Exchange-Traded Fund Insights

November 02, 2020 Aly Cottam

SEC Refreshes Its “Dear CFO Letters” Practice

To address the myriad of regulations over the investment industry, the U.S. Securities and Exchange Commission (SEC) provides a variety of guidance and reference materials to industry stakeholders. As a part of that effort, since November 1994, the Chief Accountant’s Office within the SEC...

September 26, 2019 Jeff Haneline

SEC Rule 6c-11 Opens Door, Levels Playing Field for Exchange Traded Funds and Investors

The SEC announced today it has adopted the long awaited Rule 6c-11, which will eliminate the need for certain exchange traded funds (ETFs) to obtain the lengthy and expensive exemptive relief that, until now, has been necessary to operate under U.S. securities laws. This game changing move...

May 13, 2019 Brett Eichenberger

SEC Clears Path for Precidian to Operate ActiveShares ETFs, Signals Big Changes for All Actively Managed Funds

Actively managed exchange traded funds (ETFs) have historically been required to provide portfolio transparency on a daily basis — showing all of their cards, so to speak, and leaving their investment strategies vulnerable for the taking. While many ETFs have filed exemptive relief with the...

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