Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
April 2018
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.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
April 2018
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.
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