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ETF Roundup – Issue 4

August 2018

Welcome to the fourth issue of ETF Roundup, our guide to the latest legal and regulatory developments affecting the exchange-traded fund (ETF) industry. In this issue, we discuss the SEC's proposed ETF rule, the latest in ETF exemptive relief under the Exchange Act, and the SEC's current take on blockchain and cryptocurrency, among other topics.

We hope you find this newsletter informative and useful. If you have any questions regarding the issues discussed in ETF Roundup, or if there are any topics you would like us to address in future issues, please email us at etfroundup@morganlewis.com or contact any of the Morgan Lewis lawyers listed in the publication.

Read the full Roundup >>

Topics covered in this issue: 

  • SEC Proposes New ETF Rule
  • The Latest in ETF Exemptive Relief Under the Exchange Act
  • The SEC’s Current Take on Blockchain and Cryptocurrency
  • NYSE Arca Adopts New Process for ETF Official Closing Prices
  • SEC Proposes Rules to Promote Research on Investment Funds
  • Recent Developments Affecting the Liquidity Rule and Related Requirements
  • SEC Proposes to Amend Loan Rule
  • Industry in Brief:
    • SEC Derivatives and Investor Experience Rulemaking Initiatives
    • SEC Proposes Rules Addressing Broker-Dealer and Investment Adviser Standards of Conduct
    • SEC Approves E-Delivery of Shareholder Reports, Requests Comments on Other Areas
    • OCIE Publishes 2018 Exam Priorities
    • SEC Issues MIFID II-Related No-Action Letters
  • Trending SEC Staff Comments
  • New Product Registrations


ETF Roundup Past Issues

Issue 3 - November 2017
Issue 2 - April 2017
Issue 1 - December 2016