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Exemptions › Securities Exchanges

The Rodman Law Group, LLC

The Corporate Transparency Act Reporting Exemptions

The Rodman Law Group, LLC on

The Corporate Transparency Act mandates certain reporting requirements for beneficial ownership information for certain companies, with the goal of preventing the illicit use of anonymous shell companies for financial crimes....more

Dechert LLP

Financial Services Quarterly Report - Second Quarter 2019: SEC Grants Exemptive Relief to Operate Non-Fully Transparent Active...

Dechert LLP on

The U.S. Securities and Exchange Commission on May 20, 2019 issued the first exemptive order permitting the operation of actively managed exchange-traded funds that do not disclose their full holdings on a daily basis...more

Sheppard Mullin Richter & Hampton LLP

SEC Tightens Alternative Trading Platform Oversight

Sheppard Mullin Richter & Hampton LLP on

On July 18, 2018, the SEC ramped up its oversight of alternative trading systems (“ATSs”) by adopting a series of rule amendments imposing public disclosure requirements on ATSs that trade NMS (“National Market System”)...more

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