On June 12, 2025 the Securities and Exchange Commission (“SEC”) formally withdrew fourteen outstanding rule proposals issued by the prior administration. Although most observers doubted that the current Commission would adopt...more
6/17/2025
/ Broker-Dealer ,
Conflicts of Interest ,
Cybersecurity ,
Digital Assets ,
Environmental Social & Governance (ESG) ,
Financial Regulatory Reform ,
Investment Adviser ,
Investment Management ,
Popular ,
Proposed Rules ,
Regulatory Reform ,
Risk Management ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
On January 10, 2024, the Securities and Exchange Commission (“SEC”) issued an order approving the applications of 11 different spot Bitcoin exchange‑traded products (the “Approved ETPs”) to each list and trade their shares on...more
1/17/2024
/ Bitcoin ,
Broker-Dealer ,
Chicago Mercantile Exchange (CME) ,
Compliance ,
Conflicts of Interest ,
Cryptocurrency ,
ETFs ,
Exchange-Traded Products ,
Investment Adviser ,
Investment Company Act of 1940 ,
Listing Applications ,
Mutual Funds ,
NYSE ,
Popular ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
Dimensional Fund Advisors LP ("Dimensional"), a quantitative investment firm, recently filed an application for exemptive relief ("Application") with the Securities and Exchange Commission ("SEC"), seeking permission to offer...more
8/16/2023
/ Board of Directors ,
Conflicts of Interest ,
ETFs ,
Exemptive Relief ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investment Firms ,
Mutual Funds ,
NAV ,
Patents ,
Securities and Exchange Commission (SEC) ,
Transaction Costs ,
Vanguard