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Investment Services Regulatory Update November 2024

Newsletter/Bulletin | November 26, 2024

SEC Staff Issues 2025 Examination Priorities

Massachusetts Court Rules in Favor of Closed-End Funds Regarding Majority Rule Bylaw Amendment

SEC Settles Enforcement Proceedings Against Adviser for Allegedly Misleading Investors Regarding Certain ETFs’ ESG-Related Investment Strategies

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

Vedder Thinking | Articles Investment Services Regulatory Update November 2024

Newsletter/Bulletin

November 26, 2024

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