Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
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November 2010
Topics:
New Rules, Proposed Rules and Guidance
- SEC Proposes Rule on Institutional Investment Manager Reporting of Proxy Votes on Executive Compensation
- FinCEN Extends Compliance Date for AML Travel Rule for Mutual Funds
- SEC Proposes Rule Defining “Family Office” Adviser
- SEC Stays Effectiveness of Amendments to Proxy Rules that Facilitate Rights of Shareholders to Nominate Directors
- SEC Amends Regulation FD as Required by the Dodd-Frank Act
- CFTC Requests Comments on Amendments to Limit the Use of Futures by Investment Companies
Legislation
- House Passes Regulated Investment Company Modernization Act of 2010
- Congress Passes Legislation Limiting Confidentiality Protection for Materials Provided to the SEC
- Whistleblower Provisions Under the Dodd-Frank Act
Litigation
- Funds Face Lawsuits Over Payments to Distributors; California Court Dismisses First Case
- Massachusetts Supreme Court Rules on Application of the Business Judgment Rule
- Ninth Circuit Finds No Private Right of Action under Section 13 of the 1940 Act
Other News
- President’s Working Group Releases Report on Money Market Funds
- CFTC and SEC Staff Issue Joint Report on May 6, 2010 Market Events
- SEC’s Enforcement Head Testifies on Mutual Fund Fee Initiative
- SEC Issues No-Action Letter on Soft Dollar Arrangements
- SEC Staff Issues No-Action Letter and Interpretation under Rule 2a-7
Enforcement Actions
- SEC Charges Hedge Fund Manager with Defrauding Investors by Overvaluing Fund Position
- Former State Street Employees Charged by SEC for Misleading Investors About Subprime Mortgage Investments
- SEC Charges Broker-Dealer for Deficient CIP Procedures
- SEC Charges Former Audit Partner and Son With Insider Trading
To read the newsletter, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
November 2010
Reader View
Topics:
New Rules, Proposed Rules and Guidance
- SEC Proposes Rule on Institutional Investment Manager Reporting of Proxy Votes on Executive Compensation
- FinCEN Extends Compliance Date for AML Travel Rule for Mutual Funds
- SEC Proposes Rule Defining “Family Office” Adviser
- SEC Stays Effectiveness of Amendments to Proxy Rules that Facilitate Rights of Shareholders to Nominate Directors
- SEC Amends Regulation FD as Required by the Dodd-Frank Act
- CFTC Requests Comments on Amendments to Limit the Use of Futures by Investment Companies
Legislation
- House Passes Regulated Investment Company Modernization Act of 2010
- Congress Passes Legislation Limiting Confidentiality Protection for Materials Provided to the SEC
- Whistleblower Provisions Under the Dodd-Frank Act
Litigation
- Funds Face Lawsuits Over Payments to Distributors; California Court Dismisses First Case
- Massachusetts Supreme Court Rules on Application of the Business Judgment Rule
- Ninth Circuit Finds No Private Right of Action under Section 13 of the 1940 Act
Other News
- President’s Working Group Releases Report on Money Market Funds
- CFTC and SEC Staff Issue Joint Report on May 6, 2010 Market Events
- SEC’s Enforcement Head Testifies on Mutual Fund Fee Initiative
- SEC Issues No-Action Letter on Soft Dollar Arrangements
- SEC Staff Issues No-Action Letter and Interpretation under Rule 2a-7
Enforcement Actions
- SEC Charges Hedge Fund Manager with Defrauding Investors by Overvaluing Fund Position
- Former State Street Employees Charged by SEC for Misleading Investors About Subprime Mortgage Investments
- SEC Charges Broker-Dealer for Deficient CIP Procedures
- SEC Charges Former Audit Partner and Son With Insider Trading
To read the newsletter, click the link below.
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