Release No. |
Date |
Details |
Fourth Quarter |
2007-270 |
Dec. 27, 2007 |
Fee Rate Advisory #6 for Fiscal Year 2008 |
2007-269 |
Dec. 21, 2007 |
Fee Rate Advisory #5 for Fiscal Year 2008 |
2007-268 |
Dec. 21, 2007 |
Chairman Cox Unveils New Internet Tool With Instant Comparisons Of Executive Pay |
2007-267 |
Dec. 21, 2007 |
SEC Staff Issues Year-End Help For Expensing Employee Stock Options
See also: Staff Accounting Bulletin No. 110 |
2007-266 |
Dec. 18, 2007 |
SEC Charges Mayer Brown Partner Joseph P. Collins with Aiding and Abetting Refco Fraud
See also: Litigation Release No. 20402 |
2007-265 |
Dec. 14, 2007 |
Fee Rate Advisory #4 For Fiscal Year 2008 |
2007-264 |
Dec. 14, 2007 |
SEC Staff Hold First CCOutreach Programs For SEC Investment Advisers in Asia |
2007-263 |
Dec. 13, 2007 |
SEC Conducts Major Anti-Money Laundering Program for Latin America and the Caribbean |
2007-262 |
Dec. 13, 2007 |
SEC Charges Former Chairman/CEO of Schnitzer Steel for Authorizing Cash Bribes to Foreign Officials
See also: Litigation Release No. 20397 |
2007-261 |
Dec. 12, 2007 |
SEC Announces Roundtable Discussions Regarding International Financial Reporting Standards
Comments received are available for this proposal.
Click to submit comments on 4-552
|
2007-260 |
Dec. 11, 2007 |
SEC Votes to Publish Concept Release Soliciting Comment on Oil and Gas Disclosure Requirements
Video of Chairman's Statement:
|
2007-259 |
Dec. 11, 2007 |
SEC Facilitates Smaller Company Access to Capital Markets
Video of Chairman's Statement on Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3: |
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Windows Media Player (14 MB) |
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QuickTime (20 MB) |
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2007-258 |
Dec. 11, 2007 |
SEC Halts Fraudulent Global Pyramid Scheme Preying On Hispanic Community
See also: Litigation Release No. 20393 |
2007-257 |
Dec. 11, 2007 |
SEC Charges San Diego's Independent Auditor for Fraud in Connection With City Municipal Securities Offerings
See also: Litigation Release No. 20394 |
2007-256 |
Dec. 7, 2007 |
SEC Files Actions Against 10 Defendants in Fraudulent Kickback Schemes
See also: Litigation Release No. 20390 |
2007-255 |
Dec. 6, 2007 |
Former UnitedHealth Group CEO/Chairman Settles Stock Options Backdating Case for $468 Million
See also: Litigation Release No. 20387 |
2007-254 |
Dec. 6, 2007 |
SEC Charges Former San Francisco-Area Stockbroker With Fraudulent Scheme That Violated Privacy Rights of Elderly Customers
See also: Litigation Release No. 20386 |
2007-253 |
Dec. 5, 2007 |
SEC's Office of Interactive Disclosure Urges Public Comment as Interactive Data Moves Closer to Reality for Investors |
2007-252 |
Dec. 5, 2007 |
John Loesch Named Deputy Director in SEC's Office of Investor Education and Advocacy |
2007-251 |
Dec. 5, 2007 |
H. David Kotz Named New Inspector General at SEC |
2007-250 |
Dec. 4, 2007 |
SEC Sues Maxim Integrated Products and Former Senior Officers in Stock Option Backdating Scheme
See also: Litigation Release No. 20381 |
2007-249 |
Nov. 29, 2007 |
SEC Releases Sample Format for Proposed Mutual Fund Summary Prospectus |
2007-248 |
Nov. 29, 2007 |
Peter Bresnan, Deputy Director of Enforcement, to Leave Commission |
2007-247 |
Nov. 28, 2007 |
SEC Adopts Proxy Rule Amendments Encouraging Electronic Shareholder Forums
Video of Chairman's Statement:
|
2007-246 |
Nov. 28, 2007 |
SEC Votes to Codify Longstanding Policy on Shareholder Proposals on Election Procedures
Video of Chairman's Statement:
|
2007-245 |
Nov. 27, 2007 |
Tom Kim Named Chief Counsel in Division of Corporation Finance |
2007-244 |
Nov. 27, 2007 |
CCOutreach BD National Seminar to Be Held March 7 |
2007-243 |
Nov. 27, 2007 |
Kay Lackey Named Associate Regional Director for Enforcement in SEC's New York Regional Office |
2007-242 |
Nov. 26, 2007 |
Elizabeth G. Osterman Named Associate Director in the Division of Investment Management |
2007-241 |
Nov. 20, 2007 |
SEC Announces $31.5 Million Fair Fund Distribution to Investors Injured by Undisclosed Market Timing in MFS Funds |
2007-240 |
Nov. 20, 2007 |
SEC Charges Edward May and E-M Management for Massive Offering Fraud Harming Seniors and Other Investors
See also: Litigation Release No. LR-20366 |
2007-239 |
Nov. 20, 2007 |
Wayne Carnall Named Chief Accountant in Division of Corporation Finance |
2007-238 |
Nov. 20, 2007 |
Brian Breheny Named Deputy Director in Division of Corporation Finance |
2007-237 |
Nov. 16, 2007 |
SEC Seeks Public Views on Enhanced Access to Company Reporting on Business in Countries on State Department List
See also: Concept Release No. 33-8860 |
2007-236 |
Nov. 16, 2007 |
Jury Rules in SEC's Favor, Finds Former Chairman/CEO of Chancellor Corporation Liable for Securities Fraud |
2007-235 |
Nov. 15, 2007 |
SEC Takes Action to Improve Consistency of Disclosure to U.S. Investors in Foreign Companies
Video of Chairman's Statement:
|
2007-234 |
Nov. 15, 2007 |
SEC Votes to Propose Improvement of Mutual Fund Disclosure
Video of Chairman's Statement:
|
2007-233 |
Nov. 15, 2007 |
SEC Votes to Adopt Three Rules to Improve Regulation of Smaller Businesses
Video of Chairman's Statement:
|
2007-232 |
Nov. 15, 2007 |
Fee Rate Advisory #3 for Fiscal Year 2008 |
2007-231 |
Nov. 14, 2007 |
SEC Announces 100 Percent Return of Funds to Defrauded Bio-Heal Investors |
2007-230 |
Nov. 14, 2007 |
Chevron to Pay $30 Million to Settle Charges For Improper Payments to Iraq Under U.N. Oil For Food Program
See also: Litigation Release LR-20363 |
2007-229 |
Nov. 14, 2007 |
SEC Renames Division of Market Regulation as Division of Trading and Markets |
2007-228 |
Nov. 9, 2007 |
Kevin Goodman Named Associate Regional Director for Examinations in SEC's Denver Regional Office |
2007-227 |
Nov. 9, 2007 |
Chairman Cox, Overseas Counterparts Meet to Discuss Interactive Data Timetable |
2007-226 |
Nov. 6, 2007 |
Authorities Responsible for Capital Market Regulation Work to Enhance the Governance of the IASC Foundation |
2007-225 |
Nov. 5, 2007 |
SEC Staff Releases Accounting Bulletin For Written Loan Commitments Recorded at Fair Value Under GAAP
See also: Staff Accounting Bulletin No. 109 |
2007-224 |
Nov. 2, 2007 |
SEC Proposes Rule Amendments to Provide Investors Internet Access to Exemptive Applications
See also: Proposing Release No. 33-8859 |
2007-223 |
Oct. 30, 2007 |
SEC, FINRA Launch New Initiative to Assist Chief Compliance Officers at Broker-Dealer Firms |
2007-222 |
Oct. 26, 2007 |
Steve Korotash Named Associate Regional Director for Enforcement in the SEC's Fort Worth Regional Office |
2007-221 |
Oct. 25, 2007 |
SEC Charges Former CEO of Military Body Armor Supplier With Financial Fraud and Insider Trading
See also: Litigation Release No. 20345 |
2007-220 |
Oct. 24, 2007 |
SEC Wins First-Ever Federal Agency Pro Bono Leadership Award |
2007-219 |
Oct. 19, 2007 |
SEC Distributes $356 Million to Defrauded Fannie Mae Investors |
2007-218 |
Oct. 18, 2007 |
San Francisco Regional Office Director Helane Morrison to Leave SEC |
2007-217 |
Oct. 15, 2007 |
Nortel Networks Pays $35 Million to Settle Financial Fraud Charges
See also: Litigation Release No. 20333 |
2007-216 |
Oct. 10, 2007 |
SEC Charges New York Hedge Fund Adviser With Short Sale Violations in Connection With Hibernia-Capital One Merger
See also: Administrative Proceeding 33-8857 |
2007-215 |
Oct. 10, 2007 |
Paul Beswick Named as Senior Advisor to the Commission's Chief Accountant |
2007-214 |
Oct. 9, 2007 |
SEC Staff Publishes Observations in Review of Executive Compensation Disclosure
See also: Executive Compensation Disclosure Review |
2007-213 |
Oct. 9, 2007 |
SEC Announces New Unit to Lead Global Move to Interactive Data |
2007-212 |
Oct. 4, 2007 |
SEC Takes Another Bite Out of E-Mail Spam With Three More Trading Suspensions
See also: Trading Suspension |
2007-211 |
Oct. 3, 2007 |
SEC Division of Corporation Finance Appoints Academic Engineering Fellow |
2007-210 |
Oct. 2, 2007 |
Commissioner Nazareth Announces Intention to Leave SEC |
2007-209 |
Oct. 1, 2007 |
Three Former Dynegy Executives Settle SEC Charges for Manipulating Financial Statements |
Third Quarter |
2007-208 |
Sep. 28, 2007 |
SEC Settles Enforcement Actions Against Municipal Bond Offerings Participants for Violations That Put at Risk the Bonds' Tax-Exempt Status |
2007-207 |
Sep. 28, 2007 |
Fee Rate Advisory #2 for Fiscal Year 2008 |
2007-206 |
Sep. 27, 2007 |
SEC Charges California Investment Adviser With Impersonating Clients to Steal From Accounts |
2007-205 |
Sep. 27, 2007 |
Freddie Mac, Four Former Executives Settle SEC Action Relating to Multi-Billion Dollar Accounting Fraud
See also: Litigation Release No. 20304; Administrative Proceeding 33-8850 |
2007-204 |
Sep. 27, 2007 |
SEC Charges Two Firms and Their CEOs With Securities Fraud in Municipal Bond Market
See also: Administrative Proceeding Nos. 34-56542 and 34-56543 |
2007-203 |
Sep. 26, 2007 |
SEC Brings Fraud Charges Against San Francisco Hedge Fund Manager
See also: Litigation Release No. 20300 |
2007-202 |
Sep. 26, 2007 |
SEC Announces New Initiative to Warn Investors About Questionable Securities Solicitations
See also: Notice: Rel. No. 34-56534 |
2007-201 |
Sep. 26, 2007 |
SEC Institutes Settled Enforcement Action Against Bristow Group for Improper Payments to Nigerian Government Officials and Other Violations
See also: Administrative Proceeding No. 34-56533 |
2007-200 |
Sep. 25, 2007 |
SEC Chairman Cox Announces Landmark Progress in Providing Instant, User-Friendly Access to Financial Reporting Information for Investors |
2007-199 |
Sep. 24, 2007 |
Seven Credit Rating Agencies Register with SEC as Nationally Recognized Statistical Rating Organizations |
2007-198 |
Sep. 24, 2007 |
Agencies Adopt Final Rules to Implement the Bank 'Broker' Provisions of the Gramm-Leach-Bliley Act
See also: Final Rule Release Nos. 34-56501 and 34-56502 |
2007-197 |
Sep. 24, 2007 |
SEC Charges Two With Securities Fraud in $4.4 Million Market Manipulation and Kickback Case
See also: Litigation Release No. 20293 |
2007-196 |
Sep. 24, 2007 |
SEC Charges Former NFL Player for Violations of Investment Adviser Regulations
See also: Administrative Proceeding No. IA-2651 and Order |
2007-195 |
Sep. 24, 2007 |
SEC Charges Three Individuals in Multi-Million Dollar Scheme to Defraud Savings Banks and Their Depositors
See also: Litigation Release No. 20292 |
2007-194 |
Sep. 21, 2007 |
SEC Releases Source Code for Interactive Data Viewer for Free Use by the Market |
2007-193 |
Sep. 20, 2007 |
SEC Votes to Adopt Temporary Rule on Principal Trades With Certain Advisory Clients; Also Votes to Propose Rule Amendments Regarding Interpretive Rules Under the Advisers Act Affecting Broker-Dealers
Video of Chairman's Statement:
|
2007-192 |
Sep. 20, 2007 |
SEC Charges 38 Defendants in Multi-Million Dollar Stock Loan Scams
See also: Litigation Release Nos. 20290 and 20291; Administrative Proceeding Nos. 34-56473, 34-56474, and 34-56475 |
2007-191 |
Sep. 20, 2007 |
Market Cap of 'Interactive Data' Filers Tops $2 Trillion |
2007-190 |
Sep. 19, 2007 |
SEC Votes for Final Rules Defining How Banks Can Be Securities Brokers
Video of Chairman's Statement:
|
2007-189 |
Sep. 19, 2007 |
SEC Announces Roundtable Panelists for Forum on Small Business Capital Formation |
2007-188 |
Sep. 19, 2007 |
Registration Begins for ‘CCOutreach’ National Seminar to Help Chief Compliance Officers Succeed in Protecting Investors |
2007-187 |
Sep. 19, 2007 |
HSBC Bank Settles SEC Charges and Agrees to Pay $10.5 Million
See also: Administrative Proceeding 33-8844 |
2007-186 |
Sep. 19, 2007 |
Evergreen Investment Management Company and Affiliates to Pay $32.5 Million to Settle Market Timing Violations
See also: Administrative Proceeding Nos. 34-56462 and 34-56464 |
2007-185 |
Sep. 17, 2007 |
Visiting Academic Scholars and Economic Fellows Appointed to the Office of Economic Analysis
|
2007-184 |
Sep. 17, 2007 |
SEC Charges Two Former Supermarket Executives With Financial Fraud
See also: Litigation Release No. 20285 |
2007-183 |
Sep. 13, 2007 |
SEC Charges 69 Audit Firms and Partners for Issuing Audit Reports While Not Registered with the PCAOB
See also: Administrative Proceedings (Release Nos. 34-56398 through 34-56436) |
2007-182 |
Sep. 12, 2007 |
SEC Charges 4 Additional Former Officers of Nortel Networks Corporation in Financial Fraud Scheme
See also: Litigation Release No. 20275 |
2007-181 |
Sep. 12, 2007 |
SEC Announces Final Disbursement to Investors From $267 Million Pilgrim Baxter Fair Fund |
2007-180 |
Sep. 11, 2007 |
SEC Small Business Forum to Focus on Recent Rule Proposals for Smaller Companies |
2007-179 |
Sep. 10, 2007 |
"Free Lunch" Investment Seminar Examinations Uncover Widespread Problems, Perils for Older Investors
Video of Chairman's Opening Remarks at Seniors Summit:
Video of Chairman's Post-Summit Interview on "Senior Specialist" Designations:
|
2007-178 |
Sep. 10, 2007 |
SEC Approves FINRA Rule Governing Sales Practices of Deferred Variable Annuities |
2007-177 |
Sep. 7, 2007 |
SEC Partners With State of Hawaii to Charge Honolulu-Based Adviser With Defrauding Seniors |
2007-176 |
Sep. 7, 2007 |
NYSE Euronext Becomes First Exchange to File Financial Statements Using Interactive Data |
2007-175 |
Sep. 6, 2007 |
SEC Seniors Summit To Tackle Identifying, Stopping Investment Scams Against Senior Citizens |
2007-174 |
Sep. 6, 2007 |
SEC Charges Brokerage Firms and Former Branch Supervisor for Failing to Supervise Former Registered Representative Who Defrauded Customers, Including Seniors
See also: Administrative Proceeding Nos. 34-56362, 34-56363, and 34-56364 |
2007-173 |
Sep. 6, 2007 |
SEC and U.S. Attorney Charge Repeat Stock Promoter and Penny Stock Trader With Illegal IPOs and Pump-and-Dump Manipulation Schemes
See also: Litigation Release No. 20269 |
2007-172 |
Sep. 5, 2007 |
SEC Charges 26 Defendants in $428 Million Securities Fraud That Targeted Senior Citizens and Retirement Savings
See also: Complaint |
2007-171 |
Sep. 5, 2007 |
SEC Charges Boston Stock Exchange and Former President James Crofwell With Failing to Police Specialists
See also: Litigation Release No. 20265; Administrative Proceeding 34-56352 |
2007-170 |
Aug. 28, 2007 |
SEC Charges Former General Counsel of KLA-Tencor And Juniper Networks For Fraudulent Stock Option Backdating
See also: Litigation Release No. 20257 |
2007-169 |
Aug. 23, 2007 |
SEC Files Action to Halt $25 Million Fraudulent Scheme Preying Upon Retirement Savings of Senior Citizens
See also: Litigation Release No. 20252 |
2007-168 |
Aug. 22, 2007 |
Office of the Chief Accountant Selects Three Professional Accounting Fellows |
2007-167 |
Aug. 21, 2007 |
Mutual Funds Begin Providing Risk-Return Information Using Interactive Data |
2007-166 |
Aug. 17, 2007 |
SEC Charges Additional Brocade Executive for Role in Stock Option Backdating Scheme
See also: Litigation Release No. 20247 |
2007-165 |
Aug. 13, 2007 |
SEC Announces $55 Million Fair Fund Distribution to Investors Injured in Banc One Investment Advisors Market Timing Fraud |
2007-164 |
Aug. 9, 2007 |
SEC Files Fraud Charges Against Nicor's Former CEO, CFO and Treasurer
See also: Litigation Release No. 20233 |
2007-163 |
Aug. 9, 2007 |
Commissioner Campos to Leave SEC |
2007-162 |
Aug. 9, 2007 |
General American Life Insurance Company, Former Senior VP Settle Late Trading Charges
See also: Adminstrative Proceeding No. 33-8832 |
2007-161 |
Aug. 7, 2007 |
First Bancorp Settles SEC Financial Fraud Charges Involving "Non-Conforming" Mortgages
See also: Litigation Release No. 20227 |
2007-160 |
Aug. 7, 2007 |
SEC to Convene Summit to Combat Investment Fraud Against Senior Citizens |
2007-159 |
Aug. 6, 2007 |
Division of Corporation Finance Deputy Director Marty Dunn to Leave SEC |
2007-158 |
Aug. 3, 2007 |
Federal Jury Finds Michael Pietrzak and Maurice Furlong Liable for Securities Fraud and Other Charges
See also: Litigation Release No. 20223 |
2007-157 |
Aug. 3, 2007 |
SEC Charges British Trader With Making Over $3 Million in Illicit Profits Through Insider Trading in Petco
See also: Litigation Release No. 20224 |
2007-156 |
Aug. 1, 2007 |
SEC Announces Distribution of $267 Million Fair Fund to Qwest Investors Injured by Accounting Fraud |
2007-155 |
Aug. 1, 2007 |
SEC Files Action Against Integrated Silicon Solution and Its Former CFO for Improper Stock Options Backdating
See also: Litigation Release No. 20219 |
2007-154 |
Jul. 31, 2007 |
SEC Chairman Cox Announces Members of Advisory Committee on Improvements to Financial Reporting |
2007-153 |
Jul. 31, 2007 |
SEC Chairman Cox Appoints Kristin J. Kaepplein Director of the Office of Investor Education and Advocacy; Announces Expansion of the Office |
2007-152 |
Jul. 31, 2007 |
SEC Announces Settlement With Aspen Technology
See also: Administrative Proceeding No. 33-8827 |
2007-151 |
Jul. 26, 2007 |
SEC Gives Regulatory Approval for NASD and NYSE Consolidation |
2007-150 |
Jul. 26, 2007 |
James Overdahl Named SEC Chief Economist to Head Office of Economic Analysis |
2007-149 |
Jul. 26, 2007 |
SEC Staff Hold CCOutreach Program for SEC Investment Advisers in Europe |
2007-148 |
Jul. 26, 2007 |
SEC Chairman Cox Calls for Improved Investor Protections in the Market for Municipal Securities
See also: White Paper to Congress |
2007-147 |
Jul. 26, 2007 |
SEC Sues Cardinal Health, Inc. For Fraudulent Earnings and Revenue Management Scheme
See also: Litigation Release No. 20212 |
2007-146 |
Jul. 26, 2007 |
SEC Charges Former Chairman and CEO of Brooks Automation in Stock Option Fraud
See also: Litigation Release No. 20210 |
2007-145 |
Jul. 25, 2007 |
SEC Soliciting Public Comment on Role of IFRS in the U.S.
Video of Chairman's Statement at the July 25 Open Meeting:
|
2007-144 |
Jul. 25, 2007 |
SEC Approves PCAOB Auditing Standard No. 5 Regarding Audits of Internal Control Over Financial Reporting; Adopts Definition of "Significant Deficiency"
Video of Chairman's Statement at the July 25 Open Meeting:
|
2007-143 |
Jul. 25, 2007 |
SEC Charges Former KLA-Tencor CEO With Fraud For Improper Stock Options Backdating
See also: Litigation Release No. 20207 |
2007-142 |
Jul. 25, 2007 |
SEC Charges ConAgra Foods, Inc. in Financial Fraud and Accounting Case
See also: Litigation Release No. 20206 |
2007-141 |
Jul. 24, 2007 |
SEC Charges Operators of Phoenixsurf.com Web Site With Conducting a Massive Internet Ponzi Scheme
See also: Litigation Release No. 20205 |
2007-140 |
Jul. 24, 2007 |
SEC Staff Provide Information To Assist Newly-Registered Investment Advisers |
2007-139 |
Jul. 24, 2007 |
Former MDS Inc. IT Specialist and Spouse Made More Than $1 Million From Stolen Information About MDS's Impending Merger With Molecular Devices
See also: Litigation Release No. 20203 |
2007-138 |
Jul. 20, 2007 |
Statement by Securities and Exchange Commission Chairman Christopher Cox Concerning Companies' Activities in Countries Known to Sponsor Terrorism |
2007-137 |
Jul. 19, 2007 |
Former SmartForce Executives, Auditors Settle Accounting Violation Charges
See also: Litigation Release No. 20202
|
2007-136 |
Jul. 19, 2007 |
Chief Economist Chester Spatt to Leave SEC |
2007-135 |
Jul. 12, 2007 |
SEC Charges Former CEO and Former Board Member of Engineered Support Systems, Inc. in Options Backdating Scheme
See also: Litigation Release No. 20193 |
2007-134 |
Jul. 12, 2007 |
SEC Expands Interactive Data Voluntary Program to Include Mutual Fund Information
Video of Chairman's June 20 Statement:
|
2007-133 |
Jul. 11, 2007 |
SEC Votes to Adopt Antifraud Rule Under Investment Advisers Act
Video of Chairman's Statement:
|
2007-132 |
Jul. 10, 2007 |
Rosalind Tyson Named Acting Regional Director of Los Angeles Regional Office |
2007-131 |
Jul. 9, 2007 |
SEC Announces $316 Million Fair Fund Distribution to Investors Harmed by Fraud at Time Warner |
2007-130 |
Jul. 9, 2007 |
SEC Charges Two Texas Swindlers in Penny Stock Spam Scam Involving Computer Botnets
See also: Litigation Release No. LR-20187 |
2007-129 |
Jul. 3, 2007 |
Cheryl Linthicum Named Academic Accounting Fellow for SEC Division of Corporation Finance |
2007-128 |
Jul. 3, 2007 |
SEC Soliciting Public Comment on Eliminating Reconciliation Requirement for IFRS Financial Statements
Video of Chairman's June 20 Statement:
See also: Proposing Release, Staff Observations Report, and Staff Review Correspondence |
2007-127 |
Jul. 2, 2007 |
SEC Announces $37 Million Fair Fund Distribution to Mutual Fund Investors Injured by Columbia Market Timing Fraud |
2007-126 |
Jul. 2, 2007 |
PCAOB Incumbent Daniel Goelzer Reappointed to Second Term |
Second Quarter |
2007-125 |
Jun. 29, 2007 |
SEC Announces Positive Early Results of Penny Quoting Pilot Program |
2007-124 |
Jun. 28, 2007 |
Credit Rating Agencies Apply for Registration as Nationally Recognized Statistical Rating Organizations |
2007-123 |
Jun. 27, 2007 |
SEC Establishes Advisory Committee to Make U.S. Financial Reporting System More User-Friendly for Investors
See also: Video of News Conference
|
2007-122 |
Jun. 26, 2007 |
SEC Sues London-Based Hedge Fund Adviser GLG Partners, L.P. for Illegal Short Selling in Connection with Public Offerings
See also: Litigation Release No. LR-20167; Administrative Proceeding No. 34-55956 |
2007-121 |
Jun. 25, 2007 |
SEC Adds Software Tool for Investors Seeking Information on Companies’ Activities in Countries Known to Sponsor Terrorism |
2007-120 |
Jun. 21, 2007 |
SEC Votes to Adopt Final Amendments to Rule 105 of Regulation M, Short Selling in Connection With a Public Offering
Video of Chairman's Statement:
|
2007-119 |
Jun. 15, 2007 |
David Brown Becomes First Archivist of Securities and Exchange Commission
|
2007-118 |
Jun. 14, 2007 |
SEC Distributions to WorldCom Fraud Victims Top Half-Billion Dollar Mark |
2007-117 |
Jun. 14, 2007 |
SEC Conducts Major Securities Market Oversight Training Program in Middle East |
2007-116 |
Jun. 14, 2007 |
New "ComplianceAlerts" to Help SEC-Registered Firms Identify Deficiencies and Improve Compliance Programs
|
2007-115 |
Jun. 14, 2007 |
SEC Charges Securities Attorneys In Penny Stock Scam
See also: Litigation Release No. 20154 |
2007-114 |
Jun. 13, 2007 |
SEC Votes on Regulation SHO Amendments and Proposals; Also Votes to Eliminate "Tick" Test
Video of Chairman's Statement:
|
2007-113 |
Jun. 13, 2007 |
SEC Announces Second of Three Disbursements From $267 Million Pilgrim Baxter Fair Fund |
2007-112 |
Jun. 12, 2007 |
Commission Announces Agenda for June 19th Roundtable on Rule 12b-1
Comments received are available for this proposal.
Click to submit comments on 4-538 |
2007-111 |
Jun. 8, 2007 |
SEC Announces Agenda and Panelists for Roundtable on Mutual Recognition |
2007-110 |
Jun. 5, 2007 |
Thomas R. Smith, Jr. Has Joined SEC's Division of Investment Management as Senior Advisor |
2007-109 |
Jun. 5, 2007 |
SEC Settles With IBM for Misleading Statements Regarding Stock Option Expenses
See also: Administrative Proceeding Release No. 34-55858
|
2007-108 |
May 31, 2007 |
SEC Settles With Mercury Interactive and Sues Former Mercury Officers for Stock Option Backdating and Other Fraudulent Conduct
See also: Litigation Release No. 20136 |
2007-107 |
May 31, 2007 |
Brocade to Pay $7 Million Penalty to Settle Charges for Fraudulent Stock Option Backdating
See also: Litigation Release No. 20137 |
2007-106 |
May 29, 2007 |
Commission Announces Roundtable Discussion Regarding Rule 12b-1
Comments received are available for this proposal.
Click to submit comments on 4-538 |
2007-105 |
May 24, 2007 |
SEC Announces Roundtable Discussion Regarding Mutual Recognition
Comments received are available for this proposal.
Click to submit comments on 4-539 |
2007-104 |
May 23, 2007 |
SEC Votes to Adopt Final Rules to Implement Credit Rating Agency Reform Act
Video of Chairman's Statement:
|
2007-103 |
May 23, 2007 |
SEC Settles Charges Against Hewlett-Packard for Misleading Disclosures
See also: Administrative Proceeding Release No. 34-55801 |
2007-102 |
May 23, 2007 |
Proposed Modernization of Smaller Company Capital-Raising and Disclosure Requirements
Video of Chairman's Statement:
|
2007-101 |
May 23, 2007 |
SEC Approves New Guidance for Compliance with Section 404 of Sarbanes-Oxley
Video of Chairman's Statement:
|
2007-100 |
May 23, 2007 |
BISYS to Pay $25 Million to Settle Financial Reporting and Related Charges by SEC
See also: Litigation Release No. 20125 |
2007-99 |
May 23, 2007 |
SEC Announces Agendas and Panelists for Final Roundtables on the Proxy Process |
2007-98 |
May 22, 2007 |
Chairman Cox to Convene SEC Chairmen Roundtable |
2007-97 |
May 16, 2007 |
SEC Charges Former Wall Street Executive and Three Others in Multi-Million Dollar Scheme to Defraud Savings Banks and Their Depositors in Dozens of Stock Offerings
See also: Litigation Release No. 20118 |
2007-96 |
May 15, 2007 |
Randall Lee, SEC Regional Director in Los Angeles, to Leave the Commission |
2007-95 |
May 14, 2007 |
SEC Seeks Time for Investors and Brokers to Respond to Court Decision on Fee-Based Accounts |
2007-94 |
May 14, 2007 |
SEC Charges Former Oracle Vice President With Illegal Insider Trading in Stocks of Oracle Acquisiton Targets
See also: Litigation Release No. 20115 |
2007-93 |
May 10, 2007 |
SEC Charges Two Securities Professionals With Insider Trading
See also: Litigation Release No. 20112 |
2007-92 |
May 10, 2007 |
Office of the Chief Accountant Names Academic Fellows |
2007-91 |
May 9, 2007 |
Morgan Stanley to Pay $7.9 Million to Settle Best Execution Case with SEC
See also: Administrative Proceeding Release No. 34-55726 and Orders 33-8801 and 33-8802 |
2007-90 |
May 7, 2007 |
Katherine Addleman Named Regional Director of SEC's Atlanta Regional Office |
2007-89 |
May 7, 2007 |
Fee Rate Advisory #1 for Fiscal Year 2008 |
2007-88 |
May 7, 2007 |
Settled Administrative Proceeding Against Zurich Capital Markets Inc. for Financing of Hedge Funds' Illegal Market Timing
See also: Administrative Proceeding Release No. 34-55711 |
2007-87 |
May 4, 2007 |
SEC, Federal Reserve Bank and Elder Law Journal to Present Senior Investor Protection Symposium May 18 in Chicago |
2007-86 |
May 4, 2007 |
SEC Announces Agenda and Panelists for Federal Proxy Rules and State Corporation Law Roundtable |
2007-85 |
May 3, 2007 |
SEC Charges Credit Suisse Investment Banker with Insider Trading
See also: Litigation Release No. 20105 |
2007-84 |
May 2, 2007 |
SEC Charges A.G. Edwards With Failing to Supervise Brokers Who Engaged in Illegal Market Timing
See also: Administrative Proceeding Nos. 34-55692, 33-8798 and Order, and 33-8795 |
2007-83 |
May 2, 2007 |
Helene Glotzer, Associate Regional Director and Co-Head of Enforcement for SEC's New York Regional Office, to Leave Commission |
2007-82 |
May 2, 2007 |
A. Duer Meehan Named Associate Director in OCIE's Office of Market Oversight |
2007-81 |
Apr. 30, 2007 |
SEC Announces Start of $357 Million Fair Fund Distribution Process in Fannie Mae Settlement |
2007-80 |
Apr. 27, 2007 |
Meeting Between SEC Chairman Cox and CESR Chairman Wymeersch and Vice Chair Tavares to Discuss Joint Work |
2007-79 |
Apr. 27, 2007 |
SEC Completes 17th Annual International Institute for Securities Market Development with Record Number of Participants |
2007-78 |
Apr. 27, 2007 |
Lori Schock, Acting Director of Office of Investor Education and Assistance, to Leave SEC |
2007-77 |
Apr. 26, 2007 |
SEC Charges Baker Hughes With Foreign Bribery and With Violating 2001 Commission Cease-and-Desist Order
See also: Litigation Release No. 20094 |
2007-76 |
Apr. 26, 2007 |
SEC, German BaFin Sign Regulatory Cooperation Arrangement
See also: Memorandum of Understanding |
2007-75 |
Apr. 26, 2007 |
SEC Announces $79 Million Fair Fund Distribution in the Edward Jones Revenue Sharing Settlement |
2007-74 |
Apr. 25, 2007 |
SEC, Jump$tart Coalition Spread Financial Literacy to Local Students |
2007-73 |
Apr. 25, 2007 |
SEC, UK FSA, and UK FRC Sign Protocol for Sharing Information on Application of IFRS |
2007-72 |
Apr. 24, 2007 |
SEC Announces Next Steps Relating to International Financial Reporting Standards |
2007-71 |
Apr. 24, 2007 |
SEC Announces Roundtable Discussions Regarding Proxy Process
Comments received are available for this proposal.
Click to submit comments on 4-537 |
2007-70 |
Apr. 24, 2007 |
SEC Charges Former Apple General Counsel for Illegal Stock Option Backdating
See also: Litigation Release No. 20086 |
2007-69 |
Apr. 23, 2007 |
The President's Identity Theft Task Force Releases Comprehensive Strategic Plan to Combat Identity Theft |
2007-68 |
Apr. 23, 2007 |
SEC Announces $125 Million Fair Fund Distribution to Investors Injured by Pilgrim Baxter Market Timing Fraud |
2007-67 |
Apr. 16, 2007 |
SEC Staff Announces Availability of Anti-Money Laundering Compliance Tool |
2007-66 |
Apr. 12, 2007 |
Statement of the Securities and Exchange Commission on the Death of Former Commissioner J. Carter Beese, Jr. |
2007-65 |
Apr. 12, 2007 |
Statement of the Securities and Exchange Commission on the Death of Former Commissioner James J. Needham |
2007-64 |
Apr. 11, 2007 |
SEC Institutes Enforcement Action Alleging Broker-Dealer and Its Principal Aided and Abetted Pump-and-Dump Scheme and Failed to File Suspicious Activity Reports Required by Bank Secrecy Act
See also: Administrative Proceeding No. 34-55614
|
2007-63 |
Apr. 5, 2007 |
SEC Announces Process for Proposals on Securities 'Ticker' Symbols |
2007-62 |
Apr. 4, 2007 |
SEC Commissioners Endorse Improved Sarbanes-Oxley Implementation To Ease Smaller Company Burdens, Focusing Effort On 'What Truly Matters' |
2007-61 |
Apr. 3, 2007 |
Richard Sennett Named Division of Investment Management Chief Accountant |
2007-60 |
Apr. 2, 2007 |
SEC Charges Tenet Healthcare Corporation and Four Former Senior Executives With Concealing Scheme to Meet Earnings Targets by Exploiting Medicare System
See also: Litigation Release No. 20067 |
First Quarter |
2007-59 |
Mar. 30, 2007 |
SEC Elevates District Offices to Regional Level |
2007-58 |
Mar. 29, 2007 |
Carol Stacey, Chief Accountant, Division of Corporation Finance, to Leave SEC |
2007-57 |
Mar. 29, 2007 |
Nicor to Pay $10 Million to Settle Fraud Charges
See also: Litigation Release No. 20060 |
2007-56 |
Mar. 28, 2007 |
SEC Schedules Open Meeting to Discuss PCAOB'S Proposed Auditing Standard and SEC'S Proposed Management Guidance for Section 404 of Sarbanes-Oxley Act |
2007-55 |
Mar. 27, 2007 |
SEC Posts Text of Rules Facilitating Foreign Private Issuer Deregistration Under the Exchange Act
See also: Final Rule Release No. 34-55540 |
2007-54 |
Mar. 26, 2007 |
Office of the Chief Accountant Selects Four Professional Accounting Fellows |
2007-53 |
Mar. 26, 2007 |
SEC Announces Fraud Charges Against David A. Stockman and Eight Other Former Collins & Aikman Corporation Officers and Directors
See also: Litigation Release No. 20055
|
2007-52 |
Mar. 23, 2007 |
SEC Conducts Training Program on Investment Company Regulation, Examination and Enforcement in Mumbai, India |
2007-51 |
Mar. 22, 2007 |
SEC Charges American Stock Exchange and Former Chairman and CEO Salvatore Sodano with Failing to Exercise Regulatory Oversight Responsibilities
See also: Administrative Proceeding Nos. 34-55507, 34-55508, and 34-55509 and Order |
2007-50 |
Mar. 21, 2007 |
SEC Announces $38 Million Fair Fund Distribution in the Veras Hedge Funds Settlement
See also: Distribution Plan and Settlement Order |
2007-49 |
Mar. 21, 2007 |
Federal Regulators Seek Public Comment on Model Privacy Notice
See also: Proposed Rule Release No. 34-55497 |
2007-48 |
Mar. 20, 2007 |
Andrew Petillon Named Associate Regional Director and Co-Head of Enforcement for the SEC's Pacific Regional Office |
2007-47 |
Mar. 20, 2007 |
SEC Charges Cyberkey and CEO James Plant for Promoting Stock Offering with Phony Homeland Security Deal
See also: Litigation Release No. 20049 |
2007-46 |
Mar. 15, 2007 |
SEC Announces $28.7 Million Settlement of Fraud Charges Against F. David Radler, Former COO of Hollinger International, Inc.
See also: Litigation Release No. 20043 |
2007-45 |
Mar. 15, 2007 |
SEC Settles With Former Raytheon Officers For Improper Disclosure And Accounting Practices |
2007-44 |
Mar. 15, 2007 |
Commission Announces Additional Speaker and Panelists for March 19 Roundtable: Creating Interactive Data to Serve Investors
Comments received are available for this proposal.
Click to submit comments on 4-515 |
2007-43 |
Mar. 15, 2007 |
Joan Loizeaux Named Associate General Counsel for Adjudication
|
2007-42 |
Mar. 14, 2007 |
SEC Enforcement Action Against Banc of America Securities for Failing to Safeguard Nonpublic Research Information and Publishing Fraudulent Research; Firm to Pay $26 Million
See also: Administrative Proceeding No. 34-55466 |
2007-41 |
Mar. 14, 2007 |
SEC and NYSE Settle Enforcement Actions Against Goldman Sachs Unit for Role in Customers' Illegal Trading Scheme
See also: Administrative Proceeding No. 34-55465 |
2007-40 |
Mar. 12, 2007 |
SEC and U.S. Attorney Charge Three Offshore Hackers with Hijacking Online Brokerage Accounts, Manipulating Market
See also: Litigation Release No. 20037 |
2007-39 |
Mar. 12, 2007 |
SEC Charges Four Former Senior Executives of Nortel Networks Corporation in Wide-Ranging Financial Fraud Scheme
See also: Litigation Release No. 20036 |
2007-38 |
Mar. 8, 2007 |
Staff Release Report on Exams of Retail Options Order Routing and Execution
See also: Report Concerning Examinations of Options Order Routing and Execution |
2007-37 |
Mar. 8, 2007 |
Commission Announces March 19 Roundtable: Creating Interactive Data to Serve Investors
Submit comments on 4-515
|
2007-36 |
Mar. 8, 2007 |
SEC Charges Former Drug Manufacturer Executive with Unlawful Insider Trading in Connection with Scheme to Conceal Quality Control Deficiencies
See also: Litigation Release No. 20034 |
2007-35 |
Mar. 8, 2007 |
Federal Jury in San Diego Delivers Verdicts in SEC's Favor, Finds Former CFO and Controller of Gateway Computers Liable for Securities Fraud
|
2007-34 |
Mar. 8, 2007 |
SEC Suspends Trading of 35 Companies Touted in Spam E-Mail Campaigns
See also: Trading Suspension; Release No. 34-55420 and
Order |
2007-33 |
Mar. 7, 2007 |
SEC Obtains Order Freezing $3 Million in Proceeds of Suspected Foreign-Based Account Intrusion Scheme
See also: Litigation Release No. 20030 |
2007-32 |
Mar. 5, 2007 |
SEC Staff Announce Regional CCOutreach Seminars |
2007-31 |
Mar. 5, 2007 |
SEC Conducts Major Securities Market Oversight Training Program in East Africa |
2007-30 |
Mar. 2, 2007 |
SEC Staff Announce Panelists for March 6th Roundtable on International Financial Reporting Standards "Roadmap"
|
2007-29 |
Mar. 2, 2007 |
Statement of SEC Division of Market Regulation Director Erik Sirri Regarding the Start of the Trading Phase of Compliance With Regulation NMS on Monday, March 5, 2007 |
2007-28 |
Mar. 1, 2007 |
SEC Charges 14 in Wall Street Insider Trading Ring
See also: Litigation Release No. 20022 |
2007-27 |
Mar. 1, 2007 |
Fee Rate Advisory #8 for Fiscal Year 2007 |
2007-26 |
Feb. 28, 2007 |
SEC Charges Former General Counsel of McAfee, Inc. for Fraudulently Re-Pricing Option Grants
See also: Litigation Release No. 20020 |
2007-25 |
Feb. 28, 2007 |
SEC Chairman Names Jonathan Burks as Director of Office of Legislative and Intergovernmental Affairs |
2007-24 |
Feb. 16, 2007 |
SEC Chairman Cox Announces $700 Million Fee Cut to Benefit Investors |
2007-23 |
Feb. 15, 2007 |
SEC Charges Former General Counsel of Monster Worldwide, Inc. for Backdating Options
See also: Litigation Release No. 20004 |
2007-22 |
Feb. 15, 2007 |
Fee Rate Advisory #6 for Fiscal Year 2007 |
2007-21 |
Feb. 14, 2007 |
SEC Approves SRO Rule Changes for NYSE Group and Euronext Combination |
2007-20 |
Feb. 14, 2007 |
SEC Announces $6.3 Million Settlement With Former Take-Two Interactive Software, Inc. CEO in Stock Option Backdating Scheme
See also: Litigation Release No. 20003 |
2007-19 |
Feb. 13, 2007 |
SEC Staff Roundtable on International Financial Reporting Standards “Roadmap” Set for March 6 |
2007-18 |
Feb. 12, 2007 |
Joseph Ucuzoglu Named as Senior Advisor to the Commission's Chief Accountant |
2007-17 |
Feb. 8, 2007 |
SEC Charges Family-Run Hedge Fund With a $3.7 Million Insider Trading Scheme
See also: Litigation Release No. 19995A; Complaint |
2007-16 |
Feb. 7, 2007 |
SEC Files Settled Books and Records and Internal Controls Charges Against El Paso Corporation for Improper Payments to Iraq Under the U.N. Oil for Food Program
See also: Litigation Release No. 19991
|
2007-15 |
Feb. 6, 2007 |
SEC Files Actions Against Former CFO and Former Controller of Engineered Support Systems, Inc. Relating to Options Backdating Scheme
See also: Litigation Release No. 19990
|
2007-14 |
Feb. 6, 2007 |
Reinsurer RenaissanceRe Settles Securities Fraud Charges for Sham Reinsurance Transaction
See also: Litigation Release No. 19989; Complaint |
2007-13 |
Feb. 5, 2007 |
James Kroeker Named Deputy Chief Accountant for Accounting in the Office of the Chief Accountant
|
2007-12 |
Jan. 31, 2007 |
SEC Votes to Propose Expansion of Interactive Data Voluntary Program; Also Votes to Propose Rules Regarding Nationally Recognized Statistical Rating Organizations |
2007-11 |
Jan. 29, 2007 |
MBIA Settles Securities Fraud Charges for Misuse of Reinsurance Contracts
See also: Administrative Proceeding No. 33-8776 and Litigation Release No. 19982 |
2007-10 |
Jan. 26, 2007 |
Options Exchanges Begin Penny Quoting Pilot
|
2007-9 |
Jan. 25, 2007 |
SEC Extends Compliance Dates For Regulation NMS
|
2007-8 |
Jan. 25, 2007 |
SEC, Euronext Regulators Sign Regulatory Cooperation Arrangement
See also: Memorandum of Understanding |
2007-7 |
Jan. 24, 2007 |
Commission Approves NASD Rule Changes to Revise NASD Code Of Arbitration into Plain English and User-Friendly Format
See also: Order |
2007-6 |
Jan. 18, 2007 |
Fred Alger Management and Fred Alger & Company to Pay $40 Million to Settle Market Timing and Late Trading Violations
See also: Administrative Proceeding No. 34-55118 |
2007-5 |
Jan. 17, 2007 |
James Brigagliano Named Associate Director for Trading Practices and Processing in the SEC's Division of Market Regulation |
2007-4 |
Jan. 10, 2007 |
SEC Settles Options Backdating Case Against William Sorin, Former General Counsel of Comverse Technology, Inc.
See also: Press Release Nos. 2006-137 and 2006-180; Litigation Release Nos. 19796, 19878 and 19964 |
2007-3 |
Jan. 5, 2007 |
Agencies Issue Final Statement Concerning Elevated Risk Complex Structured Finance Activities
See also: Interagency Statement |
2007-2 |
Jan. 4, 2007 |
Statements of SEC Chairman Christopher Cox and Division of Investment Management Director Andrew Donohue Regarding the Investment Company Institute's Mutual Fund Interactive Data Taxonomy |
2007-1 |
Jan. 4, 2007 |
Elaine Greenberg Named Associate District Administrator for Enforcement in the SEC’s Philadelphia District Office |