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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

  • OCIE Publishes Risk Alert on Compliance Issues Relating to Best Execution
  • FINRA Seeks Information on Member Firms’ Activities Related to Digital Assets

Litigation and Enforcement Actions and Initiatives

  • Third Circuit Affirms Lower Court Decision in Favor of Investment Adviser in Section 36(b) Excessive Fee Case
  • Ninth Circuit Panel Affirms District Court’s Dismissal of Lawsuit on Grounds That There Is No Private Right of Action for Challenging the Continued Validity of an Investment Company Act Exemption

Legislative Developments

  • House Passes JOBS and Investor Confidence Act of 2018 (JOBS Act 3.0)

Download the Regulatory Update below. 


John S. Marten


Nathaniel Segal


Jacob C. Tiedt