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Litigation and Enforcement Actions

  • SEC Settles Charges Against Advisory Firms for Failing to Disclose Changes in Investment Strategy of Closed-End Fund
  • U.S. District Court Rules on Defendants' Motion to Dismiss in Schwab Case Relating to Violation of Fundamental Investment Policies
  • SEC Settles Charges Against Investment Adviser for Failing to Adopt Adequate Cybersecurity Policies and Procedures in Advance of Data Breach
  • SEC Settles First Charges Brought Under Distribution-in-Guise Initiative
  • SEC Grants Petition for Review of Dismissal of Charges Against Investment Advisory Firm
  • Seventh Circuit Affirms District Court on Remand in Jones v. Harris Associates

New Rules, Proposed Rules and Guidance

  • SEC Proposes New Liquidity Risk Management Rules for Mutual Funds and ETFs
  • SEC Issues Final Rule for Removal of Certain References to Credit Ratings and Amends the Issuer Diversification Requirement in the Money Market Fund Rule
  • OCIE Identifies Focus Areas for Second Round of Cybersecurity Sweep Exams
  • FinCEN Proposes Anti-Money Laundering Rules for Registered Investment Advisers

Public Statements, Speeches and Testimony

  • SEC Commissioners Address Recent Commission Orders Against CCOs

To read the Regulatory Update, click the link below.


Nathaniel Segal


John S. Marten