Vedder Price

Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics:

New Rules, Proposed Rules and Guidance

  • Treasury Issues Determination Exempting Foreign Exchange Swaps and Foreign Exchange Forwards from the Definition of "Swap"
  • SEC Proposes Extending Temporary Rule Regarding Adviser Principal Trades

Other News

  • IDC Issues White Paper on Board Oversight of Exchange-Traded Funds
  • Professional Organizations Issue Guidance to Audit Committees Regarding Evaluation of External Auditors
  • Mutual Fund Directors Forum Issues Practical Guidance for Fund Directors on Oversight of Proxy Voting

Litigation and 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

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