One of the most talked about topics in asset management is the possibility of offering Mutual Fund and ETF Classes in the same Fund. For fund sponsors and service providers looking to offer this service, there are significant...more
One of the most talked about topics in asset management is the possibility of offering Mutual Fund and ETF Classes in the same Fund. It appears that Funds may obtain the Relief necessary to offer these Share Classes in the...more
6/27/2025
/ Asset Management ,
Chief Compliance Officers ,
Disclosure Requirements ,
DTCC ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
Fund Sponsors ,
Investment Funds ,
Mutual Funds ,
Operational Requirements ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Share Class Structures ,
Share Classes ,
Shareholders
The 2025 ICI Investment Management Conference was noteworthy for the change in tone from the SEC officials in attendance, including Acting Chairman Mark Uyeda, as well as IM Director Natasha Greiner, who suggested that there...more
4/18/2025
/ Financial Markets ,
Financial Services Industry ,
Investment Advisers Act of 1940 ,
Investment Management ,
Investors ,
Proposed Rules ,
Regulatory Agenda ,
Regulatory Reform ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The SEC’s Division of Corporation Finance issued a statement on February 27, 2025 to clarify the application of federal securities laws to "meme coins," a type of crypto asset inspired by internet memes, characters, current...more
On January 23, 2025, President Trump signed an executive order titled Strengthening American Leadership in Digital Financial Technology (Crypto EO), which addressed a variety of crypto-related topics to the great relief of...more
On Monday, the U.S. Court of Appeals for the Third Circuit issued the attached opinion requiring the SEC to provide a more complete explanation for its refusal to engage in formal notice-and-comment rulemaking regarding the...more
1/17/2025
/ Administrative Procedure Act ,
Appeals ,
Constitutional Challenges ,
Cryptocurrency ,
Digital Assets ,
Enforcement Actions ,
Regulatory Agenda ,
Regulatory Reform ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation