Release No. | Date | Details |
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2003-184 | Dec 23, 2003 | Commission Settles Civil Fraud Action Against Vivendi Universal, S.A., Its Former CEO, Jean-Marie Messier, and Its Former CFO, Guillaume Hannezo |
2003-183 | Dec 23, 2003 | SEC Files Emergency Action against Security Brokerage, Inc. and Daniel Calugar for Engaging in Mutual Fund Late Trading and Market Timing Schemes |
2003-182 | Dec 23, 2003 | SEC Halts $800 Million Investment Fraud in Orange County |
2003-181 | Dec 23, 2003 | Federal Regulators Seek Public Comment on Ways to Improve Privacy Notices See Also:
Advance Notice of Proposed Rulemaking ("Concept Release"); Interagency Proposal to Consider Alternative Forms of Privacy Notices under the Gramm-Leach-Bliley Act |
2003-180 | Dec 22, 2003 | SEC Announces Agreement with Canadian Imperial Bank of Commerce and Two Executives to Settle Charges of Aiding and Abetting Enron Accounting Fraud See Also:
Litigation Release 18517;Complaint |
2003-179 | Dec 19, 2003 | SEC Releases Guidance Regarding MD&A |
2003-178 | Dec 19, 2003 | SEC Chief Accountant Welcomes Actions by FASB and IASB |
2003-177 | Dec 19, 2003 | Wayne Carlin, Northeast Regional Director, To Leave Commission |
2003-176 | Dec 18, 2003 | Alliance Capital Management Will Pay Record $250 Million and Make Significant Governance and Compliance Reforms To Settle SEC Charges See Also:
Adminstrative Proceeding Release No. IA-2205 |
2003-175 | Dec 18, 2003 | Statement From SEC Chairman William H. Donaldson Regarding NYSE Selection of John Thain as CEO |
2003-174 | Dec 17, 2003 | Office of Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin 104 |
2003-173 | Dec 17, 2003 | SEC Approves NYSE Governance Structure Changes; Proposes Mutual Fund Disclosure Rules; Solicits Comment on Fund Transaction Cost Issues |
2003-172 | Dec 15, 2003 | SEC Brings First Failure To Supervise Action Against Principal of an Unregistered Investment Adviser to a Hedge Fund; Also Charges Hedge Fund Director of Investments With Fraud See Also:
Administrative Proceeding Rel. No. IA-2203 |
2003-171 | Dec 11, 2003 | SEC Levels Fraud Charges Against Heartland Advisors, Inc., 12 Company Officials and Others for Misrepresentations, Mispricing and Insider Trading in Two High Yield Bond Funds See Also:
Administrative Proceeding Release No. 33-8346; Administrative Proceeding Release No. IA-2201 |
2003-170 | Dec 10, 2003 | SEC Sues Former Executives of Nicor Energy for Role in Financial Fraud |
2003-169 | Dec 4, 2003 | SEC Charges Dallas Investment Complex and Three of its Officers with Defrauding Hundreds of Mutual Funds in Market Timing and Late Trading Scheme See Also:
Litigation Release No. LR-18489; Complaint in this matter; Stipulation Order |
2003-168 | Dec 3, 2003 | SEC Takes Steps to Address Late Trading, Market Timing and Related Abuses |
2003-167 | Dec 2, 2003 | SEC Charges Invesco Funds Group, Inc. and CEO Raymond Cunningham With Fraud and Breach of Fiduciary Duty for Allowing Market Timing at Invesco Funds See Also:
Litigation Release; Complaint: SEC v. Invesco Funds Group, Inc. and Raymond R. Cunningham |
2003-166 | Nov 26, 2003 | Elizabeth Jacobs Named Deputy Director Of SEC's Office Of International Affairs |
2003-165 | Nov 25, 2003 | Federal and State Agencies Announce Actions Against Security Trust Company; Phoenix Bank will Undergo Orderly Dissolution and Close by March 31, 2004 |
2003-164 | Nov 25, 2003 | SEC Charges Security Trust Company, N.A. and Three Former Executives for Facilitating Fraudulent Mutual Fund Late Trading and Market Timing Schemes See Also:
Litigation Release 18479; Complaint: SEC v. Security Trust Company et al. |
2003-163 | Nov 24, 2003 | Fee Rate Advisory #6 for Fiscal Year 2004 |
2003-162 | Nov 20, 2003 | Midwest Regional Director Mary Keefe to Leave SEC |
2003-161 | Nov 20, 2003 | Founders of PBHG Funds and Pilgrim Baxter & Associates Charged with Fraud in Connection with Market Timing of PBHG Funds |
2003-160 | Nov 19, 2003 | SEC Adopts Rules on Disclosure of Nominating Committee Functions and Communications Between Security Holders and Boards of Directors |
2003-159 | Nov 17, 2003 | SEC Charges Morgan Stanley With Inadequate Disclosure in Mutual Fund Sales; Morgan Stanley Pays $50 Million To Settle SEC Action See Also:
In the Matter of Morgan Stanley DW Inc. |
2003-158 | Nov 14, 2003 | SEC Announces Independent Consultants Under Global Research Analyst Settlement |
2003-157 | Nov 13, 2003 | SEC Charges Former CEO, CFO, and Controller of Gateway, Inc. with Fraud See Also:
Administrative Proceedings Release No. 33-8338; Litigation Release No. 18454; Complaint: SEC v. John J. Todd, Robert D. Manza and Jeffrey Weitzen |
2003-156 | Nov 13, 2003 | Putnam Agrees to Make Restitution and Implement Immediate, Significant Structural Reforms in Partial Resolution of SEC Enforcement Action See Also:
Administrative Proceeding Release No. IA-2192 |
2003-155 | Nov 12, 2003 | Former Goldman Economist Youngdahl Agrees to Fraud Injunction and $240,000 Penalty in SEC Treasury Bond Insider Trading Case See Also:
Litigation Release 18453 |
2003-154 | Nov 7, 2003 | Notice of Filing of Proposed NYSE Governance Changes |
2003-153 | Nov 7, 2003 | Fee Rate Advisory #5 for Fiscal Year 2004 |
2003-152 | Nov 5, 2003 | Peter H. Bresnan Named Acting District Administrator of SEC's Boston District Office |
2003-151 | Nov 5, 2003 | Statement From Commission: NYSE Governance Proposal |
2003-150 | Nov 4, 2003 | SEC Approves NYSE, NASDAQ Strengthening of Corporate Governance Standards for Listed Companies |
2003-149 | Nov 4, 2003 | SEC Brings Fraud Charges Against Former Prudential Brokers in Connection with Market Timing of Mutual Funds |
2003-148 | Nov 3, 2003 | Juan Marcel Marcelino to Leave District Administrator's Position in the SEC'S Boston District Office |
2003-147 | Nov 3, 2003 | SEC and NASD Announce Actions as a Result of Findings of "Breakpoint" Overcharges on Mutual Fund Transactions |
2003-146 | Oct 31, 2003 | Fee Rate Advisory #4 for Fiscal Year 2004 |
2003-145 | Oct 31, 2003 | SEC Announces IOSCO Unveiling of Multilateral Agreement on Enforcement Cooperation |
2003-144 | Oct 31, 2003 | Federal Court Approves Settlement of SEC Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking See Also:
Litigation Release 18438 |
2003-143 | Oct 29, 2003 | SEC Announces Fraud Charges Against Former Portfolio Manager of the Lipper Convertible Hedge Funds See Also:
Litigation Release 18432; Complaint |
2003-142 | Oct 28, 2003 | SEC Brings Enforcement Actions Against Putnam Investment Management LLC and Two Putnam Managing Directors for Self-Dealing in Putnam Funds See Also:
Complaint v. Scott and Kamshad; Administrative Order in this matter |
2003-141 | Oct 23, 2003 | Commission Reappoints Charles D. Niemeier to Public Company Accounting Oversight Board |
2003-140 | Oct 22, 2003 | SEC Proposes Fund Subadviser and Short Sale Rules; Adopts Changes to Rule 10b-18 |
2003-139 | Oct 21, 2003 | SEC Website Provides Information on Upcoming Outreach Events Concerning Homeland Security Issues for the Financial Sector |
2003-138 | Oct 16, 2003 | New York AG and SEC Bring Criminal and Civil Actions Against Mutual Fund Executive |
2003-137 | Oct 10, 2003 | Joseph Hall Named Senior Policy Fellow in the Office of the General Counsel |
2003-136 | Oct 9, 2003 | SEC Chairman Donaldson Releases Statement Regarding Initiatives to Combat Late Trading and Market Timing of Mutual Funds |
2003-135 | Oct 9, 2003 | SEC and U.S. Attorney Charge Computer Hacker With Fraud in Online Securities Scam; Teen Hacks Into Westborough Man's Online Brokerage Account, Places Unauthorized Buy Orders for Own Securities |
2003-134 | Oct 8, 2003 | SEC Proposes Rules Concerning Broker-Dealer and Affiliate Supervision on a Consolidated Basis |
2003-133 | Oct 8, 2003 | SEC Proposes Rules To Increase Proxy Access by Shareholders |
2003-132 | Oct 2, 2003 | New York Attorney General and Securities and Exchange Commission Bring Criminal and Civil Actions Against Hedge Fund Executive See Also:
SEC Order in the Matter of Steven B. Markovitz |
2003-131 | Oct 2, 2003 | Division of Corporation Finance Selects Mary Greenawalt as Academic Accounting Fellow |
2003-130 | Oct 2, 2003 | Kimberly Rodgers Selected as Academic Scholar in Office of Economic Analysis |
2003-129 | Oct 1, 2003 | SEC Sues J.P. Morgan Securities Inc. for Unlawful IPO Allocation Practices J.P. Morgan Agrees to Settlement Calling for Injunction and Payment of $25 Million Penalty See Also:
Litigation Release 18385 |
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2003-128 | Sep 30, 2003 | Fee Rate Advisory #3 for Fiscal Year 2004 |
2003-127 | Sep 30, 2003 | Stock Manipulation Scheme Involving False Anthrax Claims Subject of SEC Enforcement Action |
2003-126 | Sep 30, 2003 | SEC Sanctions Chicago Stock Exchange and Requires Improvement of Surveillance and Enforcement Programs |
2003-125 | Sep 29, 2003 | SEC Chairman Donaldson Releases Staff Report on Hedge Funds See Also:
SEC Staff Report: Implications of the Growth of Hedge Funds; Fact Sheet on the SEC Staff Report on Growth of Hedge Funds |
2003-124 | Sep 26, 2003 | SEC Issues Policy Statement on Business Continuity Planning for Trading Markets |
2003-123 | Sep 25, 2003 | Former Ernst & Young Audit Partner Arrested for Obstruction Charges and Criminal Violations of Sarbanes-Oxley Act See Also:
Administrative Proceeding Release No. 34-48542; Administrative Proceeding Release No. 34-48543 |
2003-122 | Sep 24, 2003 | SEC Amends Mutual Fund Advertising Rules, Proposes New Rules and Amendments for Fund of Funds Investments |
2003-121 | Sep 21, 2003 | Statement From SEC Chairman William H. Donaldson (on the Appointment of the NYSE Interim Chair) |
2003-120 | Sep 18, 2003 | SEC and United States Attorney Charge Former Homestore Executives With Scheme To Inflate Advertising Revenue |
2003-119 | Sep 17, 2003 | SEC Statement in Response to NYSE Announcement of Chairman Grasso's Resignation |
2003-118 | Sep 16, 2003 | Matthew Rees Named Chief Speechwriter and Senior Adviser to SEC Chairman Donaldson |
2003-117 | Sep 16, 2003 | Attorney General Spitzer and Securities and Exchange Commission File Charges Against Bank of America Broker See Also:
Administrative Proceeding Release No. 33-8288 |
2003-116 | Sep 15, 2003 | Fee Rate Advisory #2 for Fiscal Year 2004 |
2003-115 | Sep 15, 2003 | Kimberly Smith Named Academic Accounting Fellow in the Office of the Chief Accountant |
2003-114 | Sep 14, 2003 | SEC Staff and North American Securities Administrators Association to Explore Means to Improve Cooperation See Also:
Speech to NASAA Annual Conference by Chairman William H. Donaldson |
2003-113 | Sep 12, 2003 | SEC Finalizes Agenda for Forum on Small Business Capital Formation |
2003-112 | Sep 11, 2003 | SEC Adopts Adviser Custody Rule; Proposes Foreign Bank Exemption and Revision of Registration Form for American Depositary Receipts |
2003-111 | Sep 11, 2003 | SEC Charges American International Group and Others in Brightpoint Securities Fraud; AIG Agrees To Pay $10 Million Civil Penalty See Also:
Litigation Release No. 18340; Administrative Proceeding No.: 33-8284; Administrative Proceeding No.: 34-48475; Administrative Proceeding No.: 34-48476; Administrative Proceeding No.: 34-48477 |
2003-110 | Sep 9, 2003 | Statement of SEC Spokesman |
2003-109 | Sep 9, 2003 | SEC Files Regulation FD Charges Against Schering-Plough Corporation and Its Former Chief Executive; Company Agrees to Pay $1 Million Penalty; Former Chief Executive Agrees to Pay $50,000 Penalty See Also:
Litigation Release No. 18330; SEC Administrative Order, Exchange Act Release No. 48461; File No. 3-11249 |
2003-108 | Sep 8, 2003 | SEC Charges Former Logicon Executive With Aiding and Abetting Financial Accounting Fraud at Legato Systems |
2003-107 | Sep 4, 2003 | SEC Brings Enforcement Actions against Three Individuals, Goldman Sachs, and Massachusetts Financial Services Company Related to Trading Based on Non-Public Information about the Treasury's Decision to Cease Issuance of the 30-Year Bond See Also:
Litigation Release No. 18322; Complaint; Administrative Proceeding No. IA-2165; Administrative Proceeding No. 34-48436; Statement of Stephen M. Cutler |
2003-106 | Sep 3, 2003 | Statement by SEC Chairman William H. Donaldson Regarding New York Mutual Fund Probe |
2003-105 | Sep 3, 2003 | Ethiopis Tafara Named Director of the Office of International Affairs |
2003-104 | Aug 28, 2003 | U.S. Attorney and SEC Charge Fraud in $20 Million Washington State Municipal Bond Sale |
2003-103 | Aug 27, 2003 | Statement of SEC Spokesperson (Re: Oklahoma WorldCom Actions) |
2003-102 | Aug 21, 2003 | Visiting Academic Scholar Appointed to the Office of Economic Analysis |
2003-101 | Aug 20, 2003 | SEC Brings Settled Enforcement Action Against UBS PaineWebber for Failure to Supervise Broker, Imposes $500,000 Penalty See Also:
Administrative Proceeding Release No. 34-48371 |
2003-100 | Aug 19, 2003 | SEC Brings Settled Enforcement Action Against Deutsche Bank Investment Advisory Unit in Connection with Its Voting of Client Proxies for Merger Transaction; Imposes $750,000 Penalty See Also:
Administrative Proceeding Release No. IA-2160 |
2003-99 | Aug 18, 2003 | SEC Sues NCFE Executive for Role in $1 Billion Fraud See Also:
Litigation Release 18292 |
2003-98 | Aug 14, 2003 | Statement of August 14, 2003 |
2003-97 | Aug 14, 2003 | Donald Nicolaisen Named SEC Chief Accountant |
2003-96 | Aug 14, 2003 | SG Cowen and Lehman Brothers Settle Enforcement Actions with SEC and NYSE for Supervisory Failures in Frank Gruttadauria Case See Also:
Administrative Proceeding Release No. 34-48335; Administrative Proceeding Release No. 34-48336 |
2003-95 | Aug 13, 2003 | Former Tyco Auditor Permanently Barred from Practicing before the Commission See Also:
Administrative Proceeding Release 34-48328 |
2003-94 | Aug 13, 2003 | SEC Staff Responds to Frequently Asked Questions Regarding Auditor Independence |
2003-93 | Aug 7, 2003 | United States Attorney and SEC File Charges Against Former Executives of Seattle Clothing Company, Cutter & Buck, Arising Out of Financial Accounting Fraud |
2003-92 | Aug 6, 2003 | SEC Proposes Disclosure Requirements Related to Director Nominations and Shareholder Communications |
2003-91 | Aug 1, 2003 | David Shillman Named Associate Director of SEC's Division of Market Regulation |
2003-90 | Jul 31, 2003 | SEC to Host Forum on Small Business Capital Formation |
2003-89a | Jul 30, 2003 | Summary of SEC Actions and SEC Related Provisions Pursuant to the Sarbanes-Oxley Act of 2002 |
2003-89 | Jul 29, 2003 | SEC Announces Approval of SRO Rules Addressing Research Analyst Conflicts of Interest See Also:
Fact Sheet: Commission Approval of SRO Rule Amendments Addressing Research Analyst Conflicts of Interest; Release No. 34-48252: Order Approving Proposed Rule Changes Relating to Research Analyst Conflicts of Interest |
2003-88 | Jul 28, 2003 | Statement of the Securities and Exchange Commission on the Death of Former Chairman Hamer H. Budge |
2003-87 | Jul 28, 2003 | SEC Settles Enforcement Proceedings against J.P. Morgan Chase and Citigroup See Also:
SEC v. J.P. Morgan Chase (Litigation Release No. 18252); In the Matter of Citigroup, Inc. (Securities Exchange Act of 1934 Release No. 34-48230; Accounting and Auditing Enforcement Release No. 1821; Administrative Proceeding File No. 3-11192) |
2003-86 | Jul 25, 2003 | SEC Study on Adoption by the U.S. Financial Reporting System of a Principles-Based Accounting System |
2003-85 | Jul 25, 2003 | Visiting Academic Scholar Appointed to the Office of Economic Analysis |
2003-84 | Jul 22, 2003 | SEC Chairman Donaldson Commends NASD/Industry Task Force for "Breakpoint" Report and Recommendations; Announces SEC Review of Mutual Fund Disclosure |
2003-83 | Jul 15, 2003 | SEC Publishes Staff Report on Proxy Process Review See Also:
Review of the Proxy Process Regarding the Nomination; and Election of Directors (in PDF Format); Appendix A to the Review - Summary of Comments (in PDF Format) |
2003-82 | Jul 10, 2003 | SEC Alleges Violations of Mutual Fund Sales Practice Requirements, Sanctions Prudential Securities, Incorporated See Also:
Administrative Proceeding Release No. 33-8247; Administrative Proceeding Release No. 34-48149 |
2003-81 | Jul 7, 2003 | The Honorable Jed Rakoff Approves Settlement of SEC'S Claim for a Civil Penalty Against Worldcom See Also:
Litigation Release 18219 |
2003-80 | Jul 3, 2003 | SEC Chairman Donaldson Hails President's Signing of Legislation To Speed Hiring of Accountants, Economists, Compliance Examiners |
2003-79 | Jul 2, 2003 | SEC Files Supplement to Proposed Worldcom Penalty Settlement; Proposal Subject to District and Bankruptcy Court Review and Approval |
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2003-78 | Jun 30, 2003 | New Rules Require Shareholder Approval of Equity Compensation |
2003-77 | Jun 26, 2003 | SEC Sues Nathan A. Chapman, Jr., His Companies, and Others for Fraud in the Initial Public Offering of eChapman.com, Inc. |
2003-76 | Jun 20, 2003 | SEC Chairman Donaldson Lauds Passage of Legislation to Speed Hiring of Accountants, Economists, Compliance Examiners |
2003-75 | Jun 19, 2003 | SEC Sues Former CEO and CFO of Gemstar-TV Guide for Financial Fraud Scheme |
2003-74 | Jun 19, 2003 | Susan Markel Named Chief Accountant of the Division of Enforcement |
2003-73 | Jun 13, 2003 | SEC Staff Responds to Frequently Asked Questions Regarding the Use of Non-GAAp Financial Measures |
2003-72 | Jun 12, 2003 | SEC Sues Former Dynegy Employees for Fraud See Also:
Litigation Release No. 18188; Complaint |
2003-71 | Jun 11, 2003 | SEC Issues Rule Amendments To Improve Timeliness of Administrative Proceedings and Appeals |
2003-70 | Jun 5, 2003 | Six Former Senior Executives of Xerox Settle SEC Enforcement Action Charging Them With Fraud; Executives Agree to Pay Over $22 Million in Penalties, Disgorgement and Interest See Also:
SEC v. Xerox Corporation; SEC v. KPMG LLP, et al. |
2003-69 | Jun 4, 2003 | SEC Charges Martha Stewart, Broker Peter Bacanovic with Illegal Insider Trading See Also:
Litigation Release 18169; Complaint |
2003-68 | Jun 2, 2003 | SEC Historical Society Annual Meeting to Feature SEC Enforcement Chief, NY State Attorney General |
2003-67 | May 30, 2003 | SEC Grants Extension of the Intermarket Trading System De Minimis Exemption |
2003-66 | May 27, 2003 | SEC Implements Internal Control Provisions of Sarbanes-Oxley Act; Adopts Investment Company R&D Safe Harbor |
2003-65 | May 22, 2003 | SEC Finds PricewaterhouseCoopers LLP Engaged in Improper Professional Conduct |
2003-64 | May 22, 2003 | SEC To Leave Hedge Fund Comment Period Open |
2003-63 | May 21, 2003 | SEC Unanimously Approves William J. McDonough as Chairman of Public Company Accounting Oversight Board |
2003-62 | May 12, 2003 | Statement of the Commission Regarding Distribution Funds from the Global Settlement See Also:
Questions and Answers Regarding Distribution Funds |
2003-61 | May 9, 2003 | Office of Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin 103 |
2003-60 | May 7, 2003 | Panelists Set for SEC Hedge Fund Roundtable;May 14-15 Discussions to be Webcast in Real Time |
2003-59 | May 1, 2003 | Solicitation of Public Views Regarding Possible Changes to the Proxy Rules |
2003-58 | May 1, 2003 | SEC Files Amended Complaint Charging Five Enron Executives with Fraud and Insider Trading Relating to Enron's Broadband Subsidiary See Also:
Statement by Linda Chatman Thomsen, Deputy Director, Division of Enforcement on this matter; Litigation Release No. 18122; SEC Complaint in this matter; Insider Trading Appendix in this matter |
2003-57 | Apr 30, 2003 | Fee Rate Advisory # 1 for Fiscal Year 2004 |
2003-56 | Apr 28, 2003 | The Securities and Exchange Commission, NASD and the New York Stock Exchange Permanently Bar Henry Blodget From the Securities Industry and Require $4 Million Payment |
2003-55 | Apr 28, 2003 | The Securities and Exchange Commission, New York Attorney General's Office, NASD and the New York Stock Exchange Permanently Bar Jack Grubman and Require $15 Million Payment |
2003-54 | Apr 28, 2003 | Ten of Nation's Top Investment Firms Settle Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking See Also:
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2003-53 | Apr 25, 2003 | Securities and Exchange Commission Reaffirms Status of Pronouncements of the Financial Accounting Standards Board See Also:
Commission Statement of Policy Reaffirming the Status of the FASB as a Designated Private-Sector Standard Setter, Release No. 33-8221 |
2003-52 | Apr 25, 2003 | SEC Determines PCAOB Appropriately Organized See Also:
Order Regarding Section 101(d) of the Sarbanes-Oxley Act of 2002, Release No. 33-8223; Order Regarding Section 103(a)(3)(B) of the Sarbanes-Oxley Act of 2002, Release No. 33-8222 |
2003-51 | Apr 24, 2003 | SEC Votes To Mandate Electronic Filing of Ownership Reports; Prohibit Improper Influence of Auditors |
2003-50 | Apr 23, 2003 | Chairman William H. Donaldson Announces Selection of Leadership Team |
2003-49 | Apr 22, 2003 | Time Change for Open Meeting on April 24, 2003 |
2003-48 | Apr 15, 2003 | Statement of the Commission Regarding the Selection of the Chairperson of the Public Company Accounting Oversight Board (PCAOB) See Also:
Statement of SEC Chairman William Donaldson; Statement of William J. McDonough |
2003-47 | Apr 15, 2003 | SEC to Webcast Press Briefing on Selection of Chairman of Public Company Accounting Oversight Board |
2003-46 | Apr 14, 2003 | Commission to Review Current Proxy Rules and Regulations to Improve Corporate Democracy |
2003-45 | Apr 8, 2003 | Regulators Issue Interagency Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System See Also:
Interagency Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System |
2003-44 | Apr 1, 2003 | Public Affairs Director Christi Harlan to Leave Commission, Join PCAOB Staff |
2003-43 | Apr 1, 2003 | SEC Requires Exchange Listing Standards for Audit Committees |
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2003-42 | Mar 27, 2003 | Jackson M. Day, Acting Chief Accountant, to Leave SEC |
2003-41 | Mar 27, 2003 | SEC Provides Guidance for Filers Reporting Pension Fund Blackout Periods, Non-GAAP Financial Data See Also:
Final Rule Release No. 33-8216 |
2003-40 | Mar 26, 2003 | Commission To Host Roundtable on Hedge Funds |
2003-39 | Mar 21, 2003 | Commission Proposes Amendments Regarding CEO, CFO Certification Under Sarbanes-Oxley |
2003-38 | Mar 20, 2003 | Commission Obtains Emergency Relief Requiring HealthSouth To Place in Escrow All Extraordinary Payments to Officers, Directors and Employees |
2003-37 | Mar 20, 2003 | William L. Tolbert Jr., Associate Director, Division of Corporation Finance, To Leave Commission |
2003-36 | Mar 19, 2003 | SEC Commissioners To Attend PCAOB Roundtable on Proposal for Registering Foreign Accounting Firms |
2003-35 | Mar 19, 2003 | Household International Agrees to Cease-and-Desist Order For False and Misleading Statements About Restructuring Policies Concerning Delinquent Loans |
2003-34 | Mar 19, 2003 | SEC Charges HealthSouth Corp. CEO Richard Scrushy With $1.4 Billion Accounting Fraud |
2003-33 | Mar 18, 2003 | Lawrence West Named Associate Director of the Division of Enforcement |
2003-32 | Mar 17, 2003 | SEC Charges Merrill Lynch, Four Merrill Lynch Executives with Aiding and Abetting Enron Accounting Fraud See Also:
SEC v. Merrll Lynch et al. (Litigation Rel. 18038); Remarks by SEC Chairman William H. Donaldson; Remarks by SEC Enforcement Director Stephen M. Cutler |
2003-31 | Mar 11, 2003 | SEC, NASD, NYSE Release Findings of Breakpoint Examination Sweep; Broker-Dealers To Review Transactions |
2003-30 | Mar 11, 2003 | Former ImClone CEO Samuel Waksal to Pay More than $800,000 in SEC Insider Trading Case See Also:
Litigation Release 18026 |
2003-29 | Mar 6, 2003 | Office of the Chief Accountant Selects Four Professional Accounting Fellows |
2003-28 | Mar 3, 2003 | Statement of the Commission Regarding Selection Process for Chairperson for the Public Company Accounting Oversight Board (PCAOB) |
2003-27 | Feb 28, 2003 | Fee Rate Advisory #12 for Fiscal Year 2003 |
2003-26 | Feb 27, 2003 | SEC Settles with Rhino Advisors, Thomas Badian See Also:
Litigation Release 18003 |
2003-25 | Feb 25, 2003 | SEC Sues Former and Current Qwest Employees for Fraud See Also:
Litigation Release 17996 |
2003-24 | Feb 21, 2003 | Fee Rate Advisory #11 for Fiscal Year 2003 |
2003-23 | Feb 12, 2003 | SEC Issues Rule Proposal to Improve Timeliness of Administrative Proceedings and Appeals |
2003-22 | Feb 7, 2003 | Fee Rate Advisory #10 for Fiscal Year 2003 |
2003-21 | Feb 6, 2003 | SEC Amends Definition of "Dealer" for Banks, Adopts Analyst Certification Rule |
2003-20 | Feb 4, 2003 | SEC Adopts Fund Custody Rule Changes, Proposes Fund and Adviser Compliance Rules, Solicits Comment on Increased Private Sector Compliance Role |
2003-19 | Feb 3, 2003 | Treasury, OFHEO and SEC Release Joint Report on Mortgage-Backed Securities Markets |
2003-18 | Jan 31, 2003 | Fee Rate Advisory #9 for Fiscal Year 2003 |
2003-17 | Jan 31, 2003 | Securities and Exchange Commission Announces Availability of Options Intermarket Linkage |
2003-16 | Jan 29, 2003 | SEC Charges KPMG and Four KPMG Partners With Fraud in Connection With Audits of Xerox; SEC Seeks Injunction, Disgorgement and Penalties See Also:
SEC Litigation Release |
2003-15 | Jan 27, 2003 | Shelley Parratt Named Deputy Director in SEC's Division of Corporation Finance |
2003-14 | Jan 27, 2003 | Paula Dubberly Named Associate Director (Legal) in SEC's Division Of Corporation Finance |
2003-13 | Jan 23, 2003 | SEC Adopts Attorney Conduct Rule Under Sarbanes-Oxley Act |
2003-12 | Jan 23, 2003 | Securities and Exchange Commission Requires Proxy Voting Policies, Disclosure by Investment Companies and Investment Advisers |
2003-11 | Jan 22, 2003 | SEC Adopts Rules on Retention of Records Relevant to Audits and Reviews |
2003-10 | Jan 22, 2003 | SEC Adopts Rules on Disclosure of Off-Balance Sheet Arrangements and Aggregate Contractual Obligations |
2003-9 | Jan 22, 2003 | Commission Adopts Rules Strengthening Auditor Independence |
2003-8 | Jan 22, 2003 | SEC Adopts Measures to Certify Management Investment Company Shareholder Reports |
2003-7 | Jan 16, 2003 | SEC and NASD Action Plan on Mutual Fund Sales Load Charges |
2003-6 | Jan 15, 2003 | SEC Adopts Rules on Provisions of Sarbanes-Oxley Act |
2003-5 | Jan 14, 2003 | SEC Charges Former Day-Trading Principals with Securities Fraud; Others Charged with Fraud or Violating Recordkeeping and Reporting Rules See Also:
SEC v. Sheldon Maschler, Jeffrey A. Citron, Michael Mccarty, Erik Maschler, Heartland Securities Corporation, Aaron Elbogen, Moishe Zelcer, Raft Investments, Inc., and Jes Management Corporatione Litigation Release 17929, Complaint; Joshua M. Levine Litigation Release 17930, Complaint |
2003-4 | Jan 10, 2003 | Fee Rate Advisory #8 for Fiscal Year 2003 |
2003-3 | Jan 9, 2003 | SEC Sues Robertson Stephens Inc. for Profit Sharing in Connection With 'Hot' IPOs See Also:
SEC v. Paul E. Johnson Litigation Release 17922, Complaint; SEC v. Robertson Stephens, Inc. Litigation Release 17923, Complaint ; In the Matter of Robertson Stephens, Inc. Release No. 34-47144 |
2003-2 | Jan 8, 2003 | Commission Announces Acting Chairman of Public Company Accounting Oversight Board |
2003-1 | Jan 8, 2003 | SEC Proposes Listing Standards Rule, Adopts Investment Company Exemptive Provisions |