Exchange-Traded Funds (ETFs) Content

The SEC adopted amendments to fund reporting requirements on Forms N-PORT and N-CEN and issued guidance on open-end funds' liquidity risk management programs.

ICI filed the attached letter in support of the Cboe BZX Exchange, Inc. taking steps to permit the generic listing and trading of multi-class ETF Shares.

As part of the SEC's Conference on Emerging Trends in Asset Management, Chair Gensler delivered a keynote address titled, "Jack Bogle, Haystacks, and Putting the Interest of the Clients First." His remarks covered a number of subject areas, including the growth of investment products...

On March 14, 2024, the ICI submitted a comment letter in support of the proposed amendments to the National Market System (NMS) Plan to Address Extraordinary Market Volatility (the "Plan") at issue in the SEC's order instituting proceedings to determine whether to approve or...

The Securities and Exchange Commission recently announced that a registered investment adviser to an exchange-traded fund has agreed to pay a $1.75 million civil penalty to settle charges that the adviser failed to properly disclose a licensing arrangement it had with the ETF's index...

On February 15, 2024, the Securities and Exchange Commission (SEC) issued an order instituting proceedings (the "Order") to determine whether to approve or disapprove proposed changes to the National Market System (NMS) Plan to Address Extraordinary Market Volatility (the "Plan")...