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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics:

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

Other News

  • PCAOB Adopts Standard on Auditor Communications with Audit Committees
  • PCAOB Issues Guidance on Inspection Process

Enforcement Actions

  • 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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