ETF (Exchange-Traded Funds) Content

On November 3, the Commodity Futures Trading Commission (CFTC or "Commission") issued proposed amendments ("Proposal") to its rules governing the safeguarding and investment of funds deposited by customers to margin futures, foreign futures, and cleared swap transactions ("Customer...

On November 3, the Commodity Futures Trading Commission (CFTC or "Commission"), by seriatim, issued proposed amendments ("Proposal") to its rules governing the safeguarding and investment of funds deposited by customers to margin futures, foreign futures, and cleared swap transactions...

On June 13, 2023, ICI filed a comment letter with the SEC with regards to the supplemental information and reopening of the comment period for its proposal that would, among other things, amend Rule 3b-16 under the Exchange Act, which defines certain terms used in the statutory...

The International Organization of Securities Commissions last month published a report providing a set of good practices to supplement and implement their 2013 principles for the regulation of exchange-traded funds (ETFs) ("ETF Principles").The good practices highlight issues for...

ICI is circulating the draft comment letter regarding the Securities and Exchange Commission's (the "Commission" or SEC) supplemental information and reopening of the comment period for its proposal that would, among other things, amend Rule 3b-16 under the Securities Exchange Act of...

On May 4, 2023, the SEC brought a settled enforcement action against a registered investment adviser and its part-owner and investment adviser representative (together, "Respondents") for alleged breach of the fiduciary duty of care and compliance violations under the Investment...

On April 14, 2023, the SEC reopened the comment period for its proposal ("Prior Proposal") to amend Rule 3b-16 under the Securities Exchange Act of 1934, as amended, ("Exchange Act") that defines certain terms used in the statutory definition of "exchange" ("Reopening Release").

ICI has filed the attached comment letter with the SEC on the Tick Size and Access Fee Reduction proposal ("Proposal"). The letter addresses the proposed amendments to Regulation NMS, which would establish variable minimum pricing increments for both the quoting and trading of NMS...