Growth in the ETP industry has led the SEC to seek public comment on a variety of topics related to the listing and trading of ETP shares.
On June 12, the US Securities and Exchange Commission (SEC) issued a release (the...more
7/2/2015
/ Arbitrage ,
Broker-Dealer ,
Exchange-Traded Products ,
Exemptive Relief ,
Investment Adviser ,
Investors ,
Listing Standards ,
Market Pricing ,
No-Action Relief ,
Public Comment ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
The new product will have characteristics of both mutual funds and exchange-traded funds.
On November 6, the U.S. Securities and Exchange Commission (SEC) issued a notice indicating that it intends to grant exemptive...more