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Vedder Thinking | Articles Investment Services Regulatory Update


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New Rules, Proposed Rules and Guidance

  • Division of Investment Management Issues Guidance on Personal Trade Reporting of Accounts Over Which Access Persons Have No Influence or Control
  • SEC Requests Public Comment on Exchange-Traded Products
  • 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
  • Division of Investment Management Releases Money Market Fund Reform FAQs
  • Department of Labor Issues New Proposed Rule Defining Fiduciary Investment Advice

Litigation and Enforcement Trends

  • SEC Settles Charges Against Mutual Fund Board Members, Investment Adviser and Administrator in connection with Advisory Contract Approval and Disclosure Process
  • 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 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


Nathaniel Segal


John S. Marten