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Exchange-Traded (ETFs) (28)
Your search for Exchange-Traded (ETFs) returned 28 results.
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6/20/2019 | Content area: Investment Adviser
Now that the SEC has completed its ground-breaking fiduciary duty rulemaking, the Commission can now turn its sights on other rulemaking initiatives c...
5/21/2019 | Content area: Investment Adviser
One issue that I would like to see the Division of Investment Management add to its agenda is the marketplace’s interest in gaining exposure to bitcoi...
12/20/2018 | Content area: Investment Adviser | Private Fund
There may be 12 days of Christmas but you can count six regulations – four final rules and two proposals – newly gifted from SEC commissioners. Only o...
10/11/2018 | Content area: Investment Adviser
The SEC believes ETFs have matured to where they deserve their own rules rather than a patchwork of hundreds of instances of staff-issued guidance rel...
7/05/2018 | Content area: Investment Adviser
Ten years after the Commission first proposed a rule that would eliminate decades worth of exemptive orders for ETFs, it’s back with a new proposal th...
7/03/2018 | Content area: Investment Adviser
In the three months since SEC commissioners voted 3-2 to propose a backtrack on planned mutual fund adviser risk management reporting no minds changed...
6/29/2018 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is proposing a new rule under the Investment Company Act of 1940 (the “Investment Company Ac...
4/05/2018 | Content area: Investment Adviser
One aftermath of the surge in OCIE exams is that the percentage of reviews referred to the SEC’s Enforcement Division has fallen to a low of 5%. Howev...
3/19/2018 | Content area: Investment Adviser
In the early days, the term “ETF” meant something fairly specific. Today, however, the term is used to describe investment companies with a wide range...
3/19/2018 | Content area: Investment Adviser
The SEC often wears blinders when it comes to cost assessment. We tend to underestimate the costs of individual rule changes. The costs incurred by fu...
2/22/2018 | Content area: Investment Adviser
The Securities and Exchange Commission is adopting an interim final rule that revises the compliance date for the requirements of rule 22e-4 for class...
12/07/2017 | Content area: Investment Adviser
Brokers and advisers should be required to mitigate these conflicts, and the standard of conduct by which they provide advice can help ensure that tha...
9/08/2017 | Content area: Investment Adviser
The challenge for the SEC in 2017 is to ensure that its approach to ETPs matures along with the market. Where does this start? It starts with rigor....
9/08/2017 | Content area: Investment Adviser
Keeping prices of the ETPs in line with their underlying portfolios can be challenging for some types of ETPs. For example, deviations are more likel...
7/20/2017 | Content area: Investment Adviser
Some dispute that the recent SEC document request letter on business development companies that we shared with you comes from a sweep exam (IA Watch, ...
7/19/2017 | Content area: Investment Adviser
A peer shares a copy of an OCIE document request letter that focuses on exchange-traded funds.
4/26/2017 | Content area: Investment Adviser
ETFs obtain exemptions from various provisions of the Investment Company Act before they can operate. In 2010, the iShares MSCI Russia Capped ETF (“Ru...
4/25/2017 | Content area: Investment Adviser
ETFs obtain exemptions from various provisions of the Investment Company Act before they can operate. In 2010, the iShares MSCI Russia Capped ETF (“Ru...
2/16/2017 | Content area: Investment Adviser
When you don’t follow one of your compliance policies and procedures and processes nearly half the time, you are certainly inviting trouble. Despite k...
2/14/2017 | Content area: Investment Adviser
Many of MSSB’s non-discretionary advisory clients held the securities for months or years, despite the fact that the Client Disclosure Notice stated t...


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