Press Releases

Official announcements highlighting recent actions taken by the SEC and other newsworthy information.  To view Press Releases prior to 2012, view the Press Release Archive.

Press Releases RSS Feed
Date Headline Release No.
Daniel R. Gregus, Director of the Chicago Regional Office, to Depart the SEC 2023-246
SEC Charges Five Unregistered Brokers, Four Companies in Widespread Pre-IPO Fraud Scheme 2023-245
SEC Office of the Investor Advocate Publishes Its Policy Recommendations on Mandatory Arbitration and Registered Index-Linked Annuities Research 2023-244
SEC Investor Advisory Committee to Examine Use of Complex Investment Products and Strategies by Self-Directed Investors and Discuss Practical Applications for Enhancing Financial Literacy at December 7 Meeting 2023-243
SEC Charges Phoenix-Area Real Estate Fund Adviser Jonathan Larmore with $35 Million Fraud 2023-242
SEC Names Kate E. Zoladz as Regional Director of Los Angeles Office 2023-241
SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations 2023-240
SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the Role of Diversity in the Investment Process 2023-239
SEC Charges New York Businessman with Fraud and Unregistered Sales of Securities to Investors Seeking Permanent Residency in the U.S. 2023-238
SEC Charges Kraken for Operating as an Unregistered Securities Exchange, Broker, Dealer, and Clearing Agency 2023-237
SEC Adopts Rules to Improve Clearing Agency Governance and Mitigate Conflicts of Interest 2023-236
Charter Communications to Pay $25 Million Penalty for Stock Buyback Controls Violations 2023-235
SEC Announces Enforcement Results for Fiscal Year 2023 2023-234
SEC Charges Former Co-CEOs of Tech Start-Up Bitwise Industries for Falsifying Documents While Raising $70 Million From Investors 2023-233
SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations 2023-232
SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud 2023-231
SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities 2023-230
SEC Charges Crypto Company SafeMoon and its Executive Team for Fraud and Unregistered Offering of Crypto Securities 2023-229
SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme 2023-228
SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures 2023-227
SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised 2023-226
SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks 2023-225
Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution 2023-224
SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community 2023-223
SEC Division of Examinations Announces 2024 Priorities 2023-222
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