Presentations

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 […]

Read More

Information on ETF Rule 6c-11 – PDF Download

Fill out the form below to download and learn about the key areas of the new ETF Rule 6c-11

Read More

CCO Forum Presentation – Business Continuity Risk Alerts

Read More