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Vedder Thinking | Articles Investment Services Regulatory Update


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In this issue

Litigation and Enforcement Actions

  • U.S. District Court Denies Plaintiffs’ Motion to Compel Production of Documents Subject to Attorney-Client Privilege in Mutual Fund Excessive Fee Litigation
  • BlackRock Settles Charges of Operating ETF Without Required SEC Exemptive Relief

Legislative Developments

  • Financial CHOICE Act of 2017 Would Impose Heightened Pleading Standards and Raise the Burden of Proof for Plaintiffs in Section 36(b) Excessive Fee Litigation

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


John S. Marten


Nathaniel Segal