Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
September 2014
Topics
New Rules, Proposed Rules and Guidance
- SEC Proposes Extending Temporary Rule Regarding Adviser Principal Trades
- SEC Adopts Money Market Fund Rule Amendments
- SEC Re-Proposes Amendments to Remove References to Credit Ratings from Money Market Fund Rule
- FinCEN Proposes Anti-Money Laundering Rules
- Division of Investment Management Issues Guidance Regarding Enhanced Mutual Fund Disclosure
- SEC Divisions Issue Guidance Regarding Proxy Voting
Other News
- SEC Commissioner Confirms Cybersecurity as a Board-Level Concern
Litigation and Enforcement Actions
- District Court Grants Summary Judgment and Dismisses Case Regarding Insider Trading Prohibitions and Mutual Fund Redemptions
- FINRA Fines Merrill Lynch for Failing to Identify and Apply Mutual Fund Sales Charge Waivers Available for Retirement Accounts and Charitable Organizations
- SEC Settles Charges Against Hedge Fund Adviser for Conducting Prohibited Transactions and Retaliating Against Whistleblower
- SEC Settles Charges Against Portfolio Manager for Improperly Benefiting Hedge Fund Client at Expense of U.S. Fund Investors
To read the Regulatory Update, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
September 2014
Reader View
Topics
New Rules, Proposed Rules and Guidance
- SEC Proposes Extending Temporary Rule Regarding Adviser Principal Trades
- SEC Adopts Money Market Fund Rule Amendments
- SEC Re-Proposes Amendments to Remove References to Credit Ratings from Money Market Fund Rule
- FinCEN Proposes Anti-Money Laundering Rules
- Division of Investment Management Issues Guidance Regarding Enhanced Mutual Fund Disclosure
- SEC Divisions Issue Guidance Regarding Proxy Voting
Other News
- SEC Commissioner Confirms Cybersecurity as a Board-Level Concern
Litigation and Enforcement Actions
- District Court Grants Summary Judgment and Dismisses Case Regarding Insider Trading Prohibitions and Mutual Fund Redemptions
- FINRA Fines Merrill Lynch for Failing to Identify and Apply Mutual Fund Sales Charge Waivers Available for Retirement Accounts and Charitable Organizations
- SEC Settles Charges Against Hedge Fund Adviser for Conducting Prohibited Transactions and Retaliating Against Whistleblower
- SEC Settles Charges Against Portfolio Manager for Improperly Benefiting Hedge Fund Client at Expense of U.S. Fund Investors
To read the Regulatory Update, click the link below.
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