Defendant Name: Blackrock Fund Advisors

Defendant Type: Subsidiary of Public Company
Public Company Parent: BlackRock, Inc.
SIC Code: 6282
CUSIP: 09247X10

Initial Case Details

Legal Case Name In the Matter of BlackRock Fund Advisors
First Document Date 25-Apr-2017
Initial Filing Format Administrative Action
File Number 3-17942
Allegation Type Investment Advisers/Investment Companies

Violations Alleged

Related Violations Alleged

Blackrock Fund Advisors is alleged to have caused an unidentified individual or entity's violation of Section 22(d), 22(e), Rule 22c-1 Investment Company Act.

Resolutions

First Resolution Date 25-Apr-2017
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

IC-32613-s 25-Apr-2017 Administrative Summary
SEC Charges BlackRock Fund Advisors With Causing ETF to Violate the Investment Company Act
On April 25, 2017 the SEC announced that it charged BlackRock Fund Advisors with causing an exchange-traded fund to violate the Investment Company Act.
IC-32613 25-Apr-2017 Administrative Proceeding
Corrected Order Instituting Cease-and-Desist Proceedings Pursuant to Section 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order
According to the SEC: "1. From December 2010 through January 2015, BlackRock Fund Advisors ("BlackRock FA"), a registered investment adviser, caused iShares MSCI Russia Capped ETF, Inc. ("Russia Fund Company"), a registered investment company it advised, to operate in violation of Sections 22(d) and (e) of the Investment Company Act, and Rule 22c-1 thereunder. "