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Results: 1-10 of 201

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


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 posts XRL technology web site
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The SEC posted a Webpage entitled XBRL.sec.gov, which provides links from the SEC Web site to sources of information about eXtensible Business Reporting Language (XBRL) technology, as well as creating and submitting XBRL-tagged interactive data files in compliance with SEC rules


SEC issues order against Mermelstein for failure to supervise portfolio manager
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The SEC issued an order against Stephen Jay Mermelstein, finding that Mermelstein, the former Chief Operating Officer of a formerly registered investment adviser, Ark Asset Management, Co., Inc., failed reasonably to supervise a portfolio manager who engaged in fraudulent trade allocation practices during the years 2000 through 2003


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 proposes amendments to Rule 163 to facilitate access to capital markets
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The SEC proposed amendments to Rule 163 under the Securities Act of 1933 to further facilitate the ability of certain large companies to communicate with broader groups of potential investors and gauge the level of interest in the market for their securities offerings


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