Vedder Price

Vedder Thinking
Reader View

Vedder Thinking | Articles
Investment Services Regulatory Update November 2022

Newsletter/Bulletin | November 10, 2022

SEC Proposes Oversight and Disclosure Requirements for Services Outsourced by Investment Advisers

SEC Adopts Amendments to Streamline Mutual Fund and ETF Shareholder Reports and Revise Investment Company Advertising Rules

SEC Amends Rules Regarding Preservation of Electronic Records and Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Entities

SEC Staff Issues FAQ Relating to Adviser Consideration of DEI Factors 

Vedder Thinking | Articles Investment Services Regulatory Update November 2022

Newsletter/Bulletin

November 10, 2022

Reader View



Professionals



John S. Marten

Shareholder

+1 (312) 609 7753



Nathaniel Segal

Shareholder

+1 (312) 609 7747



Jacob C. Tiedt

Shareholder

+1 (312) 609 7697



Heidemarie Gregoriev

Counsel

+1 (312) 609 7817



David W. Soden

Associate

+1 (312) 609 7793