ETF Advisory Content

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Committee

ETF Advisory Committee

The ETF Advisory Committee examines regulatory, legislative, and market issues affecting the management and operations of exchange-traded funds.
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White Paper

Mutual Fund to ETF Conversion: Operational Considerations

Beginning in 2021, there has been a steadily increasing trend of mutual funds converting to ETFs. Some key differentiators between mutual funds and ETFs are how investors purchase and sell shares, and how the funds themselves purchase and sell portfolio holdings. ETFs are attractive...
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Memo#
35541

SEC Adopts Rule Prohibiting ABS Conflicts of Interest

On November 27, 2023, the Securities and Exchange Commission (SEC or "Commission"), on a 4-1 vote by seriatim, adopted Rule 192 ("Final Rule") under the Securities Act of 1933 ("Securities Act"), which implements the prohibition under Section 621 of the Dodd-Frank Act on material...
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Memo#
35345

Global Regulators Issue ETF Good Practices Report

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...
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Memo#
35173

SEC Adopts Rule to Shorten Securities Settlement Cycle to T+1

On February 15, 2023, the Securities and Exchange Commission (the "Commission") adopted rule changes to shorten the standard settlement cycle for most broker-dealer transactions in securities from two business days after the trade date ("T+2") to one business day after the trade date...