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372 results found

Article

SEC Actions | USA | 19 Nov 2020

SEC’s Exchange Traded Products Initiative

Data analytics has evolved into a key tool of the SEC’s enforcement program. The most recent example of this is a series of settled administrative…
Article

Cadwalader Wickersham & Taft LLP | USA | 13 Jul 2020

Cboe Exchanges Sanction General Securities Principals For Direct Market Access Violations

The Cboe BYX, Cboe EDGA, Cboe EDGX and Cboe BZX exchanges filed separate Disciplinary actions against two general securities principals ("GPS") for…
Article

Katten Muchin Rosenman LLP | USA | 5 Jun 2020

CBOE Exchange Proposes to Temporarily Extend the Filing Deadline for Certain Supervision-Related Reports

On June 1, Cboe Exchange, Inc. (Cboe) filed with the Securities and Exchange Commission a proposed rule change to amend Rule 8.16 and Rule 9.2 to…
Article

Morgan Lewis & Bockius LLP | USA | 8 May 2020

ETF Roundup - ISSUE 6

Welcome to the latest issue of ETF Roundup, our guide to recent legal and regulatory developments affecting the exchange-traded fund (ETF) industry…
Article

Faegre Drinker Biddle & Reath LLP | USA | 22 Apr 2020

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

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

Gilbert + Tobin | Australia | 20 Apr 2020

Expert Adviser: Quarterly Update 20 April 2020

Welcome to the seventh edition of Expert Adviser, published quarterly by G+T’s Perth corporate advisory team and developed specifically for advisers…
Article

Dechert LLP | USA | 15 Apr 2020

SEC Grants Requests to Automatically List Rule 6c-11 ETFs

On April 6, 2020, the Securities and Exchange Commission granted the request of Cboe BZX Exchange, Inc. (CBOE) to change BZX Rule 14.11. This will…
Article

Thompson Hine LLP | USA | 13 Apr 2020

Exchanges Adopt Streamlined ETF Generic Listing Standards

In orders issued on April 3 to Nasdaq Stock Market LLC (Nasdaq) and on April 6 to CBOE BZX Exchange Inc. (CBOE) (each an “Exchange” and, collectively…
Article

Katten Muchin Rosenman LLP | USA | 10 Apr 2020

SEC Announces CBOE Amendments to Business Continuity and Disaster Recovery Testing Rules

On April 7, the Securities and Exchange Commission (SEC) announced that Cboe Exchange, Inc. (CBOE) proposed to amend Interpretation and Policy .01 to…
Article

Buchalter | USA | 20 Mar 2020

Corporate and Transactional Update COVID-19 March 20, 2020

In the corporate and transactional arena, U.S. and global securities markets are experiencing volatility and declines of historic proportion, and as…
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