SEC proposal would modernize the regulation of the transfer agency industry, particularly with respect to mutual funds.
Last month, the US Securities and Exchange Commission (SEC) issued an Advance Notice of Proposed...more
Withdrawal comes within days of SEC Chair White and Commissioner Aguilar issuing public statements regarding ETFs.
On October 19, the US Securities and Exchange Commission (SEC) published a notice stating that NYSE Arca,...more
10/29/2015
/ ETFs ,
Exchange-Traded Products ,
Investor Advisory Committee ,
Liquidity ,
Listing Standards ,
NYSE ,
Pricing ,
Proposed Regulation ,
Public Comment ,
Securities and Exchange Commission (SEC) ,
Transparency
Growth in the ETP industry has led the SEC to seek public comment on a variety of topics related to the listing and trading of ETP shares.
On June 12, the US Securities and Exchange Commission (SEC) issued a release (the...more
7/2/2015
/ Arbitrage ,
Broker-Dealer ,
Exchange-Traded Products ,
Exemptive Relief ,
Investment Adviser ,
Investors ,
Listing Standards ,
Market Pricing ,
No-Action Relief ,
Public Comment ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act