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Exchange-Traded (ETFs)

Two SEC commissioners have expressed their concerns about non-transparent ETFs
The Securities and Exchange Commission (the “Commission”) is adopting a new rule under the Investment Company Act of 1940 (the “Investment Company Act” or the ...
New Investment Company Act rule 6c-11 erases decades of exemptive letters
Now that the SEC has completed its ground-breaking fiduciary duty rulemaking, the Commission can now turn its sights on other rulemaking initiatives currently in the ...
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 ...
How do you get socked with a $100,000 fine for violations involving less than 1% of your revenue?    The answer shows the continuing importance ...
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 comprising its ...
There may be 12 days of Christmas but you can count six regulations – four final rules and two proposals – newly gifted from SEC ...
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 ...
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 released ...
The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recommendations to ...
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 ...
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 (IA ...
The Securities and Exchange Commission (the “Commission”) is proposing a new rule under the Investment Company Act of 1940 (the “Investment Company Act” or the ...
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 ...
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 ...
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 ...
The Securities and Exchange Commission is adopting an interim final rule that revises the compliance date for the requirements of rule 22e-4 for classification, highly ...
Brokers and advisers should be required to mitigate these conflicts, and the standard of conduct by which they provide advice can help ensure that that ...
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 next published ...
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