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Investment Services Regulatory Update November 2021
Newsletter
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November 19, 2021
- SEC Issues Risk Alert on Investment Advisers' Fee Calculations
- SEC Issues Risk Alert on Investment Advisers that Provide Electronic Investment Advice
- Division of Examinations Risk Alert Identifies Compliance Issues at Registered Investment Companies
- SEC Adopts Amendments to Filing Fee Disclosure and Payment Methods
- SEC Proposes Amendments to Electronic Filing Requirements and Re-Proposes Certain Amendments to Reports of Institutional Investment Managers
- SEC Staff Issues Update Regarding Withdrawal and Modification of Staff Letters Relating to New Adviser Marketing Rule
- SEC Chair Gary Gensler Provides Statement on Complex Exchange-Traded Products
- Highlights from SEC Speaks 2021
Vedder Thinking | Articles Investment Services Regulatory Update November 2021
Newsletter
November 19, 2021
Reader View
- SEC Issues Risk Alert on Investment Advisers' Fee Calculations
- SEC Issues Risk Alert on Investment Advisers that Provide Electronic Investment Advice
- Division of Examinations Risk Alert Identifies Compliance Issues at Registered Investment Companies
- SEC Adopts Amendments to Filing Fee Disclosure and Payment Methods
- SEC Proposes Amendments to Electronic Filing Requirements and Re-Proposes Certain Amendments to Reports of Institutional Investment Managers
- SEC Staff Issues Update Regarding Withdrawal and Modification of Staff Letters Relating to New Adviser Marketing Rule
- SEC Chair Gary Gensler Provides Statement on Complex Exchange-Traded Products
- Highlights from SEC Speaks 2021
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