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 13
Most popular |Most recent


ETF Roundup - Issue 4

USA - August 13 2018 The US Securities and Exchange Commission (SEC) voted unanimously on June 28 to propose Rule 6c-11 under the Investment Company Act of 1940 (1940 Act)...

Erica L. Zong Evenson, Jeremy Esperon, K. Michael Carlton, Philip K.W. Smith, John J. O’Brien, W. John McGuire, Laura E. Flores, Sean Graber, David W. Freese.


ETF Roundup - Issue 3

USA - November 30 2017 On September 29, the US Securities and Exchange Commission (SEC) approved proposed rule changes from Cboe BZX Exchange, Inc.(BZX), NYSE Arca, Inc...

Jeremy Esperon, K. Michael Carlton, Joseph (Beau) Yanoshik, Philip K.W. Smith, John J. O’Brien, W. John McGuire, Laura E. Flores, Sean Graber, David W. Freese.


ETF Roundup - Issue 2

USA - April 30 2017 The US Securities and Exchange Commission (SEC) recently approved proposals by each of The NASDAQ Stock Market LLC (Nasdaq), Bats BZX Exchange, Inc...

Jeremy Esperon, K. Michael Carlton, Joseph (Beau) Yanoshik, Philip K.W. Smith, John J. O’Brien, W. John McGuire, Laura E. Flores, Sean Graber, David W. Freese.


ETF Roundup - Issue 1

USA - December 30 2016 The US Securities and Exchange Commission (SEC) adopted Rule 22e-4 (the Rule) on October 13 under the Investment Company Act of 1940 (1940 Act)...

Jeremy Esperon, K. Michael Carlton, Joseph (Beau) Yanoshik, Philip K.W. Smith, John J. O’Brien, W. John McGuire, Laura E. Flores, Sean Graber, David W. Freese.


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.