Release No. | Date | Details |
|
2002-180 | Dec 31, 2002 | Treasury, SEC and Federal Reserve Submit USA PATRIOT Act Report on Investment Companies to Congress See Also:
Cover letters to Congress, Report to Congress |
2002-179 | Dec 20, 2002 | SEC, NY Attorney General, NASD, NASAA, NYSE and State Regulators Announce Historic Agreement To Reform Investment Practices; $1.4 Billion Global Settlement Includes Penalties and Funds for Investors See Also:
Statement of SEC Enforcement Director Stephen M. Cutler |
2002-178 | Dec 18, 2002 | SEC Proposes Electronic Filing of Insider Ownership Reports, Adopts Standardized Options Exemptions |
2002-177 | Dec 17, 2002 | SEC Sues Former Tyco Director and Chairman of Compensation Committee Frank E. Walsh Jr. for Hiding $20 Million Payment From Shareholders; Walsh Had Secret Agreement With L. Dennis Kozlowski To Receive Payment for "Finder's Fee" in Tyco's Acquisition of The CIT Group Inc. See Also:
Litigation Release 17722 (September 12, 2002) |
2002-176 | Dec 11, 2002 | SEC Proposes More Frequent Fund Portfolio Disclosures, Adopts Other Rule Changes |
2002-175 | Dec 5, 2002 | SEC Roundtables on International Impact of Proposed Rules on Auditor Independence, Attorney Conduct Set for Dec. 17 |
2002-174 | Dec 4, 2002 | Chairman Harvey L. Pitt Announces Selection of Arthur Gabinet To Head the SEC's Philadelphia District Office |
2002-173 | Dec 3, 2002 | SEC, NYSE, NASD Fine Five Firms Total of $8.25 Million for Failure To Preserve E-Mail Communications See Also:
Administrative Proceeding in this matter |
2002-172 | Dec 2, 2002 | SEC Historical Society To Host Roundtable on Investment Company Regulation |
2002-171 | Nov 27, 2002 | Chief of Staff Mark Radke to Leave Commission |
2002-170 | Nov 26, 2002 | SEC Proposes Issuer Stock Repurchase Amendments, New Rule To Clarify Regulatory Status of R&D Companies |
2002-169 | Nov 25, 2002 | SEC Brings First Regulation FD Enforcement Actions |
2002-168 | Nov 22, 2002 | Fee Rate Advisory #7 for Fiscal Year 2003 |
2002-167 | Nov 22, 2002 | Herb Perone Named Deputy Public Affairs Director |
2002-166 | Nov 21, 2002 | William R. Baker III, Associate Director of Enforcement, to Leave Commission |
2002-165 | Nov 19, 2002 | SEC Proposes Auditor Independence and Workpaper Retention Rules Required under Sarbanes-Oxley, Agrees to Issue Report on Anti-Money Laundering Rules |
2002-164 | Nov 15, 2002 | Automatic Date Adjustments Due to EDGAR Technical Difficulties |
2002-163 | Nov 13, 2002 | SEC Adopts Changes to Registration Forms, Proposes Exempting Brokers from Certain Requirements |
2002-162 | Nov 13, 2002 | SEC Charges Pervasive Fraud at Company Controlled by Criminal Recidivists; Commission Obtains Emergency Relief in District Court, Suspends Trading |
2002-161 | Nov 12, 2002 | Report to the SEC Regarding Arbitrator Conflict Disclosure Requirements in NASD and NYSE Securities Arbitrations |
2002-160 | Nov 12, 2002 | Commission Selects Acting Chief Accountant |
2002-159 | Nov 12, 2002 | SEC Accepts Resignation of Judge Webster |
2002-158 | Nov 6, 2002 | SEC Proposes Rules to Implement Sarbanes-Oxley Act Provisions Concerning Standards of Professional Conduct for Attorneys |
2002-157 | Nov 4, 2002 | Commission to Hold Credit Rating Agency Hearings |
2002-156 | Nov 1, 2002 | Chief Accountant Is Seeking Candidates for Two Professional Accounting Fellow Positions See Also:
Professional Accounting Fellow Program Description |
2002-155 | Oct 30, 2002 | SEC Proposes Rules to Implement Sarbanes-Oxley Act Reforms |
2002-154 | Oct 29, 2002 | Actions by FASB, IASB Praised |
2002-153 | Oct 25, 2002 | Commission Announces Founding Members of Public Company Accounting Oversight Board |
2002-152 | Oct 18, 2002 | Fee Rate Advisory #6 for Fiscal Year 2003 |
2002-151 | Oct 16, 2002 | Rules Mandating Edgar Filing for Foreign Issuers Will Become Effective |
2002-150 | Oct 16, 2002 | SEC Proposes Additional Disclosures, Prohibitions to Implement Sarbanes-Oxley Act |
2002-149 | Oct 15, 2002 | Gerald Laporte Selected as Chief of the Office of Small Business Policy, Division of Corporation Finance |
2002-148 | Oct 15, 2002 | Commission Sets Dates for Market Structure Hearings See Also:
Schedule, Topics for Discussion, Participants |
2002-147 | Oct 11, 2002 | Fee Rate Advisory #5 for Fiscal Year 2003 |
2002-146 | Oct 7, 2002 | SEC Sets Hearings on Enron Corp. Applications for Exemptions Under the Public Utility Holding Company Act |
2002-145 | Oct 4, 2002 | Fee Rate Advisory #4 for Fiscal Year 2003 |
2002-144 | Oct 3, 2002 | SEC, NY Attorney General, NYSE, NASD, NASAA Reach Agreement on Reforming Wall Street Practices |
2002-143 | Oct 2, 2002 | SEC Charges Fastow, Former Enron CFO, With Fraud See Also:
SEC Enforcement action in this matter |
|
2002-142 | Sep 30, 2002 | Fee Rate Advisory #3 for Fiscal Year 2003 |
2002-141 | Sep 25, 2002 | SEC Files Financial Fraud Case Charging Three Former Homestore Executives; Defendants Agree to Repay $4.6 Million in Illegal Trading Profits |
2002-140 | Sep 24, 2002 | Dynegy Settles Securities Fraud Charges Involving SPEs, Round-Trip Energy Trades |
2002-139 | Sep 19, 2002 | Commission Proposes Disclosure of Proxy Voting by Mutual Funds, Investment Advisers |
2002-138 | Sep 19, 2002 | Jonathan Sokobin Named Deputy Chief Economist |
2002-137 | Sep 18, 2002 | Scott Taub Selected as Deputy Chief Accountant |
2002-136 | Sep 17, 2002 | Fee Rate Advisory #2 for Fiscal Year 2003 |
2002-135 | Sep 12, 2002 | SEC Sues Former Tyco CEO Kozlowski, Two Others for Fraud |
2002-134 | Sep 6, 2002 | Super Montage Start Date Set |
2002-133 | Sep 6, 2002 | Ethiopis Tafara Named Acting Director of the Office of International Affairs |
2002-132 | Sep 3, 2002 | Two Visiting Academic Scholars Appointed in Office of Economic Analysis |
2002-131 | Sep 3, 2002 | SEC Historical Society To Host Roundtable on Enforcement |
2002-130 | Aug 30, 2002 | Joint Release: Regulators Issue Draft White Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System |
2002-129 | Aug 28, 2002 | SEC Approves Implementation of SuperMontage |
2002-128 | Aug 27, 2002 | Commission Approves Rules Implementing Provisions of Sarbanes-Oxley Act, Accelerating Periodic Filings, and Other Measures |
2002-127 | Aug 22, 2002 | Chairman Pitt Seeks Review of Initial Public Offering Process |
2002-126 | Aug 21, 2002 | SEC Charges a Former High-Ranking Enron Official With Fraud; Defendant Permanently Barred From Serving as Officer or Director of Public Company; to Disgorge and Forfeit Approximately $12 Million |
2002-125 | Aug 20, 2002 | SEC Staff Completes Processing of CEO, CFO Statements |
2002-124 | Aug 16, 2002 | Statement by SEC Chairman Harvey L. Pitt on Corporate Governance Reforms Approved by the Membership of the Chicago Board Options Exchange |
2002-123 | Aug 15, 2002 | SEC, In Coordination with FBI Undercover Sting Operation, Sues Three Publicly-Traded Companies and Ten Individuals Involved in Fraudulent Schemes |
2002-122 | Aug 12, 2002 | Mike Piwowar and Stewart Mayhew Appointed Visiting Academic Scholars, Office of Economic Analysis |
2002-121 | Aug 6, 2002 | SEC Issues Supplemental Information on Accelerated Deadline for Insider Transaction Reports under Sarbanes-Oxley Act |
2002-120 | Aug 6, 2002 | SEC Charges 81 Defendants in Telemarketing Stock Fraud Schemes |
2002-119 | Aug 2, 2002 | SEC Prepares to Implement Sarbanes-Oxley Act Requirement for CEO And CFO Certification of SEC Filings |
2002-118 | Aug 1, 2002 | Statement of the Commission Regarding the Public Company Accounting Oversight Board |
2002-117 | Jul 30, 2002 | David B. Smith Appointed Academic Accounting Fellow, Division of Corporation Finance |
2002-116 | Jul 30, 2002 | Paul Munter Named Academic Accounting Fellow, Office of the Chief Accountant |
2002-115 | Jul 29, 2002 | SEC Web Site Provides Link to CEO, CFO Certifications of Financial Statements of 947 Companies |
2002-114 | Jul 26, 2002 | Statement by SEC Chairman Harvey L. Pitt on Senate Confirmation of Nominees to the Commission |
2002-113 | Jul 25, 2002 | SEC Approves Rule on Margin Requirements for Security Futures; Proposes Regulation on Analyst Certifications |
2002-112 | Jul 25, 2002 | SEC Approves Pilot NASD Alternative Display Facility; Sets Meeting to Consider SuperMontage Conditions |
2002-111 | Jul 24, 2002 | Statement from SEC Chairman Harvey L. Pitt re: Agreement on Comprehensive Reform Legislation |
2002-110 | Jul 24, 2002 | SEC Charges Adelphia and Rigas Family With Massive Financial Fraud |
2002-109 | Jul 18, 2002 | The Securities and Exchange Commission Takes Enforcement Action with Respect to the PNC Financial Services Group, Inc. Arising Out of PNC's Improper Accounting and Disclosures Regarding the Transfer of $762 Million of Loans and Other Assets to Special Purpose Entities |
2002-108 | Jul 18, 2002 | Federal Reserve and SEC Jointly Announce Administrative Actions Against the PNC Financial Services Group, Inc. |
2002-107 | Jul 17, 2002 | SEC Proposes Changes in Investment Adviser Custody Rules; Adopts Changes in Fund Merger Regulations; Proposes Exemptions for Standardized Options; Adopts Changes to Privacy Act Systems of Records |
2002-106 | Jul 17, 2002 | Treasury and Federal Financial Regulators Issue Patriot Act Regulations on Customer Identification |
2002-105 | Jul 17, 2002 | PricewaterhouseCoopers Settles SEC Auditor Independence Case See Also:
|
2002-104 | Jul 15, 2002 | Statement of Chairman Harvey L. Pitt on the Passage of S. 2673, The Public Company Accounting Reform and Investor Protection Act of 2002 |
2002-103 | Jul 15, 2002 | SEC Expands Shareholder Power to Vote on Equity Compensation Plans |
2002-102 | Jul 12, 2002 | Media Advisory: News Conference at the Securities and Exchange Commission (SEC) |
2002-101 | Jul 11, 2002 | Alden Adkins Named Associate Director of SEC's Division of Market Regulation |
2002-100 | Jul 9, 2002 | Statement by SEC Chairman Harvey L. Pitt on the President's Speech on Corporate Responsibility |
2002-99 | Jul 3, 2002 | SEC Acts on Market Data Rebate Programs |
2002-98 | Jul 2, 2002 | SEC Proposes Fee Calculation for Futures Products Transactions: SEC to Issue Rule Proposals with Treasury Department Requiring Mutual Funds and Broker-dealers to Verify Identities of Customers |
2002-97 | Jul 1, 2002 | Federal Court Orders Maximum Civil Penalties and Officer and Director Bar in Insider Trading Cases |
|
2002-96 | Jun 28, 2002 | SEC Publishes List of Companies Whose Officers Are Ordered To Certify Accuracy and Completeness of Recent Annual Reports |
2002-95 | Jun 27, 2002 | SEC Censures Dutch Ernst & Young Firm and Orders It to Pay $400,000 Civil Penalty |
2002-94 | Jun 26, 2002 | SEC Statement Concerning WorldCom |
2002-93 | Jun 25, 2002 | Dallas Law Firm Agrees to Pay $1.2 Million for Violating Court Order in SEC Enforcement Action |
2002-92 | Jun 21, 2002 | SEC Announces Fraud Charges Against Former Rite Aid Senior Management |
2002-91 | Jun 20, 2002 | Commission Formally Proposes Framework of a Public Accountability Board |
2002-90 | Jun 19, 2002 | Media Advisory: Telephone Briefing on Auditor Oversight Proposal |
2002-89 | Jun 15, 2002 | SEC Statement Regarding Andersen Case Conviction |
2002-88 | Jun 12, 2002 | SEC Proposes Requiring Certification of Quarterly and Annual Reports; Proposes New Form 8-K Disclosures and Filing Deadlines |
2002-87 | Jun 12, 2002 | SEC Charges Former ImClone CEO Samuel Waksal With Illegal Insider Trading |
2002-86 | Jun 11, 2002 | Media Advisory: Telephone Briefing on Proposed Corporation Finance Rules |
2002-85 | Jun 6, 2002 | Statement by Harvey L. Pitt on the Draft Report of the NYSE's Corporate Accountability and Listing Standards Committee |
2002-84 | Jun 6, 2002 | SEC to Host Annual Government-Business Forum |
2002-83 | Jun 4, 2002 | SEC, Department of Defense Announce Investors Town Meeting in Norfolk, Va. |
2002-82 | Jun 3, 2002 | Supreme Court Backs SEC's Interpretation of Securities Fraud |
2002-81 | Jun 3, 2002 | New Director, Deputy Named for Legislative Affairs |
2002-80 | Jun 3, 2002 | SEC Brings Settled Accounting Charges Against Microsoft Corporation |
2002-79 | May 31, 2002 | CFTC and SEC Approve Joint Order Excluding from the Definition of Narrow-Based Security Index those Security Indexes that Qualified for the "Grandfather" Exclusion from that Definition under Section 1a(25)(B)(v) of the Commodity Exchange Act and Section 3(a)(55)(C)(v) of the Securities Exchange Act of 1934 |
2002-78 | May 30, 2002 | Antonia Chion Named Associate Director of the Division of Enforcement |
2002-77 | May 30, 2002 | John M. Morrissey, Deputy Chief Accountant, to Leave the SEC |
2002-76 | May 30, 2002 | SEC, CFTC, and Jersey Financial Services Commission Sign MOU Information Sharing Arrangement |
2002-75 | May 30, 2002 | SEC Announces Free, Real-Time Public Access to EDGAR Database at www.sec.gov |
2002-74 | May 29, 2002 | Commission Takes Action at Open Meeting on Intermarket Linkage Plan, Other Items |
2002-73 | May 29, 2002 | Joy Gaines Thompson Named Acting District Administrator of the SEC's Philadelphia District Office |
2002-72 | May 29, 2002 | European Commissioner Bolkestein and SEC Chairman Pitt Meet |
2002-71 | May 20, 2002 | SEC Brings Financial Fraud Charges Against Executives at Three Northern California Software Companies |
2002-70 | May 20, 2002 | Chairman Harvey L. Pitt Praises Mutual Fund Directors Forum |
2002-69 | May 20, 2002 | CFTC and SEC Adopt Final Rules Related to Cash Settlement Procedures and Trading Halts for Security Futures Products |
2002-68 | May 17, 2002 | SEC, CFTC and Japanese Financial Services Agency Sign Information Sharing Arrangement |
2002-67 | May 14, 2002 | Edison Schools Settles SEC Enforcement Action See Also:
Administrative Proceedings |
2002-66 | May 14, 2002 | SEC Proposes Amendments to Improve Mutual Fund Ad Disclosure for Investors |
2002-65 | May 14, 2002 | Ronald Long, Administrator of the SEC's Philadelphia Office, to Leave the Commission |
2002-64 | May 9, 2002 | Federal Reserve and SEC Publish White Paper on Potential Structural Change in the Settlement of Government Securities See Also:
White Paper on Potential Structural Change in the Settlement of Government Securities |
2002-63 | May 8, 2002 | Commission Approves Rules to Address Analyst Conflicts; SEC Also Requires EDGAR Filings by Foreign Issuers |
2002-62 | May 7, 2002 | SEC Mourns Passing of Former Commissioner Norman Johnson |
2002-61 | May 7, 2002 | Media Advisory: Telephone Briefing on Proposed Market Regulation Rule |
2002-60 | May 6, 2002 | SEC Names Lawrence E. Harris Chief Economist |
2002-59 | May 1, 2002 | SEC Sets Investor Summit, Invites Public Participation |
2002-58 | Apr 30, 2002 | Commission Proposes Disclosure Requirement and Takes Other Actions at April 30, 2002 Open Meeting |
2002-57 | Apr 29, 2002 | Fee Rate Advisory #1 for Fiscal Year 2003 |
2002-56 | Apr 25, 2002 | SEC Launches Inquiry into Research Analyst Conflicts |
2002-55 | Apr 22, 2002 | SEC Hosts Twelfth Annual International Institute |
2002-54 | Apr 19, 2002 | Martin P. Dunn Named Deputy Director of Corporation Finance Division |
2002-53 | Apr 11, 2002 | Securities and Exchange Commission Announces Results of April 11, 2002 Open Meeting |
2002-52 | Apr 11, 2002 | Xerox Settles SEC Enforcement Action Charging Company With Fraud; Xerox To Pay Largest Financial Fraud Penalty Ever Against Public Company; Company Agrees to Restatement of Financial Results, Special Review of Accounting Controls |
2002-51 | Apr 3, 2002 | Giovanni Prezioso Named SEC General Counsel |
2002-50 | Apr 3, 2002 | SEC Announces Additional Panelist for Roundtable Discussion in Chicago |
2002-49 | Apr 1, 2002 | Media Advisory: SEC Announces Moderators and Panelists for Roundtable Discussion of Financial Disclosure and Auditor Oversight in Chicago |
|
2002-48 | Mar 28, 2002 | Options Exchanges Commit to Timetable for Intermarket Linkage |
2002-47 | Mar 27, 2002 | SEC Files Emergency Action to Halt $98 Million Prime Bank Scheme, Recover Investors' Funds |
2002-46 | Mar 27, 2002 | SEC Announces Financial Disclosure and Auditor Oversight Roundtable in Chicago |
2002-45 | Mar 27, 2002 | SEC Seeks Contempt Order against Repeat Offender for Alleged Violations of Previous Injunction |
2002-44 | Mar 26, 2002 | Waste Management Founder and Five Other Former Top Officers Sued for Massive Fraud; Defendants Inflated Profits by $1.7 Billion To Meet Earnings Targets; Defendants Reap Millions in Ill-Gotten Gains While Defrauded Investors Lose More Than $6 Billion |
2002-43 | Mar 20, 2002 | SEC Historical Society Oral Histories Roundtable |
2002-42 | Mar 20, 2002 | Pitt Announces Special Study of SEC Operations, Resources |
2002-41 | Mar 19, 2002 | SEC Brings Emergency Enforcement Action Against Payday Lender in South Florida |
2002-40 | Mar 19, 2002 | SEC Announces Final Plans for Completing Reviews of Auditor Independence Systems and Controls |
2002-39 | Mar 18, 2002 | SEC Announces Reporting Requirements for Companies Audited by Andersen LLP See Also:
HTML version with links to additional materials |
2002-38 | Mar 18, 2002 | SEC Suspends Trading in NYSE-Listed ACLN |
2002-37 | Mar 14, 2002 | SEC Announces Actions for Issuers in Light of Indictment of Arthur Andersen LLP |
2002-36 | Mar 14, 2002 | Pitt Statement on Andersen Indictment |
2002-35 | Mar 13, 2002 | SEC Files Fraud Case Against Former President of IGI Inc. |
2002-34 | Mar 12, 2002 | Stock Promoter Who Obstruced Justice in SEC Enforcement Action Sentenced to 17 1/2 Year Prison Term |
2002-33 | Mar 7, 2002 | SEC Historical Society Oral Histories Roundtable |
2002-32 | Mar 5, 2002 | Media Advisory: SEC Announces Moderators and Panelists for Roundtable Discussion of Financial Disclosure and Auditor Oversight in Washington, D.C. |
2002-31 | Mar 1, 2002 | Media Advisory: SEC Announces Moderators and Panelists for Roundtable Discussion of Financial Disclosure and Auditor Oversight in NYC |
2002-30 | Mar 1, 2002 | Fee Rate Advisory #9 for Fiscal Year 2002 |
2002-29 | Feb 27, 2002 | Carol Stacey Named Chief Accountant of the Division of Corporation Finance |
2002-28 | Feb 22, 2002 | SEC Announces Financial Disclosure and Auditor Oversight Roundtables |
2002-27 | Feb 21, 2002 | SEC Files Charges Against Former Lehman Bros. Branch Manager Gruttadauria, Seeks Receiver and Asset Freeze |
2002-26 | Feb 14, 2002 | Office of the Chief Accountant Selects Four Professional Accounting Fellows |
2002-25 | Feb 14, 2002 | SEC Charges Notorious "Dr. Noe" and Five Others in Million Dollar Prime Bank Fraud |
2002-24 | Feb 13, 2002 | Pitt Comments on Corporate and Auditing Accountability, Responsibility, and Transparency Act |
2002-23 | Feb 13, 2002 | Pitt Seeks Review of Corporate Governance, Conduct Codes |
2002-22 | Feb 13, 2002 | SEC to Propose New Corporate Disclosure Rules |
2002-21 | Feb 6, 2002 | Agencies Publish "Privacy Choices for Your Personal Financial Information" |
2002-20 | Feb 5, 2002 | SEC General Counsel to Leave Commission |
2002-19 | Feb 4, 2002 | Media Alert |
2002-18 | Jan 30, 2002 | Regulators Launch Fake Scam Websites To Warn Investors About Fraud |
2002-17 | Jan 29, 2002 | Media Advisory: Regulators to Discuss Online Investor Education Initiatives |
2002-16 | Jan 24, 2002 | SEC Charges iCapital Markets LLC, Successor to Datek Securities,with Securities Fraud |
2002-15 | Jan 23, 2002 | Linda Chatman Thomsen Named Deputy Director of the Division of Enforcement |
2002-12 | Jan 23, 2002 | Statement of Chairman Pitt on New SEC Commissioners |
2002-14 | Jan 22, 2002 | SEC Charges CSFB with Abusive IPO Allocation Practices, CSFB Will Pay $100 Million to Settle SEC and NASD Actions, Millions in IPO Profits Extracted from Customers in Exchange for Allocations in "Hot" Deals See Also:
Litigation Release No. 34-45022, SEC Complaint, SEC Judgment |
2002-13 | Jan 22, 2002 | SEC Issues Statement on Disclosure Requirements for Public Companies |
2002-11 | Jan 22, 2002 | Media Advisory |
2002-10 | Jan 17, 2002 | SEC Mourns Passing of Former Commissioner A. A. Sommer, Jr. |
2002-9 | Jan 16, 2002 | Media Advisory |
2002-8 | Jan 16, 2002 | Statement of SEC Chairman Harvey L. Pitt |
2002-7 | Jan 16, 2002 | Fee Rate Advisory #8 |
2002-6 | Jan 16, 2002 | SEC Brings First Pro Forma Financial Reporting Case; Trump Hotels Charged With Issuing Misleading Earnings Release |
2002-5 | Jan 16, 2002 | Media Alert |
2002-4 | Jan 14, 2002 | SEC Censures KPMG for Auditor Independence Violation |
2002-3 | Jan 8, 2002 | Delay in Delivery of Mail to SEC |
2002-2 | Jan 8, 2002 | New Directors Named for Legislative, Public Affairs |
2002-1 | Jan 7, 2002 | SEC Identifies 17-Year-Old High School Student as Internet Fraud Artist; Recovers $900,000 in Illegal Proceeds in Account in Costa Rican Casino |