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SEC Adopts Changes to Regulatory Framework of Fund of Funds Arrangements

USA - November 2 2020 The Securities and Exchange Commission voted on October 7, 2020, to adopt new Rule 12d1-4 under the Investment Company Act of 1940 to govern most…

Abel Araya, Allison M. Fumai, Antonio G. Fraone, Brenden P.Carroll, Brian Roe, James V. Catano, Jeremy I. Senderowicz, Radin Ahmadian.

SEC Grants Requests to Automatically List Rule 6c-11 ETFs

USA - April 15 2020 On April 6, 2020, the Securities and Exchange Commission granted the request of Cboe BZX Exchange, Inc. (CBOE) to change BZX Rule 14.11. This will…

Adam T. Teufel, Allison M. Fumai, Jeremy I. Senderowicz, Stephanie A. Capistron, Stuart Strauss.

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…

Adam T. Teufel, Allison M. Fumai, Jeremy I. Senderowicz, Katherine Shorey, Margaret E. Wilson, Stephanie A. Capistron, Stuart Strauss.

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…

Adam T. Teufel, Allison M. Fumai, Jeremy I. Senderowicz, Katherine Shorey, Margaret E. Wilson, Stephanie A. Capistron, Stuart Strauss.

SEC Grants Exemptive Relief to Operate Non-Fully Transparent Active ETFs

USA - July 2 2019 The U.S. Securities and Exchange Commission on May 20, 2019 issued the first exemptive order permitting…

Stephanie A. Capistron.