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A Summary: Changes to Exemptive Relief and Disclosure Requirements under the New ETF Rule

On September 26, 2019, the Securities and Exchange Commission (the SEC) adopted a final rule under the Investment Company Act of 1940 (the “Investment Company Act”) that will enable most exchange-traded funds (“ETFs”) to...more

New SEC Staff Guidance Broadens the Applicability of 1940 Act Exemption for Mortgage Securitizers

In a no-action letter dated February 12, 2018, the SEC expanded the scope of Section 3(c)(5)(C) of the Investment Company Act to apply to a sponsor of multiple securities trusts that hold whole mortgage loans....more

New Liquidity and Swing Pricing Rules for US Mutual Funds

On October 13, 2016, a unanimous US Securities and Exchange Commission adopted far-reaching rules intended to address mutual fund liquidity risks. On the same day and by a divided (two to one) vote, the SEC adopted new mutual...more

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