Peter J. Shea

Peter J. Shea

Katten Muchin Rosenman LLP

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SEC Denies Two Proposed Applications for Non-Transparent Active ETFs

The Division of Investment Management (Division) of the Securities and Exchange Commission took an unprecedented action on Wednesday in issuing a preliminary denial to two exemptive relief applications under the Investment...more

10/29/2014 - ETFs Exchange-Traded Products Exemptive Relief Investment Company Act of 1940 SEC

SEC Division of Trading and Markets Discusses Issues with Exchange-Traded Products

In a February 22 speech at The SEC Speaks in 2013, Associate Director of the Division of Trading and Markets of the Securities and Exchange Commission Heather Seidel discussed the evolution of exchange-traded products (ETPs)...more

3/6/2013 - Exchange-Traded Products SEC Securities Exchange Act

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