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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

Troutman Pepper Locke

FUNDamentals Market Update – What’s Happening In Today’s Market?

Troutman Pepper Locke on

“The most recent development in the registered investment funds space has been the long-awaited movement toward the SEC granting dual share class ETF exemptive relief. This will be a significant catalyst for growth in...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

K&L Gates LLP

The New Fund of Funds Rule and ETFs—(Missed) Opportunities

K&L Gates LLP on

The SEC recently adopted Rule 12d1-4 (Rule 12d1-4 or Rule) under the Investment Company Act of 1940 (1940 Act) to streamline the regulatory framework applicable to registered funds that invest in other funds (funds of funds)....more

Herbert Smith Freehills Kramer

SEC proposes simplification of derivatives rules for closed-end, other funds

Herbert Smith Freehills Kramer on

The SEC voted to propose a rule designed to enhance the regulation of the use of derivatives by registered investment companies, including closed-end funds, as well as mutual funds, ETFs and business development companies....more

Vedder Price

Investment Services Regulatory Update - February 2018

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

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