Vedder Thinking | Articles Investment Services Regulatory Update
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"
- 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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