| Release No. | Date | Details |
|
| 2000-194 | Dec 21, 2000 | Fee Rate Advisory #13 |
| 2000-193 | Dec 21, 2000 | Fee Rate Advisory #12 |
| 2000-192 | Dec 20, 2000 | SEC Chairman Arthur Levitt to Step Down Before Mid-February 2001 |
| 2000-190 | Dec 19, 2000 | SEC Staff Report Describes Development of Payment for Order Flow and Internalization in the Options Markets |
| 2000-188 | Dec 18, 2000 | Fee Rate Advisory #11 |
| 2000-187 | Dec 18, 2000 | Investors Town Meeting in Indianapolis Canceled |
| 2000-186 | Dec 14, 2000 | SEC Brings Civil Charges Against MicroStrategy and Three Executive Officers for Accounting Violations; Settled Actions Yield $10 Million in Disgorgement, $1 Million in Penalties, and Corporate Governance Reforms |
| 2000-185 | Dec 14, 2000 | Division of Corporation Finance Creates Office of Small Business Policy |
| 2000-184 | Dec 11, 2000 | Fee Rate Advisory #10 |
| 2000-183 | Dec 7, 2000 | Statement by Chairman Arthur Levitt Concerning NASD Board Decision |
| 2000-182 | Dec 5, 2000 | David L. Kornblau Named Chief Litigation Counsel of SEC's Division of Enforcement |
| 2000-181 | Dec 5, 2000 | Commission Releases Decimalization Rountable Agenda and List of Confirmed Roundtable Participants
See Also:
List of Confirmed Participants, Agenda |
| 2000-180 | Nov 30, 2000 | SEC Chairman Levitt, Indiana Secretary of State Gilroy to Conduct Investors Town Meeting in Indianapolis |
| 2000-179 | Nov 28, 2000 | SEC Amends OPRA Plan To Allocate OPRA Systems Capacity Among Options Markets During Peak Usage Periods |
| 2000-178 | Nov 27, 2000 | David Fielder Named Counsel to the Chairman |
| 2000-177 | Nov 21, 2000 | Commission Releases Final Rule Revisions on Auditor Independence |
| 2000-176 | Nov 20, 2000 | SEC To Conduct Roundtable on Decimalization |
| 2000-175 | Nov 20, 2000 | James Adelman, Associate District Administrator for the Boston District Office, to Leave SEC After Nine Years of Service |
| 2000-174 | Nov 17, 2000 | One-Day Shutdown of the EDGAR Filing System |
| 2000-173 | Nov 17, 2000 | Fee Rate Advisory #9 |
| 2000-172 | Nov 16, 2000 | Division of Corporation Finance Promotes Ten to New Positions |
| 2000-171 | Nov 15, 2000 | Commission Approves Auditor Independence and Market Structure Rules
See Also:
Chairman's Statement, Fact Sheet on Auditor Independence, Fact Sheet on Market Structure |
| 2000-170 | Nov 14, 2000 | SEC Staff to Conduct Two Media Briefings on Rulemakings To Be Considered at Open Commission Meeting on November 15, 2000 |
| 2000-169 | Nov 9, 2000 | Senior SEC Official Speaks to the Alaska Government Finance Officers Association |
| 2000-168 | Nov 7, 2000 | Estee S. Levine Named Director of the Office of Congressional and Intergovernmental Affairs |
| 2000-167 | Nov 6, 2000 | Commission to Consider Adoption of Rules Governing Auditor Independence at Open Meeting on November 15, 2000 |
| 2000-166 | Nov 2, 2000 | Commission Announces Limited Extension of Legacy EDGAR |
| 2000-165 | Oct 27, 2000 | Fee Rate Advisory #8 |
| 2000-164 | Oct 27, 2000 | Chief Accountant is Seeking Candidates for Two Professional Accounting Fellow Positions |
| 2000-163 | Oct 26, 2000 | Fee Rate Advisory #7 |
| 2000-162 | Oct 25, 2000 | Fee Rate Advisory #6 |
| 2000-161 | Oct 20, 2000 | Fee Rate Advisory #5 |
| 2000-160 | Oct 19, 2000 | Media Advisory: Chairman Levitt to Deliver Address at AICPA Conference |
| 2000-159 | Oct 19, 2000 | SEC Staff Releases Interpretive Guidance for Regulation FD
See Also:
Manual of Publicly Available Telephone Interpretations, Fourth Supplement: Regulation FD |
| 2000-158 | Oct 17, 2000 | SEC Chairman Levitt Asks Congress Not to Intervene in Auditor Independence Rulemaking Process |
| 2000-157 | Oct 16, 2000 | SEC Chaiman Levitt to Conduct Investors Town Meeting in Atlanta |
| 2000-156 | Oct 13, 2000 | Fee Rate Advisory #4 |
| 2000-155 | Oct 12, 2000 | Commission Staff Provides Written Guidance on Implementing Staff Accounting Bulletin No. 101, Revenue Recognition
See Also:
FAQ on SAB 101 |
| 2000-154 | Oct 12, 2000 | SEC Reaffirms October 23, 2000 Effectiveness Date for Regulation FD |
| 2000-153 | Oct 10, 2000 | SEC Charges Former Connecticut Treasurer and Ten Others Involved in Fraudulent Scheme in Connection with Investment of State Pension Fund Money; Three Defendants Agree To Settle Charges |
| 2000-152 | Oct 6, 2000 | Fee Rate Advisory #3 |
| 2000-151 | Oct 4, 2000 | Stock Markets Agree to Distinguish After-Hours and Regular Session Trades with "T" Modifier |
| 2000-150 | Oct 4, 2000 | SEC Releases Full Agenda and Panelists for Second Annual Municipal Market Roundtable 'Bonds in the New Millennium' |
| 2000-149 | Oct 3, 2000 | Division of Corporation Finance Promotes Six Staff to Senior Positions |
|
| 2000-148 | Sep 29, 2000 | One-Day Shutdown of the EDGAR Filing System |
| 2000-147 | Sep 29, 2000 | Wayne Carlin Named Director of the Northeast Regional Office |
| 2000-146 | Sep 29, 2000 | Fee Rate Advisory #2 |
| 2000-145 | Sep 28, 2000 | Civil and Criminal Fraud Charges Filed Against Former Executives for Massive Financial Reporting Violations at McKesson HBOC |
| 2000-144 | Sep 28, 2000 | SEC Brings Charges Against German Company E.ON (Formerly Veba) for Deliberately Issuing False Statements Regarding Merger Negotiations |
| 2000-143 | Sep 27, 2000 | SEC Takes Action Against Four Broker-Dealer Firms and Seven Associated Persons for Failing to Supervise Remote Branch Offices Four of the Firms' Brokers Also Sued for Fraud |
| 2000-142 | Sep 27, 2000 | SEC and U.S. Attorney Coordinate Efforts to Crackdown on Cooking the Books |
| 2000-141 | Sep 27, 2000 | Media Advisory: News Conference to Announce Criminal and Civil Charges Against Company Executives for Financial Fraud |
| 2000-140 | Sep 27, 2000 | SEC Announces Members of Advisory Committee on Market Information |
| 2000-139 | Sep 27, 2000 | Paul Maco, First Director of the Office of Municipal Securities, to Return to Private Practice After Six and One-Half Years of Service |
| 2000-138 | Sep 25, 2000 | Fee Rate Advisory #1 |
| 2000-137 | Sep 25, 2000 | Chris Mixter, Chief Litigation Counsel in the Division of Enforcement, Leaves the Commission After Nine Years of Service |
| 2000-136 | Sep 21, 2000 | SEC Chairman Levitt to Conduct Investors Town Meeting in Fort Lauderdale |
| 2000-135 | Sep 20, 2000 | SEC Brings Fraud Charges in Internet Manipulation Scheme; Settlement Calls for Return of $285,000 in Illegal Gains |
| 2000-134 | Sep 19, 2000 | Second Annual Municipal Market Roundtable 'Bonds in the New Millennium'" |
| 2000-133 | Sep 18, 2000 | Agenda for Public Hearings on Proposed Auditor Independence Rules |
| 2000-132 | Sep 15, 2000 | Agenda for Public Hearings on Proposed Auditor Independence Rules |
| 2000-131 | Sep 15, 2000 | Media Advisory: Levitt to Deliver Speech on Accounting Profession |
| 2000-130 | Sep 14, 2000 | SEC and CFTC Draft Legislation to Lift Ban on Single Stock Futures; Agencies Agree to Joint Regulation
See Also:
Transmittal Letters, Summary of SEC/CFTC Agreement, Errata to the Summary, Agreement in HTML, Agreement in PDF format (includes line numbers), Errata to the Agreement (Updated 09/26/2000), and Analysis |
| 2000-129 | Sep 14, 2000 | SEC Commemorates the 60th Anniversary of the Investment Company Act of 1940 |
| 2000-128 | Sep 14, 2000 | Jennifer Scardino, Chief of Staff to the Chairman, to Leave the SEC After Seven Years of Service; Tracey Aronson Named as Successor |
| 2000-127 | Sep 13, 2000 | SEC Approves Electronic Filing for Investment Advisers, Amendments to Form ADV |
| 2000-126 | Sep 11, 2000 | SEC and Department of Justice Sanction Four Options Exchanges for Anticompetitive Conduct |
| 2000-125 | Sep 7, 2000 | Period for Abrogation of CBOE Filing Expires |
| 2000-124 | Sep 5, 2000 | SEC Continues Nationwide Crackdown Against Internet Fraud, Charging 33 Companies and Individuals With Fraud For Manipulating Microcap Stocks; Fourth Internet Sweep Brings to More Than 180 the Total Number of Internet Cases Filed |
| 2000-123 | Sep 5, 2000 | Agenda for Public Hearings on Proposed Auditor Independence Rules |
| 2000-122 | Sep 1, 2000 | SEC Freezes Assets of Defendant in Emulex Hoax |
| 2000-121 | Sep 1, 2000 | SEC and U.S. Attorney Charge Former Intel Employee and Others With Insider Trading |
| 2000-120 | Aug 31, 2000 | Media Advisory: News Conference to Announce Arrest of Student in Internet Stock Manipulation of Emulex |
| 2000-119 | Aug 30, 2000 | Commission Extends to September 12, 2000 the Deadline for Submission of Written Materials for September 20, 2000 Public Hearing on Auditor Independence Rule Proposals |
| 2000-118 | Aug 29, 2000 | Commission Files Insider Trading Action Against Manu B. Shrivastava |
| 2000-117 | Aug 23, 2000 | Russell Horwitz Named Senior Advisor for Policy to Chairman Levitt |
| 2000-116 | Aug 22, 2000 | Chairman Levitt Names David Nelson Head of the SEC's Southeast Regional Office |
| 2000-115 | Aug 21, 2000 | Jackson Day Selected as Deputy Chief Accountant |
| 2000-114 | Aug 17, 2000 | Additional Information Concerning Second Public Hearing on Auditor Independence Rule Proposal |
| 2000-113 | Aug 15, 2000 | One Day Shutdown of EDGAR Filing System on November 24, 2000 |
| 2000-112 | Aug 10, 2000 | Commission Votes to End Selective Disclosure; Chairman Arthur Levitt Hails Leveling of Information Playing Field
See Also:
Fact Sheet; Chairman Levitt's statement; and Final Rule: Regulation FD |
| 2000-111 | Aug 10, 2000 | Two Additional Public Hearings on Auditor Independence Rule Proposal Set for September 13th and 20th |
| 2000-110 | Aug 9, 2000 | Media Advisory: Media Briefing on Proposed Selective Disclosure Rule |
| 2000-109 | Aug 9, 2000 | Daniel B. Thornton Appointed Academic Accounting Fellow |
| 2000-108 | Aug 9, 2000 | Andrew D. Bailey, Jr. Appointed Academic Accounting Fellow |
| 2000-107 | Aug 4, 2000 | Noran Camp, Legal Counsel to Chairman Levitt, To Leave Commission After Ten Years of Service; Douglas Davison Named as Successor |
| 2000-106 | Aug 1, 2000 | Commission Announces Final Steps in Modernization of EDGAR Filing System |
| 2000-105 | Aug 1, 2000 | Michael Conley Named First Richard W. Jennings Attorney-Fellow |
| 2000-104 | Jul 28, 2000 | Mary B. Tokar, Senior Associate Chief Accountant in the Office of the Chief Accountant, To Leave SEC |
| 2000-103 | Jul 26, 2000 | Decimal Implementation Plan Submitted by the National Securities Exchanges and the National Association of Securities Dealers, Inc. |
| 2000-102 | Jul 25, 2000 | SEC To Establish Advisory Committee on Market Information |
| 2000-101 | Jul 25, 2000 | SEC Approves Options Intermarket Linkage Plan; Commission Also Issues Two Rule Proposals on Market Fragmentation |
| 2000-100 | Jul 24, 2000 | SEC to Conduct Media Briefings on Market Structure Rule Proposal and Auditor Independence Hearings |
| 2000-99 | Jul 20, 2000 | SEC Announces Schedule of Witnesses for Public Hearing on Auditor Independence; Schedule of Appearances; Public Hearing - July 26, 2000, 9:00 am - 5:30 pm |
| 2000-98 | Jul 19, 2000 | James M. Daly and William L. Tolbert, Jr. Named Associate Directors in SEC's Division of Corporation Finance |
| 2000-97 | Jul 19, 2000 | Commission To Study Effect of Payment for Order Flow and Internalization in the Options Markets |
| 2000-96 | Jul 12, 2000 | Kenneth J. Berman, Associate Director of the Division of Investment Management, To Leave SEC After 12 Years of Service |
| 2000-95 | Jul 12, 2000 | SEC Chairman Levitt and Treasury Secretary Summers To Conduct Investors Town Meeting in Cleveland; Free Program Will Offer Area Residents Practical Tips for Saving and Investing |
| 2000-94 | Jul 10, 2000 | Public Hearing on Auditor Independence Rule Proposal Formally Set for July 26, 2000 |
| 2000-93 | Jul 7, 2000 | Susan Nash Named Associate Director of the Division of Investment Management |
| 2000-92 | Jul 5, 2000 | SEC Chairman Arthur Levitt Praises GAO On Mutual Fund Fee Study |
| 2000-91 | Jul 5, 2000 | Barry W. Rashkover Named Associate Director of the Commission's Northeast Regional Office |
|
| 2000-90 | Jun 30, 2000 | Proposal To Modernize Auditor Independence Rules Available on SEC Website; First Public Hearing To Be Held July 26, 2000 |
| 2000-89 | Jun 30, 2000 | Website for Investment Advisor Registration Depository (IARD) Electronic Filing Announced |
| 2000-88 | Jun 27, 2000 | SEC Approves Issuance of Auditor Independence Rule Proposal
See Also:
Fact Sheet; Chairman Levitt's statement; and Background Information |
| 2000-87 | Jun 26, 2000 | Commission Staff Issues SAB 101B To Provide Registrants With Additional Time To Implement Guidance on Revenue Recognition |
| 2000-86 | Jun 26, 2000 | John McCarthy Named Associate Director for Market Oversight, Office of Compliance Inspections and Examinations |
| 2000-85 | Jun 26, 2000 | Media Advisory: Media Briefing On Proposed Auditor Independence Rules; Embargoed Fact Sheet Available |
| 2000-84 | Jun 20, 2000 | SEC To Host Annual Government-Business Forum |
| 2000-83 | Jun 20, 2000 | Carmen J. Lawrence, Director of the Northeast Regional Office, to Leave the Commission After Nearly 20 Years of Service |
| 2000-82 | Jun 14, 2000 | Media Advisory: News Conference in NYC to Announce Enforcement Action |
| 2000-81 | Jun 14, 2000 | SEC, U.S. Attorney, and FBI Announce Major Attack Against Microcap Fraud; Those Charged Include Alleged Members of Organized Crime |
| 2000-80 | Jun 14, 2000 | SEC Brings Enforcement Actions Against Former Top Financial Officers and Managers at CUC International for Massive Financial Fraud at CUC and Cendant Corp. |
| 2000-79 | Jun 13, 2000 | SEC Orders Securities Markets to Phase In Decimal Pricing on September 5, 2000
See Also:
the order itself |
| 2000-78 | Jun 7, 2000 | Division of Market Regulation Issues Report on 'Electronic Communication Networks and After-Hours Trading'
See Also:
the report itself |
| 2000-77 | Jun 7, 2000 | All Big 5 Accounting Firms Agree To Participate in Voluntary Program To Address Independence Violations; Safe Harbor Provided for Certain Violations; Firms Will Conduct Reviews, Disclose Past Violations, and Improve Quality Control Systems |
| 2000-76 | Jun 6, 2000 | Chairman Arthur Levitt Issues Statement on the Report and Recommendations of the Panel on Audit Effectiveness |
| 2000-75 | Jun 5, 2000 | Kathleen M. Hamm, Assistant Director in the Division of Enforcement, To Leave SEC After Nine Years of Service |
| 2000-74 | Jun 5, 2000 | SEC Helps Investors Weigh Benefits and Costs of Variable Annuities; New Online Brochure Also Includes Caution
See Also:
Variable Annuities on-line brochure |
| 2000-73 | Jun 2, 2000 | Gregg W. Corso, Senior Counsel to Chairman Arthur Levitt, To Leave the Commission After 13 Years of Service |
| 2000-72 | Jun 1, 2000 | SEC, State Securities Regulators Announce Promissory Note Enforcement Sweep
See Also:
Summary of Cases ; Statistics and Common Elements of the cases |
| 2000-71 | May 26, 2000 | Commission Grants ISE Exemption To Accommodate Its Electronic Market in the Marketwide Data System |
| 2000-70 | May 25, 2000 | Charles Niemeier Named Chief Accountant of the Division of Enforcement; Will Also Lead Division's New Financial Fraud Task Force |
| 2000-68 | May 18, 2000 | SEC Chairman Arthur Levitt Praises Partnership Between ICI Education Foundation and National Urban League |
| 2000-67 | May 17, 2000 | SEC Releases Program for the Roundtable on Investment Adviser Regulatory Issues |
| 2000-66 | May 16, 2000 | SEC, CFTC, and Monetary Authority of Singapore Sign Memorandum of Understanding |
| 2000-65 | May 16, 2000 | Chairman Arthur Levitt Praises Investment Counsel Association of America on Best Practices Addressing Pay-To-Play Abuses |
| 2000-64 | May 16, 2000 | SEC and Regulators From Around the World Conduct an International Surf Day To Help Combat Internet Fraud |
| 2000-63 | May 15, 2000 | SEC Sues America Online for Financial Reporting Violations; Settled Action Yields $3.5 Million Penalty |
| 2000-62 | May 10, 2000 | Chairman Arthur Levitt, Concerned About Auditor Independence, Proposes Rulemaking and Other Measures To Maintain Quality Of Financial Reporting |
| 2000-61 | May 8, 2000 | Former SEC Chairman and SEC Alumni Create Securities and Exchange Commission Historical Society |
| 2000-60 | May 8, 2000 | Media Advisory: SEC Chairman Arthur Levitt To Deliver Policy Address on State of Financial Reporting |
| 2000-59 | May 4, 2000 | SEC Study Reveals Problems in Display of Limit Orders; SRO Oversight and Disciplinary Programs Need Improvement |
| 2000-58 | May 3, 2000 | Media Advisory: Limit Order Transparency Roundtable Available Via Teleconference, New Limit Order Display Report To Be Released, Media Briefing On Report |
| 2000-57 | May 1, 2000 | SEC Sues Internet Stock Picker For Using Fraudulent Advertising To Lure Day Traders To His Stock Picking Service |
| 2000-56 | May 1, 2000 | SEC Releases Agenda for Investment Advisers Roundtable |
| 2000-55 | May 1, 2000 | SEC Releases List Of Limit Order Transparency Roundtable Participants |
| 2000-54 | Apr 27, 2000 | Agencies Announce Working Group on Public Disclosure" (Joint Press Release: Board of Governors of the Federal Reserve System, Office of the Comptroller of the Currency, U.S. Securities and Exchange Commission) |
| 2000-53 | Apr 26, 2000 | SEC Approves Issuance of Interpretive Release on the Use of Electronic Media |
| 2000-52 | Apr 26, 2000 | SEC Extends Comment Period For Concept Release On Market Fragmentation |
| 2000-51 | Apr 24, 2000 | Paul R. Berger and Linda Chatman Thomsen Named Associate Directors of SEC's Division of Enforcement |
| 2000-50 | Apr 18, 2000 | SEC To Conduct Roundtable on Limit Order Transparency |
| 2000-49 | Apr 14, 2000 | SEC Stays Deadlines for Decimal Pricing Implementation and Requests Comment on Revised Decimal Implementation Schedules
See Also:
Commission Order and Notice on this issue |
| 2000-48 | Apr 10, 2000 | Chairman Levitt Names Randall J. Fons Head of the SEC's Central Region |
| 2000-47 | Apr 10, 2000 | Dan Shea, Head of the Central Region, To Leave the Commission |
| 2000-46 | Apr 10, 2000 | SEC Chairman Arthur Levitt, Congressional, and State Officials To Conduct Investors Town Meeting in Milwaukee; Free program will offer area residents practical tips for saving and investing |
| 2000-45 | Apr 6, 2000 | SEC Settles With Ten Brokerage Firms As Part of Global Resolution of Yield Burning Claims
See Also:
Summary of Yield Burning Settlement Payments; Deals Covered by the Yield-Burning Settlement (note: large file); Payments to Municipal Issuers and Obligors in Connection with Advance Refundings in Negative Arbitrage; Administrative Proceedings mentioned in the press release |
| 2000-44 | Apr 5, 2000 | Chairman Arthur Levitt Issues Statement on Internet Search System |
|
| 2000-43 | Mar 31, 2000 | Media Advisory: Are Baby Boomers Ill-Prepared for Retirement? - Financial Literacy Campaign To Host Expert Panel Discussion |
| 2000-42 | Mar 31, 2000 | SEC Announces Tenth Annual International Institute |
| 2000-41 | Mar 31, 2000 | Mark J. Ready Named Chief Economist |
| 2000-40 | Mar 24, 2000 | Commission Staff Issues SAB 101A To Provide Registrants With Additional Time To Implement Guidance on Revenue Recognition
See Also:
SAB 101A |
| 2000-39 | Mar 22, 2000 | Commissioner Norman Johnson to Leave SEC |
| 2000-38 | Mar 22, 2000 | SEC To Conduct Roundtable on Investment Advisers |
| 2000-37 | Mar 22, 2000 | Thomas A. Zaccaro Named New Regional Trial Counsel of SEC's Pacific Regional Office |
| 2000-36 | Mar 18, 2000 | Order for the National Grid Group PLC, et al. Available on Commission's Website
See Also:
the order itself |
| 2000-35 | Mar 16, 2000 | Paul V. Gerlach, Associate Director of the Division of Enforcement, To Leave SEC |
| 2000-34 | Mar 15, 2000 | Office of the Chief Accountant Selects Five Professional Accounting Fellows |
| 2000-33 | Mar 14, 2000 | SEC and US Attorney Bring Charges Against 19 Individuals, Including Wall Street Professionals, for $8 Million Insider Trading Scheme; First Case Charging Use of Internet to Pass Inside Information
See Also:
litigation release; U.S. District Court Complaint |
| 2000-32 | Mar 14, 2000 | Media Advisory News Conference in NYC To Announce Enforcement Action |
| 2000-31 | Mar 14, 2000 | Event and Briefing Advisory: SEC Chairman Levitt to Deliver Policy Address at Northwestern University; Staff To Conduct Teleconference Briefing |
| 2000-30 | Mar 14, 2000 | Andrew J. Geist, Senior Associate Director of the Northeast Regional Office, To Leave SEC After Twelve Years of Service |
| 2000-29 | Mar 13, 2000 | Meridith Mitchell Named Principal Associate General Counsel |
| 2000-28 | Mar 10, 2000 | SEC Delays Submission Date for Decimal Pricing Implementation Plan |
| 2000-27 | Mar 9, 2000 | Estee S. Levine Named Counselor to Chairman Arthur Levitt |
| 2000-26 | Mar 8, 2000 | Elizabeth K. King Named Associate Director of the Division of Market Regulation |
| 2000-25 | Mar 8, 2000 | SEC Authorizes Filing of Actions To Recover Unpaid NASD Sanctions |
| 2000-24 | Mar 7, 2000 | Tracey E. Aronson Named Director of the Office of Congressional and Inter-Governmental Affairs |
| 2000-23 | Mar 7, 2000 | Susan Ferris Wyderko Named Director of the Office of Investor Education and Assistance |
| 2000-22 | Mar 3, 2000 | Receiver Appointed in Mobley Case
See Also:
Questions and Answers on the David Mobley/Maricopa Investment Funds Case; Litigation Release 16462; Litigation Release 16446 |
| 2000-21 | Mar 2, 2000 | SEC Chairman Arthur Levitt To Conduct Investors Town Meeting in St. Louis; Free program will offer area residents practical tips for saving and investing |
| 2000-20 | Mar 2, 2000 | SEC Sues Washington, DC-Area Law Students for Internet Price Manipulation Scheme; Scheme Architect's Mother - a Colorado Springs, CO City Councilwoman Also Charged
See Also:
administrative order; litigation release; U.S. District Court Complaint |
| 2000-19 | Feb 24, 2000 | SEC Staff Releases Examination Report Concerning Day Trading
See Also:
Report of Examinations of Day-Trading Broker-Dealers; Investor Tips: Margin; Oral Statement of Lori Richards, Director, Office of Compliance Inspections and Examinations, re: the report |
| 2000-18 | Feb 24, 2000 | SEC Issues Options Markets Linkage Plans for Public Comment |
| 2000-17 | Feb 24, 2000 | SEC Approves International Securities Exchange's Application to Become First New Exchange in 27 Years |
| 2000-16 | Feb 24, 2000 | SEC Charges Two People With Internet Stock Manipulation Scheme; Spams Implied that America Online Had Issued or Endorsed the Recommendations |
| 2000-15 | Feb 23, 2000 | Media Advisory: Senate Banking Committee To Conduct Hearings at SEC's Northeast Regional Office |
| 2000-14 | Feb 23, 2000 | NYSE's Rescission of Rule 390 and Commission's Request for Comment on Market Fragmentation |
| 2000-13 | Feb 22, 2000 | Media Advisory: Teleconference Media Briefing to Discuss Rule 390 and Fragmentation Concept Release |
| 2000-12 | Feb 22, 2000 | SEC Charges Two Day-Trading Firms With Violations of Federal Margin Regulations; Firms Loaned Customers Funds in Excess of Legal Limits To Permit Continued Trading |
| 2000-11 | Feb 16, 2000 | SEC Approves Concept Release on International Accounting Standards
See Also:
Fact sheet on the Concept Release; Chairman Levitt's remarks on the Concept Release |
| 2000-10 | Feb 14, 2000 | SEC Chairman Arthur Levitt Praises American Bar Association for Banning Lawyer Pay-to-Play |
| 2000-9 | Feb 14, 2000 | Media Advisory: Media Briefing on International Accounting Standards Concept Release |
| 2000-8 | Jan 28, 2000 | SEC Orders Securities Markets To Begin Trading in Decimals on July 3, 2000; Decimal Pricing Implementation Plan Due in 45 Days
See Also:
the Commission's Order Directing the Exchanges and NASD To Submit a Decimalization Implementation Plan |
| 2000-7 | Jan 24, 2000 | New SEC Mutual Funds Tips Remind Investors To Look at More Than Short-Term Past Performance; 'Buy and Hold' Beats Switching In and Out of Funds |
| 2000-6 | Jan 20, 2000 | Statement by Securities and Exchange Commission Chairman Arthur Levitt Regarding Options Market Linkages |
| 2000-5 | Jan 11, 2000 | Enforcement Action Brought Against Informix Corporation for Inflating Revenues by $295 Million and Earnings by $244 Million by Fraudulent and Other Means |
| 2000-4 | Jan 6, 2000 | Independent Consultant Finds Widespread Independence Violations at PricewaterhouseCoopers
See Also:
The independent consultants' Report on PricewaterhouseCoopers, in PDF format |
| 2000-3 | Jan 5, 2000 | Fee Rate Advisory No. 11 |
| 2000-2 | Jan 5, 2000 | SEC Sues 'Tokyo Joe,' Internet Website Operator and Stock Picker, for Securities Fraud
See Also:
Litigation Release No. 16399 |
| 2000-1 | Jan 5, 2000 | Securities and Exchange Commission Steps Down Y2K Monitoring as Securities Industry Transition Remains Smooth at Mid-Week |
