Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
November 25, 2019
In this issue:
- SEC Proposes Rule Changes for Proxy Advisory Firms
- SEC Proposes Amendments to Shareholder Proposal Rule
- SEC Proposes Expedited Review Process for Exemptive Applications
- SEC Proposes Amendments to Modernize Adviser Advertising and Solicitation Rules
- SEC Issues FAQs on Adviser Conflict Disclosure Practices
- SEC Extends Temporary Relief for MiFID II-Compliant Research Payments
- Court Dismisses Plaintiffs’ Excessive Fee Claim against Mutual Fund Adviser following Trial
Download the Investment Services Regulatory Update below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
November 25, 2019
Reader View
In this issue:
- SEC Proposes Rule Changes for Proxy Advisory Firms
- SEC Proposes Amendments to Shareholder Proposal Rule
- SEC Proposes Expedited Review Process for Exemptive Applications
- SEC Proposes Amendments to Modernize Adviser Advertising and Solicitation Rules
- SEC Issues FAQs on Adviser Conflict Disclosure Practices
- SEC Extends Temporary Relief for MiFID II-Compliant Research Payments
- Court Dismisses Plaintiffs’ Excessive Fee Claim against Mutual Fund Adviser following Trial
Download the Investment Services Regulatory Update below.
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