Although the proposed listing standards could significantly reduce regulatory barriers, commissioner dissent in exchange-traded product order underscores regulatory concerns about novel products....more
Newly issued exemptive orders loosen requirements for ETFs based on affiliated indexes.
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
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
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