Investment Services Regulatory Update October 2023
SEC Adopts Amendments to Fund Names Rule, Broadening the Scope of Funds that Must Comply
SEC Adopts New Private Fund Adviser Rules
SEC Proposes Significant Form and Rule Amendments for the Registration of Index-Linked Annuities
SEC Staff Issues Risk Alert Regarding the Selection and Scope of Adviser Examinations
SEC Issues New Strategic Plan for Diversity, Equity, Inclusion, and Accessibility
SEC Settles Enforcement Proceedings Against Nine Advisers for Alleged Marketing Rule Violations
Vedder Thinking | Articles Investment Services Regulatory Update October 2023
Newsletter/Bulletin
October 13, 2023
SEC Adopts Amendments to Fund Names Rule, Broadening the Scope of Funds that Must Comply
SEC Adopts New Private Fund Adviser Rules
SEC Proposes Significant Form and Rule Amendments for the Registration of Index-Linked Annuities
SEC Staff Issues Risk Alert Regarding the Selection and Scope of Adviser Examinations
SEC Issues New Strategic Plan for Diversity, Equity, Inclusion, and Accessibility
SEC Settles Enforcement Proceedings Against Nine Advisers for Alleged Marketing Rule Violations
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