Peter J. Shea

Peter J. Shea

Katten Muchin Rosenman LLP

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SEC 2016 Examination Priorities Focus on ETFs, Cybersecurity and Liquidity Controls for Fixed-Income Funds

On January 11, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2016 examination priorities for investment companies, investment advisers, broker-dealers and...more

1/19/2016 - Cybersecurity ETFs Investment Company Act of 1940 Liquidity OCIE Popular Private Placements SEC Examination Priorities

SEC Proposes Liquidity Management Rules for Mutual Funds and ETFs

On September 22, the Securities and Exchange Commission proposed a comprehensive package of rule reforms designed to enhance effective liquidity risk management by open-end funds, including mutual funds and exchange-traded...more

9/30/2015 - Asset Class Board of Directors Comment Period ETFs Independent Director Investment Company Act of 1940 Investment Funds Liquidity Risk Management Rule Mutual Funds NAV Proposed Regulation Registration Statement SEC

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 Releases Guidance on Affiliated Transactions of Series Investment Companies

On June 6, the Securities and Exchange Commission’s Division of Investment Management released a Guidance Update clarifying that separate series of a series investment company are each considered an individual company for the...more

6/25/2014 - Affiliated-Business Arrangements Guidance Update Investment Companies Investment Company Act of 1940 SEC

SEC Publishes Guidance on Filing Requirements for Interactive Content

On March 15, the Security and Exchange Commission’s Division of Investment Management issued guidance (Guidance) on when investment companies registered under the Investment Company Act of 1940 such as mutual funds and...more

3/26/2013 - Filing Requirements Interactive Content Investment Company Act of 1940 SEC

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