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Investment Services Regulatory Update November 2022

Newsletter | November 10, 2022

SEC Proposes Oversight and Disclosure Requirements for Services Outsourced by Investment Advisers

SEC Adopts Amendments to Streamline Mutual Fund and ETF Shareholder Reports and Revise Investment Company Advertising Rules

SEC Amends Rules Regarding Preservation of Electronic Records and Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Entities

SEC Staff Issues FAQ Relating to Adviser Consideration of DEI Factors 

Vedder Thinking | Articles Investment Services Regulatory Update November 2022

Newsletter

November 10, 2022

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