We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Results 1 to 5 of 9
Most popular |Most recent

SEC Approves Generic Listing Standards for Active ETFs

USA - August 5 2016 On July 22, the US Securities and Exchange Commission (SEC) issued orders approving proposals by Bats BZX Exchange, Inc. and NYSE Arca, Inc. to adopt...

Jeremy Esperon, Philip K.W. Smith, W. John McGuire, Laura E. Flores.

FinCEN requires financial institutions to obtain beneficial ownership information

USA - June 1 2016 FinCEN’s new CIP beneficial owner rules may hinder the ability of shell and nominee companies to directly access the US financial system without...

Amy Natterson Kroll, Joshua B. Sterling, Monica L. Parry, W. John McGuire, Thomas S. Harman.

SEC Chair discusses enhanced director oversight

USA - April 7 2016 In remarks at the Mutual Fund Directors Forum 2016 Policy Conference on March 29, US Securities and Exchange Commission (SEC) Chair Mary Jo White...

Roger P. Joseph, Lea Anne Copenhefer, Philip K.W. Smith, Thomas S. Harman.

SEC staff issues guidance on mutual fund distribution arrangements

USA - January 28 2016 Recently issued SEC staff guidance reminds mutual fund directors of their obligations to evaluate fund payments to financial intermediaries and...

Brian J. Baltz, Roger P. Joseph, Paul B. Raymond, John J. O’Brien, Sean Graber.

NYSE Arca withdraws active ETF generic listing standards proposal as SEC focus on ETFs continues

USA - October 27 2015 On October 19, the US Securities and Exchange Commission (SEC) published a notice stating that NYSE Arca, Inc. had withdrawn its proposal (Proposal)...

Jeremy Esperon, John J. O’Brien, W. John McGuire, Laura E. Flores, Richard F. Morris.