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SEC Proposes Changes to Regulatory Framework of Fund of Funds Arrangements and Requests Comments on Potential Changes to AFFE Disclosure Requirements

USA - January 7 2019 The Securities and Exchange Commission voted on December 19, 2018 to propose Rule 12d1-4 (proposed rule) and related amendments to the regulatory...

Brian Roe, Harry S. Pangas, Brenden P.Carroll, Jeremy I. Senderowicz.


SEC Proposes Changes to Regulatory Framework of Fund of Funds Arrangements

USA - December 24 2018 On December 19, 2018, the Securities and Exchange Commission (SEC) voted to propose Rule 12d1-4 (proposed rule) and related amendments to the...

Brian Roe, Brenden P.Carroll, Jeremy I. Senderowicz.


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, Adam T. Teufel, 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, Adam T. Teufel, Stephanie A. Capistron.


ESMA to review its Guidelines on ETFs and Other UCITS Issues

European Union - October 10 2017 The European Securities and Markets Authority (ESMA) has published its 2018 Work Programme (the Programme), which sets out ESMA's priorities and areas...

Jeff Mackey, Stuart Strauss.