Division of Investment Management's guidance reminds firms to comply with conditions and representations in exemptive orders and notes that consequences for noncompliance may be "severe."...more
5/20/2013 - Compliance ETFs Exemptive Orders OCIE OIG SEC
Division of Investment Management to lift the moratorium on exemptive requests for actively managed ETFs investing in derivatives; new chapter signaled in the development of ETF industry. On December 6, Norm Champ, the...more
12/10/2012 - Derivatives ETFs SEC
Claims for relief from CPO registration by qualifying family offices and fund of funds operators must be filed by December 31. On November 29, the Commodity Futures Trading Commission's (CFTC's) Division of Swap Dealer...more
12/6/2012 - CFTC Commodity Pool Family Offices No-Action Relief
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