federal_register: 2018-14370

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2018-14370 Exchange-Traded Funds Proposed Rule The Securities and Exchange Commission (the "Commission") is proposing a new rule under the Investment Company Act of 1940 (the "Investment Company Act" or the "Act") that would permit exchange- traded funds ("ETFs") that satisfy certain conditions to operate without the expense and delay of obtaining an exemptive order. In connection with the proposed exemptive rule, the Commission proposes to rescind certain exemptive orders that have been granted to ETFs and their sponsors. The Commission also is proposing certain disclosure amendments to Form N-1A and Form N-8B-2 to provide investors who purchase and sell ETF shares on the secondary market with additional information regarding ETF trading costs, regardless of whether such ETFs are structured as registered open-end management investment companies ("open-end funds") or unit investment trusts ("UITs"). Finally, the Commission is proposing related amendments to Form N-CEN. The proposed rule and form amendments are designed to create a consistent, transparent, and efficient regulatory framework for ETFs and to facilitate greater competition and innovation among ETFs. 2018-07-31 2018 7 https://www.federalregister.gov/documents/2018/07/31/2018-14370/exchange-traded-funds https://www.govinfo.gov/content/pkg/FR-2018-07-31/pdf/2018-14370.pdf Securities and Exchange Commission 466 The Securities and Exchange Commission (the "Commission") is proposing a new rule under the Investment Company Act of 1940 (the "Investment Company Act" or the "Act") that would permit exchange- traded funds ("ETFs") that satisfy certain conditions to... 3235-AJ60

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