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Vedder Thinking | Articles Investment Services Regulatory Update


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Topics include

New Rules, Proposed Rules and Guidance

  • SEC Staff No-Action Letter Permits Index ETF to Exceed 1940 Act Limits on Investments in Insurance Companies and Securities-Related Issuers
  • Division of Investment Management Issues Guidance on Fund Disclosure Reflecting Risks Related to Current Market Conditions

Public Statements, Press Releases and Testimony

  • SEC Chair Mary Jo White Addresses Several Topics Regarding Mutual Fund Directors, Including Enforcement Actions and Oversight of Operational, Liquidity and Cybersecurity Risks

Litigation and Enforcement Actions

  • SEC Settles Charges Against AIG Affiliates for Mutual Fund Sales Conflicts
  • U.S. District Court Rules in Favor of Defendants on Remaining Claims in Schwab Case Relating to Violation of Fundamental Investment Policies

Other News and Developments

  • ICI Issues Memo Regarding the Adequacy of Fund Policies, Procedures and Disclosures In Light of Unanticipated Events on Securities Trading Venues

To read the Regulatory Update, click the link below.


Nathaniel Segal


John S. Marten