OVERVIEW OF THE ETF RULE -
- On September 25, 2019, the SEC approved Rule 6c-11 under the 1940 Act (the “ETF Rule”) and related amendments to Form N-1A
- The ETF Rule will rescind previously-issued exemptive orders of...more
ORGANIZING A REGISTERED FUND -
Time and Responsibility Schedule -
- Decide form and content early
- Allow appropriate review time
- Reviewers include:
- Internal Personnel
- Portfolio Managers
- Legal/Compliance
-...more
On Monday, April 8, 2019, the U.S. Securities and Exchange Commission (“Commission” or “SEC”) signaled the dawn of a new era for traditional active management and exchange-traded fund (“ETF”) regulation by noticing its intent...more