SEC Seeks Public Comment on Novel Exchange-Traded Funds

Summary

The Securities and Exchange Commission today issued a request for public comment on exchange-traded funds (ETFs) seeking to invest in innovative asset classes or engage in novel investment strategies. The request focuses on ways to facilitate innovation…

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• SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement Plans for Small Businesses
• SEC Charges 21 Individuals With Alleged Wide-Reaching Insider Trading Scheme
• SEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions
• SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements
• SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination