Jeremy Senderowicz

Jeremy Senderowicz

Dechert LLP

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SEC Adopts New Rules and Rule Amendments to Require Registered Open-End Investment Companies to Establish Liquidity Risk...

The U.S. Securities and Exchange Commission (SEC or Commission) has unanimously adopted new rules and rule amendments to require registered open-end investment companies (including exchange traded funds and exchange-traded...more

11/9/2016 - Disclosure Requirements ETFs Investment Companies Liquidity Risk Management Rule Money Market Funds Reporting Requirements SEC Swing Pricing

NYSE Arca and BATS Adopt Generic Listing Standards for Active Exchange-Traded Funds, Which May Expedite Fund Launches

NYSE Arca, Inc. and BATS BZX Exchange, Inc. (each, an Exchange) separately received U.S. Securities and Exchange Commission (SEC) approval on July 22, 2016 to adopt generic listing standards for exchange-traded funds (ETFs)...more

7/26/2016 - BATS Exchange Derivatives Equity Securities ETFs Fixed Income Investments Listing Standards NYSE

FSB Issues Proposed Activities-Based Financial Stability Recommendations for the Global Asset Management Industry

The Financial Stability Board (FSB), an international body established by the G-20 in response to the 2008 financial crisis, on June 22, 2016 released its third Consultative Document relating to the regulation and oversight...more

7/8/2016 - Asset Management Comment Period Financial Crisis FSB G-SIFI Global Market Proposed Regulation

Financial Stability Board Issues Proposed Recommendations to Address Perceived Structural Vulnerabilities in the Asset Management...

The Financial Stability Board (FSB), which was established by the G-20 in response to the 2008 financial crisis, on June 22, 2016 issued proposed specific recommendations to address certain perceived threats that the asset...more

6/24/2016 - Asset Management Comment Period Financial Crisis FSB Proposed Regulation

SEC’s Proposed Modernized Reporting Regime: Effects on ETF Sponsors

The U.S. Securities and Exchange Commission (SEC) on May 20, 2015 unanimously approved proposed rules, forms and amendments that are intended to modernize and enhance the reporting and disclosure of information by investment...more

7/22/2015 - Asset Management EFTs Filing Requirements Financial Markets Form N-Cen Form N-PORT Form N-SAR Investment Companies Investment Company Act of 1940 Regulation S-X SEC Shareholders Small Business Investment Company

US SEC Seeks Public Comment on the Listing, Trading and Selling of Exchange-Traded Products

The Securities and Exchange Commission (SEC) issued a release (Release) on June 12, 2015 seeking public comment on topics related to the listing and trading of exchange-traded products (ETPs) on national securities exchanges...more

6/16/2015 - Arbitrage Broker-Dealer Exchange-Traded Products Investors Listing Standards Market Pricing No-Action Relief Public Comment Public Listing SEC Securities Securities Exchange Act

SEC Intends to Grant Exemptive Relief to Permit Exchange-Traded Managed Funds

On November 6, 2014, the Securities and Exchange Commission (“SEC”) issued notice of its intent to grant Eaton Vance Management (“Eaton Vance”) and related parties exemptive relief from various provisions of the Investment...more

11/10/2014 - ETMFs Exchange-Traded Products Exemptive Relief Investment Company Act of 1940 SEC

Volcker Rule Regulations Issued: Understanding the Practical Implications for U.S. and Foreign Banking Entities, Funds and...

The Volcker Rule (“Volcker Rule” or “Rule”) is intended to limit risks to the financial system that Congress believes may be created by (i) proprietary trading operations of insured depository institutions, foreign banking...more

1/22/2014 - Banking Sector Collateralized Debt Obligations Dodd-Frank Financial Regulatory Reform Hedge Funds Proprietary Trading Trust Preferred Securities Volcker Rule

Update on Lifting of SEC Moratorium on Active ETF Use of Derivatives

The staff of the U.S. Securities and Exchange Commission (the “SEC”) released no action relief (the “Letter”) addressed to recipients of 18 prior orders (the “Prior Orders”) granting exemptive relief to launch...more

12/13/2012 - CFTC ETFs Moratorium No-Action Letters SEC Swaps

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