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Vedder Thinking | Articles Investment Services Regulatory Update


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Topics include

Litigation and Enforcement Actions

  • U.S. District Court Rules for Defense in Hartford Section 36(b) Excessive Fee Case

Public Statements, Press Releases and Testimony

  • OCIE Issues Risk Alert Regarding Compliance Topics Frequently Identified in Deficiency Letters

New Rules, Proposed Rules and Guidance

  • SEC Staff Publishes FAQ in Response to Questions Regarding Its Mutual Fund Fee Structure Guidance and “Clean Shares” Interpretive Letter
  • SEC Staff Issues Interpretive Letter Permitting Open-End Funds to Acquire Shares of Affiliated Closed-End Funds

To read the Regulatory Update, click the link below.


John S. Marten


Nathaniel Segal