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SEC finds Merrill Lynch investment adviser omitted information from pension fund clients

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • July 6 2009

The SEC settled a matter instituted against Michael A. Callaway whereby he is censured, must cease and desist from committing or causing any violations and any future violations of 206(2) of the Investment Advisers Act of 1940 (Advisers Act), and must pay a $20,000 penalty

SEC and Department of Labor will hold joint hearing on target date funds

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • June 3 2009

The SEC and the Department of Labor announced that they are accepting requests to participate in a joint hearing on June 18, 2009, examining target date funds