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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics:

New Rules, Proposed Rules and Guidance

  • SEC Amends Rule Regarding Obligations to Lost Securityholders and Unresponsive Payees
  • SEC Extends Temporary Rule Regarding Adviser Principal Trades
  • Treasury Issues Determination Exempting Foreign Exchange Swaps and Foreign Exchange Forwards from the Definition of "Swap"

Other News

  • SEC Approves New PCAOB Standard on Auditor Communications with Audit Committees

Litigation and Enforcement Actions

  • Pension Funds File Suit Against BlackRock and iShares for Excessive Securities Lending Fees
  • LPL Fined for Failing to Monitor and Ensure Timely Delivery of Mutual Fund Prospectuses
  • SEC Charges Adviser with Federal Securities Law Violations Relating to Use of Options Contrary to Fund's Strategies and Policies
  • District Court Allows Claim of Excessive Investment Management Fees to Proceed
  • District Court Rules on Industry Challenges to CFTC Rule 4.5
  • SEC Charges Eight Fund Directors for Failure to Properly Oversee Fair Valuations

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