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: FinancialCounselSEC Comments On Pending Legislative Initiatives Impacting Investment Advisers And Investors
By James Eccleston
SEC Commissioner Elisse Walter recently spoke before the Investment Adviser Compliance Forum and shared her thoughts as to the legislative initiatives currently before Congress. Several initiatives would greatly impact investment advisers and investors. Let's review her remarks.
Full post as published by FinancialCounsel on March 24, 2010 (boomark / email).
Foreign Investment and National Security Act of 2007
Strengthens examination requirements of the Committee on Foreign Investment in the United States
Matrixx Initiatives Inc.,
401(k) / ERISA Stock Fraud
Stockbrokers and Financial Advisers
alleging careless mistakes or intentional fraud.
John Vermillion and Associates LLC et al.
allegedly misrepresented themselves as qualified financial advisers to sell living trusts and exploit senior citizens.
American Equity Investment Life
Settles Class Action
TouchPlay Lottery
Settles with Two More Investors
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