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Exchange-Traded Funds (ETFs)

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SEC Settles Charges with Adviser for Failing to Disclose Influencer’s Role in Promoting ETF

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SEC Staff Issues FAQs On Tailored Shareholder Reports

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SEC Staff Issues Statement on ETF Disclosure of Foreign Currency Holdings

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SEC Staff Grants No-Action Relief Under Section 17 and Rule 17d-1 Thereunder Allowing Fund to Enter Transaction Agreement with New Adviser

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SEC Division of Examinations Releases its 2024 Examination Priorities

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SEC Adopts Amendments to the Fund “Names Rule”

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SEC Staff Release Statement on Risk Legend Used by Non-transparent ETFs

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SEC Proposes New Cybersecurity Requirements for Certain Market Entities and Reopens Comment Period for Proposed Cybersecurity Rules for Registered Advisers and Funds

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SEC Proposes Amendments to Regulation S-P

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SEC Proposes New Safeguarding Rule for Investment Advisers

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SEC Division of Examinations Releases its 2023 Examination Priorities

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SEC Settles Charges with Security Valuation Provider for Providing Misleading Disclosures About Its Valuation Methodologies

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ISS Releases Annual Proxy Voting Guideline Updates

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SEC Adopts Amendments to Increase Proxy Voting Transparency

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SEC Adopts Amendments Relating to Shareholder Reports and Investment Company Advertisements

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SEC Approves First Single-Stock ETFs in US; More Are in the Pipeline

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