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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

In this issue

 

New Rules, Proposed Rules, Guidance and Alerts 

  •  SEC Adopts New Rules Permitting Covered Investment Fund Research Reports
  • Division of Investment Management Updates Investment Company Reporting Modernization FAQs
  • OCIE Announces Risk-Based Sweep Exam of Funds, ETFs and Advisers

 

Public Statements, Press Releases and Testimony

  •  Remarks by Dalia Blass, Director of the SEC’s Division of Investment Management, at the ALI CLE 2018 Conference on Life Insurance Company Products

 

Litigation and Enforcement Actions and Initiatives 

  • District Court Issues Tentative Ruling Granting Partial Summary Judgment in Section 36(b) Excessive Fee Suit

 

 

Download the Regulatory Update below.



Professionals



John S. Marten

Shareholder



Nathaniel Segal

Counsel



Jacob C. Tiedt

Shareholder