Vedder Price

Vedder Thinking | Articles Investment Services Regulatory Update


Reader View



  • Appeals Court Vacates SEC’s Proxy Access Rule
  • Supreme Court Rules on Who Is the “Maker” of Statements Under Section 10(b)

New Rules, Proposed Rules and Guidance

  • FINRA Proposes New Rules Relating to Member Firms’ Communications with the Public
  • SEC Adjusts the Dollar Amount Thresholds and Proposes Rule Amendments Relating to Investment Adviser Performance Fees
  • 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
  • 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

  • Janney Montgomery Scott Charged for Failure to Maintain and Enforce Policies to Prevent Misuse of Material, Nonpublic Information
  • 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

To read the newsletter, click the link below.