Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
June 2011
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
To read the newsletter, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
June 2011
Reader View
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
To read the newsletter, click the link below.
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