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SEC Announces 2022 Examination Priorities

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

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SEC Proposes Amendments to Modernize Rules Governing Beneficial Ownership Reporting

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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

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SEC Proposes Amendments to Update Electronic Filing Requirements

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

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

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SEC Publishes New FAQ on Valuation Rule

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

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

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

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

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

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

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

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CFTC Issues Customer Advisory Regarding Commodity ETPs and Funds

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

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ETF Sponsors Submit Letters to Major Exchanges Regarding ETP Categorization

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

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

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

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Non-Transparent ETFs Receive Approvals to List on an Exchange

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

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Non-Transparent ETF Sponsors Request Additional Relief

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