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

Other
• 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
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

IA-3988 22-Dec-2014 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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