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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

In this issue

New Rules, Proposed Rules, Guidance and Alerts

  • SEC Proposes Amendments to Auditor Independence Rules to Address Certain Lending Relationships
  • SEC Proposes New Rule That Would Require Broker-Dealers to Act in Best Interest of Retail Customers
  • SEC Proposes New Disclosure Requirements for Financial Professionals
  • SEC Issues Interpretive Guidance Regarding the Standard of Conduct for Investment Advisers
  • SEC Staff Issues Share Class Selection Disclosure Initiative FAQs
  • OCIE Issues Risk Alert on Advisory Fees and Expense Compliance Issues Identified in Deficiency Letters

Public Statements, Press Releases and Testimony

  • SEC Division of Investment Management Director Dalia Blass Discusses Standard of Conduct Rule making Proposals and Liquidity Risk Management at PLI Investment Management Institute

Litigation and Enforcement Actions and Initiatives

  • SEC Reaches Settlements with Three Registered Investment Advisers on Share Class Selection Allegations

Download the Regulatory Update below. 



Professionals



John S. Marten

Shareholder



Nathaniel Segal

Counsel



Jacob C. Tiedt

Shareholder