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138 results found

Article

Vedder Price PC | USA | 28 Nov 2017

SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European Union’s MiFID II

On October 26, 2017, the staff of the SEC, following consultation with European authorities, issued three no-action letters to provide guidance to

Article

Vedder Price PC | USA | 28 Feb 2017

SEC Interpretive Letter Permits Brokers to Charge Commissions on Sales of "Clean Shares" of Mutual Funds

On January 11, 2017, the staff of the SEC's Division of Investment Management issued an interpretive letter (the Interpretive Letter) expressing its

Article

Vedder Price PC | USA | 28 Feb 2017

Highlights from SEC Speaks 2017: Litigation and Enforcement Trends

The U.S. Securities and Exchange Commission (“SEC” or the “Commission”) held its annual SEC Speaks conference in Washington, DC on February 24 and 25

Article

Vedder Price PC | USA | 28 Oct 2016

SEC Adopts New Rules Mandating Open-End Fund Liquidity Risk Management Programs and Permitting Swing Pricing

On October 13, 2016, the Securities and Exchange Commission (the “SEC”) adopted new Rule 22e-4 under the Investment Company Act of 1940 (the “1940

Article

Vedder Price PC | USA | 27 Oct 2016

SEC Proposes Rule Amendment to Shorten Settlement Cycle From Three Business Days to Two

On September 28, 2016, the SEC issued a proposed rule amendment to shorten the standard settlement cycle for most broker-dealer securities

Article

Vedder Price PC | USA | 14 Jun 2016

SEC’s Rulemaking List Targets 2017 for Proposed Uniform Fiduciary Standard and Other Notable Proposals

The SEC’s estimated timetable for issuing notices of proposed rulemaking concerning several areas of interest to advisers and funds is April 2017

Article

Vedder Price PC | USA | 14 Jun 2016

ICI Issues Memo Regarding the Adequacy of Fund Policies, Procedures and Disclosures in Light of Unanticipated Events Affecting Securities Trading Venues

On April 12, 2016, the Investment Company Institute (ICI) issued a memorandum to member firms regarding fund policies and procedures for valuing

Article

Vedder Price PC | USA | 14 Jun 2016

SEC Staff No-Action Letter Permits Index ETF to Exceed 1940 Act Limits on Investments in Insurance Companies and Securities-Related Issuers

On March 28, 2016, the staff of the SEC’s Division of Investment Management issued a no-action letter to SPDR S&P Dividend ETF (the Fund) permitting

Article

Vedder Price PC | USA, OECD | 6 May 2016

Aviation Debt Capital Markets Are Growing: An Overview of Recent Trends

Airlines and aircraft lessors are increasingly looking to the debt capital markets as a source of funding. During the past 12 months or so

Article

Vedder Price PC | USA | 18 Dec 2015

U.S. District Court Grants Defendants’ Motion to Dismiss in PIMCO Case Relating to Violation of Investment Policies

On November 2, 2015, the U.S. District Court for the Central District of California dismissed claims brought in January 2015 by William T. Hampton

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