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Index Funds Exchange-Traded Products

Dechert LLP

SEC Provides No-Action Relief for Index-Based Funds to Exceed Diversification Limits without Obtaining Shareholder Approval

Dechert LLP on

As set forth in the Incoming Letter, during the past year certain constituents of large-capitalization U.S. equity growth broad-based indices (namely, certain technology-related companies) had grown to represent more than 5%...more

Carlton Fields

FINRA Unlocks Some Pre-Inception Index Marketing Data

Carlton Fields on

In January, FINRA issued an interpretative letter allowing member firms to use pre-inception index performance (PIP) data in communications concerning open-end investment companies that are distributed solely to institutional...more

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