| 2012-217 | Oct. 26, 2012 | SEC Charges Denver-Based Insurance Executive with Insider Trading |
| 2012-216 | Oct. 26, 2012 | SEC Charges Silicon Valley Executive for Role in Galleon Insider Trading Scheme |
| 2012-215 | Oct. 22, 2012 | SEC Adopts Standards for Risk Management and Operations of Clearing Agencies |
| 2012-214 | Oct. 19, 2012 | More Than 1,500 Private Fund Advisers Registered With the SEC Since Passage of the Financial Reform Law |
| 2012-213 | Oct. 18, 2012 | SEC Charges Trio in “.44 Magnum” Investment Scheme |
| 2012-212 | Oct. 18, 2012 | Hong Kong Firm to Pay $14 Million to Settle Insider Trading Charges |
| 2012-211 | Oct. 17, 2012 | Andrew Calamari Named Director of New York Regional Office |
| 2012-210 | Oct. 17, 2012 | SEC Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants |
| 2012-209 | Oct. 17, 2012 | SEC Charges Hedge Fund Adviser and Two Executives With Fraud in Continuing Probe of Suspicious Fund Performance |
