Vedder Price

Vedder Thinking | Articles Investment Services Regulatory Update


Reader View

In This Issue:

New Rules, Proposed Rules, Guidance and Alerts

  • OCIE Issues Risk Alert on Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P
  • SEC Staff Seeks Comment on the Application of the Custody Rule to Digital Assets and Issues Associated with Trades That Do Not Settle on a Delivery versus Payment Basis
  • NFA Adopts Swaps Proficiency Exam Requirement for Associated Persons
  • IRS Releases Final Regulations on Income from Investments in Certain Foreign Corporations
  • SEC Issues Sweeping Securities Offering Reform Proposals for Closed-End Funds

Litigation and Enforcement Actions and Initiatives

  • SEC Announces Settlements from Share Class Selection Disclosure Initiative

Download the Regulatory Update here


Nathaniel Segal


John S. Marten


Jacob C. Tiedt