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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 Guidance on Cryptocurrency-related Holdings
  • SEC Staff Issues Liquidity Risk Management Program FAQs

Public Statements, Press Releases and Testimony

  • OCIE Announces 2018 Exam Priorities

Litigation and Enforcement Actions

  • SEC Settles with Mutual Fund Administrator in Connection with Calculation of Inflated Net Asset Value

Legislative Developments

  • House Passes Expanding Investment Opportunities Act, Which Would Ease Regulatory Requirements Applicable to Closed-End Fund Offerings
  • House Committee Passes Mutual Fund Litigation Reform Act, Which Would Heighten Standards for Litigation Under Section 36(b)

Download the Regulatory Update below.


John S. Marten


Nathaniel Segal


Jacob C. Tiedt