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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics:

New Rules, Proposed Rules and Guidance

  • SEC Adopts Whistleblower Rules under the Dodd-Frank Act
  • SEC Proposes Adjustment to Dollar Amount Thresholds and Rule Amendment Relating to Investment Adviser Performance Fees
  • FINRA Proposes New Rules Governing Fund Cash Compensation Disclosure
  • 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

  • FASB Issues Accounting Standards Update on Fair Value Measurement
  • 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

Litigation

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

Enforcement Actions

  • Court Rules in Favor of Eaton Vance in Lawsuit Over Payments to Distributors
  • SEC Charges Brokerage Executives with Failing to Protect Confidential Customer Information
  • SEC Charges Adviser with Misrepresentations
  • SEC Charges Adviser and Officers for Undisclosed Financial Benefits

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