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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 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. 



Professionals



John S. Marten

Shareholder



Nathaniel Segal

Counsel



Jacob C. Tiedt

Shareholder