John S. Marten
Vedder Price PC
Articles
SEC Proposes Significant Liquidity Risk Management and Swing Pricing Reforms
USA - December 7 2022 On November 2, 2022, the SEC voted to propose amendments to rules regarding liquidity risk management programs and swing pricing for open-end funds…
SEC Amends Rules Regarding Preservation of Electronic Records and Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Entities
USA - November 10 2022 On October 12, 2022, the SEC adopted amendments to modernize certain requirements for broker-dealers, security-based swap dealers (SBSDs) and major…
SEC Staff Issues FAQ Relating to Adviser Consideration of DEI Factors
USA - November 10 2022 On October 13, 2022, the SEC staff issued guidance affirming that, under its fiduciary duty, an investment adviser may consider factors relating to…
SEC Staff Issues Risk Alert on New Investment Adviser Marketing Rule
USA - October 12 2022 On September 19, 2022, the SEC's Division of Examinations issued a risk alert highlighting the staff's observations about review areas for upcoming…
SEC Settles Charges against 16 Firms for Alleged Recordkeeping Failures from “Off-Channel Communications”
USA - October 12 2022 On September 27, 2022, the SEC announced the settlement of administrative proceedings brought against 15 broker-dealers and one affiliated investment…
