US SEC Seeks Public Comment on the Listing, Trading and Selling of Exchange-Traded Products

June 15, 2015

The Securities and Exchange Commission (SEC) issued a release (Release) on June 12, 2015 seeking public comment on topics related to the listing and trading of exchange-traded products (ETPs) on national securities exchanges and sales of these products by broker-dealers. Public comment was specifically requested on: “new, novel, or complex ETPs, including requests by ETPs for exemptive and no-action relief under the [Securities Exchange Act of 1934 (Exchange Act)] and filings by exchanges to adopt listing standards applicable to ETPs;” the ways broker-dealers market ETPs; and “investor understanding of the nature and uses of ETPs, especially by retail investors.”

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