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Stephanie A. Capistron

Dechert LLP

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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, Adam T. Teufel, Allison M. Fumai.


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, Allison M. Fumai.


Fifth Circuit Opinion Vacates DOL Fiduciary Rule

USA - April 18 2018 The U.S. Court of Appeals for the Fifth Circuit on March 15, 2018 issued an opinion (Opinion) vacating the Department of Labor (DOL) fiduciary rule...

K. Susan Grafton, Mark D. Perlow, Christine Ayako Schleppegrell, Katherine Shorey, Douglas P. Dick, Joshua D. N. Hess, Andrew L. Oringer.


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, Adam T. Teufel, Allison M. Fumai.


SEC Staff Issues Guidance on Fund Fee Structure Disclosures

USA - December 28 2016 In a Guidance Update published on December 15, 2016, the staff of the U.S. Securities and Exchange Commission's (SEC) Division of Investment...

James V. Catano, Luzia D. Santos, Thomas C. Bogle, Jack W. Murphy.