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Exchange Traded Funds: Regulation (15)
Your search for Exchange Traded Funds: Regulation returned 15 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...
3/21/2019 | Content area: Investment Adviser
After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities co...
10/25/2018 | Content area: Investment Adviser
Division staff remain available to advise and assist, just as we always have. We will continue to issue FAQs, no-action letters and other guidance, as...
10/04/2018 | Content area: Investment Adviser
The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recomme...
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...
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...
11/16/2017 | Content area: Investment Adviser
A rulemaking barometer that compliance professionals have paid a great deal of attention to in the past will get streamlined going forward. The SEC’s ...
11/02/2017 | Content area: Investment Adviser
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With...
10/13/2016 | Content area: Investment Adviser
Sweeping reforms aimed at enhancing transparency and modernizing reporting requirements for mutual funds, exchange-traded funds and other registered c...
5/26/2016 | Content area: Investment Adviser
Look for the SEC to finalize its recommended rulemaking on liquidity risk management and the use of derivatives “this year.” In a May 20 address at th...
3/28/2016 | Content area: Investment Adviser
We would not recommend enforcement action to the Commission under section 12(d)(2) of the Company Act against the Fund if the Fund, or the company or ...
3/11/2008 | Content area: Investment Adviser
The Securities and Exchange Commission is proposing a new rule under the Investment Company Act of 1940 that would exempt exchange-traded funds (‘‘ETF...
11/30/2005 | Content area: Investment Adviser
Investment Advisers Act of 1940 - Rule 204A-1, 206(4)-7 and Section 204A, 203(e)(6) Investment Company Act of ...


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