Stacy L. Fuller

Stacy L. Fuller

K&L Gates LLP

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Exchanges Adopt Generic Listing Standards for Actively Managed ETFs

Introduction - Earlier this year, the Securities and Exchange Commission (“SEC”) approved new rules proposed by Bats BZX Exchange, Inc. (“Bats”) and NYSE Arca, Inc. (“Arca”) that establish generic listing standards (“Active...more

11/21/2016  /  Derivatives , ETFs , Reporting Requirements , SEC

SEC Issues Preliminary Denial Notices for Two Nontransparent Actively Managed ETF Applications

In 2008, the Securities and Exchange Commission (“SEC” or “Commission”) approved the first actively managed exchange-traded funds (“ETFs”). The exemptive orders for those ETFs—and all active ETF exemptive orders since—have...more

SEC Lifts Moratorium on Actively Managed ETFs’ Use of Derivatives; Moratorium Continues for Leveraged ETFs

As announced by Norm Champ, the Director of the Division of Investment Management of the Securities and Exchange Commission (“SEC”), in a speech on December 6, 2012, and followed by a no-action letter of the same date, the...more

12/11/2012  /  Derivatives , ETFs , SEC
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