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Vedder Thinking | Articles Investment Services Regulatory Update

Newsletter/Bulletin

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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

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Nathaniel Segal

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Jacob C. Tiedt

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