FREE Resource: ETF Rule 6c-11 Overview

On September 25, 2019, the SEC adopted new Rule 6c-11 under the Investment Company Act of 1940. This rule will relieve some exchange traded funds (ETFs) from obtaining individual exemptive relief orders and currently operating ETFs from relying on their current exemptive relief orders by providing conditions to meet a basic exemptive relief. The new Rule 6c-11 also grants ETFs and broker-dealers who engage in certain transactions in ETF shares relief from certain provisions of the 1934 Act.

We’ve put together a resource that gives an overview of Rule 6c-11 and lists important dates associated.

To gain access to this free resource and download, click here!

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The Team at Vigilant