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Vedder Thinking | Articles Investment Services Regulatory Update


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New Rules, Proposed Rules and Guidance

  • SEC Proposes Extending Temporary Rule Regarding Adviser Principal Trades
  • SEC Adopts Money Market Fund Rule Amendments
  • SEC Includes Valuation Guidance in Money Market Fund Rule Release
  • SEC Re-Proposes Amendments to Remove References to Credit Ratings from Money Market Fund Rule
  • FinCEN Proposes Anti-Money Laundering Rules

Litigation and Enforcement Actions

  • SEC Settles Charges Against Barclays Capital for Compliance Failures After Acquisition of Lehman's Advisory Business
  • SEC Settles Charges Against Investment Advisory Firm for Undisclosed Principal Transactions and Misleading Performance Advertisements
  • SEC Settles Multiple Enforcement Actions for Failure to Timely File Reports of Beneficial Ownership
  • SEC Charges Investment Advisory Firm with Failure to Disclose Conflict of Interest to Clients
  • 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

To read the Regulatory Update, click the link below.