The staff of the Division of Investment Management (the “Staff”) has issued a FAQ pertaining to the rule and form amendments adopted by the Securities and Exchange Commission (the “SEC”) in October 2022, which require...more
2/26/2024
/ Compliance ,
Corporate Governance ,
Disclosure Requirements ,
ETFs ,
Exchange-Traded Products ,
Fees ,
Investment ,
Investment Companies ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
XBRL Filing Requirements
On January 10, 2024, the Securities and Exchange Commission (“SEC”) issued an order approving the applications of 11 different spot Bitcoin exchange‑traded products (the “Approved ETPs”) to each list and trade their shares on...more
1/17/2024
/ Bitcoin ,
Broker-Dealer ,
Chicago Mercantile Exchange (CME) ,
Compliance ,
Conflicts of Interest ,
Cryptocurrency ,
ETFs ,
Exchange-Traded Products ,
Investment Adviser ,
Investment Company Act of 1940 ,
Listing Applications ,
Mutual Funds ,
NYSE ,
Popular ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934