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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 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


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


NERA report finds decline in SEC settlements
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

According to the National Economic Research Associates (NERA) fiscal year-end SEC Settlements Trends report, the number of SEC settlements declined for the second consecutive fiscal year in 2009, with 626 defendants, compared to 673 in fiscal year 2008