UPDATE ON CRYPTO ASSETS IN ETFS -
In 2018, the US Securities and Exchange Commission’s Division of Investment Management staff penned a letter to the Investment Company Institute and the Securities Industry and Financial...more
12/15/2021
/ Bitcoin ,
Cryptocurrency ,
Digital Assets ,
ETFs ,
Exchange-Traded Products ,
Investment Company Act of 1940 ,
Investment Funds ,
Investment Management ,
Mutual Funds ,
Registered Investment Companies (RICs) ,
Securities and Exchange Commission (SEC) ,
Shareholder Approval
On October 7, 2020, the US Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Rule) under the Investment Company Act of 1940 (Act) and related amendments (Amendments) that are collectively designed to provide a...more
GENERIC LISTING STANDARDS FOR ETFS RELYING ON RULE 6C-11 APPROVED -
The US Securities and Exchange Commission (SEC) has approved generic listing standards proposed by NYSE Arca, Inc., Cboe BZX Exchange, Inc., and The Nasdaq...more
5/7/2020
/ Coronavirus/COVID-19 ,
Derivatives ,
Disclosure Requirements ,
ETFs ,
Exchange-Traded Products ,
Financial Markets ,
Investment Management ,
Listing Standards ,
Relief Measures ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions
The US Securities and Exchange Commission (SEC) unveiled in final form the regulatory framework that will govern the operation of most exchange-traded funds (ETFs) going forward. Rule 6c-11 (Rule) under the Investment Company...more