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Financial services / Institutional investors / Morgan Keegan & Company / Regions Morgan Keegan Trust / Mutual fund / Security / Registered Investment Advisor / Investment management / Jim Kelsoe / Financial economics / Regions Financial Corporation / Investment


The Alabama Securities Commission The Kentucky Department of Financial Institutions The Mississippi Secretary of State’s Office The South Carolina Office of the Attorney General In the matter of
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Document Date: 2010-09-30 14:36:11


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City

Jackson / Birmingham / Frankfort / Memphis / Montgomery / /

Company

Regions Morgan Keegan Advantage Income Fund / MK HOLDING INC. / Regions Bank / Morgan Keegan Holdings Inc. / MORGAN KEEGAN & COMPANY Inc. / Hoover / Asset Management Inc. / Select High Income Fund / Wealth Management Services / Regions Morgan Keegan Strategic Income Fund. / Regions Morgan Keegan Multi-Sector High Income Fund / Regions Morgan Keegan Trust / Morgan Select Funds Inc. / REGIONS FINANCIAL CORPORATION / Regions Morgan Keegan Select High Income Fund / Morgan Keegan Select High Income Fund / MORGAN ASSET MANAGEMENT INC. / Morgan Keegan Select Fund Inc. / Regions Morgan Keegan High Income Fund / /

Country

Columbia / /

Currency

USD / /

Event

Business Partnership / M&A / Company Expansion / /

Facility

Morgan Keegan Tower / /

IndustryTerm

owned subsidiary / overall investment management / e-mail communications / financial services / bank / banking / overall management / /

Organization

United States Securities and Exchange Commission / Intermediate Bond Fund / Alabama Securities Commission / South Carolina office of the Attorney General In / Kentucky Department / State Securities and Charities Division / /

Person

Tracy A. Meyers / MICHELE F. WOOD / Respondent James / BRIAN B. SULLIVAN / JAMES C. KELSOE / JR. / Tanya G. Webber / Joseph P. Borg / GARY S. STRINGER / /

Position

Portfolio Manager / Assistant Secretary of State for the Mississippi Secretary / Manager / President and Chief Investment Officer / federal registered investment adviser / Mississippi Secretary / registered broker-dealer / Commissioner / Kentucky Department / South Carolina Attorney General / Secretary / Secretary of State / investment adviser / a fund manager / Director of Investments / constitutional officer of the State of Mississippi / Assistant Attorney General for the State of South / broker-dealer / Chief Compliance Officer / Attorney and First Vice President / Director / Manager of the Funds / investment adviser / constitutional officer of the State of South / lead underwriter / Attorney General / Securities Commissioner / adviser / /

ProvinceOrState

Kentucky / Alabama / Tennessee / South Carolina / South / Mississippi / Delaware / /

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