In April 2020, the Securities and Exchange Commission (SEC) approved rule change proposals of the three primary listing exchanges for exchange-traded funds (ETFs). The new rules extend automatic listing to all ETFs that are...more
On November 25, 2019, the Securities and Exchange Commission (SEC) re-proposed Rule 18f-4 (“Rule 18f-4”) under the Investment Company Act of 1940, as amended (“1940 Act”). Rule 18f-4, if adopted, would alter the SEC’s...more
12/16/2019
/ Business Development Companies ,
Derivatives ,
ETFs ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
Proposed Rules ,
Recordkeeping Requirements ,
Reporting Requirements ,
Risk Management ,
Rule 18f-4 ,
Securities and Exchange Commission (SEC)