On September 29, 2021, the U.S. Securities and Exchange Commission (SEC) proposed amendments to Form N-PX to provide greater transparency to the information registered management investment companies (Funds) report about...more
On January 13, 2021, President Trump amended the November 12, 2020, Executive Order (EO) 13959 providing greater clarity to the scope of the EO’s ban on trading and investing in certain designated publicly traded securities...more
In April 2020, the Securities and Exchange Commission (SEC) approved rule change proposals of the three primary listing exchanges for exchange-traded funds (ETFs). The new rules extend automatic listing to all ETFs that are...more
The Securities and Exchange Commission (SEC) recently adopted Rule 6c-11 under the Investment Company Act of 1940 (the “Act”), which removes the need for most exchange-traded fund (ETF) sponsors to obtain individual exemptive...more
10/18/2019
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Compliance ,
Exchange-Traded Products ,
Exemptive Orders ,
Final Rules ,
Form N-1A ,
Investment Company Act of 1940 ,
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Portfolio Managers ,
Proposed Rules ,
Rule 6c-11 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act