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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics:

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

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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