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Vedder Thinking | Articles Investment Services Regulatory Update


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In this issue

New Rules, Propsed Rules, Guidance and Alerts

  • SEC Staff Extends No-Action Relief on Auditor Independence and the “Loan Provision”
  • OCIE Identifies Most Common Advertising Compliance Issues

Public Statements, Press Releases and Testimony

  • SEC Chairman Clayton Issues Statements Regarding 2016 Cyber Intrusion of EDGAR System
  • SEC’s Enforcement Division Announces Creation of Cyber Unit in Effort to Address Cyber-Based Threats

Market and Product Developments

  • SEC Approves Three-Month Delay to New Continued Listing Standards for ETFs

Litigation and Enforcement Actions

  • SEC Charges Adviser with Improperly Recommending Higher-Fee Mutual Funds

Click below to download the Regulatory Update.


John S. Marten


Nathaniel Segal


Jacob C. Tiedt