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Vedder Thinking | Articles Investment Services Regulatory Update


Reader View

In this issue

New Rules, Proposed Rules, Guidance and Alerts

  • SEC Proposes Changes to Fund Liquidity Disclosure Requirements

Public Statements, Press Releases and Testimony

  • SEC Division of Investment Management Director Dalia Blass Discusses Data Analytics, Board Outreach, ETFs and Index Providers at ICI Conference

Litigation and Enforcement Actions and Initiatives

  • Advisers Settle SEC Administrative Proceeding Regarding Securities Lending Practices
  • U.S. District Court for the Northern District of Illinois Grants Summary Judgment in Section 36(b) Excessive Fee Suit
  • U.S. District Court Grants Defendants’ Motion for Summary Judgment in Section 36(b) Excessive Fee Suit

Legislative Developments

  • House Passes Alleviating Stress Test Burdens to Help Investors Act, Which Would Exempt Mutual Funds and Investment Advisers from Dodd-Frank Stress Testing Requirements

To read the Regulatory Update, click the link below.


John S. Marten


Nathaniel Segal


Jacob C. Tiedt