Stacy L. Fuller

Stacy L. Fuller

K&L Gates LLP

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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

11/7/2014 - Compliance Enforcement Enforcement Actions ETFs Investment Company Act of 1940 SEC

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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