Reader View
Investment Services Regulatory Update October
Newsletter/Bulletin
|
November 10, 2020
In this issue:
- SEC Adopts New Framework for Fund of Funds Arrangements
- SEC Adopts Amendments to Shareholder Proposal Rule
- SEC Staff Issues FAQs on Form CRS Disciplinary History Information Accompanied by a Joint Statement from Chairman Clayton and Division Directors
- SEC Proposes Conditional Exemption for Finders Engaging in Limited Capital Raising Activities
- SEC Settles Enforcement Proceeding Without Imposing a Penalty Against Adviser That Self-Reported Alleged Expense Waiver Misrepresentations
- District Court Grants Great-West’s Motion for Sanctions Following Trial Victory in Section 36(b) Case
Vedder Thinking | Articles Investment Services Regulatory Update October
Newsletter/Bulletin
November 10, 2020
Reader View
In this issue:
- SEC Adopts New Framework for Fund of Funds Arrangements
- SEC Adopts Amendments to Shareholder Proposal Rule
- SEC Staff Issues FAQs on Form CRS Disciplinary History Information Accompanied by a Joint Statement from Chairman Clayton and Division Directors
- SEC Proposes Conditional Exemption for Finders Engaging in Limited Capital Raising Activities
- SEC Settles Enforcement Proceeding Without Imposing a Penalty Against Adviser That Self-Reported Alleged Expense Waiver Misrepresentations
- District Court Grants Great-West’s Motion for Sanctions Following Trial Victory in Section 36(b) Case
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