ETF Roundup – Issue 3

November 2017

Welcome to the third issue of ETF Roundup, our guide to the latest legal and regulatory developments affecting the exchange-traded fund (ETF) industry. We hope you find this newsletter informative and useful. If you have any questions about the issues discussed here, or if there are any topics you would like us to address in future issues, please email us at

Read the full Roundup >>

Topics covered in this issue:

  • SEC Extends Compliance Date for Listing Standards
  • SEC Approves Rules for Cash Component in Underlying Indices
  • T+2 Settlement Cycle in Effect
  • SEC and NYU Host ETP Dialogue
  • California Court Applies Tracing Requirements to Shares of ETFs
  • ICI Releases Overview of ETF Regulation Under the Exchange Act
  • The Industry in Brief
    • Dalia Blass Named New Director of Investment Management
    • White House Nominates SEC Commissioners
    • Treasury Publishes Report on Asset Management Industry
    • OCIE Issues Cybersecurity Risk Alert
    • The SEC’s FAQs re: Investment Company Reporting Modernization
    • ICI Requests Delay of Liquidity Risk Management, Fund Reporting Rules
    • Update on Labor Department’s Fiduciary Rule
  • Trending SEC Staff Comments
  • New Product Registrations

ETF Roundup Past Issues

Issue 1 - December 2016
Issue 2 -  April 2017