| Release No. |
Date |
Details |
| First Quarter |
| 2010-42 |
Mar. 18, 2010 |
SEC Warns Firms on Muni Pay-to-Play Rules |
| 2010-41 |
Mar. 18, 2010 |
SEC Charges S.C.-Based Lawyer in Scheme Promising Investors Returns as High as 4,900 Percent |
| 2010-40 |
Mar. 18, 2010 |
SEC Charges Innospec for Illegal Bribes to Iraqi and Indonesian Officials
|
| 2010-39 |
Mar. 15, 2010 |
SEC Charges Former Executives in Illegal Scheme to Enrich CEO With Perks
|
| 2010-38 |
Mar. 10, 2010 |
SEC Warns Investors of Phony Web Site Targeting Madoff Fraud Victims
|
| 2010-37 |
Mar. 10, 2010 |
SEC Halts Ponzi Scheme Preying on Retirees Attending Estate Planning Seminars
|
| 2010-36 |
Mar. 9, 2010 |
Chief Economist James Overdahl to Leave SEC
|
| 2010-35 |
Mar. 5, 2010 |
SEC Charges San Diego Brokerage Firm with Failing to Supervise Broker Who Defrauded Two Florida Municipalities |
| 2010-34 |
Mar. 4, 2010 |
SEC Charges Nationally Known Psychic in Multi-Million Dollar Securities Fraud
|
| 2010-33 |
Mar. 4, 2010 |
SEC Halts Ponzi Scheme Targeting Retired L.A. Bus Drivers
|
| 2010-32 |
Mar. 3, 2010 |
SEC Charges Executives of Iowa Insurance Company With Misleading Proxy Disclosures to Investors
|
| 2010-31 |
Mar. 3, 2010 |
SEC Charges Miami Couple in $135 Million Ponzi Scheme Targeting Cuban-American Community
|
| 2010-30 |
Mar. 2, 2010 |
SEC and IRS Agree to Work More Closely Regarding Municipal Bond Enforcement
|
| 2010-29 |
Mar. 1, 2010 |
Fee Rate Advisory #5 for Fiscal Year 2010
|
| 2010-28 |
Feb. 25, 2010 |
SEC Charges Madoff's Director of Operations with Falsifying Accounting Records and Siphoning Investor Funds
|
| 2010-27 |
Feb. 24, 2010 |
SEC Approves Statement on Global Accounting Standards
|
| 2010-26 |
Feb. 24, 2010 |
SEC Approves Short Selling Restrictions
|
| 2010-25 |
Feb. 23, 2010 |
SEC Staff to Hold Seminar to Help Companies Comply With XBRL Reporting Rules
|
| 2010-24 |
Feb. 23, 2010 |
SEC Charges Two Sacramento Men with Defrauding Real Estate Fund Investors of Millions of Dollars |
| 2010-23 |
Feb. 22, 2010 |
SEC Announces Efforts to Educate Investors About Participating in Corporate Elections |
| 2010-22 |
Feb. 22, 2010 |
SEC Announces $67 Million Fair Fund Distribution to Harmed Investors in McAfee Financial Fraud Settlement
|
| 2010-21 |
Feb. 4, 2010 |
SEC Charges State Street for Misleading Investors About Subprime Mortgage Investments
|
| 2010-20 |
Feb. 3, 2010 |
William P. Hicks Named Associate Regional Director for Enforcement in SEC Atlanta Regional Office
|
| 2010-19 |
Feb. 3, 2010 |
Rhea Kemble Dignam Named Director of SEC Atlanta Regional Office
|
| 2010-18 |
Feb. 1, 2010 |
Statement From Chairman Schapiro on Proposed Budget for SEC
|
| 2010-17 |
Feb. 1, 2010 |
SEC and UK FSA Hold Fifth Meeting of the SEC-FSA Strategic Dialogue
|
| 2010-16 |
Jan. 29, 2010 |
Reserve Primary Fund Distributes Assets to Investors
|
| 2010-15 |
Jan. 27, 2010 |
SEC Issues Interpretive Guidance on Disclosure Related to Business or Legal Developments Regarding Climate Change
|
| 2010-14 |
Jan. 27, 2010 |
SEC Approves Money Market Fund Reforms to Better Protect Investors
|
| 2010-13 |
Jan. 26, 2010 |
SEC Charges Two California Firms For Unlawful Short Selling Practices
|
| 2010-12 |
Jan. 25, 2010 |
Alleged Minneapolis-Based Fraudster Trevor Cook Jailed for Failing to Surrender Assets in SEC Case
|
| 2010-11 |
Jan. 25, 2010 |
Dan Gallagher, Deputy Director of Trading and Markets, to Leave SEC and Return to Private Practice
|
| 2010-10 |
Jan. 20, 2010 |
SEC Charges General Re Corporation for Role in AIG and Prudential Accounting Frauds
|
| 2010-9 |
Jan. 20, 2010 |
Fredric D. Firestone, Associate Director of Enforcement, to Leave SEC
|
| 2010-8 |
Jan. 13, 2010 |
SEC Issues Concept Release Seeking Comment on Structure of Equity Markets
|
| 2010-7 |
Jan. 13, 2010 |
SEC Proposes New Rule to Effectively Prohibit Unfiltered Access and Maintain Market Access Controls
|
| 2010-6 |
Jan. 13, 2010 |
SEC Announces Initiative to Encourage Individuals and Companies to Cooperate and Assist in Investigations
|
| 2010-5 |
Jan. 13, 2010 |
SEC Names New Specialized Unit Chiefs and Head of New Office of Market Intelligence
|
| 2010-4 |
Jan. 11, 2010 |
SEC Charges Father-Son Investment Adviser Team in Florida For Role in Massive Hedge Fund Fraud
|
| 2010-3 |
Jan. 11, 2010 |
SEC Halts Fraudulent Scheme Targeting Iranian-American Community in Los Angeles
|
| 2010-2 |
Jan. 5, 2010 |
Perot Systems Insider Trader Agrees to Return $8.6 Million in Illicit Profits
|
| 2010-1 |
Jan. 4, 2010 |
Carlo di Florio Named Director of SEC Office of Compliance Inspections and Examinations |
