Exchange-Traded Funds (ETFs)

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On Aug. 5, 2020, the SEC proposed modifications to current rules and forms that would significantly change the disclosures required of mutual funds and exchange traded funds (ETFs) that report

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Continue Reading SEC Proposes Rule Changes to Mutual Fund and Exchange Traded Fund Disclosures

On Sept. 26, 2019, the Securities and Exchange Commission (SEC) announced it had adopted a new Rule 6c-11 under the Investment Company Act of 1940 (the “Investment Company Act” or…
Continue Reading SEC Passes Long-Awaited New Rule 6c-11 to Modernize Regulation of ETFs