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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics:

New Rules, Proposed Rules and Guidance

  • SEC Proposes Rules to Implement JOBS Act Provisions for Elimination of Prohibitions Against General Solicitation in Private Offerings
  • SEC and CFTC Adopt Further Definitions of Swap and Related Terms
  • CFTC Extends Compliance Date for CPO and CTA Registration

Other News

  • Mutual Fund Directors Forum Issues Practical Guidance for Fund Directors on Oversight of Proxy Voting
  • PCAOB Adopts Standard on Auditor Communications with Audit Committees
  • PCAOB Issues Guidance on Inspection Process

Enforcement Actions

  • Federal Court Vacates and Remands the CFTC’s Position Limits Rule
  • SEC Settles Charges Against Adviser for Failing to Disclose Revenue Sharing Payments and Other Conflicts of Interest
  • SEC Charges Former Adviser to NASCAR Mutual Fund with Securities Law Violations

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