Organization

BlackRock Fund Advisors

Investment adviser registered with the SEC; a subsidiary of BlackRock, Inc.

2 links, 2 backed by primary records

Legal records

In the Matter of BlackRock Fund Advisors

25 Apr 2017 Settled with U.S. Securities and Exchange Commission: $1.5M, causing an exchange-traded fund it advised to violate the Investment Company Act; without admitting or denying the findings 1 2

Connections 2

U.S. Securities and Exchange Commission 25 Apr 2017 $1.5M, causing an exchange-traded fund it advised to violate the Investment Company Act; without admitting or denying the findings Primary record 1 2

Timeline 1 date

Proof 2 sources

BlackRock Fund Advisors: summary of the administrative proceeding (Investment Company Act Release No. 32613), U.S. Securities and Exchange Commission, 25 Apr 2017. Primary record
BlackRock Fund Advisors has agreed to pay a $1.5 million penalty to settle charges that it caused an exchange-traded fund (ETF) it advised to violate the Investment Company Act
In the Matter of BlackRock Fund Advisors (Investment Company Act Release No. 32613, corrected order), U.S. Securities and Exchange Commission, 25 Apr 2017. Primary record
pay a civil monetary penalty in the amount of $1,500,000.00 to the Securities and Exchange Commission
without admitting or denying the findings herein
BlackRock FA is a subsidiary of BlackRock, Inc. (NYSE: BLK), with assets under management of approximately $4.6 trillion as of December 31, 2015.

Page history 1 change