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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 Adopts New Rule Providing Optional Internet Availability of Fund Shareholder Reports and Requests Comment on Improving Fund Disclosures and Intermediary Processing Fees
  • SEC Staff Issues No-Action Letter Permitting Temporary Hold on Disbursement of Redemption Proceeds from Direct-at-Fund Accounts to Protect against Financial Exploitation of Seniors and Other Vulnerable Investors
  • SEC Proposes FAIR Act Rules to Increase the Availability of Research Reports on Covered Investment Funds

Legislative Developments

  • Economic Growth, Regulatory Relief and Consumer Protection Act’s Impact on Investment Management Industry

Registered Insurance Product Developments

  • NY Department of Financial Services Issues Updated Proposal Adopting a "Best Interest" Standard for Life Insurance and Annuity Product Transactions, Including for In-Force Transactions
  • FINRA Sanctions Member for Variable Annuities Sales Practices

Download the Regulatory Update below. 


John S. Marten


Nathaniel Segal


Jacob C. Tiedt