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Attorney General Spitzer and Securities and Exchange Commission File Charges Against Bank of America Broker
Office of New York State Attorney General Eliot Spitzer. The People's Lawyer ... to engage in late trading in shares of mutual funds offered by Bank of ... and (iv) Rule 22c-1 promulgated under ...
http://www.oag.state.ny.us/press/2003/sep/sep16a_03.html
4464-1.qxd
File type:PDF - Download PDF Reader
http://www.dbr.com/file/IMG_Alert_9903.PDF
Late Trading.doc
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http://faculty-gsb.stanford.edu/zitzewitz/Research/latetrading.pdf
SEC Charges Security Trust Company, Three Ex-Executives in Trading Schemes
... Mutual Fund Late Trading and Market Timing Schemes ... STC facilitated hundreds of late trades in nearly 400 different mutual funds, to the ... the following: Late Trading: "Late trading" refers ...
http://www.sec.gov/news/press/2003-164.htm
http://www.nasdr.com/pdf-text/0350ntm.txt
... Investment Company Act Rule 22c-1(a) generally requires ... the same day's NAV (late trading) violate NASD Rule 2110, which ... prevent this collusion with mutual funds and their affiliated ...
http://www.nasdr.com/pdf-text/0350ntm.txt
C:\Documents and Settings\bmiller\Local Settings\Temp\Final Sihpol complaint.wpd
File type:PDF - Download PDF Reader
http://www.oag.state.ny.us/press/2003/sep/sihpol_complaint.pdf
Steven B. Markovitz: Admin. Proc. Rel. No. 33-8298 / October 2, 2003
... advisory services to the hedge funds. Background - Late Trading C. Rule 22c-1(a) under the ... and caused violations of Rule 22c-1(a) by certain mutual funds, persons designated in such issuers ...
http://www.sec.gov/litigation/admin/33-8298.htm
Microsoft Word - Supporting Memorandum.doc
File type:PDF - Download PDF Reader
http://www.funddemocracy.com/Supporting%20Memo.pdf
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