Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
February 2017
In this issue
New Rules, Proposed Rules and Guidance
- SEC Interpretive Letter Permits Brokers to Charge Commissions on Sales of “Clean Shares” of Mutual Funds
Other Developments
- Financial Stability Board Issues Final Recommendations for Addressing Potential Risks Asset Managers Pose to the Global Financial System
Public Statements, Press Releases and Testimony
- OCIE Announces 2017 Exam Priorities
To read the Regulatory Update, click below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
February 2017
Reader View
In this issue
New Rules, Proposed Rules and Guidance
- SEC Interpretive Letter Permits Brokers to Charge Commissions on Sales of “Clean Shares” of Mutual Funds
Other Developments
- Financial Stability Board Issues Final Recommendations for Addressing Potential Risks Asset Managers Pose to the Global Financial System
Public Statements, Press Releases and Testimony
- OCIE Announces 2017 Exam Priorities
To read the Regulatory Update, click below.
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