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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 charges Austin-based IA and two businesses with operating a multimillion-dollar scam utilizing former football stars
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The SEC filed securities fraud charges against an Austin, Texas, investment adviser and two businesses he controls for operating a multimillion-dollar scam that used former professional football players to promote its offerings


OCIE Acting Director speaks at NSCP conference
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

John H. Walsh, the Acting Director of the Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE), spoke at the 2009 National Society of Compliance Professionals (NSCP) National Meeting on compliance issues


SEC issues order against Simpson Capital Management and two officers for fraudulent late trading scheme in shares of mutual funds
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The SEC issued an order against Simpson Capital Management, Inc., Robert A. Simpson, and John C. Dowling, finding that, between May 2000 and September 2003, Simpson, the President and founder of Simpson Capital, a hedge fund manager, conducted a fraudulent scheme involving unlawful “late trading” in shares of mutual funds


Fiscal year 2010 fee rate advisory
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

President Obama signed H.R. 3288, the appropriations bill that includes funding for the Securities and Exchange Commission (SEC


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


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


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


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