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SEC Approves New ETF Listing Rules for Nasdaq, Cboe and NYSE Arca

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

SEC Requests Industry Comments on Fund Names

On March 2, 2020, the Securities and Exchange Commission (SEC) issued a request for public comment from funds, investors and other market participants on the framework for addressing misleading fund names under Rule 35d-1...more

SEC Notices Novel Exemptive Order, Giving Board Greater Flexibility With Sub-Advisory Agreements

On January 21, 2020, the Securities and Exchange Commission (SEC) issued notice that it plans to grant an exemptive order that would allow the board (the Board) of a registered investment company (the Fund) to approve...more

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