Vedder Thinking | Articles Investment Services Regulatory Update March 2024

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March 12, 2024

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SEC and CFTC Adopt Amendments to Form PF for Private Fund Reporting

SEC Adopts New Rules Expanding Definition of Dealers Required to Register with the SEC

FinCEN Proposes Rules to Address AML Risks to Advisers

SEC Staff Issues FAQs on Tailored Shareholder Reports

SEC Staff Issues Update to Marketing Rule FAQs

SEC Announces Departure of William Birdthistle, Director of the Division of Investment Management, and Names Natasha Vij Greiner as New Director

PCAOB Reopens Comment Period for NOCLAR Proposal

SEC Settles Charges Against Adviser for Alleged Section 15(c) Violations from Failure to Disclose Index License Fee Structure to ETF’s Board

SEC Settles Charges Against Adviser/Broker-Dealer for Alleged Whistleblower Protection Rule Violations

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Mark A. Quade

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Nathaniel Segal

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nsegal@vedderprice.com

+1 (312) 609 7747

Jacob C. Tiedt

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+1 (312) 609 7697

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