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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

Topics

New Rules, Proposed Rules and Guidance

  • SEC Extends Temporary Rule Regarding Adviser Principal Trades
  • Division of Investment Management Issues Guidance Regarding Mixed and Shared Funding Orders
  • Division of Investment Management Issues Guidance on the Presentation of Consolidated Financial Statements

Other News

  • SEC Chair and FSOC Comment on Asset Management Regulation and Systemic Risk
  • Director of the Division of Investment Management Discusses Alternative Mutual Fund Disclosures

Litigation and Enforcement Actions

  • SEC Settles with Investment Advisory Firm over Claims of False Performance Advertising
  • SEC Charges Investment Advisory Firm and Top Officials with Custody Rule Violations

To read the Regulatory Update, click the link below.