News & Analysis as of

Open-Ended Fund Companies (OFCs) Exchange-Traded Products

Eversheds Sutherland (US) LLP

SEC proposes to overhaul framework for mutual fund and ETF disclosure to shareholders

On August 5, 2020, the Securities and Exchange Commission (SEC) proposed significant changes (the Proposed Changes), including new Rule 498B, to the disclosure framework for mutual funds and exchange-traded funds (ETFs)...more

Troutman Pepper

SEC: Improve the Retail Investor Experience through Better Fund Shareholder Reports and Disclosures

Troutman Pepper on

In a substantial August 5, 2020, release (the Proposal), the U.S. Securities and Exchange Commission (SEC) proposed changes to the existing disclosure framework applicable to mutual funds and exchange-traded funds (open-end...more

Troutman Pepper

SEC Allows Affiliated Purchases of Debt Securities From Registered Open-End Investment Companies

Troutman Pepper on

On March 26, the Staff of the Securities and Exchange Commission (SEC) granted a request for no-action relief to permit certain affiliated purchase transactions involving registered open-end investment companies....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2019: UPDATED

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Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2018: UPDATED

Please see full Chart below for more information....more

A&O Shearman

A Summary: Changes to Exemptive Relief and Disclosure Requirements under the New ETF Rule

A&O Shearman on

On September 26, 2019, the Securities and Exchange Commission (the SEC) adopted a final rule under the Investment Company Act of 1940 (the “Investment Company Act”) that will enable most exchange-traded funds (“ETFs”) to...more

Troutman Pepper

An Overview of the SEC’s Recently Adopted Exchange-Traded Funds (ETF) Rule

Troutman Pepper on

Presented by Pepper Hamilton and Financial Executives Alliance, Pepper Hamilton partners John P. Falco and John M. Ford discussed "An Overview of the SEC’s Recently Adopted Exchange-Traded Funds (ETF) Rule" on a recent...more

Kramer Levin Naftalis & Frankel LLP

New Public Alternative Funds: UPDATED

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Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2019: UPDATED

Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

SEC Eases Path for Exchange-Traded Fund (ETF) Launches (UPDATED)

Until now, investment advisers seeking to launch ETFs had to navigate a costly and time-consuming approval process. The long-awaited change should be a boon to investors and managers alike, but it will also mean adapting to...more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2018: UPDATED

Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2017: UPDATED

Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2016: UPDATED

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Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2015: UPDATED

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Kramer Levin Naftalis & Frankel LLP

New Public Alternative Funds: UPDATED

Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2018: UPDATED

Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2017: UPDATED

Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2016: UPDATED

Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2015: UPDATED

Please see full Chart below for more information....more

Sullivan & Worcester

SEC Adopts Final ETF Rule to Streamline and Ease Product Development

Sullivan & Worcester on

On September 26, 2019, the Securities and Exchange Commission (“SEC”) adopted a new rule to modernize the regulation of most exchange-traded funds (“ETFs”). Rule 6c-11 (the “Rule”) under the Investment Company Act of 1940, as...more

Kramer Levin Naftalis & Frankel LLP

New Public Alternative Funds: UPDATED

Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2019: UPDATED

Please see full Chart below for more information. ...more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2018: UPDATED

Please see full Chart below for more information. ...more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2017: UPDATED

Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2016: UPDATED

Please see full Chart below for more information....more

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