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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 Announces Risk-Based Sweep Exam of Funds, ETFs and Advisers
  • OCIE Issues Risk Alert on the Cash Solicitation Rule
  • SEC Staff No-Action Letter Allows Fund Boards to Rely on CCO Representations for Affiliated Transactions
  • Insurance Companies Obtain Relief to Use Statutory Financial Statements in Registration Statements Filed on Form S-1 for Certain Insurance Products


Public Statements, Press Releases and Testimony

  • Recent Remarks by Dalia Blass, Director of the SEC’s Division of Investment Management, at Industry Conferences
  • SEC Issues New Strategic Plan for Fiscal Years 2018–2022


Litigation and Enforcement Actions and Initiatives

  • District Court Grants Summary Judgment in Section 36(b) “Manager-of-Managers” Excessive Fee Suit



Download the Regulatory Update below.  


John S. Marten


Nathaniel Segal


Jacob C. Tiedt