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SEC Reaffirms and Expands Prior No-Action Relief for Registered Funds and Business Development Companies Participating in TALF 2020

USA - June 10 2020 On May 27, 2020, the Securities and Exchange Commission’s (SEC) Division of Investment Management (Division) issued a no-action letter (the Letter)…

Bomi Lee

SEC Approves New ETF Listing Rules for Nasdaq, Cboe and NYSE Arca

USA - April 22 2020 In April 2020, the Securities and Exchange Commission (SEC) approved rule change proposals of the three primary listing exchanges for exchange-traded…

Bomi Lee

Fed, SEC Act to Ease Stress on Money Market Funds

USA - March 25 2020 As investment companies face the stress of major market unrest, the U.S. Federal Reserve (Fed) and the Securities and Exchange Commission (SEC) are…

Gloria Y. Liu

SEC Requests Industry Comments on Fund Names

USA - March 9 2020 On March 2, 2020, the Securities and Exchange Commission (SEC) issued a request for public comment from funds, investors and other market…

Bomi Lee

The SEC’s New Exchange-Traded Fund Rule

USA - October 17 2019 The Securities and Exchange Commission (SEC) recently adopted Rule 6c-11 under the Investment Company Act of 1940 (the “Act”), which removes the need…

Stacie L. Lamb, Diana E. McCarthy