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Investment Services Regulatory Update
Newsletter/Bulletin
|
January 4, 2010
Topics:
Litigation
- Court Rules in Favor of American Funds in Fee Case
- U.S. Supreme Court Hears Jones v. Harris Associates
New Rules, Proposed Rules and Guidance
- SEC Adopts Amendments to Investment Adviser Custody Rule
- SEC Extends Temporary Rule Regarding Adviser Principal Trades
- SEC Reopens Comment Period on Proposed Amendments to Proxy Rules to Facilitate Rights of Shareholders to Nominate Directors
- SEC Adopts New Disclosure Requirements for Board Governance Matters
- Federal Regulatory Agencies Issue Model Privacy Notice Form
- SEC Adopts Regulation S-AM
- Massachusetts Publishes Final Information Security Program Regulations
- Implementation of Identity Theft Prevention Programs Further Delayed Until June 1, 2010
- SEC Proposes Amendments to Rules Requiring Internet Availability of Proxy Materials
- SEC Proposes Rules to Enhance Credit Ratings Disclosure
- SEC Removes Rule References to Nationally Recognized Statistical Rating Organizations
New Legislation
- Congressmen Introduce Regulated Investment Company Modernization Act of 2009
- House Approves Wall Street Reform and Consumer Protection Act of 2009
- Senator Introduces Mutual Fund Transparency Act of 2009
Other News
- Director of SEC’s Division of Investment Management Comments on Independent Director Issues at IDC Conference
Enforcement Actions
- SEC Charges U.S. Subsidiary of World’s Largest Inter-Dealer Broker for Displaying Fictitious Trades and Misleading Customers
- SEC Charges Investment Adviser and COO for Trade Allocation Violations
- FINRA Fines Terra Nova Financial $400,000 for Improper Soft Dollar Payments
- SEC Charges Investment Adviser and Two Senior Officers for $24 Million Fraudulent Scheme
To read the newsletter, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
January 4, 2010
Reader View
Topics:
Litigation
- Court Rules in Favor of American Funds in Fee Case
- U.S. Supreme Court Hears Jones v. Harris Associates
New Rules, Proposed Rules and Guidance
- SEC Adopts Amendments to Investment Adviser Custody Rule
- SEC Extends Temporary Rule Regarding Adviser Principal Trades
- SEC Reopens Comment Period on Proposed Amendments to Proxy Rules to Facilitate Rights of Shareholders to Nominate Directors
- SEC Adopts New Disclosure Requirements for Board Governance Matters
- Federal Regulatory Agencies Issue Model Privacy Notice Form
- SEC Adopts Regulation S-AM
- Massachusetts Publishes Final Information Security Program Regulations
- Implementation of Identity Theft Prevention Programs Further Delayed Until June 1, 2010
- SEC Proposes Amendments to Rules Requiring Internet Availability of Proxy Materials
- SEC Proposes Rules to Enhance Credit Ratings Disclosure
- SEC Removes Rule References to Nationally Recognized Statistical Rating Organizations
New Legislation
- Congressmen Introduce Regulated Investment Company Modernization Act of 2009
- House Approves Wall Street Reform and Consumer Protection Act of 2009
- Senator Introduces Mutual Fund Transparency Act of 2009
Other News
- Director of SEC’s Division of Investment Management Comments on Independent Director Issues at IDC Conference
Enforcement Actions
- SEC Charges U.S. Subsidiary of World’s Largest Inter-Dealer Broker for Displaying Fictitious Trades and Misleading Customers
- SEC Charges Investment Adviser and COO for Trade Allocation Violations
- FINRA Fines Terra Nova Financial $400,000 for Improper Soft Dollar Payments
- SEC Charges Investment Adviser and Two Senior Officers for $24 Million Fraudulent Scheme
To read the newsletter, click the link below.
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