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

By Arthur Don on August 27, 2020

Posted in banking, Banks, Capital Markets, Compliance, Exchange-Traded Funds (ETFs), Featured, Financial Regulation, Financial Services Litigation, GT Alert, Investment Regulation, Regulatory Compliance, SEC, U.S. Financial Market

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

SEC Passes Long-Awaited New Rule 6c-11 to Modernize Regulation of ETFs

By Tanya L. Cody on October 2, 2019

Posted in Client Alert, Exchange-Traded Funds (ETFs), GT Alert, Investment Company Act of 1940, Investment Regulation, SEC, Securities and Exchange Commission, Uncategorized

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

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Financial Services Observer

Exchange-Traded Funds (ETFs)

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

SEC Passes Long-Awaited New Rule 6c-11 to Modernize Regulation of ETFs

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