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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics

New Rules, Proposed Rules and Guidance

  • SEC Adopts Rule Amendments to Implement JOBS Act Provisions for the Elimination of Prohibitions Against General Solicitation in Private Offerings
  • SEC Adopts Rule Amendments to Disqualify Felons and Other “Bad Actors” from Rule 506 Private Offerings
  • SEC Proposes Additional Amendments to Form D, Regulation D and Rule 156 under the Securities Act
  • SEC Proposes Money Market Fund Rule Amendments
  • Division of Investment Management Issues Guidance Update Regarding Compliance with Exemptive Orders

Other News

  • SEC Commissioner Gallagher Discusses the Need for Proxy Advisory Service Reform

Litigation and Enforcement Actions

  • Seventh Circuit Seeks Clarification Regarding Insider Trading Prohibitions and Mutual Fund Redemptions
  • Second Circuit Affirms Dismissal of Class Action Against ProShares ETFs
  • D.C. Circuit Affirms District Court Ruling on Industry Challenges to CFTC Rule 4.5
  • Former Mutual Fund Directors Settle Claims That They Failed to Properly Oversee Asset Valuation
  • SEC Settles Charges Against Proxy Adviser for Failure to Safeguard Client Information
  • SEC Settles Charges Against Trustees and Service Providers of “Turnkey” Investment Company

To read the Regulatory Update, click the link below.