEC Approves Measures to Strengthen Oversight of Credit Rating Agencies
See also: NRSRO Fact Sheet
|
| 2008-283 |
Dec. 2, 2008 |
SEC Staff Reminds CEOs Of Registered Firms of Importance of Compliance Programs
See also: Open Letter to CEOs
|
| 2008-282 |
Dec. 2, 2008 |
Donald M. Hoerl Named Regional Director Of SEC's Denver Regional Office
|
| 2008-281 |
Nov. 25, 2008 |
SEC Chief Accountant Conrad Hewitt to Leave SEC
|
| 2008-280 |
Nov. 24, 2008 |
Alexander F. Cohen, Deputy Chief of Staff, Leaving SEC |
| 2008-279 |
Nov. 24, 2008 |
SEC Chairman Cox Statement on Meeting of IOSCO Technical Committee
|
| 2008-278 |
Nov. 20, 2008 |
SEC Chairman Cox to Convene Meeting of International Regulators
|
| 2008-277 |
Nov. 20, 2008 |
General Counsel Brian Cartwright Leaving SEC to Return to Private Sector
|
| 2008-276 |
Nov. 19, 2008 |
SEC Announces Panelists and Agenda for Mark-to-Market Accounting Roundtable
|
| 2008-275 |
Nov. 19, 2008 |
SEC Improves Disclosure for Mutual Fund Investors
|
| 2008-274 |
Nov. 18, 2008 |
SEC Charges Banker and Brokerage Executives With Multi-Million Dollar Financial Fraud
See also: Litigation Release No. 20811
|
| 2008-273 |
Nov. 17, 2008 |
SEC Files Insider Trading Charges Against Mark Cuban
See also: Litigation Release No. 20810
|
| 2008-272 |
Nov. 14, 2008 |
SEC Prevails in Trial Against Michael W. Crow for Unlawfully Controlling Registered Broker-Dealer
See also: Litigation Release No. 20809
|
| 2008-271 |
Nov. 14, 2008 |
SEC Announces November 21 Roundtable on Mark-to-Market Accounting
|
| 2008-270 |
Nov. 14, 2008 |
SEC Announces Panelists, Agenda for Small Business Forum
|
| 2008-269 |
Nov. 14, 2008 |
SEC Chairman Cox Statement on MOU With Federal Reserve, CFTC to Address Credit Default Swaps
|
| 2008-268 |
Nov. 13, 2008 |
SEC Completes 14th Annual International Institute For Securities Enforcement and Market Oversight
|
| 2008-267 |
Nov. 12, 2008 |
SEC Charges N.C. Resident, Biltmore Financial Group for Operating Multi-Million Dollar Ponzi Scheme
See also: Litigation Release No. 20807
|
| 2008-266 |
Nov. 12, 2008 |
Blue Coat Systems and Former CFO Settle Charges of Stock Option Backdating
See also: Litigation Release No. 20801
|
| 2008-265 |
Nov. 6, 2008 |
John White, Director of Division of Corporation Finance, to Leave SEC After Leading Unprecedented Rulemaking to Enhance Disclosure to Investors
|
| 2008-264 |
Nov. 6, 2008 |
SEC Approves National Market System Plan for Selection and Reservation of Securities Symbols
|
| 2008-263 |
Nov. 6, 2008 |
SEC to Receive Diversity Award
|
| 2008-262 |
Nov. 4, 2008 |
Martin J. Murphy Named Associate Regional Director for Examinations in SEC's Los Angeles Regional Office
|
| 2008-261 |
Nov. 3, 2008 |
SEC Conducts Regional Securities Market Enforcement Program To Address Pyramid Schemes
|
| 2008-260 |
Oct. 30, 2008 |
SEC Charges Lazard Capital Markets, Former Employees for Improper Gifts and Entertainment to Fidelity Employees
See also: Administrative Proceeding Release Nos. 34-58880; 34-58881; 34-58882; 34-58883; 34-58884 |
| 2008-259 |
Oct. 30, 2008 |
SEC, NASAA Announce IARD System Fee Waiver
See also: Approval of Investment Adviser Registration Depository Filing Fees
|
| 2008-258 |
Oct. 30, 2008 |
SEC Sues Miami Resident for Conducting Multi-Million Dollar Ponzi Scheme
See also: Litigation Release No. 20794
|
| 2008-257 |
Oct. 29, 2008 |
Mutual Fund Regulatory Filings to Be Available to Investors Online
|
| 2008-256 |
Oct. 29, 2008 |
SEC Conducts Largest-Ever Regional Training Program With Capital Markets Board of Turkey
|
| 2008-255 |
Oct. 27, 2008 |
SEC Announces Panelists and Agenda for Mark-to-Market Accounting Roundtable
|
| 2008-254 |
Oct. 22, 2008 |
SEC Announces Fiscal 2008 Enforcement Results
|
| 2008-253 |
Oct. 21, 2008 |
SEC Announces Forum on Small Business Capital Formation
|
| 2008-252 |
Oct. 16, 2008 |
SEC Announces October 29 Roundtable on Mark-to-Market Accounting
Comments received are available for this proposal.
 Submit comments on 4-573
|
| 2008-251 |
Oct. 16, 2008 |
SEC Charges San Francisco Hedge Fund Adviser for "Portfolio Pumping"
See also: Administrative Proceeding No. IA-2802
|
| 2008-250 |
Oct. 15, 2008 |
SEC, FINRA Announce Second Annual CCOutreach BD National Seminar
|
| 2008-249 |
Oct. 10, 2008 |
Amy Edwards Named SEC Assistant Chief Economist
|
| 2008-248 |
Oct. 9, 2008 |
SEC Charges Former Duane Reade Executives with Accounting Fraud
See also: Litigation Release No. 20778
|
| 2008-247 |
Oct. 8, 2008 |
Bank of America Agrees in Principle to ARS Settlement
|
| 2008-246 |
Oct. 8, 2008 |
SEC Division of Enforcement Announces ARS Settlement in Principle With RBC Capital Markets Corp.
|
| 2008-245 |
Oct. 7, 2008 |
Former CBO Director Dan Crippen Named Senior Advisor to Chairman |
| 2008-244 |
Oct. 7, 2008 |
SEC Charges Beverly Hills Firm and Principal for Illegal Short Selling
See also: Litigation Release No. 20775
|
| 2008-243 |
Oct. 7, 2008 |
SEC Charges Former Vice President at Restoration Hardware and Three Friends In Insider Trading Scheme
See also: Litigation Release No. 20774
|
| 2008-242 |
Oct. 7, 2008 |
SEC Commences Work on Congressionally Mandated Study on Accounting Standards
See also: SEC Office of Chief Accountant, FASB Staff Clarifications on Fair Value Accounting
|
| 2008-241 |
Oct. 7, 2008 |
SEC Roundtable on More Transparent Disclosure to Address Lessons of Current Credit Crisis |
| 2008-240 |
Oct. 6, 2008 |
Jim Eastman Named Chief Counsel in Division of Trading and Markets |
| 2008-239 |
Oct. 6, 2008 |
SEC Charges Norman Hsu with Defrauding Investors in $60 Million Ponzi Scheme
See also: Litigation Release No. 20772
|
| 2008-238 |
Oct. 3, 2008 |
Statement of SEC Division of Trading and Markets
See also: SEC Statement on Short Selling (Oct. 1, 2008), Order Extending Emergency Order Halting Short Selling in Financial Stocks |
| 2008-237 |
Oct. 3, 2008 |
SEC Charges Five Brokers with Fraud in Sales of Unsuitable Securities Funded Through Subprime Mortgage Refinancings
See also: Litigation Release No. 20768
|
| 2008-236 |
Oct. 3, 2008 |
James Clarkson Named Acting Regional Director Of SEC's New York Regional Office
|
| 2008-235 |
Oct. 1, 2008 |
Statement of Securities and Exchange Commission Concerning Short Selling and Issuer Stock Repurchases |
| Third Quarter |
| 2008-234 |
Sep. 30, 2008 |
SEC Office of the Chief Accountant and FASB Staff Clarifications on Fair Value Accounting |
| 2008-233 |
Sep. 30, 2008 |
SEC Charges East Coast Supermarket Operator Penn Traffic With Accounting Fraud
See also: Litigation Release No. 20760
|
| 2008-232 |
Sep. 29, 2008 |
Fee Rate Advisory #2 for Fiscal Year 2009
|
| 2008-231 |
Sep. 26, 2008 |
Statement of Chairman Cox on IG Reports Regarding CSE Program
|
| 2008-230 |
Sep. 26, 2008 |
Chairman Cox Announces End of Consolidated Supervised Entities Program
|
| 2008-229 |
Sep. 25, 2008 |
SEC Announces $32 Million Fair Fund Distribution in Ameriprise Revenue Sharing Settlement
|
| 2008-228 |
Sep. 25, 2008 |
SEC Sues Miami Resident for Operating Fraudulent Day Trading Operation Targeting Hispanic Community
See also: Litigation Release No. 20746
|
| 2008-227 |
Sep. 25, 2008 |
SEC Seeks More Transparent Disclosure For Investors
|
| 2008-226 |
Sep. 25, 2008 |
SEC Charges California Biotechnology Company for Fraudulent Stock Scheme
See also: Litigation Release No. 20745
|
| 2008-225 |
Sep. 24, 2008 |
SEC Wins Major Hedge Fund Fraud Case Against Michael Lauer, Head of Lancer Management Group |
| 2008-224 |
Sep. 24, 2008 |
SEC Charges California Investment Adviser With Committing Fraud While Recommending Hedge Fund to Investors
See also: Litigation Release No. 20737 |
| 2008-223 |
Sep. 23, 2008 |
SEC Announces Fair Fund Distribution to Investors Harmed by Market Timing in Franklin-Templeton Funds |
| 2008-222 |
Sep. 23, 2008 |
AmSouth to Pay $11 Million for Improper, Undisclosed Use of Funds to Pay Marketing, Other Expenses
See also: Administrative Proceeding No. IA-2784A |
| 2008-221 |
Sep. 23, 2008 |
CCOutreach National Seminar to Help Enhance Compliance Programs for Protection of Investors |
| 2008-220 |
Sep. 22, 2008 |
Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors |
| 2008-219 |
Sep. 22, 2008 |
SEC Charges Former South Florida Broker for Defrauding Senior Citizens and Other Customers
See also: Litigation Release No. 20732 |
| 2008-218 |
Sep. 21, 2008 |
Statement of SEC Division of Trading and Markets Regarding Technical Amendments to Short Sale Order |
| 2008-217 |
Sep. 21, 2008 |
SEC Approves Amended Order Requiring Reporting of Short Positions by Certain Investment Managers |
| 2008-216 |
Sep. 20, 2008 |
Statement of SEC Division of Trading and Markets Regarding the Protection of Customer Assets |
| 2008-215 |
Sep. 20, 2008 |
SEC Acts To Support Swift Court Approval of Barclays Acquisition of Lehman Brothers, Inc. |
| 2008-214 |
Sep. 19, 2008 |
SEC Expands Sweeping Investigation of Market Manipulation |
| 2008-213 |
Sep. 19, 2008 |
Statement of SEC Division of Trading and Markets |
| 2008-212 |
Sep. 19, 2008 |
SEC Charges Unregistered Colorado Broker-Dealer for Fraud Harming Seniors
See also: Litigation Release No. 20728 |
| 2008-211 |
Sep. 19, 2008 |
SEC Halts Short Selling of Financial Stocks to Protect Investors and Markets
See also: Short Sales Rules; Form SH; and Form SH Instructions
|
| 2008-210 |
Sep. 18, 2008 |
Statement From SEC Chairman Christopher Cox |
| 2008-209 |
Sep. 17, 2008 |
Statements of SEC Chairman Christopher Cox and Enforcement Division Director Linda Thomsen Regarding Immediate Commission Actions to Combat Market Manipulation |
| 2008-208 |
Sep. 17, 2008 |
Outside Directors of Mercury Interactive Settle SEC Charges of Stock Option Backdating
See also: Litigation Release No. 20724 |
| 2008-207 |
Sep. 17, 2008 |
SEC Seniors Summit to Help Securities Firms and Professionals Better Serve Older Investors |
| 2008-206 |
Sep. 17, 2008 |
Statement on Proposed Lehman Brothers, Inc. Acquisition by Barclays |
| 2008-205 |
Sep. 17, 2008 |
SEC Issues Clarification on Accounting Issues Relating to Bank Support for Money Market Mutual Funds
|
| 2008-204 |
Sep. 17, 2008 |
SEC Issues New Rules to Protect Investors Against Naked Short Selling Abuses
|
| 2008-203 |
Sep. 16, 2008 |
SEC Seeks Recovery for Investors From California Firm That Invested in Ponzi Schemes
See also: Administrative Proceeding No. IA-2778 and Order |
| 2008-202 |
Sep. 15, 2008 |
SEC Charges Bogus PIPE Promoters in $52 Million Ponzi Scheme
See also: Litigation Release No. 20719 |
| 2008-201 |
Sep. 15, 2008 |
Home Builder's Former CEO to Pay More Than $7 Million for Stock Options Backdating
See also: Litigation Release No. 20717 |
| 2008-200 |
Sep. 15, 2008 |
SEC Charges Pasta Executives With Accounting Fraud
See also: Litigation Release No. 20715; Administrative Proceeding No. 34-58544 |
| 2008-199 |
Sep. 15, 2008 |
SEC Launches Voluntary Online Filing System for Form D to Reduce Burden on Smaller Companies |
| 2008-198 |
Sep. 15, 2008 |
Statement Regarding Recent Market Events and Lehman Brothers (Updated) |
| 2008-197 |
Sep. 14, 2008 |
Statement Regarding Recent Market Events and Lehman Brothers |
| 2008-196 |
Sep. 12, 2008 |
Statement of U.S. Securities and Exchange Commission |
| 2008-195 |
Sep. 11, 2008 |
SEC Chairman Cox Praises House Passage of Bill to Further Bolster SEC’s Gold Standard Law Enforcement |
| 2008-194 |
Sep. 11, 2008 |
Mark K. Schonfeld, Director of New York Regional Office, Leaving After 12 Years of Service at SEC |
| 2008-193 |
Sep. 11, 2008 |
SEC Charges LPL Financial for Failing to Protect Customer Privacy
See also: Administrative Proceeding No. 34-58515 |
| 2008-192 |
Sep. 10, 2008 |
Michael Dicke Named Associate Regional Director for Enforcement in SEC's San Francisco Regional Office |
| 2008-191 |
Sep. 9, 2008 |
SEC Charges Former Embarcadero Executives in Stock Option Backdating Scheme
See also: Litigation Release No. 20710 |
| 2008-190 |
Sep. 8, 2008 |
United Rentals, Inc. to Pay $14 Million to Settle Financial Fraud Charges
See also: Litigation Release No. 20706 |
| 2008-189 |
Sep. 3, 2008 |
SEC Charges Former CEO of Kellogg, Brown & Root, Inc. with Foreign Bribery
See also: Litigation Release No. 20700 |
| 2008-188 |
Sep. 3, 2008 |
Paul Beswick Named Deputy Chief Accountant for Professional Practice in SEC Office of the Chief Accountant |
| 2008-187 |
Sep. 3, 2008 |
SEC Charges Two Wall Street Brokers in $1 Billion Subprime-Related Auction Rate Securities Fraud
See also: Litigation Release No. 20698 |
| 2008-186 |
Sep. 2, 2008 |
SEC Announces Summit to Help Senior Investors Protect Assets |
| 2008-185 |
Aug. 28, 2008 |
SEC Charges Oil and Gas Well Operators for Defrauding Investors
See also: Litigation Release No. 20694 |
| 2008-184 |
Aug. 27, 2008 |
SEC Proposes Roadmap Toward Global Accounting Standards to Help Investors Compare Financial Information More Easily |
| 2008-183 |
Aug. 27, 2008 |
SEC Votes to Modernize Disclosure Requirements to Help U.S. Investors in Foreign Companies |
| 2008-182 |
Aug. 25, 2008 |
SEC, Australian Authorities Sign Mutual Recognition Agreement |
| 2008-181 |
Aug. 22, 2008 |
SEC Enforcement Division Announces Preliminary Settlement With Merrill Lynch to Help Auction Rate Securities Investors |
| 2008-180 |
Aug. 22, 2008 |
Statement of SEC Chairman Christopher Cox Regarding Today’s Circuit Court Decision |
| 2008-179 |
Aug. 19, 2008 |
SEC Announces Successor to EDGAR Database |
| 2008-178 |
Aug. 18, 2008 |
SEC Announces Fair Fund Distribution to Harmed Investors in Putnam Mutual Funds |
| 2008-177 |
Aug. 15, 2008 |
SEC Announces $18 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in Janus Mutual Funds |
| 2008-176 |
Aug. 15, 2008 |
Wachovia Agrees to Preliminary Auction Rate Securities Settlement That Would Offer Approximately $9 Billion to Investors
|
| 2008-175 |
Aug. 15, 2008 |
SEC Freezes Funds in Trans-Atlantic "Pump and Dump" Scheme
See also: Litigation Release No. 20684
|
| 2008-174 |
Aug. 13, 2008 |
SEC Announces Proposed Plan to Enhance Insider Trading Surveillance and Detection
See also: Release No. 34-58350 |
| 2008-173 |
Aug. 11, 2008 |
SEC Charges Defendants in $255 Million Ponzi-Type Scheme Involving Wextrust Capital, LLC and Other Wextrust Entities
See also: Litigation Release No. 20678 |
| 2008-172 |
Aug. 11, 2008 |
SEC Announces Distribution of $48 Million to Defrauded Vivendi Universal Investors |
| 2008-171 |
Aug. 8, 2008 |
UBS Securities LLC and UBS Financial Services, Inc. Agree in Principle to Auction Rate Securities Settlement |
| 2008-170 |
Aug. 7, 2008 |
SEC Announces Two New Anti-Money Laundering Compliance Initiatives |
| 2008-169 |
Aug. 7, 2008 |
SEC Charges Microcap Companies and Individuals for Improperly Raising Millions in Capital While Harming Investors
See also: Litigation Release No. 20673; Administrative Proceeding No. 33-8950; Administrative Proceeding No. 33-8951 and Order |
| 2008-168 |
Aug. 7, 2008 |
Citigroup Agrees in Principle to Auction Rate Securities Settlement
See also: Statement by Linda Chatman Thomsen |
| 2008-167 |
Aug. 1, 2008 |
Troy Paredes Sworn In as SEC Commissioner |
| 2008-166 |
Aug. 1, 2008 |
SEC Advisory Committee Makes Recommendations to Improve Financial Reporting for Investors |
| 2008-165 |
Aug. 1, 2008 |
SEC Announces Panelists, Agenda for August 4 Roundtable on Performance of IFRS, U.S. GAAP During Subprime Crisis |
| 2008-164 |
Aug. 1, 2008 |
SEC Action Halts Tire Recycling Scam
See also: Litigation Release No. 20666 |
| 2008-163 |
Jul. 31, 2008 |
Commission Reopens Comment Period on Proposal to Improve Mutual Fund Disclosure |
| 2008-162 |
Jul. 31, 2008 |
Zoe-Vonna Palmrose to Return to USC Professorship, Completing SEC Service as Deputy Chief Accountant |
| 2008-161 |
Jul. 31, 2008 |
Luis A. Aguilar Sworn in as SEC Commissioner |
| 2008-160 |
Jul. 30, 2008 |
SEC Proposes Guidance for Fund Boards in Oversight of Investment Adviser Trading of Portfolio Securities, Use of Soft Dollars |
| 2008-159 |
Jul. 30, 2008 |
SEC, MSRB Propose "Giant Step Forward" for Municipal Bond Investors |
| 2008-158 |
Jul. 30, 2008 |
SEC Provides Guidance to Open Up Use of Corporate Web Sites for Disclosures to Investors |
| 2008-157 |
Jul. 30, 2008 |
SEC Charges Mutual Fund Manager for Violating Socially Responsible Investing Restrictions
See also: Administrative Proceeding No. IA-2761 |
| 2008-156 |
Jul. 30, 2008 |
SEC Orders E*Trade Brokerage Firms to Comply With Anti-Money Laundering Rule
See also: Administrative Proceeding No. 34-58250 |
| 2008-155 |
Jul. 29, 2008 |
SEC Extends Order Limiting Naked Short Selling Through August 12
See also: Extension to Emergency Order |
| 2008-154 |
Jul. 29, 2008 |
SEC, Labor Department Enhance Efforts to Protect Retirement Savings and Investments
See also: Memorandum of Understanding |
| 2008-153 |
Jul. 29, 2008 |
William Schulz Named Director of Legislative and Intergovernmental Affairs |
| 2008-152 |
Jul. 29, 2008 |
Jonathan Burks, Director of Legislative and Intergovernmental Affairs, to Complete SEC Service and Pursue Graduate Studies |
| 2008-151 |
Jul. 29, 2008 |
SEC Announces Insider Trading Charges Against Former Chairman and CEO of Enron Energy Services
See also: Litigation Release No. 20658 and Complaint |
| 2008-150 |
Jul. 28, 2008 |
SEC Announces August 4 Roundtable on Performance of IFRS and U.S. GAAP During Subprime Crisis
Comments received are available for this proposal.
Submit comments on 4-564
|
| 2008-149 |
Jul. 25, 2008 |
SEC Emergency Action Freezes Assets of Unknown Purchasers in Insider Trading Scheme
See also: Litigation Release No. 20654 |
| 2008-148 |
Jul. 23, 2008 |
SEC Action Stops Hillsborough, Calif. Investment Adviser Defrauding Millions of Dollars From Clients
See also: Litigation Release No. 20653 |
| 2008-147 |
Jul. 22, 2008 |
SEC Charges Ann Arbor-Based Company and Former Executive in Accounting Fraud Scheme
See also: Litigation Release No. 20650 |
| 2008-146 |
Jul. 22, 2008 |
SEC Alerts Compliance Officers About Deficiencies and Weaknesses Found During Recent Compliance Examinations |
| 2008-145 |
Jul. 18, 2008 |
Freddie Mac Now SEC Reporting Company
See also: No-Action Letter |
| 2008-144 |
Jul. 16, 2008 |
SEC Charges Mayor of Beaufort, S.C., With Insider Trading in Stock of Biotech Company
See also: Litigation Release No. 20642 |
| 2008-143 |
Jul. 15, 2008 |
SEC Enhances Investor Protections Against Naked Short Selling
See also: Emergency Order |
| 2008-142 |
Jul. 14, 2008 |
Meridith Mitchell Named SEC Deputy General Counsel |
| 2008-141 |
Jul. 14, 2008 |
Greg Burton Named Corporation Finance Division Academic Accounting Fellow |
| 2008-140 |
Jul. 13, 2008 |
Securities Regulators to Examine Industry Controls Against Manipulation of Securities Prices Through Intentionally Spreading False Information |
| 2008-139 |
Jul. 11, 2008 |
Wayne Strumpfer Named to Head Investor Education Unit |
| 2008-138 |
Jul. 11, 2008 |
El Paso Corp., Subsidiaries, and Former Employees Settle SEC Charges for Fraudulently Overstating Oil and Gas Reserves
See also: Litigation Release No. 20642 |
| 2008-137 |
Jul. 9, 2008 |
Elisse B. Walter Sworn in as SEC Commissioner |
| 2008-136 |
Jul. 9, 2008 |
SEC Charges Sycamore Networks, Former Executives in Stock Options Backdating Case
See also: Litigation Release No. 20638 |
| 2008-135 |
Jul. 8, 2008 |
SEC Examinations Find Shortcomings in Credit Rating Agencies' Practices and Disclosure to Investors
See also: Examination Report
|
| 2008-134 |
Jul. 7, 2008 |
SEC, FRB Sign Agreement to Enhance Collaboration, Coordination and Information Sharing
|
| 2008-133 |
Jul. 3, 2008 |
SEC Publishes Regulatory Actions to Streamline SRO Rule Filing Process
See also: Final Rule Release No. 34-58092
|
| 2008-132 |
Jul. 2, 2008 |
Stewart Mayhew Named Deputy Chief Economist
|
| 2008-131 |
Jul. 2, 2008 |
SEC's Jacob Stillman Earns Prestigious Award for Outstanding Government Attorneys |
| 2008-130 |
Jul. 2, 2008 |
SEC Announces Panelists and Agenda for July 9 Roundtable on Fair Value Accounting Standards |
| 2008-129 |
Jul. 1, 2008 |
Dan Gallagher Named Deputy Director in Division of Trading and Markets |
| 2008-128 |
Jul. 1, 2008 |
SEC Charges Microtune and Former Officers for Stock Option Backdating and Other Fraudulent Conduct
See also: Litigation Release No. 20633 |
| 2008-127 |
Jul. 1, 2008 |
SEC Publishes Proposals to Increase Investor Protections by Reducing Reliance on Credit Ratings
See also: Proposed Rule Release Nos. 34-58070, 33-8940, IC-28327 |
| 2008-126 |
Jul. 1, 2008 |
SEC Chief Information Officer Corey Booth Completes SEC Service |
| Second Quarter |
| 2008-125 |
Jun. 27, 2008 |
Statement From Chairman Cox Regarding Senate Confirmation of SEC Commissioner Nominees |
| 2008-124 |
Jun. 27, 2008 |
SEC Proposes Amendments to Improve Regulation of Foreign Broker Activities in U.S.
See also: Proposed Rule Release No. 34-58047 |
| 2008-123 |
Jun. 26, 2008 |
SEC Moves to Protect Seniors from Fraudulent and Abusive Practices in Sale of Equity Indexed Annuities
See also: Proposed Rule Release No. 33-8933 |
| 2008-122 |
Jun. 26, 2008 |
SEC Proposes Rule Changes to Modernize Oil and Gas Reporting Requirements |
| 2008-121 |
Jun. 25, 2008 |
SEC Announces 100 Percent Return of Funds to Defrauded Spear & Jackson Investors
|
| 2008-120 |
Jun. 24, 2008 |
SEC Charges Scottrade for Misrepresentations to Customers
See also: Administrative Proceeding No. 34-58012 |
| 2008-119 |
Jun. 24, 2008 |
SEC Announces '21st Century Disclosure' Initiative to Fundamentally Rethink the Way Companies Report and Investors Acquire Information
|
| 2008-118 |
Jun. 23, 2008 |
SEC Announces $26 Million Fair Fund Distribution in Banc of America Securities LLC Settlement
|
| 2008-117 |
Jun. 20, 2008 |
SEC Announces July 9 Roundtable on Fair Value Accounting Standards
Comments received are available for this proposal.
Submit comments on 4-560
|
| 2008-116 |
Jun. 20, 2008 |
SEC Approves One-Year Extension for Small Businesses From Auditor Attestation Requirement in Sarbanes-Oxley Act
|
| 2008-115 |
Jun. 19, 2008 |
SEC Charges Two Former Bear Stearns Hedge Fund Managers With Fraud
See also: Litigation Release No. 20625 |
| 2008-114 |
Jun. 18, 2008 |
SEC Announces $103 Million Fair Fund Distribution to Investors Injured by Market Timing Involving Banc of America Capital Management and Affiliates |
| 2008-113 |
Jun. 18, 2008 |
Donald M. Hoerl Named Acting Regional Director of SEC's Denver Regional Office |
| 2008-112 |
Jun. 18, 2008 |
Authorities Responsible for Regulation of Public Companies Announce Next Steps Regarding the Creation of a Group to Interact with the International Accounting Standards Committee Foundation |
| 2008-111 |
Jun. 12, 2008 |
SEC Staff Recommends Commission Action to Modernize Oil and Gas Reporting Requirements
|
| 2008-110 |
Jun. 11, 2008 |
SEC Proposes Comprehensive Reforms to Bring Increased Transparency to Credit Rating Process |
| 2008-109 |
Jun. 5, 2008 |
Statement from SEC Chairman Cox Regarding New York Attorney General Agreement With Credit Rating Agencies
|
| 2008-108 |
Jun. 4, 2008 |
SEC to Host International Roundtable on Interactive Data
|
| 2008-107 |
Jun. 4, 2008 |
Steven B. Harris Appointed to Public Company Accounting Oversight Board
|
| 2008-106 |
Jun. 3, 2008 |
Chairman Cox to Convene SEC Chairmen Roundtable
|
| 2008-105 |
Jun. 3, 2008 |
SEC, CFTC Approve Trading of Futures and Option Contracts on Gold ETF
|
| 2008-104 |
Jun. 3, 2008 |
Chairman Cox, Director Thomsen Announce New Deputies in SEC's Enforcement Division |
| 2008-103 |
Jun. 2, 2008 |
SEC Announces Walter Ricciardi to Retire as Deputy Director of Enforcement Division |
| 2008-102 |
May 30, 2008 |
Analog Devices and CEO Settle Stock Option Backdating Charges
See also: Litigation Release No. 20604 and Administrative Proceeding No. 33-8923 |
| 2008-101 |
May 29, 2008 |
SEC Charges Former Ernst & Young Partner and Friend With Insider Trading
See also: Litigation Release No. 20603 |
| 2008-100 |
May 29, 2008 |
SEC Veteran Rosalind Tyson Tapped to Lead Los Angeles Region |
| 2008-99 |
May 29, 2008 |
SEC Promotes Long-Time Enforcement Attorney Marc Fagel to Director of San Francisco Region |
| 2008-98 |
May 29, 2008 |
Schedule Announced for Completion of U.S.-Canadian Mutual Recognition Process Agreement |
| 2008-97 |
May 28, 2008 |
SEC Halts Florida Clearing Firm's Fraudulent Use of Customer Funds
See also: Litigation Release No. 20602
|
| 2008-96 |
May 23, 2008 |
SEC Secretary Nancy Morris to Leave Commission
|
| 2008-95 |
May 23, 2008 |
SEC Signs Protocols for Sharing Information on International Accounting Standards |
| 2008-94 |
May 21, 2008 |
Mutual Fund Investors Could Get Access to "Comparison Shopping" Information |
| 2008-93 |
May 20, 2008 |
SEC Hosts Meeting of Takeover Regulators From Around the World
|
| 2008-92 |
May 19, 2008 |
Brooks Automation Settles SEC Charges of Stock Option Backdating
See also: Litigation Release No. 20584
|
| 2008-91 |
May 16, 2008 |
SEC Obtains $2.1 Million Emergency Asset Freeze and Charges Rome Resident Within Days of His Alleged Insider Trading
See also: Litigation Release No. 20581
|
| 2008-90 |
May 15, 2008 |
SEC Broadens Opportunities for Small Business Financing |
| 2008-89 |
May 15, 2008 |
Office of the Chief Accountant Names Academic Fellows |
| 2008-88 |
May 14, 2008 |
SEC, U.S. Attorney Charge Promoters of Real Estate Scheme Targeting African-American Community
|
| 2008-87 |
May 14, 2008 |
SEC Charges Four Current and Former Broadcom Officers for Backdating Options
See also: Litigation Release No. 20574 |
| 2008-86 |
May 14, 2008 |
SEC Charges Willbros Group and Former Employees with Foreign Bribery
See also: Litigation Release No. 20571 |
| 2008-85 |
May 14, 2008 |
SEC Proposes New Way for Investors to Get Financial Information on Companies |
| 2008-84 |
May 12, 2008 |
SEC Charges Trio of Fort Lauderdale-Area Doctors With Insider Trading
See also: Litigation Release No. 20564 |
| 2008-83 |
May 8, 2008 |
SEC Action Halts $72 Million International Internet Fraud Scheme
See also: Litigation Release No. 20563
|
| 2008-82 |
May 8, 2008 |
SEC Charges Marvell Technology Group For Stock Option Backdating
See also: Litigation Release No. 20559
|
| 2008-81 |
May 7, 2008 |
SEC Staff Recommends Commission Action to Facilitate Investment in Small Business
|
| 2008-80 |
May 7, 2008 |
SEC Stops Multi-Million Dollar Fictitious Currency Trading Program
|
| 2008-79 |
May 7, 2008 |
Alex Cohen, SEC Deputy General Counsel, Named Deputy Chief of Staff
|
| 2008-78 |
May 5, 2008 |
Commissioner Atkins Announces Intention to Leave SEC
|
| 2008-77 |
May 5, 2008 |
SEC Announces Start of Distribution Process in AIG Settlement; Court Approves Distribution Plan for $800 Million Fair Fund |
| 2008-76 |
May 5, 2008 |
SEC Obtains Asset Freeze, Halts Hedge Fund Fraud by Investment Adviser in San Diego
|
| 2008-75 |
May 2, 2008 |
The Tax Refund Check is in The Mail, With Investor Tips From the SEC
|
| 2008-74 |
May 2, 2008 |
SEC Halts Multi-Million Dollar Ponzi Scheme Exploiting Christian Communities
See also: Litigation Release No. 20552
|
| 2008-73 |
May 2, 2008 |
SEC Completes Largest-Ever Global Training Program
|
| 2008-72 |
May 1, 2008 |
SEC Charges Banc of America Investment Services With Failing to Disclose It Favored Affiliated Mutual Funds
Administrative Proceeding No. 33-8913
|
| 2008-71 |
May 1, 2008 |
SEC Charges McCann-Erickson Worldwide With Accounting Fraud
See also: Litigation Release No. 20547
|
| 2008-70 |
Apr. 30, 2008 |
SEC Sets Fee Rates for Fiscal Year 2009 |
| 2008-69 |
Apr. 30, 2008 |
SEC Charges Birmingham Mayor and Friends for Undisclosed Payment Scheme in Municipal Bond Deals
See also: Litigation Release No. 20545
|
| 2008-68 |
Apr. 30, 2008 |
SEC Charges Two Former Monster Worldwide Executives for Backdating Options
See also: Litigation Release No. 20544
|
| 2008-67 |
Apr. 29, 2008 |
SEC Adopts Regulations to Implement Sudan Accountability and Divestment Act of 2007 |
| 2008-66 |
Apr. 29, 2008 |
Recommendations Ready for Commission Action to Facilitate U.S. Investors' Exercise of Rights in Overseas Mergers and Acquisitions |
| 2008-65 |
Apr. 25, 2008 |
SEC Announces $30 Million Fair Fund Distribution to Investors Affected by Undisclosed Market Timing in RS Investments Mutual Funds
|
| 2008-64 |
Apr. 24, 2008 |
SEC Charges Wall Street Short-Seller With Spreading False Rumors
See also: Litigation Release No. 20537
|
| 2008-63 |
Apr. 22, 2008 |
SEC Charges Broadcom for Fraudulent Stock Option Backdating |
| 2008-62 |
Apr. 21, 2008 |
Mike Halloran, Deputy Chief of Staff and Counselor to the Chairman, to Leave SEC |
| 2008-61 |
Apr. 15, 2008 |
SEC Chairman Cox Statement on Financial Stability Forum's Report on Recent Financial Market Turmoil |
| 2008-60 |
Apr. 15, 2008 |
SEC Launches New Offensive to Alert Investors About Phony Investment Solicitations |
| 2008-59 |
Apr. 9, 2008 |
Statement From Securities and Exchange Commission's Office of Public Affairs
|
| 2008-58 |
Apr. 9, 2008 |
SEC Action Returns Former Gemstar CEO's Pending Severance Payment to Company and Shareholders
|
| 2008-57 |
Apr. 7, 2008 |
SEC Charges Five Former San Diego Officials with Securities Fraud
See also: Litigation Release No. 20522 |
| 2008-56 |
Apr. 7, 2008 |
SEC Takes Action to Halt Online Account Intrusion and Identity Theft Scheme
See also: Litigation Release No. 20520 |
| 2008-55 |
Apr. 7, 2008 |
Mutual Fund Comparisons Using Interactive Data Now Available to Investors |
| 2008-54 |
Apr. 7, 2008 |
SEC Charges 14 in $64 Million Penny Stock Scheme
See also: Litigation Release No. 20519 |
| First Quarter |
| 2008-53 |
Mar. 29, 2008 |
Statement of SEC Chairman Christopher Cox Regarding Blueprint for Financial Regulatory Reform |
| 2008-52 |
Mar. 29, 2008 |
SEC Chairman Cox, Prime Minister Rudd Meet Amid U.S.-Australia Mutual Recognition Talks |
| 2008-51 |
Mar. 27, 2008 |
Jane Jarcho Named Associate Regional Director for Examinations in SEC's Chicago Regional Office |
| 2008-50 |
Mar. 24, 2008 |
SEC Charges Biovail Corporation and Senior Executives With Accounting Fraud
See also: Litigation Release No. 20506 |
| 2008-49 |
Mar. 24, 2008 |
SEC Announces Next Steps for Implementation of Mutual Recognition Concept |
| 2008-48 |
Mar. 20, 2008 |
Chairman Cox Letter to Basel Committee in Support of New Guidance on Liquidity Management |
| 2008-47 |
Mar. 20, 2008 |
SEC Suspends Trading in Three Companies Promoted Through Spam and Internet Videos
|
| 2008-46 |
Mar. 18, 2008 |
Answers to Frequently Asked Investor Questions Regarding The Bear Stearns Companies, Inc.
|
| 2008-45 |
Mar. 18, 2008 |
SEC Charges W.P. Carey and Two Senior Executives in Fraudulent Payment Scheme
See also: Litigation Release No. 20501
|
| 2008-44 |
Mar. 14, 2008 |
Statement of SEC Division of Trading and Markets Regarding The Bear Stearns Companies
|
| 2008-43 |
Mar. 14, 2008 |
Statement of Securities and Exchange Commission Regarding The Bear Stearns Companies
|
| 2008-42 |
Mar. 13, 2008 |
SEC Charges Vice Chairman of ISE Holdings and Business Partners With Insider Trading
See also: Litigation Release No. 20491 |
| 2008-41 |
Mar. 13, 2008 |
SEC Suspends Trading of 26 Companies to Combat Corporate Hijackings
See also: Trading Suspension and Order |
| 2008-40 |
Mar. 11, 2008 |
SEC, CFTC Sign Agreement to Enhance Coordination, Facilitate Review of New Derivative Products |
| 2008-39 |
Mar. 11, 2008 |
SEC Charges TV Infomercial Personalities in Investor Workshop Fraud |
| 2008-38 |
Mar. 7, 2008 |
SEC Proposes Naked Short Selling Anti-Fraud Rule |
| 2008-37 |
Mar. 7, 2008 |
SEC, FINRA Announce Schedule For Regional CCOutreach BD Seminars |
| 2008-36 |
Mar. 6, 2008 |
SEC Obtains Emergency Orders Against California Firm Defrauding Day-Traders
See also: Litigation Release No. 20480 |
| 2008-35 |
Mar. 6, 2008 |
SEC Warns Public Pension Funds About Inadequate Compliance Procedures |
| 2008-34 |
Mar. 6, 2008 |
Office of the Chief Accountant Selects Six Professional Accounting Fellows |
| 2008-33 |
Mar. 6, 2008 |
Supervisory Agencies Issue Joint Report Assessing Risk Management Practices |
| 2008-32 |
Mar. 5, 2008 |
SEC Charges Fidelity, Executives and Employees for Improperly Accepting Lavish Gifts Paid For by Brokers
See also:
Administrative Proceeding No. IC-28189
Administrative Proceeding No. IA-2713, Attorney Report and Trustees Report
Administrative Proceeding No. IA-2714
Administrative Proceeding No. IA-2715 and order
Administrative Proceeding No. IA-2716
|
| 2008-31 |
Mar. 4, 2008 |
SEC Proposes Amendments to Safeguard Customer Privacy |
| 2008-30 |
Mar. 4, 2008 |
SEC Proposes to Streamline ETF Approval Process |
| 2008-29 |
Mar. 4, 2008 |
SEC Charges Broadcom's Former Vice President of Human Resources for Stock Option Backdating
See also: Litigation Release No. 20476 |
| 2008-28 |
Mar. 4, 2008 |
SEC Charges Hedge Fund Adviser and Principals in $60 Million Investment Fraud
See also: Litigation Release No. LR-20475 |
| 2008-27 |
Mar. 3, 2008 |
SEC Staff Announces CCOutreach Regional Seminars for Adviser and Fund Chief Compliance Officers |
| 2008-26 |
Mar. 3, 2008 |
SEC Permanently Suspends Attorney From Practicing Before Commission |
| 2008-25 |
Feb. 29, 2008 |
Fee Rate Advisory #7 for Fiscal Year 2008 |
| 2008-24 |
Feb. 28, 2008 |
Jonathan Sokobin Named Director of SEC's Office of Risk Assessment |
| 2008-23 |
Feb. 27, 2008 |
SEC Charges Three Promoters for Victimizing Military Families in Real Estate Investment Scheme
See also: Litigation Release No. 20469 |
| 2008-22 |
Feb. 15, 2008 |
SEC Makes Analyzing Corporate Performance Easier for Investors |
| 2008-21 |
Feb. 14, 2008 |
Statement of Chairman Cox Regarding Progress Report of Advisory Committee on Improvements to Financial Reporting
See also: Federal Register Notice and appended Progress Report of Advisory Committee on Improvements to Financial Reporting |
| 2008-20 |
Feb. 13, 2008 |
SEC Votes to Propose All-Electronic Disclosure for Foreign Issuers |
| 2008-19 |
Feb. 13, 2008 |
SEC Proposes Plain English Narrative Disclosure by Investment Advisers to Investors |
| 2008-18 |
Feb. 12, 2008 |
SEC Hosts Historic Meeting of Securities Regulators From Major Emerging Markets |
| 2008-17 |
Feb. 12, 2008 |
SEC Proposes Regulations to Implement Sudan Accountability and Divestment Act Of 2007
|
| 2008-16 |
Feb. 8, 2008 |
SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors
|
| 2008-15 |
Feb. 7, 2008 |
SEC Charges California Attorney for Role in Spam-Fueled Pump-and-Dump Schemes
See also: Administrative Proceeding No. 33-8892
|
| 2008-14 |
Feb. 6, 2008 |
Former KPMG Consulting Principal Settles SEC Charges for Role in Peregrine Accounting Fraud
See also: Litigation Release No. 20449
|
| 2008-13 |
Feb. 6, 2008 |
Chyhe Becker Named Assistant Chief Economist in SEC Office of Economic Analysis
|
| 2008-12 |
Feb. 5, 2008 |
SEC Chairman Cox Announces Creation of New Office, Appointment of Leaders, to Expedite Distribution of Billions to Injured Investors
|
| 2008-11 |
Feb. 5, 2008 |
SEC Charges Former Dow Jones Board Member, Three Other Hong Kong Residents in $24 Million Insider Trading Settlement
See also: Litigation Release No. 20447
|
| 2008-10 |
Feb. 5, 2008 |
SEC Charges Ritchie Capital Management, CEO and Other Employees for Illegal Late Trading Scheme
See also: Administrative Proceedings 33-8890 and IC-28141
|
| 2008-9 |
Feb. 1, 2008 |
Statement of the European Commission and the U.S. Securities and Exchange Commission on Mutual Recognition in Securities Markets |
| 2008-8 |
Feb. 1, 2008 |
SEC Begins Small Business Costs and Benefits Study of Sarbanes-Oxley Act Section 404 |
| 2008-7 |
Jan. 23, 2008 |
SEC Settles Charges Against Former CEO of Monster Worldwide, Inc. for Stock Options Backdating
See also: Litigation Release No. 20435 |
| 2008-6 |
Jan. 15, 2008 |
SEC Charges Two Former Accounting Firm Employees with Insider Trading
See also: Litigation Release No. 20429 |
| 2008-5 |
Jan. 15, 2008 |
Registration Opens for CCOutreach BD National Seminar 2008 |
| 2008-4 |
Jan. 9, 2008 |
Mary S. Head Named Assistant Director in SEC Office of Investor Education and Advocacy |
| 2008-3 |
Jan. 8, 2008 |
SEC, SEBI Announce Increased Cooperation and Collaboration of Capacity Building Events in India |
| 2008-2 |
Jan. 3, 2008 |
Judge Enters Final Judgment Against Former CFO of Waste Management, Inc. Following Jury Verdict in SEC's Favor
See also: Litigation Release No. 20420 |
| 2008-1 |
Jan. 3, 2008 |
SEC Publishes Text of RAND Report on Investment Adviser, Broker-Dealer Industries
See also: RAND Report (IA/BD) (PDF) |
