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Investment Services Regulatory Update - August 2013

New Rules, Proposed Rules and Guidance

  • SEC Adopts Rule Amendments to Implement JOBS Act Provisions for the Elimination of Prohibitions Against General Solicitation in Private Offerings

  • SEC Adopts Rule Amendments to Disqualify Felons and Other “Bad Actors” from Rule 506 Private Offerings

  • SEC Proposes Additional Amendments to Form D, Regulation D and Rule 156 under the Securities Act

  • SEC Proposes Money Market Fund Rule Amendments

  • Division of Investment Management Issues Guidance Update Regarding Compliance with Exemptive Orders

Other News

  • SEC Commissioner Gallagher Discusses the Need for Proxy Advisory Service Reform

Litigation and Enforcement Actions

  • Seventh Circuit Seeks Clarification Regarding Insider Trading Prohibitions and Mutual Fund Redemptions

  • Second Circuit Affirms Dismissal of Class Action Against ProShares ETFs

  • D.C. Circuit Affirms District Court Ruling on Industry Challenges to CFTC Rule 4.5

  • Former Mutual Fund Directors Settle Claims That They Failed to Properly Oversee Asset Valuation

  • SEC Settles Charges Against Proxy Adviser for Failure to Safeguard Client Information

  • SEC Settles Charges Against Trustees and Service Providers of “Turnkey” Investment Company

To read the Regulatory Update, click the link below.

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About this Author

Vedder Price P.C. attorneys provide a full range of services to a diverse financial services clientele. Attorneys practicing in the firm’s Investment Services Group are experienced in all aspects of investment company and investment adviser securities regulations, broker-dealer regulatory and compliance matters, derivatives and financial product matters, and ERISA and tax matters. Clients include mutual fund complexes, hedge and other private funds, money managers, broker-dealers, independent directors, and many other types of institutions such as banks, savings and loans,...