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

Update on Proposed Listing Standards for Active ETFs

The SEC is considering an amended proposal by NYSE Arca to adopt generic listing standards for actively managed ETFs. On June 5, the US Securities and Exchange Commission (SEC) issued an order (the Order) instituting...more

6/15/2015 - ETFs Listing Rules NYSE SEC Securities Exchange Act

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 to Approve “Exchange-Traded Managed Funds”

The new product will have characteristics of both mutual funds and exchange-traded funds. On November 6, the U.S. Securities and Exchange Commission (SEC) issued a notice indicating that it intends to grant exemptive...more

11/13/2014 - Amended Regulation ETMFs Exemptive Relief Nasdaq 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

SEC Settles Suit for Misleading Advisory Contract Approval Disclosure

Settlement with mutual fund directors and service providers serves as a reminder of responsibilities for disclosures relating to the approval of investment advisory contracts and provides insight into SEC enforcement...more

5/10/2013 - Advisory Contracts Disclosure Requirements Investment Adviser Investment Company Act of 1940 Mutual Funds SEC Settlement

Select SEC and FINRA Cases and Developments: 2012 Year in Review

In 2012, the SEC and FINRA continued their vigorous enforcement of the securities laws, rules, and regulations—with cases against broker-dealers, investment advisers, and investment companies accounting for 38% of the SEC...more

2/7/2013 - Broker-Dealer Enforcement Actions FINRA Investment Adviser SEC

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

Compilation of SEC Staff Guidance on Securities Lending

Division of Investment Management's guidance on securities lending by open-end and closed-end investment companies provides a reminder of legal obligations in lending programs. ...more

11/27/2012 - SEC

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