Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
April 2013
Topics
New Rules, Proposed Rules and Guidance
- Division of Investment Management Issues Guidance on Requirements for Filing Social Media Communications
- SEC Staff Provides Guidance on Health Care Tax and After-Tax Return Calculations
- SEC Amends Rule Regarding Obligations to Lost Securityholders and Unresponsive Payees
Other News
- OCIE Issues Risk Alert on Investment Adviser Custody Rule
- Director of the Division of Investment Management Identifies Division Regulatory Initiatives and Discusses Intent to Dialogue with Fund Directors
- SEC Staff Releases 2013 Examination Priorities
- Funds Face Emerging Cyber Risks
Litigation and Enforcement Actions
- Supreme Court Unanimously Limits the SEC’s Ability to Bring Civil Penalty Claims for Fraudulent Conduct Older Than Five Years
- Pension Funds File Suit Against BlackRock and iShares for Excessive Securities Lending Fees
To read the Regulatory Update, click on the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
April 2013
Reader View
Topics
New Rules, Proposed Rules and Guidance
- Division of Investment Management Issues Guidance on Requirements for Filing Social Media Communications
- SEC Staff Provides Guidance on Health Care Tax and After-Tax Return Calculations
- SEC Amends Rule Regarding Obligations to Lost Securityholders and Unresponsive Payees
Other News
- OCIE Issues Risk Alert on Investment Adviser Custody Rule
- Director of the Division of Investment Management Identifies Division Regulatory Initiatives and Discusses Intent to Dialogue with Fund Directors
- SEC Staff Releases 2013 Examination Priorities
- Funds Face Emerging Cyber Risks
Litigation and Enforcement Actions
- Supreme Court Unanimously Limits the SEC’s Ability to Bring Civil Penalty Claims for Fraudulent Conduct Older Than Five Years
- Pension Funds File Suit Against BlackRock and iShares for Excessive Securities Lending Fees
To read the Regulatory Update, click on the link below.
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Services