Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
October 1, 2009
Topics:
New Rules, Proposed Rules and Guidance
- SEC Adopts Rule Requiring Disclosure of Certain Money Market Fund Portfolio Information
- SEC Proposes Flash Order Ban
- SEC Proposes Changes to NYSE Corporate Governance Standards
- Massachusetts Proposes Amendments to Information Security Program Regulations and Compliance Deadline
- SEC Makes Short Sale Rule Permanent
- SEC Proposes New Rule to Curtail Adviser “Pay to Play” Practices
- Implementation of Identity Theft Prevention Programs Further Delayed Until November 1, 2009
Proposed Legislation
- Legislation Proposed to Require Private Fund Advisers to Register with the SEC
Other News
- IDC Issues Task Force Report on Board Oversight of Fund Compliance
- SEC Provides No-Action Relief Permitting Foreign Funds to Invest in U.S. Funds in Excess of 1940 Act Limitations
- SEC Issues No-Action Letter Related to Mixed and Shared Funding Orders
Enforcement Actions
- FINRA Settles Auction Rate Securities Violations with Three Firms
- SEC Charges Adviser and Its CEO for Fraudulently Overstating Assets
- FINRA Fines Merrill Lynch and UBS for Supervisory Failures in Sales of Closed-End Funds
- FINRA Fines Bank Broker-Dealers $1.65 Million for Supervisory Failures in Variable Annuity, Mutual Fund and UIT Transactions
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
October 1, 2009
Reader View
Topics:
New Rules, Proposed Rules and Guidance
- SEC Adopts Rule Requiring Disclosure of Certain Money Market Fund Portfolio Information
- SEC Proposes Flash Order Ban
- SEC Proposes Changes to NYSE Corporate Governance Standards
- Massachusetts Proposes Amendments to Information Security Program Regulations and Compliance Deadline
- SEC Makes Short Sale Rule Permanent
- SEC Proposes New Rule to Curtail Adviser “Pay to Play” Practices
- Implementation of Identity Theft Prevention Programs Further Delayed Until November 1, 2009
Proposed Legislation
- Legislation Proposed to Require Private Fund Advisers to Register with the SEC
Other News
- IDC Issues Task Force Report on Board Oversight of Fund Compliance
- SEC Provides No-Action Relief Permitting Foreign Funds to Invest in U.S. Funds in Excess of 1940 Act Limitations
- SEC Issues No-Action Letter Related to Mixed and Shared Funding Orders
Enforcement Actions
- FINRA Settles Auction Rate Securities Violations with Three Firms
- SEC Charges Adviser and Its CEO for Fraudulently Overstating Assets
- FINRA Fines Merrill Lynch and UBS for Supervisory Failures in Sales of Closed-End Funds
- FINRA Fines Bank Broker-Dealers $1.65 Million for Supervisory Failures in Variable Annuity, Mutual Fund and UIT Transactions
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