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Listing Standards Exchange-Traded Products Securities and Exchange Commission (SEC)

Morgan Lewis

ETF Roundup – Issue 6

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GENERIC LISTING STANDARDS FOR ETFS RELYING ON RULE 6C-11 APPROVED - The US Securities and Exchange Commission (SEC) has approved generic listing standards proposed by NYSE Arca, Inc., Cboe BZX Exchange, Inc., and The Nasdaq...more

Dechert LLP

Financial Services Quarterly Report First Quarter 2017: SEC Approves New Continued Listing Standards for ETFs

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Since their U.S. introduction in 1993, exchange-traded funds (ETFs) – which have grown to over 1,800 products with holdings of over $2.7 trillion1 – have operated under exemptive relief from many of the Securities and...more

Morgan Lewis

NYSE Arca Withdraws Active ETF Generic Listing Standards Proposal as SEC Focus on ETFs Continues

Morgan Lewis on

Withdrawal comes within days of SEC Chair White and Commissioner Aguilar issuing public statements regarding ETFs. On October 19, the US Securities and Exchange Commission (SEC) published a notice stating that NYSE Arca,...more

Morgan Lewis

SEC Seeks Public Input on Exchange-Traded Product Trading Issues

Morgan Lewis on

Growth in the ETP industry has led the SEC to seek public comment on a variety of topics related to the listing and trading of ETP shares. On June 12, the US Securities and Exchange Commission (SEC) issued a release (the...more

Dechert LLP

US SEC Seeks Public Comment on the Listing, Trading and Selling of Exchange-Traded Products

Dechert LLP on

The Securities and Exchange Commission (SEC) issued a release (Release) on June 12, 2015 seeking public comment on topics related to the listing and trading of exchange-traded products (ETPs) on national securities exchanges...more

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