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Investment › Exchange Traded Funds › Financial Services Industry

Ropes & Gray LLP

Preparing for ETFs as a Share Class: Updated and Expanded as of June 11, 2025

Ropes & Gray LLP on

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

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Vanguard cuts fees

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

Vanguard announced expense ratio reductions to 168 mutual fund and exchange-traded share classes across 87 funds. The reductions will save investors more than $350 million in 2025 alone, the largest annual expense ratio...more

Carlton Fields

SEC Action Builds Pressure for ETFs in Variable Contracts

Carlton Fields on

On October 31, 2024, the SEC censured a major wirehouse for selling mutual funds to customers when lower-priced exchange-traded fund (ETF) “clones” of those funds were available. The SEC found that when recommending the...more

Morgan Lewis

CFTC Adopts Amendments to Permissible Customer Funds Investments by FCMs and DCOs

Morgan Lewis on

The Commodity Futures Trading Commission recently published a final rule amending the list of permissible investments for customer funds by futures commission merchants and derivatives clearing organizations....more

Polsinelli

Blockchain+ Bi-Weekly; Highlights of the Last Two Weeks in Web3 Law: December 19, 2024

Polsinelli on

With Bitcoin hitting record highs and breaking a barrier long seen as aspirational, and with a new administration making key appointments, the year is ending with much excitement and momentum for the digital assets industry....more

Mayer Brown Free Writings + Perspectives

SEC’s Upcoming Investor Advisory Committee Meeting: Finfluencers and AI

Mayer Brown Free Writings + Perspectives on

The Securities and Exchange Commission announced an upcoming meeting of its Investor Advisory Committee, which will be held on June 6, 2024.  The agenda includes a number of interesting topics....more

K&L Gates LLP

Stay on Target: FINRA Proposes Rules Permitting Presentation of Performance Projections and Targets

K&L Gates LLP on

The regulation of broker-dealer communications is delegated to the Financial Industry Regulatory Authority, Inc. (FINRA), while investment adviser advertisements are regulated directly by the US Securities and Exchange...more

Carlton Fields

ETFs in Variable Contracts: A New Marketing Opportunity?

Carlton Fields on

The Secure Act of 2022, in order to facilitate the use of exchange-traded funds (ETFs) as investment options under variable contracts, directs the Treasury Department to amend the governing look-through rules under applicable...more

Stikeman Elliott LLP

CSE Makes Significant Changes to Listing Policies and Forms, Including a New “Non-Venture Issuer” Tier

Stikeman Elliott LLP on

Following a comment period and further review, CNSX Markets Inc. (the CSE) has received approval from the Ontario and British Columbia securities commissions to implement significant changes to its listing policies and forms....more

Bressler, Amery & Ross, P.C.

New York DFS Adopts New Regulation Addressing the Treatment of Certain Bonds in a Domestic Insurer’s Investment Portfolio

Bressler, Amery & Ross, P.C. on

Effective December 15, 2021 (and through the January 1, 2027 sunset date when the regulation will again be evaluated), the New York Department of Financial Services (“DFS”) adopted Regulation 172 (the “Regulation”), which...more

Alston & Bird

Investment Management, Trading & Markets Updates – October 2020

Alston & Bird on

SEC Proposes Streamlined Shareholder Reports for Retail Investors - On August 5, 2020, the Securities and Exchange Commission (SEC) announced a proposal to modify the mutual fund and exchange-traded fund (ETF) disclosure...more

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