SEC Charges U.S. Adviser, Canadian Affiliate in Connection with Fund Purchases of ETFs Exceeding Investment Company Act Limits July 10, 2020 The SEC has charged a U.S. investment adviser...
July 10, 2020
Tags: ETFs, SEC Enforcement
The SEC has charged two affiliated investment advisers in connection with material misrepresentations to boards of their mutual fund and ETF clients regarding payment for order flow arrangements and their...
August 10, 2020
Tags: Disclosure, ETFs, Mutual Funds, SEC Enforcement, Trading
SEC Proposes Updates to Fund Disclosure Framework
As part of its investor experience initiative, the SEC has proposed an updated disclosure framework for mutual funds and ETFs. The proposal includes the following components: Streamlined Fund Shareholder Report:...
August 11, 2020
Tags: Disclosure, ETFs, Mutual Funds
SEC Investment Management Director Blass Discusses Regulating for the Future
Using money market funds and exchange-traded funds (ETFs) as case studies, the SEC’s Division of Investment Management Director Dalia Blass discussed in a recent speech the Division’s philosophy of forward-looking...
October 05, 2020
Tags: Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, ETFs, Valuation
The President’s Working Group on Financial Markets (PWG) has issued a “Report on Protecting United States Investors from Significant Risks from Chinese Companies,” in response to a June memorandum from...
August 13, 2020
Tags: ETFs, Index Funds, Mutual Funds