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ARTICLE · 26 JUNE 2015

SEC Requests Public Comment on Issues Concerning Exchange-Traded Products

Ropes & Gray LLP
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On June 12, 2015, the SEC published a Request for Comment (the "Request") seeking public comment on topics related to the SEC's oversight of the listing and trading of exchange-traded products ("ETPs") on national securities exchanges.

United StatesCorporate/Commercial Law
Ropes & Gray LLP'S Investment Management Practice Group
Ropes & Gray LLP'S Investment Management Practice Group
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On June 12, 2015, the SEC published a Request for Comment (the "Request") seeking public comment on topics related to the SEC's oversight of the listing and trading of exchange-traded products ("ETPs") on national securities exchanges. The Request classified ETPs into three categories: (i) exchange-traded funds ("ETFs") registered under the Investment Company Act of 1940, (ii) pooled investment vehicles that do not invest primarily in securities, registered under the Securities Act of 1933 (the "Securities Act"), and (iii) exchange-traded notes (debt instruments issued by financial institutions) that are registered under the Securities Act ("ETNs").

In the Request, the SEC solicited public comment to help inform its review of the listing and trading of new, novel or complex ETPs, including requests by ETPs for exemptive and no-action relief under the Securities and Exchange Act of 1934 (the "Exchange Act"), and filings by securities exchanges to adopt

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