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December 5, 2024

SEC Staff Issues Guidance on Tailored Shareholder Reports

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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March 29, 2024

SEC Settles Charges with Adviser for Failing to Disclose Conflicts of Interest

Regulatory Compliance & Enforcement Actions, Investment Advisers, ETFs
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March 14, 2024

Seward & Kissel Advises Guinness Atkinson on the Submission of an Application to Offer ETF Share Classes of its Existing Mutual Funds

Investment Advisers, Mutual Funds, ETFs
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January 12, 2024

SEC Approves First Round of Bitcoin ETFs

Investment Advisers, ETFs
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December 12, 2023

SEC Issues Updated Fall 2023 Regulatory Agenda

Closed-End Funds, BDCs, Investment Advisers, Mutual Funds, ETFs
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October 18, 2023

SEC Settles Charges Against Ratings Agencies Relating to Alleged Recordkeeping Failures

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds, ETFs
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October 17, 2023

SEC Adopts Amendments to Beneficial Ownership Reporting Rules

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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October 10, 2023

SEC Settles Charges with Mutual Fund Adviser for ESG Related Violations

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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October 6, 2023

SEC Settles Charges with Mutual Fund Adviser for AML Related Violations

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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September 29, 2023

SEC Proposes Changes to EDGAR Filer Access and Account Management

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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May 17, 2023

SEC Staff Issue Risk Alert on LIBOR-Transition Preparedness for Investment Advisers and Investment Companies

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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April 7, 2022

SEC Announces 2022 Examination Priorities

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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February 24, 2022

Financial Services Company Fined $100 Million and Agrees to Pursue Registration of its Crypto Lending Product

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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February 17, 2022

SEC Proposes Amendments to Modernize Rules Governing Beneficial Ownership Reporting

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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December 17, 2021

SEC Proposes Amendments to Rule 10b5-1 and Enhanced Disclosures Relating to Rule 10b5-1 Trading Plans in Issuer Reports and Certain Section 16 Reporting Forms

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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November 8, 2021

SEC Proposes Amendments to Update Electronic Filing Requirements

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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September 30, 2021

SEC Approves NYSE Arca Rule Change That Allows Semi-Transparent Active ETFs to Use Custom Baskets

Regulatory Compliance & Enforcement Actions, ETFs
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May 26, 2021

NYSE Arca Receives Approval for Proposed Rule Change to Exempt Funds from Shareholder Approval Requirements in Connection with Certain Acquisitions

Regulatory Compliance & Enforcement Actions, ETFs
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March 24, 2021

SEC Publishes New FAQ on Valuation Rule

Regulatory Compliance & Enforcement Actions, Mutual Funds, ETFs
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March 15, 2021

SEC Issues Statement on Investment Company Cross Trading Practices Potentially Impacted by the Valuation Rule

Regulatory Compliance & Enforcement Actions, Mutual Funds, ETFs
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March 15, 2021

Additional Semi-Transparent ETF Sponsor Receives Amended Exemptive Relief to Use “Custom Baskets”

Regulatory Compliance & Enforcement Actions, ETFs
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March 8, 2021

SEC Releases FAQs on New Rules Establishing Updated Regulatory Framework for Fund Valuation Practices

Regulatory Compliance & Enforcement Actions, Mutual Funds, ETFs
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March 5, 2021

Mutual Fund Sponsor Receives Approval for First Mutual Fund to ETF Conversion

Mutual Funds, ETFs
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February 11, 2021

Two Semi-Transparent ETF Sponsors Receive Amended Exemptive Relief to Use “Custom Baskets”

ETFs
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December 30, 2020

Invesco Receives Relief from the SEC to Launch Semi-Transparent ETFs

ETFs
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September 23, 2020

NYSE Arca, Inc. Files Proposed Rule Change to Adopt a Generic Listing Rule for Certain Semi-Transparent ETFs

ETFs
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June 2, 2020

CFTC Issues Customer Advisory Regarding Commodity ETPs and Funds

Regulatory Compliance & Enforcement Actions, ETFs
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May 22, 2020

FINRA Issues Notice Reminding Firms of Sales Practice Obligations for Certain Exchange-Traded Products

Regulatory Compliance & Enforcement Actions, ETFs
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May 15, 2020

ETF Sponsors Submit Letters to Major Exchanges Regarding ETP Categorization

Regulatory Compliance & Enforcement Actions, ETFs
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May 4, 2020

Major Exchanges for ETFs Receive Approval for Generic Listing Standards for ETFs that Can Rely on Rule 6c-11

Regulatory Compliance & Enforcement Actions, ETFs
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April 2, 2020

Two Semi-Transparent ETFs Listed for Trading on a U.S. Exchange

ETFs
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March 12, 2020

Broker-Dealer Entities Fined $35 Million for Violations Relating to Inverse ETF Recommendations to Retail Investors

Regulatory Compliance & Enforcement Actions, ETFs
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February 24, 2020

Non-Transparent ETFs Receive Approvals to List on an Exchange

ETFs
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January 16, 2020

Major Exchanges for ETFs Have Filed Proposed Rule Changes to Establish Generic Listing Standards for ETF Shares Permitted to Rely on Rule 6c-11

Regulatory Compliance & Enforcement Actions, ETFs
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January 8, 2020

Non-Transparent ETF Sponsors Request Additional Relief

ETFs
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