Conversation with Former SEC Chief Economist Dr. Jessica Wachter on Investment Management Rulemaking at the Commission – PE Pathways
Investing Charity and Foundation Assets in Turbulent Times With Jennifer Nelson
The Preferred Return Podcast | Balancing Act: Strategies for GPs and LPs in Today's Market
Exploring the Administration's Regulatory Impact on Private Equity — PE Pathways Podcast
Maximizing Financial Growth: Insights on HSAs and Smart Investment Strategies with Shaun Eddy
Digital Planning Podcast Episode: Planning for Your Digital Legacy
[Podcast] Private Market Talks: Unlocking the Potential of Alternative Markets with HighVista Strategies’ Raphi Schorr
[Podcast] Private Market Talks: Scoping Out Secondaries with Portfolio Advisors' Liz Campbell
The Preferred Return Podcast | AIFMD II – Implementation Begins
The Preferred Return Podcast | Spin-outs and New Fund Sponsors
AdvisorEsq Podcast Series - Episode 8 - Executive Insights: Succeeding as a COO at an RIA Firm
Nonprofit Basics: Unpacking Prudent Investments, PRIs and MRIs
Fintech Focus Podcast | Are Regulators Dictating Fintech Deal Terms?
A 2024 Economic Outlook - Troutman Pepper Podcast
PODCAST: Williams Mullen's Benefits Companion - New Federal Rule Aims to Hold Investment Advisors to a Higher Standard
AGG Talks: Cross-Border Business - Enterprise Ireland and U.S. Market Entry
Cornerstone Research Experts in Focus: Jules van Binsbergen
Podcast Episode 189: Adding Context to Compliance and Color To Your Legal Practice
Basics of Impact Investing: A Conversation About Investment Policies and Evaluation Metrics For ESG Investors
WorldSmart: Un Puente Entre Dos Mundos— Inversiones Entre EEUU y América Latina
Introduction - On March 17, 2025, Ropes & Gray published a white paper describing the much-anticipated Share Class Relief 1 and outlining matters we believed Advisers and Boards may want to consider in connection with...more
The SEC’s Division of Corporation Finance recently posted new compliance and disclosure interpretations concluding that any registered broker-dealer acting as an authorized participant (AP) for any ActiveShares...more
On October 26, 2022, the Securities and Exchange Commission (“SEC”) adopted rule and form amendments that modernize the disclosure framework for mutual funds and exchange-traded funds (“ETFs”) to create a new layered...more
UPDATE ON CRYPTO ASSETS IN ETFS - In 2018, the US Securities and Exchange Commission’s Division of Investment Management staff penned a letter to the Investment Company Institute and the Securities Industry and Financial...more
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which...more
The Securities and Exchange Commission (the SEC) proposed comprehensive modifications to the disclosure framework for mutual funds and exchange-traded funds (ETFs and, collectively with mutual funds, funds). The purpose of...more
In a substantial August 5, 2020, release (the Proposal), the U.S. Securities and Exchange Commission (SEC) proposed changes to the existing disclosure framework applicable to mutual funds and exchange-traded funds (open-end...more
GENERIC LISTING STANDARDS FOR ETFS RELYING ON RULE 6C-11 APPROVED - The US Securities and Exchange Commission (SEC) has approved generic listing standards proposed by NYSE Arca, Inc., Cboe BZX Exchange, Inc., and The Nasdaq...more
Presented by Pepper Hamilton and Financial Executives Alliance, Pepper Hamilton partners John P. Falco and John M. Ford discussed "An Overview of the SEC’s Recently Adopted Exchange-Traded Funds (ETF) Rule" on a recent...more
Until now, investment advisers seeking to launch ETFs had to navigate a costly and time-consuming approval process. The long-awaited change should be a boon to investors and managers alike, but it will also mean adapting to...more
SEC Adopts ETF Rule - On September 25, 2019, the Securities and Exchange Commission (SEC) unanimously adopted Rule 6c-11 under the 1940 Act to modernize the regulation of exchange-traded funds by establishing a clear and...more
On September 26, 2019, the Securities and Exchange Commission (the “SEC”) adopted Rule 6c-11 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”), the long-awaited “ETF Rule.” ETFs that satisfy certain...more
The Securities and Exchange Commission adopted a long-awaited exemptive rule that will allow most exchange-traded funds (ETFs) to operate without an exemptive order, subject to various conditions. The final rule, which the...more
The US Securities and Exchange Commission (SEC) unveiled in final form the regulatory framework that will govern the operation of most exchange-traded funds (ETFs) going forward. Rule 6c-11 (Rule) under the Investment Company...more
Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. SEC, FINRA...more
In This Issue: - Regulation ..SEC Chair’s Agenda Provides Glimpse of New Rules to Come ..The Results Are In: Investors Favor Additional Regulatory Protection ..SEC Declines to Approve Non-Transparent ETFs ...more