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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics:

Litigation

  • Appeals Court Vacates SEC’s Proxy Access Rule

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

Other News

  • SEC Staff Issues “Pay-to-Play” No-Action Relief for Advisers to Registered Funds
  • GAO Submits Report on Mutual Fund Advertising

Enforcement Actions

  • SEC Charges Former Goldman Sachs Employee and His Father with Insider Trading in Securities Underlying an ETF
  • Janney Montgomery Scott Charged for Failure to Maintain and Enforce Policies to Prevent Misuse of Material, Nonpublic Information

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