Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
May 2019
New Rules, Proposed Rules, Guidance and Alerts
- OCIE Risk Alert Highlights Risks Associated with Adviser and Broker-Dealer Use of Cloud-Based Storage of Customer Records
- FINRA Proposes Broker Misconduct Rule
- SEC Issues Sweeping Securities Offering Reform Proposal for Closed-End Funds
- SEC Grants Exemptive Relief for Non-Transparent ETF Structure
Public Statements, Press Releases and Testimony
- Highlights from SEC Speaks 2019
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
May 2019
Reader View
New Rules, Proposed Rules, Guidance and Alerts
- OCIE Risk Alert Highlights Risks Associated with Adviser and Broker-Dealer Use of Cloud-Based Storage of Customer Records
- FINRA Proposes Broker Misconduct Rule
- SEC Issues Sweeping Securities Offering Reform Proposal for Closed-End Funds
- SEC Grants Exemptive Relief for Non-Transparent ETF Structure
Public Statements, Press Releases and Testimony
- Highlights from SEC Speaks 2019
Professionals
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Services