News & Analysis as of September 21, 2024

Commodity Pool › Exchange Traded Funds

+ Follow

A Commodity Pool is an investment structure or enterprise where funds from a number of participants are combined into a single entity for the purpose of trading futures contracts, options on contracts, retail... more +

Customer Segregation: Keep It Separate

Tax Proposals May Affect Exchange-Traded Funds

Morgan Lewis on 9/23/2021

Recently proposed tax legislation, if enacted, would fundamentally alter the taxation of exchange‑traded funds. This LawFlash discusses the potential consequences of such legislation on industry participants, including retail...more

Blockchain Week in Review – January 2018

Perkins Coie on 1/31/2018

U.S. Developments - Regulatory Updates - CFTC and SEC Enforcement Directors Issue Joint Statement Regarding Virtual Currency Enforcement Actions - This morning, the Enforcement Director of the U.S. Commodity...more

Trump Administration Issues Guidance on Asset Management and Insurance Regulation

Kramer Levin Naftalis & Frankel LLP on 12/1/2017

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

Treasury Report Addresses Regulatory Approaches Affecting Investment Companies and Their Advisers

Troutman Pepper on 10/31/2017

As required by President Trump’s Executive Order 13772, the U.S. Department of the Treasury issued a report, “A Financial System That Creates Economic Opportunities, Asset Management and Insurance,” addressing the regulatory...more

Investment Management Legal + Regulatory Update - August 2016

Morrison & Foerster LLP on 8/16/2016

Regulation - Next on the SEC’s Regulatory Agenda: A Chief Valuation Officer? - First, the SEC required funds to designate a chief compliance officer. Then, the SEC proposed that funds designate a liquidity...more

Structured Thoughts -- Volume 3, Issue 14 -- December 18, 2012

Morrison & Foerster LLP on 12/19/2012

In This Issue: Dividend Adjustments on the Way; Federal Court Decision Supports Use of “Big-Boy Letters”; FINRA Updates Its Suitability Questions and Answers; FINRA Rule 5123 Excludes Some, But Not All, Options;...more

6 Results

View per page

Page: of 1