Derivatives › ETFs

News & Analysis as of May 21, 2013

Regulation 2013: Dodd-Frank Position Limits, CFTC Reuthorization, Regulatory Harmonization

SEC Lifts Moratorium on Actively Managed Exchange-Traded Funds' Use of Derivatives

by White & Case LLP on 12/27/2012

On December 6, 2012, the U.S. Securities and Exchange Commission (the "SEC") announced that it will no longer defer consideration of exemptive requests relating to actively managed exchange-traded funds ("ETFs") seeking to...more

SEC Division of Investment Management Lifts Actively-Managed ETF Derivatives Use Moratorium and Announces Two Rulemaking...

by Kathleen H. Moriarty, Peter J. Shea | Katten Muchin Rosenman LLP on 12/18/2012

In a speech on December 6 before the ALI CLE 2012 Conference on Investment Adviser Regulation: Legal Compliance Forum on Institutional Advisory Services, Norm Champ, the new Director of the Division of Investment Management...more

SEC Lifts Moratorium on Non-Leveraged, Actively Managed ETFs that Use Derivatives

by W. Thomas Conner, Andrew P. Cross, Mary Payne, Thomas H. Watterson | Reed Smith on 12/14/2012

On December 6, 2012, Norm Champ, Director of the Division of Investment Management of the Securities and Exchange Commission ("SEC"), announced an end to the moratorium on issuing exemptive orders to non-leveraged, actively...more

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

by Kurt J. Decko, Stacy L. Fuller | K&L Gates LLP on 12/11/2012

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

SEC to Consider Exemptive Requests for Certain Actively Managed ETFs

by Richard F. Morris, Kaitlyn L. Piper | Morgan Lewis on 12/10/2012

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

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