-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HID0E+oehGkC6tAA/cYSxBBObD02nOhtdVNfMekTNXExIce2ZCpbgv7UTrXVJ2rw yLomZOuJMCm1dXnedT2RFw== 0000950123-10-002037.txt : 20100112 0000950123-10-002037.hdr.sgml : 20100112 20100112170121 ACCESSION NUMBER: 0000950123-10-002037 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100112 ITEM INFORMATION: Other Events FILED AS OF DATE: 20100112 DATE AS OF CHANGE: 20100112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NUVEEN INVESTMENTS INC CENTRAL INDEX KEY: 0000885708 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 363817266 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-11123 FILM NUMBER: 10523208 BUSINESS ADDRESS: STREET 1: 333 W WACKER DR CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3129177700 MAIL ADDRESS: STREET 1: 333 WEST WACKER DR CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: NUVEEN JOHN COMPANY DATE OF NAME CHANGE: 19930328 8-K 1 c55525e8vk.htm FORM 8-K e8vk
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): January 12, 2010
NUVEEN INVESTMENTS, INC.
(Exact name of registrant as specified in its charter)
         
Delaware
(State or other
jurisdiction of
incorporation) 		  1-11123
(Commission File Number) 		  36-3817266
(IRS Employer
Identification
Number)
     
333 West Wacker Drive, Chicago, Illinois   60606
(Address of principal executive offices)   (Zip Code)
(312) 917-7700
(Registrant’s telephone number, including area code)
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
o     Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o     Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o     Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o     Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 

 

 

Section 8 — Other Events
Item 8.01 Other Events.
In connection with the previously disclosed inquiry by the Financial Industry Regulatory Authority (“FINRA”) into activities by Nuveen Investments, Inc.’s broker dealer subsidiary, Nuveen Investments, LLC relating to the marketing and distribution of auction rate preferred securities (“ARPS”), FINRA’s staff has notified Nuveen's broker dealer that the staff has made a preliminary determination to recommend that a disciplinary action be brought against the broker dealer. The potential charges recommended by the staff of FINRA in such action would allege that certain ARPS marketing materials provided by Nuveen’s broker dealer were false and misleading from 2006 to 2008 and also would allege failures by Nuveen’s broker dealer relating to its supervisory system with respect to the marketing of ARPS during that period. The staff of FINRA has provided Nuveen’s broker dealer an opportunity to make a written submission to FINRA to aid its consideration of whether to revise and/or go forward with the staff’s preliminary determination to recommend disciplinary action. Nuveen’s broker dealer is preparing such a submission responding to the potential allegations and asserting its defenses. Nuveen’s broker dealer anticipates continuing to discuss these matters with the staff of FINRA.

 

 

SIGNATURES
     Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned thereunto duly authorized.
         
Date: January 12, 2010   NUVEEN INVESTMENTS, INC.
 		  
  By:   /s/ John L. MacCarthy    
    Name:   John L. MacCarthy   
    Title:   Executive Vice President   
 

 

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