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ETF Roundup Issue 2 - April 2017
Welcome to the second issue of ETF Roundup, our guide to the latest legal and regulatory developments affecting the exchange-traded fund (ETF) industry.
United States
5 May 2017
2
Federal Securities Law Implications Of The FAST Act
New rules enhance IPO accommodations under the JOBS Act and provide private resale exemption.
United States
5 Jan 2016
3
NYSE Arca Withdraws Active ETF Generic Listing Standards Proposal As SEC Focus On ETFS Continues
Withdrawal comes within days of SEC Chair White and Commissioner Aguilar issuing public statements regarding ETFs.
United States
4 Nov 2015
4
SEC Proposes Rules Requiring Companies To Adopt, Disclose, And Comply With Clawback Policies On Erroneously Awarded Executive Compensation
On July 1, 2015, the US Securities and Exchange Commission (SEC) issued a long-awaited release (Proposing Release) proposing rules that would direct the national securities exchanges to establish listing standards...
United States
14 Jul 2015
5
SEC Proposes New Financial Statement Requirements Under Regulation A+
The SEC recently proposed and solicited public comments on Regulation A+, which would amend and update Regulation A, an exemption for unregistered public offerings of securities in amounts up to $5 million, by creating a new two-tiered system.
United States
28 Jan 2014
6
SEC Approves General Solicitation In Private Offerings And Proposes Further Regulation D Amendments
The U.S. Securities and Exchange Commission issued a series of three releases that address the provisions of the Jumpstart Our Business Startups Act relating to general solicitation and general advertising in certain private offerings and provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the disqualification of bad actors from Rule 506 offerings.
United States
5 Aug 2013
7
SEC Approves Final NYSE And NASDAQ Compensation Committee Rules
The following summarizes key elements of the final listing standards and significant changes to the Original Proposals reflected in subsequent amendments submitted by NYSE and NASDAQ.
United States
11 Feb 2013
8
SEC Proposes To Permit General Solicitation In Private Offerings
Proposed rule amendments permit general solicitation and general advertising in Rule 506 and Rule 144A offerings but raise challenges for verification of accredited investor status of Rule 506 purchasers.
United States
17 Sep 2012
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