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Vedder Thinking | Articles Investment Services Regulatory Update


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New Rules, Proposed Rules and Guidance

  • SEC Proposes Rules to Modernize and Enhance Investment Company and Investment Adviser Reporting
  • FINRA Issues Interpretive Letter on Related Performance Information
  • Division of Investment Management Issues Cybersecurity Guidance
  • Division of Investment Management Publishes FAQs on Valuation Guidance Included in the 2014 Release Adopting Money Market Fund Reforms
  • Division of Investment Management Releases Money Market Fund Reform FAQs
  • Department of Labor Issues New Proposed Rule Defining Fiduciary Investment Advice

Litigation and Enforcement Actions

  • U.S. Supreme Court Allows Plaintiffs in 401(k) Plan Case to Pursue Breach of Fiduciary Duty Claims Under Continuing Duty Theory
  • SEC Settles Charges Against Nationwide Life Insurance Company for Failing to Process Purchase and Redemption Orders in Compliance with the 1940 Act
  • U.S. Court of Appeals Rejects Defendants' Request for Rehearing in Schwab Case Relating to Violation of Fundamental Investment Policies
  • SEC Settles Charges Against Adviser and CCO for Providing Inaccurate and Incomplete Expense Allocation Methodology and Profitability Information to Fund Board in Connection with Contract Renewal
  • SEC Settles Conflict-of-Interest Case Against BlackRock and Former Chief Compliance Officer Concerning Portfolio Manager's Outside Business Activities
  • SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets from Investors

To read the Regulatory Update, click the link below.


John S. Marten


Nathaniel Segal