Recent Developments in ETF Regulation

October 28, 2020
The Review of Securities & Commodities Regulation

A new rule adopted by the SEC allows many ETFs to operate without first obtaining exemptive relief. After addressing the ETF structure and regulatory framework, the authors describe the new rule in detail. They then turn to new exchange listing standards for ETFs, semi-transparent active ETF exemptive relief, and no-action relief for index-based funds to exceed diversification limits.

Read "Recent Developments in ETF Regulation"

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