On September 26, 2019, the Securities and Exchange Commission (“SEC”) adopted a new rule to modernize the regulation of most exchange-traded funds (“ETFs”). Rule 6c-11 (the “Rule”) under the Investment Company Act of 1940, as...more
10/10/2019
/ Broker-Dealer ,
Compliance ,
ETFs ,
Exchange-Traded Products ,
Exemptive Orders ,
Final Rules ,
Financial Institutions ,
Form N-1A ,
Form N-CEN ,
Investment Company Act of 1940 ,
No-Action Relief ,
Open-Ended Fund Companies (OFCs) ,
Regulation M ,
Rule 6c-11 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act