Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
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August 2011
Topics:
Litigation
- 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.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
August 2011
Reader View
Topics:
Litigation
- 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.
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