Official announcements highlighting recent actions taken by the 申博体育网址 and other newsworthy information.  To view Press Releases prior to 2012, view the Press Release Archive.

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Published date grouping
Date
Title
Release No.
Published date grouping:November 2019 Date: Title: 申博体育网址 Announces Conference on Macroeconomic and Structural Trends and Dynamics Affecting the Capital Markets Release No.:2019-240
Published date grouping:November 2019 Date: Title: 申博体育网址 Halts Ponzi scheme Targeting Seniors and Small Business Owners Release No.:2019-239
Published date grouping:November 2019 Date: Title: 申博体育网址 Awards Over $260,000 to Whistleblowers for Their Help in Spotting Securities Fraud Release No.:2019-238
Published date grouping:November 2019 Date: Title: Marie-Louise Huth Named Chief Counsel in Division of Economic and Risk Analysis Release No.:2019-237
Published date grouping:November 2019 Date: Title: 申博体育网址 Wins Jury Trial in Layering, Manipulative Trading Case Release No.:2019-236
Published date grouping:November 2019 Date: Title: 申博体育网址 Issues Agenda for Nov. 12 Meeting of Small Business Capital Formation Advisory Committee Release No.:2019-235
Published date grouping:November 2019 Date: Title: 申博体育网址 Charges Adviser for Running Ponzi Scheme Targeting Haitian Community Release No.:2019-234
Published date grouping:November 2019 Date: Title: 申博体育网址 Division of Enforcement Publishes Annual Report for Fiscal Year 2019 Release No.:2019-233
Published date grouping:November 2019 Date: Title: 申博体育网址 Proposes Amendments to Modernize Shareholder Proposal Rule Release No.:2019-232
Published date grouping:November 2019 Date: Title: 申博体育网址 Proposes Rule Amendments to Improve Accuracy and Transparency of Proxy Voting Advice Release No.:2019-231
Published date grouping:November 2019 Date: Title: 申博体育网址 Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers Release No.:2019-230
Published date grouping:November 2019 Date: Title: 申博体育网址 Announces Extension of Temporary Measure to Facilitate Cross-Border Implementation of the European Union's MiFID II's Research Provisions Release No.:2019-229
Published date grouping:November 2019 Date: Title: 申博体育网址 Chairman Clayton, PCAOB Chairman Duhnke, and Members of 申博体育网址 Staff Meet With Auditing Firm Representatives to Discuss Audit Quality in Emerging Economies and Markets Release No.:2019-228
Published date grouping:November 2019 Date: Title: 申博体育网址 Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints Release No.:2019-227
Published date grouping:October 2019 Date: Title: 申博体育网址 Charges International Dealer That Sold Security-Based Swaps to U.S. Investors Release No.:2019-226
Published date grouping:October 2019 Date: Title: 申博体育网址 Issues Agenda for Nov. 4 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2019-225
Published date grouping:October 2019 Date: Title: 申博体育网址 to Host Veterans Day Program for Active Duty Service Members and Veterans Release No.:2019-224
Published date grouping:October 2019 Date: Title: Natasha Vij Greiner Named Associate Director in 申博体育网址’s Investment Adviser/Investment Company Examination Program Release No.:2019-223
Published date grouping:October 2019 Date: Title: 申博体育网址 and Fordham University School of Law to Host Conference on Combating Community-Based Financial Fraud Release No.:2019-222
Published date grouping:October 2019 Date: Title: U.S. Financial Regulatory Agencies Join the Global Financial Innovation Network Release No.:2019-221
Published date grouping:October 2019 Date: Title: 申博体育网址 Investor Advisory Committee to Meet on Nov. 7 Release No.:2019-220
Published date grouping:October 2019 Date: Title: 申博体育网址 Proposes Amendments to Exemptive Applications Procedures Release No.:2019-219
Published date grouping:October 2019 Date: Title: 申博体育网址 and Morehouse College Announce Atlanta Event for Minority Entrepreneurs Release No.:2019-218
Published date grouping:October 2019 Date: Title: 申博体育网址 Issues Statement on Market Structure Innovation for Thinly Traded Securities Release No.:2019-217
Published date grouping:October 2019 Date: Title: 申博体育网址 Charges 18 Traders in $31 Million Stock Manipulation Scheme Release No.:2019-216
Published date grouping:October 2019 Date: Title: 申博体育网址 Promotes Teacher Investment Outreach Release No.:2019-215
Published date grouping:October 2019 Date: Title: Supervisor Charged for Role in Brokerage Firm’s Improper Handling of ADRs Release No.:2019-214
Published date grouping:October 2019 Date: Title: Robert Burson, Associate Regional Director of Chicago 申博官网, to Retire From the 申博体育网址 After 29 Years of Service Release No.:2019-213
Published date grouping:October 2019 Date: Title: 申博体育网址 Halts Alleged $1.7 Billion Unregistered Digital Token Offering Release No.:2019-212
Published date grouping:October 2019 Date: Title: 申博体育网址 Appoints Rebekah Goshorn Jurata to PCAOB; Announces Commissioner Hester Peirce to Lead Commission’s Coordination Efforts With PCAOB Release No.:2019-211
Published date grouping:October 2019 Date: Title: PCAOB Board Member Kathleen Hamm to Complete Term Release No.:2019-210
Published date grouping:October 2019 Date: Title: 申博体育网址 Educational Videos Aim to Help Investors Spot and Avoid Fraud Release No.:2019-209
Published date grouping:October 2019 Date: Title: 申博体育网址 Announces the Formation of Asset Management Advisory Committee Release No.:2019-208
Published date grouping:October 2019 Date: Title: Agencies Finalize Changes to Simplify Volcker Rule Release No.:2019-207
Published date grouping:October 2019 Date: Title: 申博体育网址 Names Katharine E. Zoladz as Associate Regional Director in Los Angeles 申博官网 Release No.:2019-206
Published date grouping:October 2019 Date: Title: 申博体育网址 Obtains Final Judgments Against Lek Securities and CEO in Layering, Manipulation Case Release No.:2019-205
Published date grouping:October 2019 Date: Title: 申博体育网址 Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment, and Approval Procedure Release No.:2019-204
Published date grouping:October 2019 Date: Title: 申博体育网址’s Message for 2019 World Investor Week: Start Early Release No.:2019-203
Published date grouping:September 2019 Date: Title: 申博体育网址 Orders Blockchain Company to Pay $24 Million Penalty for Unregistered ICO Release No.:2019-202
Published date grouping:September 2019 Date: Title: 申博体育网址 Charges Hedge Fund Adviser and Top Executives With Fraud Release No.:2019-201
Published date grouping:September 2019 Date: Title: 申博体育网址 Orders an Additional 16 Self-Reporting Advisory Firms to Pay Nearly $10 Million to Investors Release No.:2019-200
Published date grouping:September 2019 Date: Title: Two BMO Advisory Firms Pay Over $37 Million to Harmed Clients for Failing to Disclose Conflicts of Interest Release No.:2019-199
Published date grouping:September 2019 Date: Title: 申博体育网址 Updates List of Firms Using Inaccurate Information to Solicit Investors Release No.:2019-198
Published date grouping:September 2019 Date: Title: 申博体育网址 Charges Canadian Clean Fuel Technology Company and Former CEO with FCPA Violations Release No.:2019-197
Published date grouping:September 2019 Date: Title: Automaker to Pay $40 Million for Misleading Investors Release No.:2019-196
Published date grouping:September 2019 Date: Title: Herbalife to Pay $20 Million for Misleading Investors Release No.:2019-195
Published date grouping:September 2019 Date: Title: Mylan to Pay $30 Million for Disclosure and Accounting Failure Relating to EpiPen Release No.:2019-194
Published date grouping:September 2019 Date: Title: 申博体育网址 Charges Marketing and Printing Services Provider with FCPA Violations Release No.:2019-193
Published date grouping:September 2019 Date: Title: 申博体育网址 Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud Release No.:2019-192
Published date grouping:September 2019 Date: Title: 申博体育网址 Charges Three Individuals with Deceiving Main Street Investors Through the Sale of Binary Options Release No.:2019-191
Published date grouping:September 2019 Date: Title: 申博体育网址 Adopts New Rule to Modernize Regulation of Exchange-Traded Funds Release No.:2019-190
Published date grouping:September 2019 Date: Title: 申博体育网址 Proposes Amendments to Enhance Retail Investor Protections Release No.:2019-189
Published date grouping:September 2019 Date: Title: 申博体育网址 Adopts New Rule to Allow All Issuers to “Test-the-Waters” Release No.:2019-188
Published date grouping:September 2019 Date: Title: 申博体育网址 Charges TMC Bonds With Failing to Protect Confidential Subscriber Information Release No.:2019-187
Published date grouping:September 2019 Date: Title: 申博体育网址 Charges Comscore Inc. and Former CEO with Accounting and Disclosure Fraud Release No.:2019-186
Published date grouping:September 2019 Date: Title: 申博体育网址 Brings New Charges in Multimillion Dollar Boiler Room Schemes Release No.:2019-185
Published date grouping:September 2019 Date: Title: 申博体育网址 Charges PwC LLP With Violating Auditor Independence Rules and Engaging in Improper Professional Conduct Release No.:2019-184
Published date grouping:September 2019 Date: Title: 申博体育网址 Charges Nissan, Former CEO, and Former Director with Fraudulently Concealing from Investors More than $140 Million of Compensation and Retirement Benefits Release No.:2019-183
Published date grouping:September 2019 Date: Title: 申博体育网址 Adopts New Rules and Amendments under Title VII of Dodd-Frank Release No.:2019-182
Published date grouping:September 2019 Date: Title: 申博体育网址 Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity Release No.:2019-181
Published date grouping:September 2019 Date: Title: 申博体育网址 Halts Alleged $125 Million Offering Fraud Release No.:2019-180
Published date grouping:September 2019 Date: Title: 申博体育网址 Proposes Rules to Update Statistical Disclosures for Banking Registrants Release No.:2019-179
Published date grouping:September 2019 Date: Title: Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors Release No.:2019-178
Published date grouping:September 2019 Date: Title: Two Broker-Dealers to Pay $4.65 Million in Penalties for Providing Deficient Blue Sheet Data Release No.:2019-177
Published date grouping:September 2019 Date: Title: 申博体育网址 Charges Prudential Subsidiaries For Misleading Funds They Advised, Generating Tens of Millions in Tax Benefits for Prudential Release No.:2019-176
Published date grouping:September 2019 Date: Title: 申博体育网址 Charges Silicon Valley-Based Issuer With Misleading Disclosure Violations Release No.:2019-175
Published date grouping:September 2019 Date: Title: James M. Daly, Division of Corporation Finance Associate Director, to Retire from the 申博体育网址 After More Than 38 Years of Service Release No.:2019-174
Published date grouping:September 2019 Date: Title: 申博体育网址 Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan Release No.:2019-173
Published date grouping:September 2019 Date: Title: Chandler Smith Costello Named Deputy Director for Public Affairs Release No.:2019-172
Published date grouping:September 2019 Date: Title: 申博体育网址 and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies Release No.:2019-171
Published date grouping:September 2019 Date: Title: 申博体育网址 Names Monique Winkler as Associate Regional Director in San Francisco 申博官网 Release No.:2019-170
Published date grouping:August 2019 Date: Title: 申博体育网址 Monitoring Impact of Hurricane Dorian on Capital Markets Release No.:2019-169
Published date grouping:August 2019 Date: Title: 申博体育网址 Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal Release No.:2019-168
Published date grouping:August 2019 Date: Title: 申博体育网址 Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players Release No.:2019-167
Published date grouping:August 2019 Date: Title: 申博体育网址 Charges Private Lender and CEO with Fraudulent Mismarking Scheme Release No.:2019-166
Published date grouping:August 2019 Date: Title: 申博体育网址 Awards More Than $1.8 Million to Whistleblower Release No.:2019-165
Published date grouping:August 2019 Date: Title: 申博体育网址 Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange Release No.:2019-164
Published date grouping:August 2019 Date: Title: 申博体育网址 Investor Advisory Committee to Meet on Sept. 19 Release No.:2019-163
Published date grouping:August 2019 Date: Title: 申博体育网址 Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud Release No.:2019-162
Published date grouping:August 2019 Date: Title: RSM US LLP Charged With Violating Auditor Independence Rules Release No.:2019-161
Published date grouping:August 2019 Date: Title: Fee Rate Advisory #1 for Fiscal Year 2020 Release No.:2019-160
Published date grouping:August 2019 Date: Title: 申博体育网址 Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme Release No.:2019-159
Published date grouping:August 2019 Date: Title: 申博体育网址 Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice Release No.:2019-158
Published date grouping:August 2019 Date: Title: 申博体育网址 Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets Release No.:2019-157
Published date grouping:August 2019 Date: Title: 申博体育网址 Charges TherapeuticsMD With Regulation FD Violations Release No.:2019-156
Published date grouping:August 2019 Date: Title: Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs Release No.:2019-155
Published date grouping:August 2019 Date: Title: 申博体育网址 Charges Former CFO of Cash Advance Company With Defrauding Retail Investors Release No.:2019-154
Published date grouping:August 2019 Date: Title: 申博体育网址 Releases Videos for Investors on Choosing and Working with a Financial Professional Release No.:2019-153
Published date grouping:August 2019 Date: Title: 申博体育网址 Wins Jury Trial Against Broker Charged with Insider Trading Release No.:2019-152
Published date grouping:August 2019 Date: Title: 申博体育网址 Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors Release No.:2019-151
Published date grouping:August 2019 Date: Title: 申博体育网址 Obtains Freeze of $8 Million in Assets in Alleged Fraudulent Token Offering and Manipulation Scheme Release No.:2019-150
Published date grouping:August 2019 Date: Title: 申博体育网址 Charges Investment Banking Analyst with Insider Trading Release No.:2019-149
Published date grouping:August 2019 Date: Title: 申博体育网址 Proposes to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K Release No.:2019-148
Published date grouping:August 2019 Date: Title: 申博体育网址 Investor Advisory Committee to Hold Telephone Meeting on Sept. 5 Release No.:2019-147
Published date grouping:August 2019 Date: Title: 申博体育网址 Announces Agenda and Panelists for 2019 Small Business Forum in Omaha Release No.:2019-146
Published date grouping:August 2019 Date: Title: 申博体育网址 Adopts Amendments to Codify Exemption to Credit Rating Agency Rule Release No.:2019-145
Published date grouping:August 2019 Date: Title: 申博体育网址 Chairman Clayton Announces Event for Main Street Investors in Chicago Release No.:2019-144
Published date grouping:August 2019 Date: Title: 申博体育网址 Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud Release No.:2019-143
Published date grouping:July 2019 Date: Title: Robert A. Cohen, Cyber Unit Chief, to Leave 申博体育网址 After 15 Years of Service Release No.:2019-142
Published date grouping:July 2019 Date: Title: 申博体育网址 Issues Agenda for July 29 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2019-141