Jeremy I. Senderowicz

Dechert LLP

Articles

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U.S. SEC Adopts Final ETF Rule and Issues Related Exchange Act Relief

USA - October 21 2019 The U.S. Securities and Exchange Commission adopted a new rule under the Investment Company Act of 1940 that will allow exchange-traded funds that...

Katherine Shorey, Aiman Tariq, Margaret E. Wilson, Stuart Strauss, Adam T. Teufel, Allison M. Fumai, Stephanie A. Capistron.

SEC Adopts Final ETF Rule and Issues Related Exchange Act Relief

USA - October 18 2019 As described in greater detail below, despite the popularity of the ETF product structure, ETFs currently operate pursuant to individual exemptive...

Katherine Shorey, Aiman Tariq, Margaret E. Wilson, Stuart Strauss, Adam T. Teufel, Allison M. Fumai, Stephanie A. Capistron.

SEC Adopts Final ETF Rule and Issues Related Exchange Act Relief

USA - September 27 2019 Earlier today (September 26, 2019), the U.S. Securities and Exchange Commission announced the adoption of Rule 6c-11 under the Investment...

Katherine Shorey, Stuart Strauss, Adam T. Teufel, Allison M. Fumai, Stephanie A. Capistron.

SEC Provides No-Action Relief for Index-Based Funds to Exceed Diversification Limits without Obtaining Shareholder Approval

USA - June 28 2019 The Staff of the SEC’s Division of Investment Management (Staff) has issued a no-action let...

Katherine Shorey, Stuart Strauss, Adam T. Teufel, Allison M. Fumai, Stephanie A. Capistron.

SEC Staff Announces Guidance and No-Action Relief Regarding Status of Digital Assets as Securities

USA - April 19 2019 Through two publications on April 3, 2018, the Staff of the Securities and Exchange Commission provided greater clarity on the application of the...

K. Susan Grafton, Timothy Spangler, Andrew J. Schaffer, Samuel Scarritt-Selman.