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Vedder Thinking | Articles Investment Services Regulatory Update


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New Rules, Proposed Rules and Guidance

  • SEC Extends Temporary Rule Regarding Adviser Principal Trades

Other News

  • SEC Staff Releases 2015 Examination Priorities
  • ICI and IDC Issue White Paper on Funds' Use of Proxy Advisory Firms
  • SEC Chair and FSOC Comment on Asset Management Regulation and Systemic Risk

Litigation and Enforcement Actions

  • SEC Settles with Investment Advisory Firm over Claims of False Performance Advertising

Derivatives Markets

  • SEC Adopts Rules Regarding Security-Based Swap Data Repositories
  • Relief for Commercial End-Users and Financial Cooperatives from Margin Requirements for Non-Cleared Swaps
  • CFTC Considering Clearing Mandate for Foreign Exchange Non-Deliverable Forwards

To read the Regulatory Update, click the link below.