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Vedder Thinking | Articles Investment Services Regulatory Update


Reader View

In this issue

New Rules, Proposed Rules and Guidance

  • SEC Interpretive Letter Permits Brokers to Charge Commissions on Sales of “Clean Shares” of Mutual Funds

Other Developments

  • Financial Stability Board Issues Final Recommendations for Addressing Potential Risks Asset Managers Pose to the Global Financial System

Public Statements, Press Releases and Testimony

  • OCIE Announces 2017 Exam Priorities

To read the Regulatory Update, click below.


John S. Marten


Nathaniel Segal