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Recordkeeping no-action letter issued by SEC

Sutherland Asbill & Brennan LLP
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USA
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September 4 2009

The SEC issued a no-action letter addressing how investment adviser records may be maintained in response to a request by a recordkeeping vendor, Omgeo LLC (Omgeo), relating to its TradeSuite service

SEC appoints officials to OIEA

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

The SEC announced the appointment of three senior officials to its Office of Investor Education and Advocacy (OIEA

SEC Commissioner speaks at Financial Executives International’s 28th Annual Current Financial Reporting Issues Conference

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

SEC Commissioner Kathleen L. Casey spoke at the conference and focused on three key lessons to take away from the current financial crisis from which the United States is emerging

Senate Banking Committee Chairman unveils draft financial reform package

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

Senate Banking Committee Chairman Chris Dodd (D-CT), joined by fellow committee members, announced a bill to reform the way that the U.S. financial system is regulated, which is called “Restoring American Financial Stability Act of 2009.”

SEC Comissioner gives speech entitled “Investors deserve sustainable reformnot more of the same”

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

SEC Commissioner Luis A. Aguilar spoke on the emerging regulatory landscape, and he addressed some of his concerns

Joint orders issued by SEC and CFTC on volatility indexes and securities futures

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

The SEC and the Commodity Futures Trading Commission (CFTC) issued two joint orders related to security-based futures contracts to clarify each agency’s respective jurisdiction and allow additional products to underlie security futures

Former CFO of hedge fund Boston Provident charged with securities fraud

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

The SEC charged Ezra C. Levy, former Chief Financial Officer of a New York-based hedge fund, with securities fraud for arranging secret sales of securities from his personal trading account to the hedge fund accounts at inflated prices to generate his own illicit profits

SEC names Robert Cook new Director of Division of Trading and Markets

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

The SEC announced that Robert W. Cook has been named Director of the SEC’s Division of Trading and Markets

SEC Commissioner and CFTC Chairman testify on the draft Financial Stability Improvement Act of 2009

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

SEC Commissioner Elisse B. Walter testified before the House Committee on Agriculture concerning the Discussion Draft of the Financial Stability Improvement Act (Discussion Draft

OppenheimerFunds will pay Oregon families

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

Oregon Treasurer Ben Westlund and Attorney General John Kroger announced that OppenheimerFunds Inc. and two affiliates agreed to settle a lawsuit that was filed in April 2009 on behalf of the Oregon College Savings Trust for the benefit of participants who suffered losses in the OppenheimerFunds Core Bond Fund

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