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Financial Services Observer

News & Commentary on Financial Regulatory and Compliance Matters

exchange-traded funds

SEC Issues Risk Alert Regarding Registered Investment Companies

By Arthur Don & Douglas W. Hathaway on November 3, 2021

Posted in Client Alert, Compliance, Featured, Financial Regulation, GT Alert, investment advisor, Investment Company Act of 1940, Investment Regulation, Regulatory Compliance, SEC, Securities, Securities and Exchange Commission

On Oct. 26, 2021, the Securities and Exchange Commission (SEC) Division of Examinations issued a Risk Alert in which it identified observations from examinations under its registered investment company initiative,…
Continue Reading SEC Issues Risk Alert Regarding Registered Investment Companies

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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Greenberg Traurig’s Financial Regulatory and Compliance Group brings together attorneys from various offices and practice areas to assist financial services firms of all types and sizes, as well as vendors to those firms, as they face regulatory, legislative, supervision, examination, licensing, compliance, and governance matters

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Nov. 2 EVENT | Selecting an EB-5 Investment Project

Join GT Shareholders Kate Kalmykov and William Mack, along with America EB-5 Visa, LLC’s CEO Marko Issever, for an informative discussion…

Webinar – Aug. 20: LIBOR Phaseout – Preparing for the Beginning of the End

On Thursday, Aug. 20 at 11 a.m. EST, join GT Shareholders Carl Fornaris and Oscar Stephens for a complimentary webinar…

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