Reader View
Investment Services Regulatory Update
Newsletter/Bulletin
|
July 2018
In this issue
New Rules, Proposed Rules, Guidance and Alerts
- SEC Proposes New Rule to Permit Certain ETFs to Operate Without an Exemptive Order
- SEC Adopts Targeted Changes to Fund Liquidity Disclosure Requirements
- SEC Adopts Amendments Requiring Inline XBRL Reporting for Fund Risk/Return Summary Information
- SEC Adopts New Rule Providing Optional Internet Availability of Fund Shareholder Reports and Requests Comment on Improving Fund Disclosures and Intermediary Processing Fees
- SEC Staff Issues Additional Guidance Regarding Inadvertent Custody
Litigation and Enforcement Actions and Initiatives
- Adviser Settles SEC Administrative Proceeding Regarding Conflicts of Interest Disclosure
- Defendant Investment Advisers Obtain Partial Summary Judgment in Section 36(b) Excessive Fee Suit
To download the Regulatory Update, click the link below.
Vedder Thinking | Articles Investment Services Regulatory Update
Newsletter/Bulletin
July 2018
Reader View
In this issue
New Rules, Proposed Rules, Guidance and Alerts
- SEC Proposes New Rule to Permit Certain ETFs to Operate Without an Exemptive Order
- SEC Adopts Targeted Changes to Fund Liquidity Disclosure Requirements
- SEC Adopts Amendments Requiring Inline XBRL Reporting for Fund Risk/Return Summary Information
- SEC Adopts New Rule Providing Optional Internet Availability of Fund Shareholder Reports and Requests Comment on Improving Fund Disclosures and Intermediary Processing Fees
- SEC Staff Issues Additional Guidance Regarding Inadvertent Custody
Litigation and Enforcement Actions and Initiatives
- Adviser Settles SEC Administrative Proceeding Regarding Conflicts of Interest Disclosure
- Defendant Investment Advisers Obtain Partial Summary Judgment in Section 36(b) Excessive Fee Suit
To download the Regulatory Update, click the link below.
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