| Release No. |
Date |
Details |
| Fourth Quarter |
| 2006-223 |
Dec. 29, 2006 |
SEC to Close on Tuesday, Jan. 2, 2007, in Observance of National Day of Mourning for Former President Gerald R. Ford |
| 2006-222 |
Dec. 29, 2006 |
SEC Supports Decision of Securities Markets to Observe National Day of Mourning for Former President Gerald R. Ford |
| 2006-221 |
Dec. 28, 2006 |
Administrative Law Judge Lillian McEwen to Retire From SEC |
| 2006-220 |
Dec. 28, 2006 |
Federal Identity Theft Task Force Seeks Public Comment |
| 2006-219 |
Dec. 22, 2006 |
SEC Amends Executive Compensation Disclosure To More Closely Align With FAS 123R |
| 2006-218 |
Dec. 22, 2006 |
$83 Million Distribution Begins for Defrauded Shareholders of Gemstar-TV Guide |
| 2006-217 |
Dec. 21, 2006 |
SEC and FinCEN Sign Information Sharing Agreement |
| 2006-216 |
Dec. 21, 2006 |
Kristine Chadwick Named SEC's Chief Financial Officer |
| 2006-215 |
Dec. 21, 2006 |
SEC Chief Financial Officer Margaret Carpenter to Retire |
| 2006-214 |
Dec. 20, 2006 |
SEC Files Settled Enforcement Action Against Broker-Dealer Friedman, Billings, Ramsey & Co., Inc.
See also: Litigation Release No. 19950; Administrative Proceeding No. 33-8761 |
| 2006-213 |
Dec. 19, 2006 |
Statements of SEC Chairman Christopher Cox and Chief Accountant Conrad Hewitt Regarding PCAOB's Proposed Section 404 Auditing Standard |
| 2006-212 |
Dec. 19, 2006 |
SEC Files Emergency Action Against Foreign Traders to Stop an Online Account Intrusion Scheme
See also: Litigation Release No. 19949 and Complaint |
| 2006-211 |
Dec. 18, 2006 |
Agencies Propose Joint Rules to Implement the Bank "Broker" Provisions of the Gramm-Leach-Bliley Act
See also: Proposed Rule Release Nos. 34-54946 and 34-54947; Order Release No. 34-54948 |
| 2006-210 |
Dec. 15, 2006 |
Further Relief From the Section 404 Requirements for Smaller Companies and Newly Public Companies
See also: Final Rule Release No. 33-8760 |
| 2006-209 |
Dec. 13, 2006 |
SEC Votes to Adopt E-Proxy Rule Amendments and Propose Mandatory Model |
| 2006-208 |
Dec. 13, 2006 |
SEC Votes to Propose Rule to Prohibit Fraud by Investment Advisers to Certain Pooled Investment Vehicles; Also Votes to Propose Revisions to Criteria for Accredited Investors in Certain Private Investment Vehicles |
| 2006-207 |
Dec. 13, 2006 |
SEC Votes to Repropose Rules Allowing Foreign Private Issuer Deregistration Under the Exchange Act |
| 2006-206 |
Dec. 13, 2006 |
SEC Votes to Propose Interpretive Guidance for Management to Improve Sarbanes-Oxley 404 Implementation |
| 2006-205 |
Dec. 13, 2006 |
SEC Votes to Jointly Issue with the Board of Governors of the Federal Reserve System Rules for Comment to Implement Bank Broker Provisions |
| 2006-204 |
Dec. 12, 2006 |
SEC Risk Director Charles Fishkin to Leave Commission |
| 2006-203 |
Dec. 8, 2006 |
Fee Rate Advisory #5 for Fiscal Year 2007 |
| 2006-202 |
Dec. 6, 2006 |
Commission to Consider Recommendation to Repropose Deregistration Rules for Foreign Private Issuers
|
| 2006-201 |
Dec. 5, 2006 |
SEC Files Emergency Enforcement Action to Halt $18.2 Million Cross-Border Prime Bank Scheme
See also: Litigation Release 19934 |
| 2006-200 |
Dec. 4, 2006 |
SEC Files Fraud Charges Against China Energy Savings Technology, Inc. and Others; Court Orders Asset Freeze
See also: Litigation Release 19933; Complaint |
| 2006-199 |
Dec. 4, 2006 |
SEC Staff Announces Possible Topics for 2007 CCOutreach Regional Seminars |
| 2006-198 |
Dec. 4, 2006 |
Jefferies Settles SEC Charges Involving Illegal Gifts and Entertainment
See also: Administrative Proceeding Nos. 34-54861 and
34-54862 |
| 2006-197 |
Nov. 30, 2006 |
SEC Announces Emergency Action to Halt Ongoing Fraud Against Senior Citizens
See also: Litigation Release 19927; Complaint |
| 2006-196 |
Nov. 29, 2006 |
Scott Taub, Deputy Chief Accountant, to Leave SEC |
| 2006-195 |
Nov. 28, 2006 |
Statement by SEC Chairman Cox at News Conference on Self Regulation Consolidation |
| 2006-194 |
Nov. 17, 2006 |
Fee Rate Advisory #4 for Fiscal Year 2007 |
| 2006-193 |
Nov. 17, 2006 |
John McCarthy, Associate Director of OCIE, to Leave Commission |
| 2006-192 |
Nov. 15, 2006 |
SEC Sanctions Broker-Dealer for Unsuitable 529 College Savings Plan Recommendations
See also: Administrative Proceeding No. 34-54754
|
| 2006-191 |
Nov. 14, 2006 |
SEC Sanctions the City Of San Diego for Fraudulent Municipal Bond Offerings and Orders the City to Retain an Independent Consultant
See also: Administrative Proceeding No. 33-8751
|
| 2006-190 |
Nov. 14, 2006 |
SEC Enhances Online Search Capabilities for Investors |
| 2006-189 |
Nov. 8, 2006 |
SEC Freezes Assets of Purported Hedge Fund Manager
See also: Litigation Release 19905; Complaint |
| 2006-188 |
Nov. 8, 2006 |
Hartford to Pay $55 Million to Settle Directed Brokerage Charges
See also: Administrative Proceeding No. 33-8750
|
| 2006-187 |
Nov. 8, 2006 |
SEC and British Columbia Securities Commission Charge Two Canadians With Greyfield Stock Manipulation
See also: Litigation Release 19902; Complaint
|
| 2006-186 |
Nov. 7, 2006 |
Florence Harmon Named Deputy Secretary |
| 2006-185 |
Nov. 3, 2006 |
Alexander Cohen Named SEC Deputy General Counsel
|
| 2006-184 |
Nov. 2, 2006 |
SEC Files Settled Charges Against Eight Former Officers and Directors of Spiegel, Inc.
See also:
Litigation Release 19897
Complaint: Michael Crusemann and Michael Otto
Complaint: John R. Steele
Complaint: Martin Zaepfel
Complaint: James R. Cannataro
Complaint: Michael R. Moran and James W. Sievers
Administrative Proceeding No. 34-54689
|
| 2006-183 |
Oct. 30, 2006 |
SEC Charges Delphi Corporation and Nine Individuals, Including Former CEO, CFO, Treasurer and Controller, in Wide-Ranging Financial Fraud; Four Others Charged With Aiding and Abetting Related Violations
See also: Litigation Release 19891; Complaint; Administrative Proceeding Nos. 34-54665, 34-54666, 34-54667 and 34-54668 |
| 2006-182 |
Oct. 26, 2006 |
SEC, NASAA Announce Continuation of IARD System Fee Waiver
See also: Release No. IA-2564 |
| 2006-181 |
Oct. 26, 2006 |
SEC Adopts New Rules for Business Development Companies and Reproposes New Category of Eligible Portfolio Company
See also: Final Rule Release No. IC-27538; Proposed Rule Release No. IC-27539 |
| 2006-180 |
Oct. 24, 2006 |
David Kreinberg, Former CFO of Comverse Technology, Inc., Agrees to Settle SEC Charges in Options Backdating Case
See also: Press Release 2006-137;
Litigation Release Nos. 19796 and 19878 |
| 2006-179 |
Oct. 20, 2006 |
Defrauded WorldCom Investors Set to Receive Initial $150 Million Payout From SEC 'Fair Fund' |
| 2006-178 |
Oct. 19, 2006 |
George Curtis Named Regional Director of the SEC's Central Regional Office |
| 2006-177 |
Oct. 18, 2006 |
SEC Amends Tender Offer Best-Price Rules to Benefit Investors |
| 2006-176 |
Oct. 17, 2006 |
Christopher Conte, Fredric Firestone and Cheryl Scarboro Named Associate Directors of the SEC'S Division of Enforcement |
| 2006-175 |
Oct. 16, 2006 |
John Dugan Named Associate District Administrator for Enforcement in the SEC's Boston District Office |
| 2006-174 |
Oct. 13, 2006 |
SEC Sanctions Statoil for Bribes to Iranian Government Official
See also: Administrative Proceeding Release No. 34-54599 |
| 2006-173 |
Oct. 12, 2006 |
SEC Files Emergency Action to Halt $30 Million Ponzi Scheme |
| 2006-172 |
Oct. 11, 2006 |
Commission Announces Schedule for Action Regarding Section 404 of the Sarbanes-Oxley Act OF 2002, Foreign Private Issuer Deregistration, Internet Availability of Proxy Materials, and Securities Exchange Act Rule 14A-8
|
| 2006-171 |
Oct. 10, 2006 |
SEC Sues Ex-President of California Mortgage Firm for Running $30 Million Ponzi Scheme
See also: Litigation Release 19861 |
| 2006-170 |
Oct. 4, 2006 |
SEC Chairman Announces Opening of Registration for 'CCOutreach' National Seminar for 2006
|
| Third Quarter |
| 2006-169 |
Sep. 29, 2006 |
SEC Announces Timetable for Enactment of Final Rules Under Gramm-Leach-Bliley Act
See also: Exemptive Order; Release No. 34-54544 |
| 2006-168 |
Sep. 29, 2006 |
Fee Rate Advisory #3 for Fiscal Year 2007
|
| 2006-167 |
Sep. 27, 2006 |
SEC Votes to Adopt Amendments to the Redemption Fee Rule and Extend Compliance Date
See also: Final Rule Release No. IC-27504 |
| 2006-166 |
Sep. 27, 2006 |
Commission Announces Speakers, Panelists, and Agenda for October 3 Interactive Data Roundtable
Comments received are available for this proposal.
 Click to submit comments on 4-515 |
| 2006-165 |
Sep. 27, 2006 |
SEC Chairman, Euronext Regulators Meet to Discuss Cooperation in the Event of the NYSE Euronext Combination
|
| 2006-164 |
Sep. 27, 2006 |
SEC Charges Former CEO and Two Former Executives Affiliated with RenaissanceRe Holdings Ltd. with Securities Fraud
See also: Litigation Release 19847 |
| 2006-163 |
Sep. 26, 2006 |
BISYS Fund Services to Pay $21 Million to Settle Fraud Charges in Connection with Improper Marketing Arrangements with 27 Mutual Fund Advisers
See also: Administrative Proceeding Release No. IA-2554 |
| 2006-162 |
Sep. 26, 2006 |
SEC Awards Contract for Study to Compare Roles of Investment Advisers, Broker-Dealers
|
| 2006-161 |
Sep. 26, 2006 |
Fee Rate Advisory #2 For Fiscal Year 2007
|
| 2006-160 |
Sep. 25, 2006 |
Commission Announces Interactive Data Roundtable on New Software to Make Better Information a Reality
Comments received are available for this proposal.
Click to submit comments on 4-515 |
| 2006-159 |
Sep. 25, 2006 |
U.S. Securities and Exchange Commission Chairman Cox Appoints Mike Halloran Deputy Chief of Staff and Counselor to the Chairman |
| 2006-158 |
Sep. 25, 2006 |
SEC to Rebuild Public Disclosure System to Make It ‘Interactive’ |
| 2006-157 |
Sep. 22, 2006 |
SEC Announces Roundtable Panelists for Forum on Small Business Capital Formation
See also: Forum Agenda |
| 2006-156 |
Sep. 19, 2006 |
Office of the Chief Accountant Issues Letter Expressing Its Views on the Appropriate Application of the Stock Option Accounting Literature
See also: Staff Accounting Letter |
| 2006-155 |
Sep. 19, 2006 |
Doral Financial Settles Financial Fraud Charges with SEC and Agrees to Pay $25 Million Penalty
See also: Litigation Release 19837 and Complaint |
| 2006-154 |
Sep. 18, 2006 |
Office of the Chief Accountant Selects Three Professional Accounting Fellows |
| 2006-153 |
Sep. 13, 2006 |
SEC’s Office of the Chief Accountant and Divisions of Corporation Finance and Investment Management Release Staff Accounting Bulletin 108
See also: SAB 108 |
| 2006-152 |
Sep. 8, 2006 |
Economic Fellow Named by the Office of Economic Analysis |
| 2006-151 |
Sep. 8, 2006 |
Visiting Academic Scholar Named by the Office Of Economic Analysis |
| 2006-150 |
Sep. 7, 2006 |
Commission Calendars Proposed Amendment to Rule 14a-8 Governing Director Nominations by Shareholders |
| 2006-149 |
Sep. 5, 2006 |
SEC Sues Oil and Gas Promoters, Issues Investor Alert
See also: Litigation Release 19820 |
| 2006-148 |
Sep. 5, 2006 |
Commission Announces Panelists for the SEC Roundtable on Regulation SHO Pilot
Comments received are available for this proposal.
Click to submit comments on 4-520 |
| 2006-147 |
Sep. 1, 2006 |
SEC Joins Department of Justice in Supporting Constitutionality of PCAOB
See also: Attachment |
| 2006-146 |
Aug. 31, 2006 |
SEC Small Business Forum to Focus on Interactive Data and Capital Formation |
| 2006-145 |
Aug. 28, 2006 |
Prudential to Pay $600 Million in Global Settlement of Fraud Charges in Connection With Deceptive Market Timing of Mutual Funds
See also: Litigation Release 19813; Administrative Proceeding 34-54371 |
| 2006-144 |
Aug. 21, 2006 |
Economic Fellow Appointed to the Office Of Economic Analysis
|
| 2006-143 |
Aug. 21, 2006 |
SEC Announces Emergency Action to Halt Ongoing Fraud Against Senior Citizens
See also: Litigation Release 19809 and Complaint
|
| 2006-142 |
Aug. 17, 2006 |
SEC Charges Former Officers of Military Body Armor Supplier with Financial Fraud
See also: Litigation Release 19806 and Complaint
|
| 2006-141 |
Aug. 16, 2006 |
Diego Tomás Ruiz Named Executive Director of the Securities and Exchange Commission |
| 2006-140 |
Aug. 14, 2006 |
Chairman Cox Names Erik R. Sirri To Be the Commission's Next Director of the Division of Market Regulation |
| 2006-139 |
Aug. 14, 2006 |
SEC Offers Opportunity for Software Industry to Join In Design of Web-Based Programs to Help Investors |
| 2006-138 |
Aug. 10, 2006 |
SEC Halts $22 Million Fraud in Southern California Targeting Retirement Funds
See also: Litigation Release 19801 |
| 2006-137 |
Aug. 9, 2006 |
SEC Charges Former Comverse Technology, Inc. CEO, CFO, and General Counsel in Stock Option Backdating Scheme
See also: Litigation Release 19796 and Complaint |
| 2006-136 |
Aug. 9, 2006 |
SEC Offers Further Relief From Section 404 Compliance for Smaller Public Companies and Many Foreign Private Issuers
See also: Release No. 33-8730A; Release No. 33-8731 |
| 2006-135 |
Aug. 7, 2006 |
Statement of Chairman Cox Concerning the Decision of the U.S. Court of Appeals in Phillip Goldstein, et al. v. SEC |
| 2006-134 |
Aug. 7, 2006 |
Martha Stewart and Peter Bacanovic Settle SEC's Insider Trading Charges
See also: Litigation Release 19794 |
| 2006-133 |
Aug. 3, 2006 |
Visiting Academic Scholar Appointed to the Office of Economic Analysis |
| 2006-132 |
Aug. 3, 2006 |
SEC Charges Texas Insurance Firm with Deceptive Sale of Investments to Military Personnel
See also: Litigation Release No. LR-19791 and Complaint |
| 2006-131 |
Aug. 2, 2006 |
Zoe-Vonna Palmrose Named SEC Deputy Chief Accountant for Professional Practice |
| 2006-130 |
Aug. 2, 2006 |
SEC and CESR Launch Work Plan Focused on Financial Reporting |
| 2006-129 |
Aug. 1, 2006 |
SEC Moves Forward on Study to Compare Roles of Investment Advisers, Broker-Dealers
See also: Request for Proposal |
| 2006-128 |
Aug. 1, 2006 |
SEC Charges Operator of Stock Picking Website with Secretly Profiting in Investment Scam
See also: Litigation Release No. LR-19787 and Complaint |
| 2006-127 |
Jul. 31, 2006 |
SEC Issues Order Approving the Exchange Act Registration of Securities To Be Traded on the Nasdaq Stock Market LLC |
| 2006-126 |
Jul. 31, 2006 |
SEC Names Associate District Administrator in Atlanta |
| 2006-125 |
Jul. 27, 2006 |
Jury Rules in SEC’s Favor, Finds Former Suncoast Principal Liable for Securities Violations |
| 2006-124 |
Jul. 27, 2006 |
SEC Charges Florida Promoters and the Voice Behind Fraudulent “Wrong Number” Stock Tips
See also: Litigation Release No. LR-19769 and Complaint |
| 2006-123 |
Jul. 26, 2006 |
SEC Votes to Adopt Changes to Disclosure Requirements Concerning Executive Compensation and Related Matters
See also: Summary Compensation Table |
| 2006-122 |
Jul. 24, 2006 |
Chairman Christopher Cox Names Conrad Hewitt to Be the Commission's Next Chief Accountant |
| 2006-121 |
Jul. 20, 2006 |
U.S. Attorney’s Office and SEC Separately Charge Former Brocade CEO and Vice President in Stock Option Backdating Scheme
See also: Litigation Release No. LR-19768 and Complaint |
| 2006-120 |
Jul. 19, 2006 |
Distributions Begin to Victims of Improper Trading at NYSE Specialist Firms |
| 2006-119 |
Jul. 17, 2006 |
SEC Charges Renaissance Asset Fund and Others with $16 Million Offering Fraud
See also: Administrative Proceeding Release No. 33-8723 and Litigation Release No. LR-19764 |
| 2006-118 |
Jul. 17, 2006 |
Kathleen Casey Sworn In as 88th SEC Commissioner |
| 2006-117 |
Jul. 14, 2006 |
SEC Announces Emergency Action to Halt $15 Million Fraud Against Senior Citizens
See also: Litigation Release No. 19761 |
| 2006-116 |
Jul. 12, 2006 |
SEC Votes to Publish Interpretive Guidance on "Soft Dollars" Safe Harbor and to Propose Amendments to Regulation SHO |
| 2006-115 |
Jul. 12, 2006 |
David Plumlee, Marlene Plumlee, and Tom Noland Named Academic Fellows in SEC Office of the Chief Accountant |
| 2006-114 |
Jul. 11, 2006 |
Statements of SEC Acting Chief Accountant Scott Taub and Corporation Finance Division Director John White Regarding New COSO Guidance on Section 404 Compliance |
| 2006-113 |
Jul. 11, 2006 |
Parveen Gupta Named Academic Accounting Fellow for SEC Division of Corporation Finance |
| 2006-112 |
Jul. 11, 2006 |
SEC Moves Forward on Sarbanes-Oxley 404 Improvements
See also: Concept Release 34-54122 |
| 2006-111 |
Jul. 10, 2006 |
Kimberly Garber Named Fort Worth District Office Associate District Administrator for Examinations |
| 2006-110 |
Jul. 10, 2006 |
CFTC and SEC Issue Rules for Trading Futures on Debt Security Index Contracts |
| 2006-109 |
Jul. 10, 2006 |
SEC to Conduct First-Ever Seniors Summit July 17 to Protect Older Americans From Investment Fraud
|
| Second Quarter |
| 2006-108 |
Jun. 30, 2006 |
Commission Approves NASD Rule Changes Reflecting Nasdaq's Registration as a National Securities Exchange and Issues Order Modifying a Condition to Nasdaq's Operation as an Exchange
See also: Order Approving Proposed Rule Change and Order Modifying Condition |
| 2006-107 |
Jun. 30, 2006 |
Jury Finds Former PIMCO Equity Funds Chairman Defrauded Investors in Market Timing Case
|
| 2006-106 |
Jun. 30, 2006 |
SEC Describes Investment Professional Regulation Study
See also: Release No. 34-54077 |
| 2006-105 |
Jun. 29, 2006 |
Lori Schock Named Acting Director of Investor Education and Assistance |
| 2006-104 |
Jun. 28, 2006 |
SEC Settles With Raytheon Company, Former CEO, and Subsidiary Controller for Improper Disclosure and Accounting Practices
See also: Administrative Proceeding, Release No. 33-8715
|
| 2006-103 |
Jun. 27, 2006 |
SEC Charges Morgan Stanley With Failure To Maintain And Enforce Policies To Prevent Misuse of Inside Information
See also: Administrative Proceeding, Release Nos. 34-54047 and IA-2526 |
| 2006-102 |
Jun. 27, 2006 |
SEC and Korea Financial Supervisory Commission Announce Terms of Reference for Regulatory Dialogue |
| 2006-101 |
Jun. 23, 2006 |
Statement of Chairman Cox Concerning the Decision of the U.S. Court of Appeals in Phillip Goldstein, et al. v. Securities and Exchange Commission |
| 2006-100 |
Jun. 21, 2006 |
SEC Adopts New Rules and Amendments for Fund of Funds Investments and Disclosure |
| 2006-99 |
Jun. 20, 2006 |
More Companies Join SEC's Program to Use Interactive Data for Financial Statements |
| 2006-98 |
Jun. 19, 2006 |
Public Company Accounting Oversight Board Incumbent Kayla J. Gillan Reappointed to Second Term |
| 2006-97 |
Jun. 19, 2006 |
Federal Reserve Governor Mark W. Olson Named to Chair Public Company Accounting Oversight Board |
| 2006-96 |
Jun. 16, 2006 |
SEC Office of International Affairs and Divisions of Market Regulation and Corporation Finance Release Fact Sheet |
| 2006-95 |
Jun. 13, 2006 |
SEC Complies with Court Order on Mutual Fund Governance Rule
See also: Request for Additional Comment |
| 2006-94 |
Jun. 13, 2006 |
Commission Announces SEC Roundtable on Regulation SHO Pilot
Comments received are available for this proposal.
Click to submit comments on 4-520 |
| 2006-93 |
Jun. 12, 2006 |
SEC Announces That Over a Million Corporate and Mutual Fund Reports Are Now Fully Searchable via Web |
| 2006-92 |
Jun. 8, 2006 |
$750 Million Distribution Begins for Bristol-Myers Fraud Victims
See also: Litigation Release No. 18867, Litigation Release No. 18822, Litigation Release No. 18820 |
| 2006-91 |
Jun. 7, 2006 |
SEC Chairman Cox Urges Options Exchanges to Start Limited Penny Quoting |
| 2006-90 |
Jun. 7, 2006 |
Commission Announces Speakers, Panelists, and Agenda for June 12 Interactive Data Roundtable |
| 2006-89 |
Jun. 7, 2006 |
SEC Files Fraud Charges Against Former Restaurant Executives for Undisclosed Compensation and Accounting Fraud; Former CEO Agrees to Pay $500,000 Civil Penalty
See also: Litigation Release No. 19719; Litigation Release No. 19720 |
| 2006-88 |
Jun. 6, 2006 |
Susan Ferris Wyderko, Director of the Office of Investor Education and Assistance, to Leave Commission |
| 2006-87 |
Jun. 5, 2006 |
Jeffrey Risinger Designated Acting Executive Director |
| 2006-86 |
Jun. 5, 2006 |
Andrew Vollmer Named SEC Deputy General Counsel |
| 2006-85 |
Jun. 2, 2006 |
SEC Chairman, FSA Leadership Meet on Interactive Disclosure, Continuity, Hedge Funds, and Exchange Regulations |
| 2006-84 |
Jun. 1, 2006 |
SEC Charges the Philadelphia Stock Exchange with Failing to Police Specialists
See also: Administrative Proceeding 34-53919 |
| 2006-83 |
May 31, 2006 |
15 Broker-Dealer Firms Settle SEC Charges Involving Violative Practices in the Auction Rate Securities Market
See also: Administrative Proceeding 33-8684 |
| 2006-82 |
May 30, 2006 |
SEC Brings Settled Charges Against Tribune Company for Reporting Inflated Circulation Figures and Misstating Circulation Revenues
See also: Administrative Proceeding 34-53882 |
| 2006-81 |
May 25, 2006 |
Statements Concerning Today's Verdict in Criminal Trial in Houston |
| 2006-80 |
May 23, 2006 |
SEC and OFHEO Announce Resolution of Investigation and Special Examination of Fannie Mae
See also: Litigation Release No. 19710 |
| 2006-79 |
May 23, 2006 |
More Companies Decide to Furnish SEC Reports Using Interactive Data |
| 2006-78 |
May 22, 2006 |
SEC Orders Crowell, Weedon to Comply With Anti-Money Laundering Law
See also: Administrative Proceeding No. 34-53847 |
| 2006-77 |
May 18, 2006 |
SEC Extends Compliance Dates for Regulation NMS
See also: Spotlight on Regulation NMS |
| 2006-76 |
May 18, 2006 |
Paul Berger, Associate Director of Enforcement, to Leave Commission |
| 2006-75 |
May 17, 2006 |
SEC Announces Next Steps for Sarbanes-Oxley Implementation |
| 2006-74 |
May 16, 2006 |
Chairman Cox Meets with Korea Financial Supervisory Commission Chairman Yoon |
| 2006-73 |
May 16, 2006 |
SEC Charges Former Video Game CEO in Junk Fax Scam
See also: Litigation Release No. 19701 |
| 2006-72 |
May 15, 2006 |
SEC Examination Staff to Sponsor Regional Seminars |
| 2006-71 |
May 15, 2006 |
Commissioner Glassman Announces Intention to Leave SEC
See also: Letter from Commissioner Glassman |
| 2006-70 |
May 11, 2006 |
SEC Announces New Charges Against Insider Trading Ring
See also: Litigation Release No. 19696 |
| 2006-69 |
May 10, 2006 |
Morgan Stanley Sued for Repeated E-Mail Production Failures
See also: Litigation Release No. 19693 |
| 2006-68 |
May 9, 2006 |
Agencies Request Comment on Revised Statement Concerning Elevated Risk Complex Structured Finance Activities
See also: Interagency Statement |
| 2006-67 |
May 10, 2006 |
Former Chairman and CEO of Gemstar-TV Guide International, Inc. Ordered to Pay Over $22 Million For Role in Accounting Fraud
See also: Litigation Release No. 19694 |
| 2006-66 |
May 8, 2006 |
Commission's June 12 Interactive Data Roundtable to Include Panels on Improving Mutual Fund Disclosures |
| 2006-65 |
May 8, 2006 |
Securities and Exchange Commission and North American Securities Administrators Association Launch Program to Protect Senior Investors |
| 2006-64 |
May 3, 2006 |
SEC Announces Billion Dollar Fee Cut to Benefit Investors
See also: FY2007 Fee Rate Adjustments |
| 2006-63 |
May 2, 2006 |
SEC and CSRC Announce Terms of Reference for Enhanced Dialogue |
| 2006-62 |
May 1, 2006 |
Commission and PCAOB Announce Panelists for May 10th Roundtable on Second-Year Experiences with Internal Control Reporting and Auditing Provisions |
| 2006-61 |
Apr. 25, 2006 |
SEC to Replace Many Paper Effectiveness Orders With Electronic Notifications of Effectiveness |
| 2006-60 |
Apr. 21, 2006 |
Approval of Order to Extend the Termination Date of the Short Sale Pilot Order
See also: Order Extending Term of Short Sale Pilot |
| 2006-59 |
Apr. 17, 2006 |
SEC Enforcement Action Charges Entertainment Promoter Jack Utsick and Others in Connection With $300 Million Offering Fraud
See also: Litigation Release No. 19659 |
| 2006-58 |
Apr. 17, 2006 |
SEC Brings Settled Charges Against Tyco International Ltd. Alleging Billion Dollar Accounting Fraud
See also: Litigation Release No. 19657 |
| 2006-57 |
Apr. 13, 2006 |
SEC Announces Sixteenth Annual International Institute |
| 2006-56 |
Apr. 13, 2006 |
Richard Wessel, District Administrator of the SEC's Atlanta District Office, to Retire |
| 2006-55 |
Apr. 12, 2006 |
Policy Statement of the Securities and Exchange Commission Concerning Subpoenas to Members of the News Media |
| 2006-54 |
Apr. 12, 2006 |
Thomas Biolsi Named Associate Regional Director for Examinations in the SEC Northeast Regional Office |
| 2006-53 |
Apr. 11, 2006 |
SEC Complaint Charges International Insider Trading Ring, Including Personnel at Goldman Sachs and Merrill Lynch
See also: Litigation Release No. 19650 |
| 2006-52 |
Apr. 10, 2006 |
SEC Chairman Christopher Cox Appoints Andrew Donohue to Be the Commission's Next Director of the Division of Investment Management |
| 2006-51 |
Apr. 10, 2006 |
SEC Advisory Committee on Smaller Public Companies Plans Public Telephone Conference Meeting |
| 2006-50 |
Apr. 6, 2006 |
SEC Files Emergency Action to Stop Ongoing Microcap Stock Fraud
See also: Litigation Release No. 19642 |
| 2006-49 |
Apr. 6, 2006 |
Daniel M. Hawke Named District Administrator of the SEC's Philadelphia District Office |
| 2006-48 |
Apr. 6, 2006 |
David Bergers Named District Administrator of the SEC's Boston District Office |
| 2006-47 |
Apr. 5, 2006 |
SEC and CFTC Propose Framework for Trading Futures on Debt Security Index Contracts
See also: Joint Proposed Rule; Release No. 34-53560 |
| First Quarter |
| 2006-46 |
Mar. 31, 2006 |
Report Issued on Improving Financial Privacy Notices for Consumers |
| 2006-45 |
Mar. 30, 2006 |
SEC Charges Three Former KPMG Auditors for Altering Audit Working Papers |
| 2006-44 |
Mar. 30, 2006 |
Office of the Chief Accountant Selects Two Professional Accounting Fellows |
| 2006-43 |
Mar. 29, 2006 |
17 Companies Join SEC Pilot Program to Use 'Interactive Data' in Financial Reports |
| 2006-42 |
Mar. 27, 2006 |
Visiting Academic Scholar Appointed to the Office of Economic Analysis |
| 2006-41 |
Mar. 22, 2006 |
SEC Approves NYSE Hybrid Market Proposal
See also: Release No. 34-53539 |
| 2006-40 |
Mar. 21, 2006 |
SEC Charges 11 More Individuals in Fraudulent "Squawk Box" Scheme |
| 2006-39 |
Mar. 17, 2006 |
Donald M. Hoerl Named Acting Regional Director of the SEC's Central Regional Office |
| 2006-38 |
Mar. 16, 2006 |
SEC Settles Fraud Charges with Bear Stearns for Late Trading and Market Timing Violations
See also: Administrative Proceeding: Release No. 33-8668 |
| 2006-37 |
Mar. 14, 2006 |
Jim McConnell, SEC Executive Director, Retires |
| 2006-36 |
Mar. 14, 2006 |
SEC, UK FSA Sign Landmark Regulatory Cooperation Arrangement
|
| 2006-35 |
Mar. 9, 2006 |
SEC Files Fraud Charges Against Dallas Investment Adviser and Its President in $1.9 Million Junk-Fax “Scalping” Scheme
See also: Litigation Release No. 19606 |
| 2006-34 |
Mar. 9, 2006 |
Commission Announces Roundtable Series on Giving Investors and Analysts Better Financial Data via Internet
Comments received are available for this proposal.
Click to submit comments on 4-515 |
| 2006-33 |
Mar. 7, 2006 |
Randall Fons, Head of the SEC’s Central Regional Office, To Leave the Commission |
| 2006-32 |
Mar. 3, 2006 |
SEC'S Advisory Committee on Smaller Public Companies Solicits Comments on Draft Final Report |
| 2006-31 |
Mar. 1, 2006 |
Fee Rate Advisory #6 for FY 2006 |
| 2006-30 |
Feb. 28, 2006 |
SEC Chairman Christopher Cox Gets Clean Bill of Health |
| 2006-29 |
Feb. 27, 2006 |
Approval of SRO Rule Changes Necessary To Effectuate Merger of NYSE and Archipelago Holdings
See also: Release No. 34-53382 and Release No. 34-53383 |
| 2006-28 |
Feb. 27, 2006 |
Chairman Christopher Cox Appoints SEC Veteran John Nester Director of Public Affairs |
| 2006-27 |
Feb. 27, 2006 |
SEC Welcomes Plans of U.S., International Standard Setters for Convergence of Accounting Systems |
| 2006-26 |
Feb. 27, 2006 |
SEC Halts "Paid Autosurf" Internet Ponzi Scheme that Raised Over $50 Million from 300,000 Investors Worldwide
See also: Litigation Release No. 19579 |
| 2006-25 |
Feb. 27, 2006 |
Martin Dunn Named Acting Director of Division of Corporation Finance |
| 2006-24 |
Feb. 27, 2006 |
Statement by Securities and Exchange Commission Chairman Christopher Cox Concerning Subpoenas of Journalists |
| 2006-23 |
Feb. 22, 2006 |
Four Current or Former KPMG Partners Settle SEC Litigation Relating To Xerox Audits
See also: Litigation Release No. 19573 |
| 2006-22 |
Feb. 15, 2006 |
Commission and PCAOB Announce Roundtable on Internal Control Reporting Requirements
Comments received are available for this proposal.
Click to submit comments on 4-511 |
| 2006-21 |
Feb. 15, 2006 |
SEC Revokes Securities Registrations of
Twenty-Five Delinquent Issuers |
| 2006-20 |
Feb. 13, 2006 |
SEC Extends Deadline for Companies To Join Interactive Data Test Group |
| 2006-19 |
Feb. 9, 2006 |
AIG to Pay $800 Million to Settle Securities Fraud Charges by SEC
See also: Litigation Release No. 19560 |
| 2006-18 |
Feb. 8, 2006 |
Chairman Christopher Cox Names John White To Be the Commission’s Next Director of the Division of Corporation Finance |
| 2006-17 |
Feb. 8, 2006 |
Accounting Standards: SEC Chairman Cox and EU Commissioner McCreevy Affirm Commitment to Elimination of the Need for Reconciliation Requirements |
| 2006-16 |
Feb. 3, 2006 |
Rose Romero Named District Administrator of the SEC’s Fort Worth District Office |
| 2006-15 |
Feb. 2, 2006 |
SEC Charges One AIG and Four Gen Re Executives for Aiding in AIG Securities Fraud
See also: Litigation Release No. 19552 |
| 2006-14 |
Jan. 30, 2006 |
SEC and Japan Financial Services Agency Announce Terms for Increased Cooperation and Collaboration |
| 2006-13 |
Jan. 27, 2006 |
SEC Chairman to Undergo Surgery; Complete Recovery Expected After Brief Recuperation |
| 2006-12 |
Jan. 27, 2006 |
Division of Market Regulation Publishes Responses to Frequently Asked Questions Concerning Rule 611 and Rule 610 of Regulation NMS |
| 2006-11 |
Jan. 20, 2006 |
SEC Seeks to Distribute $10 Million Civil Penalty to i2 Technologies, Inc. Investors
See also: Litigation Release No. 19535A |
| 2006-10 |
Jan. 17, 2006 |
SEC Votes to Propose Changes to Disclosure Requirements Concerning Executive Compensation and Related Matters
See also: Chairman Cox Opening Statement |
| 2006-9 |
Jan. 13, 2006 |
Approval of NASDAQ Stock Market LLC Exchange Application
See also: Findings, Opinion, and Order: Release No. 34-53128 |
| 2006-8 |
Jan. 12, 2006 |
Susan Ferris Wyderko Designated as Acting Director of the Division of Investment Management |
| 2006-7 |
Jan. 11, 2006 |
SEC Offers Incentives for Companies to File Financial Reports with Interactive Data |
| 2006-6 |
Jan. 11, 2006 |
Corporation Finance Division Director Alan Beller to Leave Commission |
| 2006-5 |
Jan. 10, 2006 |
Daniel Calugar and Security Brokerage, Inc. to Pay Over $150 Million to Settle SEC Fraud Action for Late Trading and Market Timing
See also: Litigation Release No. 19526 |
| 2006-4 |
Jan. 4, 2006 |
Statement of the Securities and Exchange Commission Concerning Financial Penalties
See also: Litigation Release No. 19520; Administrative Proceeding Release No. 33-8651 |
| 2006-3 |
Jan. 4, 2006 |
SEC Charges McAfee, Inc. with Accounting Fraud; McAfee Agrees to Settle and Pay a $50 Million Penalty
See also: Litigation Release No. 19520
|
| 2006-2 |
Jan. 3, 2006 |
SEC Charges Six Former Officers of Putnam Fiduciary Trust Company with Defrauding Clients of $4 Million
See also: Litigation Release No. 19517
|
| 2006-1 |
Jan. 3, 2006 |
Brian Cartwright Named SEC General Counsel |
