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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 Proposes New Rule to Permit Certain ETFs to Operate Without an Exemptive Order
  • SEC Adopts Targeted Changes to Fund Liquidity Disclosure Requirements
  • SEC Adopts Amendments Requiring Inline XBRL Reporting for Fund Risk/Return Summary Information
  • 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 Additional Guidance Regarding Inadvertent Custody

Litigation and Enforcement Actions and Initiatives

  • Adviser Settles SEC Administrative Proceeding Regarding Conflicts of Interest Disclosure
  • Defendant Investment Advisers Obtain Partial Summary Judgment in Section 36(b) Excessive Fee Suit

To download the Regulatory Update, click the link below. 


John S. Marten


Nathaniel Segal


Jacob C. Tiedt