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Newsletter/Bulletin

Topics:

Litigation

  • Supreme Court Rules on Who Is the “Maker” of Statements Under Section 10(b)

New Rules, Proposed Rules and Guidance

  • SEC Adopts Rules Relating to Investment Adviser Registration
  • SEC Adopts Rule Defining “Family Office” Adviser
  • CFTC and SEC Issue Guidance to Address Dodd-Frank Act Swap Provisions
  • 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

Other News

  • Office of Inspector General Releases Report on Compliance with SEC Exemptive Orders and No-Action Letters
  • FASB Issues Accounting Standards Update on Fair Value Measurement

Enforcement Actions

  • Morgan Keegan Settles Fraud Charges Related to Valuations of Subprime Mortgage-Backed Securities
  • SEC Charges Investment Adviser with Undisclosed Cash Payments
  • FINRA Fines Wells Fargo for Delayed Prospectus Deliveries
  • SEC Charges Brokerage Executives with Failing to Protect Confidential Customer Information
  • SEC Charges Adviser with Misrepresentations

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