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Vedder Thinking | Articles Investment Services Regulatory Update


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In this issue

New Rules, Proposed Rules and Guidance

  • SEC Adopts New Rules Mandating Open-End Fund Liquidity Risk Management Programs and Permitting Swing Pricing
  • SEC Adopts Rules to Modernize and Enhance Investment Company Reporting SEC Requests Comment and Data on the Extension of Proposed Universal Proxy Requirements to Funds
  • SEC Staff No Longer Requires “Tandy” Representations in Filing Review

Litigation and Enforcement Actions

  • SEC Settles Charges Against Adviser for Improper Fair Valuation of Bonds

To read the Regulatory Update, click the link below.


John S. Marten


Nathaniel Segal


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