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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 Proposes New Fund-of-Funds Rule
  • SEC Staff Seeks Industry Engagement on Impact of MiFID II Research Provisions
  • OCIE Announces 2019 Exam Priorities
  • OCIE Issues Risk Alert on Electronic Messaging
  • Division of Trading and Markets Extends AML No-Action Letter Allowing Broker-Dealer to Rely on Investment Advisers


Litigation and Enforcement Actions and Initiatives

  • SEC Settles Administrative Proceedings against Two-Robo-Advisers for Allegedly False Disclosures



Download the Regulatory Update below.


John S. Marten


Nathaniel Segal


Jacob C. Tiedt