Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
March 2011
Topics:
New Rules, Proposed Rules and Guidance
- SEC Proposes Reporting Obligations for Advisers to Private Funds
- SEC Proposes Net Worth Standard for Accredited Investors
- SEC Extends Compliance Date for Initial Delivery of Form ADV Brochure Supplements
- SEC Extends Temporary Rule Regarding Adviser Principal Trades
Other News
- SEC Outlines 2011 Exam Priorities
- ICI Issues Legal Memorandum Regarding Effect of State Laws on “Pay-to-Play” Policies and Procedures
- Clarification of Inapplicability of “Say on Pay” Rule to Closed-End Funds
- SEC Staff Submits Study on Investment Adviser and Broker-Dealer Regulatory Standards
- SEC Staff Submits Study on Investment Adviser Examinations
- ICI Issues Comment Letter on President’s Working Group Report on Money Market Funds
Legislation
- President Obama Signs Regulated Investment Company Modernization Act of 2010
Enforcement Actions
- SEC Charges Adviser and Chief Executive Officer for IPO Allocations
- SEC Charges AXA Rosenberg Entities for Concealing Error in Quantitative Investment Model
- SEC Charges Merrill Lynch for Misusing Customer Order Information and Charging Undisclosed Trading Fees
- SEC Charges BNY Mellon and Order Desk Manager for Best Execution Failure
- SEC Charges Schwab Advisers and Two Executives with Making Misleading Statements
To read the newsletter, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
March 2011
Reader View
Topics:
New Rules, Proposed Rules and Guidance
- SEC Proposes Reporting Obligations for Advisers to Private Funds
- SEC Proposes Net Worth Standard for Accredited Investors
- SEC Extends Compliance Date for Initial Delivery of Form ADV Brochure Supplements
- SEC Extends Temporary Rule Regarding Adviser Principal Trades
Other News
- SEC Outlines 2011 Exam Priorities
- ICI Issues Legal Memorandum Regarding Effect of State Laws on “Pay-to-Play” Policies and Procedures
- Clarification of Inapplicability of “Say on Pay” Rule to Closed-End Funds
- SEC Staff Submits Study on Investment Adviser and Broker-Dealer Regulatory Standards
- SEC Staff Submits Study on Investment Adviser Examinations
- ICI Issues Comment Letter on President’s Working Group Report on Money Market Funds
Legislation
- President Obama Signs Regulated Investment Company Modernization Act of 2010
Enforcement Actions
- SEC Charges Adviser and Chief Executive Officer for IPO Allocations
- SEC Charges AXA Rosenberg Entities for Concealing Error in Quantitative Investment Model
- SEC Charges Merrill Lynch for Misusing Customer Order Information and Charging Undisclosed Trading Fees
- SEC Charges BNY Mellon and Order Desk Manager for Best Execution Failure
- SEC Charges Schwab Advisers and Two Executives with Making Misleading Statements
To read the newsletter, click the link below.
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