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Converting Traditional Open-End Funds into ETFs

USA - May 8 2019 The Securities and Exchange Commission (the “SEC”) recently published a notice relating to an application for exemptive relief filed by Precidian...

Brian D. McCabe, Jeremy C. Smith.

SEC Publishes Framework for Investment Contract Analysis of Digital Assets and Issues First No-Action Letter for a Token Sale

USA - April 30 2019 On April 3, 2019, the SEC’s Strategic Hub for Innovation and Financial Technology (“FinHub”) published a framework for analyzing whether a digital...

Thomas Holden, Keith F. Higgins.

Notable September Developments in the Cryptocurrency Space

USA - September 28 2018 Three notable developments occurred this month in the cryptocurrency space: in U.S. v. Zaslavskiy, a federal judge permitted a criminal case...

Helen Gugel, Ethan M. Thomas, Sarah Davidoff, Charles P. Humphreville, Catherine Djang, Joel A. Wattenbarger, Christopher P. Conniff.

2018 Proposed ETF Rulemaking - Summary and Analysis

USA - July 10 2018 On June 28, 2018 at an open meeting (the “Open Meeting”), the Securities and Exchange Commission (“SEC”) unanimously voted to propose new Rule 6c-11...

Brian D. McCabe, Jeremy C. Smith, James R. Brown.

Proposed ETF Rule Seeks to Expand the ETF Market and Streamline the Requirements for Launching and Operating ETFs

USA - July 3 2018 As expected, the proposed ETF rule (the “Rule”) codifies many aspects of the exemptive relief necessary to form and operate an ETF. The Rule also...

Jeremy C. Smith.