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.

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Date Headline Release No.
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
Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities 2023-171
SEC Charges Fluor Corp. for Accounting Improprieties 2023-170
SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail 2023-169
SEC Charges Five Advisory Firms for Custody Rule Violations 2023-168
SEC Charges Private Equity Firm Prime Group for Inadequate Disclosure of Fees Paid to Affiliate 2023-167
SEC Directs Equity Exchanges and FINRA to Improve Governance of Market Data Plans 2023-166
SEC Charges Citigroup Global Markets Inc. with Recordkeeping Failures concerning Underwriting Expenses 2023-165
SEC Charges Archipelago Trading Services with Failing to File Suspicious Activity Reports 2023-164
SEC Charges LA-Based Media and Entertainment Co. Impact Theory for Unregistered Offering of NFTs 2023-163
SEC Announces First Fee Rate Advisory for Fiscal Year 2024 2023-162
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