Terry D. Nelson

Terry D. Nelson

Foley & Lardner LLP

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A Compilation of Enforcement and Non-Enforcement Actions

Non-Enforcement - Cost of Proposed User Fees by Registered Investment Advisers Further Discussed - SEC Valuation Guidance for All Funds - Update on Insider Trading in Mutual Fund...more

10/1/2014 - Conflicts of Interest Enforcement Enforcement Actions Insider Trading Investment Adviser Mutual Funds SEC Subpoenas Valuation

A Compilation of Enforcement and Non-Enforcement Actions - May 31, 2013

Board Oversight of Distribution and Financial Intermediaries - One of the SEC’s stated focuses is on payments for “distribution in guise.” Mutual funds are only permitted to pay for distribution of their shares if...more

5/31/2013 - CFTC Conflicts of Interest Enforcement Fund Managers Identity Theft Investment Management Misappropriation Mutual Funds Rule 12b-1 Plans SEC Shareholders Social Media

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