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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics:

New Rules, Proposed Rules and Guidance

  • SEC and CFTC Propose Rules to Help Prevent and Detect Identity Theft
  • SEC Adopts Adjustment to Dollar Amount Thresholds and Rule Amendments Relating to Investment Adviser Performance Fees
  • CFTC Adopts Final Amendments to Rule 4.5
  • NYSE Further Limits Broker Discretion to Vote Uninstructed Shares
  • OCIE Publishes Risk Alert Regarding the Use of Social Media by Investment Advisers
  • SEC Adopts New Net Worth Standard for Accredited Investors

Litigation

  • Seventh Circuit Affirms Dismissal with Prejudice of State Law Breach of Fiduciary Duty Action Preempted by SLUSA

Enforcement Actions

  • SEC Charges UBS Global Asset Management with Pricing Violations
  • SEC Files Complaint Against Former Evergreen Portfolio Manager

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