News & Analysis as of

Derivatives Exchange Traded Funds No-Action Letters

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - February 2024 - 2

Editor's Note The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically...more

Mayer Brown Free Writings + Perspectives

SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies

Yesterday, the Securities and Exchange Commission adopted final rules relating to the use of derivatives by registered investment companies and business development companies....more

Vedder Price

Investment Services Regulatory Update - November 2017

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European...more

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