Defendant Name:
F-Squared Investments, Inc.
Defendant Type:
Other
Initial Case Details
Legal Case Name
In the Matter of F-Squared Investments, Inc.
First Document Date
22-Dec-2014
Initial Filing Format
Administrative Action
File Number
3-16325
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Sections 204, 206(1), 206(2), 206(4), 207 Investment Advisers Act; Rules 204-2(a)(16), 206(4)-1(a)(5), 206(4)-7, 206(4)-8 Investment Advisers Act
Related Violations Alleged
F-Squared Investments, Inc. is alleged to have aided and abetted an unidentified individual or entity's violation of Section 34(b) Investment Company Act (willfully/knowingly).
F-Squared Investments, Inc. is alleged to have caused an unidentified individual or entity's violation of Section 34(b) Investment Company Act.
Resolutions
First Resolution Date
22-Dec-2014
