Jeremy Senderowicz

Jeremy Senderowicz

Dechert LLP

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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 Rule 19b-4 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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