Vedder Thinking | Articles Investment Services Regulatory Update
August 1, 2012
New Rules, Proposed Rules and Guidance
- SEC and CFTC Adopt Further Definitions of Swap and Related Terms
- CFTC Extends Compliance Date for CPO and CTA Registration
- SEC Staff Provides Informal Guidance to ICI on Fund Names Using "International" and "Global"
- FINRA Adopts Amended Rules Regarding Member Communications with the Public
- Mutual Fund Directors Forum and eSecLending Issue Practical Guidance on Securities Lending Programs
- 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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