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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

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.