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Investment Services Regulatory Update January
Newsletter/Bulletin
|
February 1, 2021
In this issue:
- SEC Finalizes Updates to Advertising and Cash Solicitation Rules
- SEC Adopts New Framework for Fund Valuation
- SEC Adopts Rule Amendments to Permit Electronic Signatures to Authenticate SEC Filings
- OCIE Risk Alert Cautions Firms to Comply with Large Trader Obligations
- SEC Staff Issues ADI Regarding Risk Disclosures for Registered Funds Investing in Emerging Markets
- SEC Articulates Standards for Relief Under Section 26(c) for Variable Insurance Product Substitution Orders
- OCIE Risk Alert Highlights Compliance Rule Deficiencies Observed During Recent Adviser Exams
- Parties Stipulate to Dismissal of Last Pending Section 36(b) Excessive Fee Suit
- Recent SEC Leadership and Organizational Changes
- Biden Administration Issues “Regulatory Freeze" Memo
- President Trump Issues Executive Order Prohibiting Transactions Involving “Communist Chinese Military Companies,” Signs Holding Foreign Companies Accountable Act
Download the Investment Services Regulatory Update below.
Vedder Thinking | Articles Investment Services Regulatory Update January
Newsletter/Bulletin
February 1, 2021
Reader View
In this issue:
- SEC Finalizes Updates to Advertising and Cash Solicitation Rules
- SEC Adopts New Framework for Fund Valuation
- SEC Adopts Rule Amendments to Permit Electronic Signatures to Authenticate SEC Filings
- OCIE Risk Alert Cautions Firms to Comply with Large Trader Obligations
- SEC Staff Issues ADI Regarding Risk Disclosures for Registered Funds Investing in Emerging Markets
- SEC Articulates Standards for Relief Under Section 26(c) for Variable Insurance Product Substitution Orders
- OCIE Risk Alert Highlights Compliance Rule Deficiencies Observed During Recent Adviser Exams
- Parties Stipulate to Dismissal of Last Pending Section 36(b) Excessive Fee Suit
- Recent SEC Leadership and Organizational Changes
- Biden Administration Issues “Regulatory Freeze" Memo
- President Trump Issues Executive Order Prohibiting Transactions Involving “Communist Chinese Military Companies,” Signs Holding Foreign Companies Accountable Act
Download the Investment Services Regulatory Update below.
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