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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 

  •  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.


John S. Marten


Nathaniel Segal


Jacob C. Tiedt