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Results: 1-10 of 201

SEC posts Draft 2010 Mutual Fund RiskReturn Summary Taxonomy
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The Securities and Exchange Commission (SEC) has posted a Draft 2010 Mutual Fund RiskReturn Summary Taxonomy, which has been developed as an update to the 2008 Mutual Fund RiskReturn Summary Taxonomy


ICI finds more than 50 million U.S. households own mutual funds
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

According to a newly updated annual survey published by the Investment Company Institute (ICI), more than 50 million U.S. households owned mutual funds in 2009, 3.0 million households reported owning exchange-traded funds (ETFs), and 1.8 million households reported owning closed-end funds


SEC issues order against Moises Pacheco
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The SEC issued an order against Moises Pacheco based on the entry of a permanent injunction against Pacheco in the civil action entitled SEC v. Pacheco


SEC settles case against Ohio investment adviser who allegedly defrauded elderly clients
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The Securities and Exchange Commission (SEC) announced that investment adviser (IA) Julie M. Jarvis, of Columbus, Ohio, and her financial advisory firm, Crossroads Financial Planning, Inc., have agreed to settle the SEC’s pending civil action against them


House passes enhanced SEC Enforcement Authority Act
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The U.S. House of Representatives approved the Enhanced SEC Enforcement Authority Act, H.R. 2873, a bill that would enhance the SEC’s enforcement authority by allowing the SEC to compel the attendance of a witness at a hearing or trial anywhere in the United States


SEC Chief Accountant speaks at 2009 AICPA National Conference
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

SEC Chief Accountant James L. Kroeker spoke at the American Institute of Certified Public Accountants (AICPA) National Conference


SEC publishes Select SEC and Market Data Fiscal 2009
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The SEC posted a 27-page document titled Select SEC and Market Data Fiscal 2009, which covers the following topics


SEC consents to delay of indexed annuity rule effective date
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The SEC filed a supplemental brief in the litigation challenging Rule 151A (which would require the registration of virtually all indexed annuities


Amendments filed to Rule G-37 regarding contributions to bond ballot campaigns
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The Municipal Securities Rulemaking Board (MSRB) filed with the SEC amendments to Rule G-37, on political contributions and prohibitions on municipal securities business, and Rule G-8, on books and records to be made by brokers, dealers and municipal securities dealers


SEC obtains consent judgments against Frank J. Russo and FJR corporation
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The Federal Court for the District of Massachusetts entered consent judgments in a previously filed enforcement action against Frank J. Russo, a Massachusetts-based former investment adviser, and his investment advisory corporation, FJR Corporation