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ETF Roundup - Issue 4
  • Morgan Lewis & Bockius LLP
  • USA
  • August 13 2018

The US Securities and Exchange Commission (SEC) voted unanimously on June 28 to propose Rule 6c-11 under the Investment Company Act of 1940 (1940 Act


SEC Proposes Exchange-Traded Fund Rule
  • Drinker Biddle & Reath LLP
  • USA
  • August 6 2018

The Securities and Exchange Commission (SEC) recently issued Proposed Rule 6c-11 under the Investment Company Act of 1940 (the “1940 Act”) and certain


SEC’s Proposed ETF Rule Removes Some Conditions Compared to Prior Exemptive Orders, But Adds Others
  • Thompson Hine LLP
  • USA
  • August 1 2018

All exchange-traded funds (ETFs) operate subject to a variety of conditions and required representations imposed by their respective exemptive


SEC Denies Application for Bitcoin ETF
  • Hunton Andrews Kurth LLP
  • USA
  • July 27 2018

In a lengthy order issued on July 26, 2018, by a 3-1 vote the U.S. Securities and Exchange Commission (“SEC”) denied an application by the CBOE Bats


SEC Amends Investment Company Liquidity Rule Disclosure Requirements
  • Dechert LLP
  • USA
  • July 24 2018

The U.S. Securities and Exchange Commission has adopted amendments to certain disclosure requirements of open-end investment companies


SEC Proposes Rule to Allow Most ETFs to Operate without Exemptive Relief
  • Dechert LLP
  • USA
  • July 18 2018

The Securities and Exchange Commission is proposing to simplify and modernize the regulatory


Exchange-Traded Funds: Proposed Rule 6c-11
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • July 11 2018

After 26 years and the issuance of over 300 exemptive orders, the Securities and Exchange Commission (SEC or Commission), through the rulemaking


SEC Proposes ETF Rule, Amends Liquidity Risk Reporting Rule and Requires Inline XBRL Reporting by Funds
  • Sullivan & Cromwell LLP
  • USA
  • July 11 2018

At an open meeting held on June 28, 2018, the Securities and Exchange Commission (SEC) voted, among other actions, to: (i) propose a rule and related


2018 Proposed ETF Rulemaking - Summary and Analysis
  • Ropes & Gray LLP
  • USA
  • July 10 2018

On June 28, 2018 at an open meeting (the “Open Meeting”), the Securities and Exchange Commission (“SEC”) unanimously voted to propose new Rule 6c-11


Proposed ETF Rule Comes with Widely Expected Conditions and Some Notable Twists
  • Thompson Hine LLP
  • USA
  • July 9 2018

SEC’s proposed Rule 6c-11 would permit most ETFs that satisfy certain conditions to operate without obtaining an exemptive order. ETFs in