federal_register: 2011-32169
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
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| document_number | title | type | abstract | publication_date | pub_year | pub_month | html_url | pdf_url | agency_names | agency_ids | excerpts | regulation_id_numbers |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 2011-32169 | Wells Fargo Bank, N.A., et al.; Notice of Application and Temporary Order | Notice | Summary of Application: Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to an injunction entered against Wells Fargo Bank, N.A. ("Wells Fargo Bank") on December 9, 2011 by the United States District Court for the District of New Jersey ("Injunction") until the Commission takes final action on an application for a permanent order. Applicants also have applied for a permanent order. Applicants: Wells Fargo Bank, First International Advisors, LLC ("First International"), Metropolitan West Capital Management, LLC ("Metropolitan West"), Golden Capital Management, LLC ("Golden Capital"), Alternative Strategies Brokerage Services, Inc. ("Alternative Strategies Brokerage"), Alternative Strategies Group, Inc. ("Alternative Strategies"), Wells Fargo Funds Management, LLC ("WF Funds Management"), Wells Capital Management Incorporated ("Wells Capital Management"), Peregrine Capital Management, Inc. ("Peregrine"), Galliard Capital Management, Inc. ("Galliard"), Nelson Capital Management ("Nelson"), and Wells Fargo Funds Distributor, LLC ("WF Funds Distributor") (each an "Applicant" and collectively, the "Applicants").\1\ --------------------------------------------------------------------------- | 2011-12-15 | 2011 | 12 | https://www.federalregister.gov/documents/2011/12/15/2011-32169/wells-fargo-bank-na-et-al-notice-of-application-and-temporary-order | https://www.govinfo.gov/content/pkg/FR-2011-12-15/pdf/2011-32169.pdf | Securities and Exchange Commission | 466 | Summary of Application: Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to an injunction entered against Wells Fargo Bank, N.A. ("Wells Fargo Bank") on December 9, 2011 by the United States District... |