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SEC Adopts Changes to Regulatory Framework of Fund of Funds Arrangements

The Securities and Exchange Commission voted on October 7, 2020, to adopt new Rule 12d1-4 under the Investment Company Act of 1940 to govern most arrangements where registered funds invest in other registered funds (“fund of...more

SEC Adopts Final ETF Rule and Issues Related Exchange Act Relief

The U.S. Securities and Exchange Commission adopted a new rule under the Investment Company Act of 1940 that will allow exchange-traded funds that satisfy certain standardized conditions to operate without first obtaining...more

SEC Adopts Final ETF Rule and Issues Related Exchange Act Relief

Yesterday (September 26, 2019), the U.S. Securities and Exchange Commission announced the adoption of Rule 6c-11 under the Investment Company Act of 1940, which will allow exchange-traded funds that satisfy certain...more

SEC Issues Statement on Potentially Unlawful Online Platforms for Trading Digital Assets

The staff of the Divisions of Enforcement and Trading and Markets (collectively, Staff) of the U.S. Securities and Exchange Commission (SEC) on March 7, 2018 jointly issued a statement on digital asset trading platforms...more

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

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