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Vedder Thinking | Articles Investment Services Regulatory Update


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In this issue

New Rules, Proposed Rules, Guidance and Alerts

  • SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European Union’s MiFID II
  • SEC Staff Denies Request for No-Action Relief Concerning Allocation of Certain Fund of Fund Operating Expenses to Underlying Funds in the Same Fund Family
  • SEC Proposes Rules to Implement FAST Act Mandate

Other Regulatory Developments

  • SEC Staff Reportedly Considering Measures to Streamline ETF Approval Process
  • IDC Calls on SEC Division of Investment Management Director Dalia Blass to Modernize Fund Directors’ Regulatory Responsibilities
  • U.S. Department of the Treasury Issues Report on Asset Management and Insurance Regulation

Legislative Developments

  • FAIR Act Expands Safe Harbor for ETF Research Reports Published by Broker-Dealers

Click below to download the Regulatory Update.


John S. Marten


Nathaniel Segal


Jacob C. Tiedt