Richard F. Morris

Richard F. Morris

Morgan Lewis

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SEC Considers Active ETF Listing Standards, Approves Paired Class ETP

Although the proposed listing standards could significantly reduce regulatory barriers, commissioner dissent in exchange-traded product order underscores regulatory concerns about novel products....more

3/20/2015 - ETFs Listing Standards Regulatory Reform SEC

SEC Issues New Relief for Self-Indexing ETFs

Newly issued exemptive orders loosen requirements for ETFs based on affiliated indexes. ...more

7/18/2013 - Asset Valuations ETFs Indexing SEC

SEC Warns About Exemptive Order Compliance

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

Sale of U.S. ETFs in Latin America

U.S. sponsors should be aware of local restrictions before offering shares. Exchange traded funds (ETFs) and similar vehicles organized in the United States have become increasingly popular investment choices for Latin...more

3/7/2013 - ETFs Foreign Investment

SEC to Consider Exemptive Requests for Certain Actively Managed ETFs

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

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