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  • RIA-COMPLIANCE

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SEC Announces Charges Against Investment Firm and Two Executives Accused of Defrauding Police and Firefighter Pension Funds

The Securities and Exchange Commission today announced fraud charges against an Atlanta-based investment advisory firm and two executives accused of selling unsuitable investments to pension funds for the city’s police and ...

SEC Names Rebecca Olsen Deputy Director of Municipal Securities Office

The Securities and Exchange Commission today announced that Rebecca J. Olsen has been named deputy director in the agency’s Office of Municipal Securities, having served as chief counsel since April 2014.  Ms. Olsen re...

SEC Names Jessica Kane Director of Municipal Securities Office

The Securities and Exchange Commission today announced that Jessica Kane has been named the director of the agency’s Office of Municipal Securities, having served as deputy director since April 2014.  Ms. Kane replaces...

Staff Letter (No-Action relief under Rule 14a-8)

Fidelity Inflation-Protected Bond Fund (Omission of Shareholder Proposal)

Staff Letter (No-action No-action relief under Section 12(d)(3) of the Investment Company Act)

Adams Diversified Equity Fund Inc., May 5, 2015

Staff Letter (No-action relief regarding employees' securities company's exemptive relief)

Tudor Employee Investment Fund LLC and Tudor Investment Corporation, April 28, 2015