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Investment Services Regulatory Update August 2024

Newsletter/Bulletin | August 30, 2024

Treasury Department and IRS Issue Final Regulations Exempting Regulated Investment Companies and REITs from Filing Stock Repurchase Excise Tax Returns

FinCEN Issues Proposed Rule Amendments to Enhance Anti-Money Laundering/Countering the Financing of Terrorism Requirements for Financial Institutions

Regulatory Agenda Highlights Potential and Pending SEC Rulemaking Topics

FTC Rule Banning Non-Competes Held to Be Unlawful Agency Action and Set Aside

Two Federal District Courts Stay DOL Fiduciary Rule

SEC Settles Enforcement Proceedings Against Adviser for Alleged Marketing Rule Violation

SEC Settles Enforcement Proceedings Against Dually Registered Broker-Dealers and Investment Advisers for Alleged Violations of Regulation Best Interest

Vedder Thinking | Articles Investment Services Regulatory Update August 2024

Newsletter/Bulletin

August 30, 2024

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