- Representatives Bachus and McCarthy Introduce the Investment Adviser Oversight Act
- ICI and U.S. Chamber of Commerce File Lawsuit Challenging CFTC Amendments to Rule 4.5
New Rules, Proposed Rules and Guidance
- SEC Staff Provides Informal Guidance to ICI on Fund Names Using "International" and "Global"
- FINRA Adopts Amended Rules Regarding Member Communications with the Public
- Federal Reserve Board Clarifies Volcker Rule Compliance Deadline
- Mutual Fund Directors Forum and eSecLending Issue Practical Guidance on Securities
- SEC Settles Charges Against Oppenheimer for Misleading Statements Regarding Derivatives Use and Exposure During Financial Crisis
- Four Firms Sanctioned by FINRA for Sales of Leveraged and Inverse ETFs
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