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Results: 1-10 of 200

Defazio introduces the Let Wall Street Pay for the Restoration of Main Street Act

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

U.S. Representative Peter DeFazio (D-OR), Chairman of the House Subcommittee on Highways and Transit, was joined by 22 of his House colleagues in introducing new legislation that assesses a minuscule tax on Wall Street securities transactions

Victoria Investors’ sole general partner and IA barred from association

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

An Administrative Law Judge issued an Initial Decision against James C. Dawson, barring him from associating with any investment adviser

House approves the Wall Street Reform and Consumer Protection Act of 2009

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The House of Representatives approved the Wall Street Reform and Consumer Protection Act of 2009, H.R. 4173, which will purportedly overhaul regulation of the financial services sector with tough new controls and create a new agency to protect consumers

SEC distributes $418 million to harmed investors in Invesco mutual funds

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The SEC announced the Fair Fund distribution of approximately $418 million to more than one million investors who were affected by undisclosed market timing in certain Invesco mutual funds advised by Invesco Funds Group, Inc

SEC holds open meeting, approves change to Advisers Act custody rule and enhanced proxy disclosures

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The SEC held an open meeting at which it approved a change to the Advisers Act custody rule and also a requirement for enhanced proxy disclosure on risk, compensation and corporate governance

Director of the Division of Investment Management speaks at the ICI 2009 Securities Law Developments Conference

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

Andrew J. Donohue, Director of the SEC’s Division of Investment Management, spoke at the Investment Company Institute (ICI) conference on risk management, the SEC’s accomplishments, and the Division’s “to do” list

SEI survey finds strong majority of brokers and advisors support and understand key elements of the fiduciary standard

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

According to a survey recently conducted by the SEI Advisor Network and the Committee for the Fiduciary Standard, a strong majority of brokers and advisors support and understand key elements of the fiduciary standard

FINRA issues investor alert warning investors of green energy investments that promise large gains

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert warning investors to be wary of green energy investments that promise large gains from investing in companies purportedly involved in developing or producing alternative, renewable, or waste energy products

Massachusetts-based IA criminally charged for defrauding investors

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The U.S. Attorney’s Office for the District of Massachusetts filed an Information against Stephen F. Clifford, a former investment adviser based in Plymouth, Massachusetts

SEC adopts, as final, Rule 206(3)-3T

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 8 2010

The Securities and Exchange Commission (SEC) adopted, as final, Rule 206(3)-3T under the Investment Advisers Act of 1940 (Advisers Act), the interim final temporary rule that establishes an alternative means for investment advisers who are registered with the SEC as broker-dealers to meet the requirements of 206(3) of the Advisers Act when they act in a principal capacity in transactions with certain of their advisory clients