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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics:

Litigation

  • District Court Permits Shareholder Litigation Against Oppenheimer to Continue

New Rules, Proposed Rules and Guidance

  • SEC Adopts New Net Worth Standard for Accredited Investors
  • SEC Adopts Reporting Obligations for Advisers to Private Funds

Enforcement Actions

  • SEC Settles Charges Against Morgan Stanley Investment Management for Improper Subadvisory Fee Arrangement
  • SEC Orders FINRA to Hire Independent Consultant and Undertake Remedial Measures Related to Records Integrity and Document Production

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