On September 26, 2019, the Securities and Exchange Commission (the SEC) adopted a final rule under the Investment Company Act of 1940 (the “Investment Company Act”) that will enable most exchange-traded funds (“ETFs”) to...more
11/26/2019
/ Amended Rules ,
Disclosure Requirements ,
ETFs ,
Exchange-Traded Products ,
Exemptive Orders ,
Final Rules ,
Investment Company Act of 1940 ,
Open-Ended Fund Companies (OFCs) ,
Rule 6c-11 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
The Securities and Exchange Commission adopted a long-awaited exemptive rule that will allow most exchange-traded funds (ETFs) to operate without an exemptive order, subject to various conditions. The final rule, which the...more
10/1/2019
/ ETFs ,
Exchange-Traded Products ,
Exemptive Orders ,
Final Rules ,
Foreign Investment ,
Investment Company Act of 1940 ,
Investment Management ,
Registration Statement ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Transparency
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has issued its examination priorities for 2019. In it, OCIE points out that its examination program covers some 13,200...more
1/15/2019
/ Anti-Money Laundering ,
Broker-Dealer ,
Cryptoassets ,
Cybersecurity ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
MSRB ,
Mutual Funds ,
OCIE ,
Popular ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission on June 28, 2018 proposed a long-anticipated rule that would allow most exchange-traded funds (ETFs) to operate and come to market without applying for individual exemptive orders. If...more
In May 2015, we reported on proposals by the US Securities and Exchange Commission designed to enhance reporting for mutual funds, ETFs and other registered investment companies. On October 13, 2016, the SEC voted to adopt...more
On September 22, 2015, a unanimous U.S. Securities and Exchange Commission proposed far-reaching rule reforms intended to address liquidity risks in the mutual fund industry. The agency’s preamble indicates it was prompted by...more