Vedder Price

Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics:

Legislation

  • Representatives Bachus and McCarthy Introduce the Investment Adviser Oversight Act of 2012

Litigation

  • ICI and U.S. Chamber of Commerce File Lawsuit Challenging CFTC Amendments to Rule 4.5
  • Eighth Circuit Affirms Dismissal with Prejudice of Gallus Excessive Fee Case

New Rules, Proposed Rules and Guidance

  • Eighth Circuit Affirms Dismissal with Prejudice of Gallus Excessive Fee Case
  • 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

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