Defendant Name: BlackRock Institutional Trust Company, N.A.

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 Institutional Trust Company, N.A.
First Document Date 16-Sep-2014
Initial Filing Format Administrative Action
File Number 3-16120
Allegation Type Market Manipulation

Violations Alleged

Other
• Rule 105 of Regulation M Exchange Act

Resolutions

First Resolution Date 16-Sep-2014

Related Documents:

34-73116 16-Sep-2014 Administrative Proceeding
Order Instituting Cease-And-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-And-Desist Order and Civil Penalty
On September 16, 2014, the SEC instituted administrative proceedings against BlackRock. The SEC alleges that "from April 2010 through March 2011" the Company violated Rule 105 of Regulation M through various short sales.