On March 26, the Staff of the Securities and Exchange Commission (SEC) granted a request for no-action relief to permit certain affiliated purchase transactions involving registered open-end investment companies....more
SEC Adopts ETF Rule -
On September 25, 2019, the Securities and Exchange Commission (SEC) unanimously adopted Rule 6c-11 under the 1940 Act to modernize the regulation of exchange-traded funds by establishing a clear and...more
10/23/2019
/ Bank of New York (BNY) Mellon ,
Broker-Dealer ,
Disclosure Requirements ,
ETFs ,
Exchange-Traded Products ,
Exemptive Relief ,
Form N-1A ,
Investment Adviser ,
Investment Management ,
Mortgage Servicing Rules ,
No-Action Relief ,
OCIE ,
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Proxy Voting Guidelines ,
Risk Alert ,
Rule 6c-11 ,
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Securities and Exchange Commission (SEC) ,
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