Vedder Thinking | Articles Investment Services Regulatory Update
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
- 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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