Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
July 2009
Topics:
Litigation
- Eighth Circuit Adopts a New Standard for Evaluating Mutual Fund Excessive Fee Claims
New Rules and Guidance
- SEC Proposes Rule Amendments to Strengthen the Regulatory Framework for Money Market Funds
- FinCEN Issues Proposal to Define Mutual Funds as "Financial Institutions"
- SEC Proposes Amendments to Proxy Rules to Facilitate Rights of Shareholders to Nominate Directors
- SEC Proposes Amendments to Investment Adviser Custody Rule
- Implementation of Identity Theft Prevention Programs Delayed Until August 1, 2009
Other News
- SEC Staff Issues No-Action Letter on TALF Loans for Registered Funds
- Mutual Fund Directors Forum Issues Guidance for Directors on the Oversight of Sub-Advisers
- SEC Staff Speech on Investment Companies’ Use of Derivatives
- FASB Issues Staff Positions on Fair Value Measurements and Impairments of Securities
Enforcement Actions
- FINRA Fines Wachovia Securities $1.4 Million for Prospectus Delivery Failures
- SEC Charges Madoff Solicitors and Feeder Funds with Fraud
- SEC Settles Charges Against Evergreen Fund Adviser and Distributor over Alleged Mispricing of Mortgage-Backed Securities
- SEC Settles Charges Against Investment Adviser Representative for Aiding and Abetting Merrill Lynch’s Antifraud Violations
- SEC Settles Charges of Aiding and Abetting Adviser’s Fraud with Two Former BISYS Officials
- SEC Settles Enforcement Action Against NYLIM Relating to Disclosures to Fund Board During 15(c) Process
- FINRA Settles Auction Rate Securities Violations with Four Firms
- SEC Charges Operators of Reserve Primary Fund With Fraud
To read the complete newsletter, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
July 2009
Reader View
Topics:
Litigation
- Eighth Circuit Adopts a New Standard for Evaluating Mutual Fund Excessive Fee Claims
New Rules and Guidance
- SEC Proposes Rule Amendments to Strengthen the Regulatory Framework for Money Market Funds
- FinCEN Issues Proposal to Define Mutual Funds as "Financial Institutions"
- SEC Proposes Amendments to Proxy Rules to Facilitate Rights of Shareholders to Nominate Directors
- SEC Proposes Amendments to Investment Adviser Custody Rule
- Implementation of Identity Theft Prevention Programs Delayed Until August 1, 2009
Other News
- SEC Staff Issues No-Action Letter on TALF Loans for Registered Funds
- Mutual Fund Directors Forum Issues Guidance for Directors on the Oversight of Sub-Advisers
- SEC Staff Speech on Investment Companies’ Use of Derivatives
- FASB Issues Staff Positions on Fair Value Measurements and Impairments of Securities
Enforcement Actions
- FINRA Fines Wachovia Securities $1.4 Million for Prospectus Delivery Failures
- SEC Charges Madoff Solicitors and Feeder Funds with Fraud
- SEC Settles Charges Against Evergreen Fund Adviser and Distributor over Alleged Mispricing of Mortgage-Backed Securities
- SEC Settles Charges Against Investment Adviser Representative for Aiding and Abetting Merrill Lynch’s Antifraud Violations
- SEC Settles Charges of Aiding and Abetting Adviser’s Fraud with Two Former BISYS Officials
- SEC Settles Enforcement Action Against NYLIM Relating to Disclosures to Fund Board During 15(c) Process
- FINRA Settles Auction Rate Securities Violations with Four Firms
- SEC Charges Operators of Reserve Primary Fund With Fraud
To read the complete newsletter, click the link below.
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