Richard F. Morris

Richard F. Morris

Morgan Lewis

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SEC Seeks Public Input on Exchange-Traded Product Trading Issues

Growth in the ETP industry has led the SEC to seek public comment on a variety of topics related to the listing and trading of ETP shares. On June 12, the US Securities and Exchange Commission (SEC) issued a release (the...more

7/2/2015 - Arbitrage Broker-Dealer Exchange-Traded Products Exemptive Relief Investment Adviser Investors Listing Standards Market Pricing No-Action Relief Public Comment SEC Securities Exchange Act

FINRA Formalizes Position on Pre-Inception Index Performance Data

Interpretive letter outlines the conditions for the use of exchange-traded product marketing materials containing pre-inception index performance, including disclosure requirements, performance presentation standards, and a...more

4/26/2013 - Compliance Disclosure Requirements Exchange-Traded Products FINRA Institutional Investment

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