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Investment Services Regulatory Update
Newsletter
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September 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
- SEC Issues Concept Release Relating to the Use of Derivatives by Investment Companies
- FINRA Issues Additional Guidance on Social Media Websites
- SEC Adopts Rule Relating to “Large Traders”
- 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
Other News
- GAO Submits Report on Mutual Fund Advertising
- Office of Inspector General Releases Report on Compliance with SEC Exemptive Orders and No-Action Letters
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
To read the newletter, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter
September 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
- SEC Issues Concept Release Relating to the Use of Derivatives by Investment Companies
- FINRA Issues Additional Guidance on Social Media Websites
- SEC Adopts Rule Relating to “Large Traders”
- 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
Other News
- GAO Submits Report on Mutual Fund Advertising
- Office of Inspector General Releases Report on Compliance with SEC Exemptive Orders and No-Action Letters
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
To read the newletter, click the link below.
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