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Regulatory Developments Relating To Actively Managed ETFs  


Author:  Eric Simanek.


Source: Volume 51, Number 01, January 1 2018 , pp.7-13(7)




Review of Securities & Commodities Regulation

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Abstract: 

Developments designed to eliminate regulatory disadvantages faced by actively managed ETFs include the adoption of generic listing standards on the major exchanges, and the provision of exemptive and no-action relief from Exchange Act trading rules. The author discusses these changes and concludes with a description of various proposed and actual methodologies for actively managed ETFs to avoid disclosing their daily portfolio holdings.

Keywords: Exchange-Traded Fund Regulation; Listing Standards; Trading Rules Relief; Investment Company Act Exemptive Relief

Affiliations:  1: Sullivan & Worcester LLP.

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