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SEC Proposes Amendments to the Advertising Rules for Registered Funds, BDCs, and ETFs

USA - September 22 2020 On 5 August 2020, the Securities and Exchange Commission (SEC) proposed amendments to the advertising rules for registered investment companies and…

Catherine O'Neill, Pamela A. Grossetti.

SEC Proposes Major Changes to Prospectus and Shareholder Report Disclosure Scheme

USA - August 19 2020 The Securities and Exchange Commission (SEC) has proposed a bold new approach to shareholder and investor communications…

Abigail P. Hemnes, Cal J. Gilmartin, Catherine O'Neill, Clifford J. Alexander, Jacob M. Derr, Jon-Luc Dupuy, Kathy Kresch Ingber, Steven B. Levine.

A Program for Compliance with the Exchange Traded Fund Rule 6c-11

USA - May 7 2020 Compliance officers working with exchange-traded funds (“ETFs”) likely know that Rule 6c-11 (the “ETF Rule”) under the Investment Company Act of 1940…

Alyssa B. Sherman, Peter J. Shea, Uri S. Segelman.

New Listing Rules Adopted for ETFs Relying on Rule 6c-11 - Exchanges’ ETF Listing Compliance Burdens Reduced

USA - May 5 2020 As the December 23, 2020 compliance date for the Securities and Exchange Commission (SEC) approved rule 6c-11 under the Investment Company Act of…

Alyssa B. Sherman, Peter J. Shea, Uri S. Segelman.

COVID-19: Regulatory Relief for Registered Funds and Investment Advisers

USA - March 24 2020 The pandemic coronavirus (“COVID-19”) continues its unprecedented disruption of the economy and markets. In particular, the disruption to day-to-day…

Britney E. Ryan, Jin H. Ahn, Mark P. Goshko.