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The ETF Evolution Continues: SEC Approves Four New “Proxy Basket” Active Semi-Transparent ETFs

USA - December 2 2019 The new ETFs utilize a “proxy basket” approach that differs from ActiveShares’ AP representative approach...

Andrew J. Davalla, Joshua J Hinderliter, JoAnn M. Strasser.

ETF Complexes Should Prepare Now to Comply with New Rule 6c-11 to be in a Position to Unlock Its Key Regulatory Advantages by Year-End

USA - October 3 2019 On September 26, 2019, the Securities and Exchange Commission (SEC) adopted Rule 6c-11 (Rule) under the Investment Company Act of 1940 (1940 Act)...

Andrew J. Davalla, Joshua J Hinderliter, JoAnn M. Strasser.

Converting a Mutual Fund to an ETF: Key Considerations

USA - July 15 2019 The ability to convert mutual funds into ETFs could greatly facilitate an asset manager’s goal to enter the ETF business. Asset managers...

SEC Poised to Permit ActiveShares ETF: First Non-Transparent Actively Managed ETF

USA - April 11 2019 Precidian recently passed a key hurdle in receiving approval from the SEC to launch non-transparent ETFs. Five other financial firms have...

Christopher D. Carlson.

Preparing for the Next Generation of Actively Managed ETFs

USA - January 29 2019 Many expect the SEC to soon approve newer versions of exemptive relief for the next generation of actively managed ETFs, which differ in how they...

Christopher D. Carlson, Clifton E. McCann.