Videocast: Asset management regulation in 2020 videocast series – FinTech initiatives
Videocast: Asset management regulation in 2020 videocast series – Investment company developments
An Overview of the SEC’s Recently Adopted Exchange-Traded Funds (ETF) Rule
On March 17, 2026, the SEC granted exemptive relief from Section 11(d)(1) of the Securities Exchange Act of 1934, as amended, and Rules 10b-10 and 14e-5 thereunder, and the SEC staff issued no-action relief regarding Rules...more
Recent no-action relief permitting certain open-end funds to participate in co-investment transactions is the latest step forward in the significant trend of expanding access to alternative investment strategies for retail...more
On May 5, 2026, the SEC proposed amendments that would, if adopted, permit public companies currently filing on Form 10-Q to elect instead to file semiannual reports on a new Form 10-S. Exchange-traded vehicles (ETVs),...more
On April 10, 2026, the Securities and Exchange Commission (SEC) approved the Nasdaq Stock Market LLC’s (Nasdaq) proposal to introduce a new overnight “Night Session” and move toward 23‑hour‑a‑day, five‑days‑a‑week trading in...more
The Canadian Securities Administrators (“CSA”) published for comment a proposed amendment to National Instrument 55-104 Insider Reporting Requirements and Exemptions (“NI 55-104”) that is intended to clarify that the...more
The US and European markets for collateralized loan obligation securities (CLOs) in 2025 carried the momentum of a robust 2024 through headwinds from tariff announcements and trade wars and two notorious private credit...more
With this fourth SEC approval, share class ETFs are now ready to go live. Since late 2025, the SEC has provided exemptive relief to dozens of managers under Section 18(f), among other provisions, for mutual funds to...more
We began this series with Part I: Where Are We? by reviewing the background, developments, and implications of current global and national regulatory and tax frameworks for digital assets. In Part II: What Can We Find Here? I...more
U.S. Crypto Companies Announce Initiatives Aimed at Institutional Adoption - According to reports, the Solana Foundation recently announced the launch of the Solana Developer Platform (SDP). The SDP reportedly bundles...more
On March 17, 2026, the U.S. Securities and Exchange Commission (SEC) issued an order1 granting conditional exemptive relief from Section 11(d)(1) of the Securities Exchange Act of 1934, as amended (the Exchange Act),...more
Do you invest in crypto, buy and sell cryptocurrencies, dabble in crypto derivatives, or invest in Crypto ETFs? Are you an active miner or staker earning rewards as you help grow the blockchain?...more
Sancho Panza dispensed this practical wisdom over 400 years ago, and his sage advice survives as a fundamental tenet of Modern Portfolio Theory. The notion that individual investors should maintain a diversified basket of...more
As an attorney who’s advised companies in the digital assets space for over a decade—and among the first to accept bitcoin as payment for legal services—I’ve been getting a lot of questions lately about the recent and...more
On 18 February 2026, the US Securities and Exchange Commission (the SEC) proposed yet another set of amendments to reporting requirements on Form N-PORT (the 2026 Proposal). Currently, Form N-PORT (the Form) is used by...more
Who may be interested: Registered Investment Companies; Boards of Directors; Investment Advisers; Compliance Officers; Fund Administrators Quick Take: The SEC proposed amendments to Form N‑PORT that would extend...more
On 19 February 2026, the SEC proposed further amendments to Form N-PORT (2026 Proposal). In August 2024, the SEC adopted amendments to Form N-PORT that required more frequent and accelerated reporting for registered...more
In the last week, multiple ETF sponsors filed for first-of-their-kind ETFs based on event contracts tied to political outcomes. These funds would invest in swaps referencing binary event contracts—or directly in the contracts...more
Banks, Crypto Companies and DeFi Platforms Announce New Crypto Products - A major U.S. blockchain solution provider, Ripple, recently announced “a series of strategic collaborations that expand the capabilities of Ripple...more
BlackRock has filed a Form S-1 with the SEC to list the iShares Bitcoin Premium Income ETF (the “IBPI ETF”). The proposed IBPI ETF would manage a “covered-call” strategy on bitcoin exposure through BlackRock’s existing...more
F/m Investments just took a step toward modernizing ETFs by asking the SEC to let it issue tokenized shares of its Treasury 3 Month Bill ETF, TBIL. Under F/m’s proposal, ownership of these ETFs would be recorded on a...more
What Are Trump Accounts? A Trump account is a type of individual retirement account (IRA) established for the exclusive benefit of a child and designated as a “Trump account” at inception. Created by the One Big...more
On September 17, 2025, the SEC issued an order approving new “generic” listing standards that are music to the ears of commodity-based exchange-traded products (ETPs), including those backed by crypto assets. Importantly, the...more
A Structured Products Primer on the Uses of Rule 424(b) and Rule 433 - Rules 424(b) and Rule 433 under the Securities Act of 1933 (“Securities Act”) are the two primary filing mechanisms for preliminary offering...more
Asset management vehicles, especially those regulated under the Investment Company Act of 1940 (the 1940 Act), are frequently painted with a broad brush and described as having the same or virtually indistinguishable...more
Stablecoin Products Launch by US Financial Institutions and Crypto Companies - On Dec. 18, SoFi Technologies Inc. announced the launch of SoFiUSD, “a fully reserved U.S. dollar stablecoin issued by SoFi Bank, N.A.” ...more