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SEC Proposes Rule to Allow Most ETFs to Operate without Exemptive Relief

USA - July 18 2018 The Securities and Exchange Commission is proposing to simplify and modernize the regulatory...

Tiina E. Vaisanen, Michael E. Schechner, Katherine Shorey, Kaitlin McGrath, Stuart Strauss, Jeremy I. Senderowicz, Allison M. Fumai, Stephanie A. Capistron.


SEC Issues ETF Rule Proposal

USA - June 2 2018 Earlier today (June 28, 2018), at an open meeting of the U.S. Securities and Exchange Commission...

Kaitlin McGrath, Stuart Strauss, Jeremy I. Senderowicz, Allison M. Fumai, Stephanie A. Capistron.


Establishing a European ETF

European Union - October 9 2017 An exchange traded fund (ETF) is an investment fund that is structured to allow intra-day trading of its shares on a stock exchange using real time...

Ari M. Zak, John V. O'Hanlon, Karen L. Anderberg, Douglas P. Dick, Stuart Strauss, Christopher P. Harvey, Allison M. Fumai, Stephanie A. Capistron.


SEC Approves New Continued Listing Standards for ETFs

USA - March 23 2017 Since their U.S. introduction in 1993, exchange-traded funds (ETFs) - which have grown to over 1,800 products with holdings of over $2.7 trillion1 -...

Christopher J. Geissler.


SEC Staff Clarifies Application of 1940 Act Section 22(d) to Brokers Selling Clean Shares of Mutual Funds

USA - January 27 2017 In response to a request for interpretative guidance, the U.S. Securities and Exchange Commission staff (staff) advised on January 11, 2017 that...

K. Susan Grafton, Christine Ayako Schleppegrell, Elliott R. Curzon, Corey F. Rose.