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Sullivan & Cromwell discusses Exchange-Traded Products: SEC Requests Comments on Topics Related to the Listing and Trading of Exchange-Traded Products on National Securities Exchanges and Sales of Such Products by Broker-Dealers

By John E. Baumgardner Jr., Robert Buckholz and Whitney A. Chatterjee August 5, 2015 by John E. Baumgardner Jr.

The Securities and Exchange Commission recently published a request for comment on topics relating to its oversight of exchange-traded products under the Securities Exchange Act of 1934, and particularly the listing and trading of exchange-traded products on national securities exchanges …

Sullivan & Cromwell discusses Money Market Fund Reform

By John E. Baumgardner Jr., Donald R. Crawshaw, Samuel R. Woodall III and Jeannette E. Braun August 7, 2014 by John E. Baumgardner Jr.

On July 23, 2014, the Securities and Exchange Commission voted 3-2 to adopt amendments to the rules that govern money market funds under the Investment Company Act of 1940. The amendments include the following:

Floating Net Asset Value Requirement:

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John E. Baumgardner Jr.

Sullivan & Cromwell discusses Exchange-Traded Products: SEC Requests Comments on Topics Related to the Listing and Trading of Exchange-Traded Products on National Securities Exchanges and Sales of Such Products by Broker-Dealers

Sullivan & Cromwell discusses Money Market Fund Reform