Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
October 31, 2019
In this issue:
- SEC Staff Issues Guidance on Performance and Fee Disclosure
- SEC Adopts “Test-the-Waters” Rule
- SEC Adopts New ETF Rule
- SEC Settles Additional Share Class Selection Actions
- SEC Settles with Adviser for Overcharging Clients
- SEC Settles Charges Against Two Advisers Relating to Variable Insurance Portfolios
Download the Investment Services Regulatory Update below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
October 31, 2019
Reader View
In this issue:
- SEC Staff Issues Guidance on Performance and Fee Disclosure
- SEC Adopts “Test-the-Waters” Rule
- SEC Adopts New ETF Rule
- SEC Settles Additional Share Class Selection Actions
- SEC Settles with Adviser for Overcharging Clients
- SEC Settles Charges Against Two Advisers Relating to Variable Insurance Portfolios
Download the Investment Services Regulatory Update below.
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