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Vedder Thinking | Articles Investment Services Regulatory Update


Reader View

In this issue

New Rules, Proposed Rules, Guidance and Alerts

  • SEC Staff No-Action Letter Allows Fund Boards to Rely on CCO Representations for Affiliated Transactions

Public Statements, Press Releases and Testimony

  • Testimony of Dalia Blass Before the House Subcommittee on Capital Markets, Securities and Investment
  • Stephanie Avakian, Co-Director of the SEC’s Division of Enforcement, Assesses the Effectiveness of the SEC’s Enforcement Program
  • SEC Chairman Clayton Issues Statement About SEC Staff Views
  • SEC Staff Withdraws Proxy Advisory Guidance

Litigation and Enforcement Actions and Initiatives

  • Ninth Circuit Affirms in Part District Court Dismissal of Class Claims in Northstar Financial v. Schwab Investments Case
  • SEC Settles Charges Against Firm for Inadequate Cybersecurity and Identity Theft Prevention Programs
  • SEC Reaches Settlements with Two Registered Investment Advisers Regarding Improper Cross Trades
  • SEC Obtains Consent Judgment against Hedge Fund Adviser for Alleged Scheme to Increase Profits above High-Water Mark


Download the Regulatory Update below.  


John S. Marten


Nathaniel Segal


Jacob C. Tiedt