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: SECLaw.comRegistration of Investment Advisers
By Mark H. Astarita, Esq.
Full post as published by SECLaw.com on February 01, 2011 (boomark / email).
Foreign Investment and National Security Act of 2007
Strengthens examination requirements of the Committee on Foreign Investment in the United States
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
Developer Investment
Raffaello Follieri agrees to $12 million joint venture settlement.
Rothschild Investment
$28,000 settlement reached in securities lawsuit.
Elderly Annuities
American Equity Investment Life Insurance Co. allots $125 million in insurance malpractice refunds.

NASAA Proposes Model Rule on Registration and Reporting Requirements for Advisers to Private Funds
Canada Overhauls Its Dealer and Adviser Registration/Exemption Rules
SEC Publishes Proposed Custody Rules for Investment Advisers
SEC Takes Up Investment Advisers, Security-Based Swaps at Nov. 19 Meeting
SEC Proposes Rules Relating to Custody of Customers' Assets by Investment Advisers
SEC Makes Permanent Investment Advisers Rule on Principal Trades







