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.
SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme 2023-196
SEC Charges GTT Communications for Disclosure Failures 2023-195
Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations and Misstatements Regarding ESG Investments 2023-194
SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties 2023-193
SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations 2023-192
Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data 2023-191
SEC Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Investors 2023-190
SEC Approves Revised Privacy Act Rule 2023-189
SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names 2023-188
SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community 2023-187
SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Official 2023-186
SEC Investor Advisory Committee to Discuss Exempt Offerings and Accredited Investors at September 21 Meeting 2023-185
SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule 2023-184
SEC Issues New Strategic Plan for Diversity, Equity, Inclusion, and Accessibility 2023-183
SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction 2023-182
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors 2023-181
SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking 2023-180
SEC Proposes Improvements to EDGAR Filer Access and Account Management 2023-179
SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs 2023-178
SEC Small Business Advisory Committee to Discuss Funding for Early-Stage Companies and Alternative Funding for Small Businesses 2023-177
SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers 2023-176
SEC Charges Alternative Investment Platform YieldStreet for Misleading Investors 2023-175
SEC Charges National Office Partner at Marcum for Causing Widespread Quality Control Deficiencies 2023-174
SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers 2023-173
SEC Charges Privately Held Monolith Resources for Using Separation Agreements that Violated Whistleblower Protection Rules 2023-172
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