Vedder Price

Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics:

New Rules, Proposed Rules and Guidance

  • FINRA Proposes New Rule Regarding Outsourcing to Third-Party Service Providers
  • SEC Proposes Rule Amendments to Remove Credit Rating References From Money Market Fund and Other Rules

Other News

  • SEC to Consider Extending Compliance Deadlines for Mid-Sized and Private Advisers until First Quarter 2012
  • SEC Staff Issues No-Action Letter on Funds Placing Assets in the Custody of Credit Default Swap Clearinghouse
  • FinCEN Issues Final Rule Amending FBAR Regulations
  • 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

Litigation

  • Court Rules in Favor of Eaton Vance in Lawsuit Over Payments to Distributors

Enforcement Actions

  • SEC Charges Brokerage Executives with Failing to Protect Confidential Customer Information
  • SEC Charges Investment Adviser with Misrepresentations
  • SEC Charges Adviser and Officers for Undisclosed Financial Benefits
  • SEC Charges Adviser and Chief Executive Officer for IPO Allocations
  • SEC Charges AXA Rosenberg Entities for Concealing Error in Quantitative Investment Model

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