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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, Jeremy I. Senderowicz, Adam T. Teufel, 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, Jeremy I. Senderowicz, Adam T. Teufel, Allison M. Fumai, 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, Allison M. Fumai.


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, Christopher P. Harvey, Adam T. Teufel, Allison M. Fumai, Stephanie A. Capistron.


SEC Adopts New Rules and Rule Amendments to Require Registered Open-End Investment Companies to Establish Liquidity Risk Management Programs and Permit Them to use “Swing Pricing”

USA - November 9 2016 The U.S. Securities and Exchange Commission (SEC or Commission) has unanimously adopted new rules and rule amendments to require registered open-end...

John V. O'Hanlon, Christine Ayako Schleppegrell, Brendan C. Fox, Jack W. Murphy, Brenden P.Carroll, Julien Bourgeois, Aaron D. Withrow, Jeremy I. Senderowicz, Allison M. Fumai.