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<a href="/insights-events/sec-and-cftc-adopt-amendments-to-form-pf-for-private-fund-report/">SEC and CFTC Adopt Amendments to Form PF for Private Fund Reporting</a>

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<a href="/insights-events/sec-adopts-new-rules-expanding-definition-of-dealers-required-to-register-with-the-sec/">SEC Adopts New Rules Expanding Definition of Dealers Required to Register with the SEC</a>

<a href="/insights-events/fincen-proposes-rule-to-address-anti-money-laundering-risks-to-registered-investment-advisers-and-exempt-reporting-advisers/">FinCEN Proposes Rules to Address AML Risks to Advisers</a>

<a href="/insights-events/sec-staff-issues-faqs-on-tailored-shareholder-reports/">SEC Staff Issues FAQs on Tailored Shareholder Reports</a>

<a href="/insights-events/sec-staff-issues-update-to-marketing-rule-faqs/">SEC Staff Issues Update to Marketing Rule FAQs</a>

<a href="/insights-events/sec-announces-departure-of-william-birdthistle-director-of-the-division-of-investment-management-and-names-natasha-vij-greiner-as-new-director/">SEC Announces Departure of William Birdthistle, Director of the Division of Investment Management, and Names Natasha Vij Greiner as New Director</a>

<a href="https://vedderprice.com/pcaob-reopens-comment-period-for-noclar-proposal">PCAOB Reopens Comment Period for NOCLAR Proposal</a>

<a href="https://vedderprice.com/sec-settles-charges-against-adviser-for-alleged-section-15c-violations-from-failure-to-disclose-index-license-fee-structure-to-etfs-board">SEC Settles Charges Against Adviser for Alleged Section 15(c) Violations from Failure to Disclose Index License Fee Structure to ETF’s Board</a>

<a href="https://vedderprice.com/sec-settles-charges-against-adviser-broker-dealer-for-alleged-whistleblower-protection-rule-violations">SEC Settles Charges Against Adviser/Broker-Dealer for Alleged Whistleblower Protection Rule Violations</a>

Investment Services Regulatory Update March 2024

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