In an effort to modernize the regulation of ETFs, the U.S. Securities and Exchange Commission (the SEC) announced today its adoption of Rule 6c-11 (the New Rule) which establishes a clear and consistent framework for the...more
9/27/2019
/ Disclosure Requirements ,
ETFs ,
Exchange-Traded Products ,
Exemptions ,
Fund of Funds ,
Harmonization Rules ,
New Rules ,
Policies and Procedures ,
Securities and Exchange Commission (SEC) ,
Transparency ,
Websites
On Feb. 6, Jay Clayton and Christopher Giancarlo, the chairmen of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), respectively, jointly testified before the Senate Banking...more
3/1/2018
/ Bitcoin ,
Blockchain ,
CFTC ,
Cryptocurrency ,
Digital Currency ,
Distributed Ledger Technology (DLT) ,
ETFs ,
Financial Markets ,
Initial Coin Offering (ICOs) ,
Investment ,
Regulatory Oversight ,
Risk Management ,
Token Sales ,
Trading Platforms ,
Virtual Currency
On Oct. 26, 2017, the U.S. Treasury Department (Treasury) released the latest installment in a series of reports on financial regulation required by the president’s Feb. 3 executive order on the financial system....more
12/1/2017
/ Asset Management ,
Capital Markets ,
CFTC ,
Commodity Pool ,
Dodd-Frank ,
ETFs ,
Executive Orders ,
Financial Regulatory Reform ,
Insurance Industry ,
Investment Funds ,
Liquidity Risk Management Rule ,
Stress Tests ,
Trump Administration ,
U.S. Treasury ,
Volcker Rule