Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
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October 2011
Topics:
Litigation
- Appeals Court Vacates SEC’s Proxy Access Rule
New Rules, Proposed Rules and Guidance
- SEC Issues Concept Release Relating to the Use of Derivatives by Investment Companies
- FINRA Issues Additional Guidance on Social Media Websites
- SEC Adopts Rule Relating to “Large Traders”
- FINRA Proposes New Rules Relating to Member Firms’ Communications with the Public
- SEC Adjusts the Dollar Amount Thresholds and Proposes Rule Amendments Relating to Investment Adviser Performance Fees
Other News
- SEC Staff Issues “Pay-to-Play” No-Action Relief for Advisers to Registered Funds
- GAO Submits Report on Mutual Fund Advertising
Enforcement Actions
- SEC Charges Former Goldman Sachs Employee and His Father with Insider Trading in Securities Underlying an ETF
- Janney Montgomery Scott Charged for Failure to Maintain and Enforce Policies to Prevent Misuse of Material, Nonpublic Information
To read the newsletter, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
October 2011
Reader View
Topics:
Litigation
- Appeals Court Vacates SEC’s Proxy Access Rule
New Rules, Proposed Rules and Guidance
- SEC Issues Concept Release Relating to the Use of Derivatives by Investment Companies
- FINRA Issues Additional Guidance on Social Media Websites
- SEC Adopts Rule Relating to “Large Traders”
- FINRA Proposes New Rules Relating to Member Firms’ Communications with the Public
- SEC Adjusts the Dollar Amount Thresholds and Proposes Rule Amendments Relating to Investment Adviser Performance Fees
Other News
- SEC Staff Issues “Pay-to-Play” No-Action Relief for Advisers to Registered Funds
- GAO Submits Report on Mutual Fund Advertising
Enforcement Actions
- SEC Charges Former Goldman Sachs Employee and His Father with Insider Trading in Securities Underlying an ETF
- Janney Montgomery Scott Charged for Failure to Maintain and Enforce Policies to Prevent Misuse of Material, Nonpublic Information
To read the newsletter, click the link below.
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