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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…
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…
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…
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…
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…
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…
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…
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…
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…
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…
