Vedder Thinking | Articles Investment Services Regulatory Update
New Rules, Proposed Rules and Guidance
- SEC Proposes Rules to Implement JOBS Act Provisions for Elimination of Prohibitions Against General Solicitation in Private Offerings
- SEC and CFTC Adopt Further Definitions of Swap and Related Terms
- CFTC Extends Compliance Date for CPO and CTA Registration
- SEC Staff Provides Informal Guidance to ICI on Fund Names Using "International" and "Global"
- FINRA Adopts Amended Rules Regarding Member Communications with the Public
- PCAOB Adopts Standard on Auditor Communications with Audit Committees
- PCAOB Issues Guidance on Inspection Process
- SEC Charges Former Adviser to NASCAR Mutual Fund with Securities Law Violations
- SEC Settles Charges Against Oppenheimer for Misleading Statements Regarding Derivatives Use and Exposure During Financial Crisis
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