OVERVIEW OF THE ETF RULE -
- On September 25, 2019, the SEC approved Rule 6c-11 under the 1940 Act (the “ETF Rule”) and related amendments to Form N-1A
- The ETF Rule will rescind previously-issued exemptive orders of...more
LEGISLATIVE POLICY -
“In the exhaustive study of the industry which preceded passage of the [Investment Company] Act it was found that, in many instances, investment companies had been operated in the interests of their...more
On March 8, 2017, the staff of the Securities and Exchange Commission (“SEC”) granted no-action relief that potentially will permit global investment management firms to offer U.S. registered open-end management investment...more
The National Futures Association (“NFA”) submitted to the Commodity Futures Trading Commission (“CFTC”) on August 28, 2015 a proposed Interpretive Notice (“Proposed Guidance”) for CFTC’s approval, which provides guidance to...more
9/10/2015
/ CFTC ,
Commodity Broker ,
Commodity Pool ,
Compliance ,
CPOs ,
Cybersecurity ,
Data Protection ,
Data Security ,
Data Storage Providers ,
Dealers ,
Financial Markets ,
Foreign Exchanges ,
Information Systems Security Program (ISSP) ,
Interpretive Rule ,
Investment Companies ,
Investment Company Act of 1940 ,
Investment Management ,
Mobile Device Management ,
Mutual Funds ,
National Futures Association ,
NIST ,
Personally Identifiable Information ,
Swap Dealers ,
Swaps ,
Third-Party Service Provider