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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 T+2 Settlement Cycle for Securities Transactions, Shortening Timing Mismatch for Mutual Funds
  • SEC Staff Issues No-Action Letter Permitting U.S. Master Fund—Foreign Feeder Fund Arrangements
  • SEC Issues Proposal Requiring Use of Inline XBRL Format for Mutual Fund Risk/Return Summaries
  • SEC Staff Issues Guidance Update Addressing Advisers Act Obligations of Robo-Advisers
  • SEC Staff Issues Guidance on “Inadvertent Custody” of Client Assets

Other Developments

  • Mutual Fund Directors Forum Issues Report on the Role of Directors in Oversight of the Risk Management Function

To read the Regulatory Update, please click the link below.


John S. Marten


Nathaniel Segal