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Regulatory Reform › Securities and Exchange Commission (SEC) › Exchange Traded Funds

Lowenstein Sandler LLP

Crypto Brief - Lowenstein Crypto Newsletter - July 3, 2025

Lowenstein Sandler LLP on

On July 1, the Securities and Exchange Commission (SEC) Division of Corporation Finance issued guidance outlining disclosure expectations for crypto asset exchange-traded products, including both spot and derivative-based...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

SEC Considers Active ETF Listing Standards, Approves Paired Class ETP

Morgan Lewis on

Although the proposed listing standards could significantly reduce regulatory barriers, commissioner dissent in exchange-traded product order underscores regulatory concerns about novel products....more

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