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Investment Services Regulatory Update
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June 2018
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.
Vedder Thinking | Articles Investment Services Regulatory Update
June 2018
Reader View
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.
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