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Expert Analysis

SEC's New ETF Rule Is A Win For Issuers, Investors

By Kathleen Moriarty (October 29, 2019, 3:58 PM EDT) -- On Sept. 26, the U.S. Securities and Exchange Commission adopted final Rule 6c-11 under the Investment Company Act of 1940, and certain form amendments that standardize the regulatory regime governing exchange-traded funds. In the future, most ETF issuers will no longer need to obtain individual exemptive relief from certain provisions of the 1940 Act and its rules in order to create and operate ETFs, but instead will be able to rely on the rule for generic ETF relief....

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