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

New Rules, Proposed Rules and Guidance 

  • SEC Staff Provides Informal Guidance to ICI on Fund Names Using "International" and "Global"
  • FINRA Adopts Amended Rules Regarding Member Communications with the Public
  • Federal Reserve Board Clarifies Volcker Rule Compliance Deadline

Other News

  • Mutual Fund Directors Forum and eSecLending Issue Practical Guidance on Securities
    Lending Programs

Enforcement Actions

  • SEC Settles Charges Against Oppenheimer for Misleading Statements Regarding Derivatives Use and Exposure During Financial Crisis
  • Four Firms Sanctioned by FINRA for Sales of Leveraged and Inverse ETFs

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